Mack qualitative researchmethods2005

Qualitative
Research
Methods:
A D ATA C O L L E C T O R ’ S
FIELD GUIDE

NATASHA MACK • CYNTHIA WOODSONG
KATHLEEN M. MACQUEEN • GREG GUEST • EMILY NAMEY

Qualitative Research
Methods:
A D ATA C O L L E C T O R ’ S
FIELD GUIDE

NATASHA MACK • CYNTHIA WOODSONG
KATHLEEN M. MACQUEEN • GREG GUEST • EMILY NAMEY

F A M I L Y H E A L T H I N T E R N A T I O N A L

Family Health International (FHI) is a nonprofit organization working to improve lives
worldwide through research, education, and services in family health.

This publication was made possible through support provided by the U.S. Agency for
International Development (USAID), under the terms of Cooperative Agreement No.
CCP-A-00-95-00022-02. The opinions expressed herein are those of the authors and do
not necessarily reflect the views of USAID.

ISBN: 0-939704-98-6

Qualitative Research Methods: A Data Collector’s Field Guide
© 2005 by Family Health International

Family Health International
P.O. Box 13950
Research Triangle Park, North Carolina 27709
USA

http://www.fhi.org
E-mail: publications@fhi.org

Contents
Acknowledgments v
Introduction vi
Case Study viii
Module 1 — Qualitative Research Methods Overview 1
Introduction to Qualitative Research 1
Comparing Quantitative and Qualitative Research 2
Sampling in Qualitative Research 5
Recruitment in Qualitative Research 6
Ethical Guidelines in Qualitative Research 8
Suggested Readings 12
Module 2 — Participant Observation 13
Overview of Participant Observation 13
Ethical Guidelines 16
Logistics of Participant Observation 18
How to Be an Effective Participant Observer 22
Tips for Taking Field Notes 24
Case Study Samples 26
Participant Observation Steps 27
Module 3 — In-Depth Interviews 29
Overview of In-Depth Interviewing 29
Logistics of Interviewing 32
How to Be an Effective Interviewer 37
Tips for Taking Interview Notes 44
Case Study Samples 46
Interview Steps 48
Interview Checklist 49
Module 4 — Focus Groups 51
Overview of Focus Groups 51
Logistics of Focus Groups 54
How to Be an Effective Moderator 59
How to Be an Effective Note-taker 69
Tips for Taking Focus Group Notes 73
Case Study Samples 68, 70, 74, 78

iii

Steps in Moderating a Focus Group 80
Steps in Note-taking for a Focus Group 81
Focus Group Checklist 82
Module 5 — Data Documentation and Management: Organizing and Storing Your Data 83
Converting Raw Data to Computer Files 83
Organizing Data Storage 85
Case Study Samples 86, 88
Data Archiving Steps 90
Data Management Checklist 91
Appendix A: Exercises for Training Data Collectors 93
Appendix B: Tools for Data Managers 105
Glossary 115

List of Tables
Table 1. Comparison of quantitative and qualitative research approaches 3
Table 2. Strengths and weaknesses of participant observation 15
Table 3. What to observe during participant observation 20
Table 4. Strengths of in-depth interviews versus focus groups 30
Table 5. Key skills for in-depth interviewing 38
Table 6. Unbiased versus leading questions 42
Table 7. Strengths of focus groups versus in-depth interviews 52
Table 8. Behavioral techniques for building rapport in focus groups 60
Table 9. Suggested ground rules for building rapport in focus groups 61
Table 10. Unbiased versus leading questions 64

iv Qualitative Research Methods: A Data Collector’s Field Guide

Acknowledgments
This field guide is the creation of all the authors. However, we especially recognize Cynthia
Woodsong as its originator and inspiration. It is she who began crafting training materials during
the course of her many public health projects in field sites far and wide, as she sought to prepare
teams for the immediate while equipping them with skills to collect data for other research proj-
ects in the future. During these training experiences, she perceived a recurring need to provide
field teams with foundational, practical information on qualitative methods, presented in a form
that was self-contained, tangible, and easy to consult during the action moments of data collec-
tion. Dr. Woodsong built upon her repertoire of need-to-know training materials with each suc-
ceeding project. In turn, these materials, many of which she developed with funding from the
U.S. National Institutes of Health, have provided the bulk of the substance for the present field
guide. Too, Dr. Woodsong’s vision for capacity building in developing country settings remains
our collective vision for this field guide.

We would also like to recognize the conceptual contributions of Betsy Tolley and Lorie Broomhall.
Their emphasis on the importance of allowing for individual approaches to preparing research
teams for data collection served as a reminder that a practical field guide should not portend to be a
training curriculum in and of itself. Rather than a replacement for hands-on interaction between
trainers and data collection teams, we intend our guide to be a useful supplement for each team
member as they learn and use qualitative methods in the field.

Reviewers Betty Akumatey of the University of Ghana, Legon, and Joy Noel Baumgartner of
FHI merit our sincere thanks as well. Their candid evaluations helped us measure our goal of
developing a functional tool against the reality of whether it worked in the field. We thank also
Beth Robinson for her encouragement, enthusiasm, and technical and personal support from the
start of this project to its finish. Thank you to Larry Severy for his all-round backing of the proj-
ect. Merrill Wolf, editor, is due thanks for the manuscript’s organization and flow, as is Karen
Dickerson, copyeditor and designer, for her great attention to detail and consistency. Illustrations
are credited to Denise Todloski. Kerry McLoughlin graciously stepped in at a moment’s notice to
provide assistance with the case study examples. And Lucy Harber, our gentle, smiling produc-
tion manager, was indispensable in ways immeasurable for bringing the project to fruition.

This guide was made possible by funding from the U.S. Agency for International Development
(USAID). We extend our gratitude for their unwavering support.

v

Introduction
Qualitative research methods are gaining in popularity outside the traditional academic social
sciences, particularly in public health and international development research. Whereas quantitative
research methods once dominated these fields, researchers have now begun drawing from a more
diverse repertoire of methodologies as they tackle international public health problems. Qualitative
methods have become important tools within this broader approach to applied research, in large
part because they provide valuable insights into the local perspectives of study populations.
The great contribution of qualitative research is the culturally specific and contextually rich data it
produces. Such data are proving critical in the design of comprehensive solutions to public health
problems in developing countries, as scientists, medical doctors, pharmaceutical companies, and
humanitarian organizations have come to recognize that biomedical solutions are only partial
remedies. Rather, the success of a health intervention – that is, whether it actually reaches the peo-
ple it is intended to help – rests also on how well it addresses sociobehavioral factors such as cul-
tural norms, ethnic identities, gender norms, stigma, and socioeconomic status. Success measured
on this basis has a bearing, in turn, on the cost-effectiveness, efficiency, and efficacy of interven-
tions, concerns not insignificant in the eyes of project managers and funding agencies.

About this field guide
This field guide is based on an approach to doing team-based, collaborative qualitative research that
has repeatedly proven successful in research projects sponsored by Family Health International
(FHI) throughout the developing world. With its straightforward delivery of information on the main
qualitative methods being used in public health research today, the guide speaks to the need for sim-
ple yet effective instruction on how to do systematic and ethically sound qualitative research. The
aim of the guide is thus practical. In bypassing extensive discussion on the theoretical underpinnings
of qualitative research, it distinguishes itself as a how-to guide to be used in the field.
We have designed the guide as a tool for training the data collection staff members of multisite and
team-based public health projects, but it easily has application for smaller-scale or multidisciplinary
projects as well. It is also applicable to researchers spanning a wide range of expertise, from begin-
ners to the more practiced – i.e., anyone wishing to learn or review the basics of qualitative data col-
lection and management. We should point out, also, that even as our style of presenting the methods
makes them accessible to people without an extensive background in qualitative research, we do not
neglect important methodological nuances and details that can affect the quality of a project.
The motivation for this guide is our belief that focusing on the mechanics of systematic data col-
lection and management will help to prepare data collectors well for the rigors and inevitable
challenges of applied research in developing countries. In turn, well-trained data collectors will
be better equipped to execute research protocols smoothly – to the extent that real-life circum-
stances allow – and ultimately produce a data set of superior quality.
The guide is divided into five modules covering the following topics:
Module 1 – Qualitative Research Methods Overview
Module 2 – Participant Observation
Module 3 – In-Depth Interviews
Module 4 – Focus Groups
Module 5 – Data Documentation and Management

vi Qualitative Research Methods: A Data Collector’s Field Guide

This modular design is meant to make it easy for readers to find information about a particular
topic quickly. Each of the three modules on specific qualitative research methods contains an
overview of the method being discussed, relevant ethical guidelines, step-by-step instructions,
examples from a fictitious case study, checklists, and suggestions for further reading. In the inter-
est of keeping each module self-contained, information applicable to more than one method is
repeated in each relevant module. Much of the information is presented in a question-and-answer
format, which is intended to anticipate questions that people new to qualitative research might
have. In addition, throughout the guide, we provide examples from real or hypothetical research
studies to illustrate concepts, methods, and other issues discussed.
The guide’s appendices contain materials of interest to trainers and team leaders, including train-
ing exercises. An appendix focusing on data management, which is often an overwhelming task in
multisite and team-based projects, represents an effort to make this task less intimidating.
Intended for data managers, it includes tools and suggestions for data management procedures.
Finally, a glossary of terms frequently used in qualitative research appears at the end of the guide.

How to use this field guide
As noted, the primary audience for this guide is field staff. We want field staff, whether experi-
enced or novice, to have at their fingertips all the information they need to be able to go out and
collect data. Although it is our intention that individuals who have read this guide will be better
prepared to collect qualitative data effectively using the methods described, we do not claim that
use of the guide will make you an expert in qualitative research.
We recommend that field staff read the Qualitative Research Methods Overview module, page 1,
first, in order to gain a comprehensive understanding of the kind of information that qualitative
research methods can obtain. However, the modules on specific methods may be read in any
order. As noted, they are self-contained and can stand alone as complete guides to the method.
There is a sample case study on page viii that is used as the basis for the examples within each
method module.
Although this guide is not constructed in the format of an educational curriculum per se, it is
intended for use as part of training workshops. Trainers can take advantage of its modular design
and cover only what is relevant to a specific project. In our experience, five days is sufficient to
cover the entire range of topics included in the guide. Nonetheless, we strongly recommend that
trainers allot additional time for role-play activities using actual study instruments and the exer-
cises included in the appendix.
For readers interested in a more comprehensive treatment of qualitative methods in public health
research, we have cross-referenced corresponding chapters from the companion Family Health
International volume, Qualitative Methods: A Field Guide for Applied Research in Sexual and
Reproductive Health (FHI, 2002). A commercially published version of the book, Qualitative
Methods in Public Health: A Field Guide for Applied Research (Jossey-Bass, 2005), is also
available. These resource books are an important supplement to this field guide, and vice versa.
Ideally, they should be consulted in tandem as qualitative research is carried out, so that this
guide’s focus on practical mechanics can be understood within the larger context of applied
qualitative research in international development and public health.

vii

This case study will be used throughout the modules to illustrate the various ways qualitative
research data may be recorded:
CASE STUDY

Study objective:
To assess the acceptability and feasibility of integrating HIV counseling and testing for
non-pregnant women of reproductive age into existing family planning (FP) services in
Capital City, Developing Country.
Background:
In Capital City, an estimated 12 percent of women of reproductive age (15 to 40) have HIV.
This is only an estimate because both women and men in this country are generally disin-
clined toward getting tested for HIV. This reluctance is due to social stigma and discrimina-
tion associated with being HIV infected. They are particularly opposed to getting tested at
the free clinic that was specifically set up for HIV/AIDS-related services five years ago.
Rumors spread quickly in this community, and people who are seen entering or leaving the
clinic are assumed to have HIV. For women this can be especially damaging, because their
husbands or families may abandon them. Therefore, the services offered at the HIV facility,
including antiretrovirals to help prevent mother-to-child transmission, are not being utilized.
In the 1980s, family planning carried heavy social stigma for women, but as a result of pub-
lic information campaigns, community outreach, and health interventions, stigma and dis-
crimination are no longer significant problems for women who wish to use family planning
methods. The rate of contraceptive prevalence is 41 percent.
Social and behavioral changes are clearly needed in this community to reduce stigma and
discrimination associated with HIV/AIDS, but such change can admittedly be slow to
occur. In the meantime, there are free – but little-used – HIV services available that could
reduce transmission rates from infected to non-infected adults and children, and increase
the quality of life for people who are infected. Encouraging greater utilization of these serv-
ices must necessarily start with increasing HIV counseling and testing among the general
at-risk population. Antenatal clinics would be an appropriate place for interventions targeted
at pregnant women. For women of reproductive age who are not pregnant, family planning
clinics might offer an opportunity for discreet HIV counseling and testing because they are
well utilized and have little associated stigma.
Therefore, in our study we will assess the acceptability and feasibility of integrating HIV
counseling and testing for non-pregnant women into existing family planning services.
Methods:
(1) Structured participant observation in 4 family planning clinics and the HIV/AIDS clinic.
(2) In-depth interviews with up to 10 family planning service providers, up to 5 providers
and staff members from the HIV/AIDS clinic, up to 10 community leaders, and up to 10
women of reproductive age who use family planning but have not had HIV testing.
(3) Focus groups with 8 to 10 non-pregnant women of reproductive age who use family plan-
ning and 8 to 10 non-pregnant women of reproductive age who do not use family planning.

viii Qualitative Research Methods: A Data Collector’s Field Guide

OVERVIEW

Module 1
Qualitative Research Methods Overview


Qualitative Research Methods Overview

OVERVIEW
T
his module introduces the fundamental elements of a qualitative approach to research, to
help you understand and become proficient in the qualitative methods discussed in subse-
quent modules. We recommend that you consult the suggested readings at the end of the
module for more in-depth treatment of the foundations of qualitative research.

This module covers the following topics:
• Introduction to Qualitative Research
• Comparing Qualitative and Quantitative Research
• Sampling in Qualitative Research
• Recruitment in Qualitative Research
• Ethical Guidelines in Qualitative Research
• Suggested Readings

Introduction to Qualitative Research
What is qualitative research?
Qualitative research is a type of scientific research. In general terms, scientific research consists
of an investigation that:
• seeks answers to a question
• systematically uses a predefined set of procedures to answer the question
• collects evidence
• produces findings that were not determined in advance
• produces findings that are applicable beyond the immediate boundaries of the study

Qualitative research shares these characteristics. Additionally, it seeks to understand a given
research problem or topic from the perspectives of the local population it involves. Qualitative
research is especially effective in obtaining culturally specific information about the values,
opinions, behaviors, and social contexts of particular populations.

What can we learn from qualitative research?
The strength of qualitative research is its ability to provide complex textual descriptions of how
people experience a given research issue. It provides information about the “human” side of an
issue – that is, the often contradictory behaviors, beliefs, opinions, emotions, and relationships of
individuals. Qualitative methods are also effective in identifying intangible factors, such as social
norms, socioeconomic status, gender roles, ethnicity, and religion, whose role in the research

Overview 1

issue may not be readily apparent. When used along with quantitative methods, qualitative
research can help us to interpret and better understand the complex reality of a given situation
and the implications of quantitative data.

Although findings from qualitative data can often be extended to people with characteristics sim-
ilar to those in the study population, gaining a rich and complex understanding of a specific
social context or phenomenon typically takes precedence over eliciting data that can be general-
ized to other geographical areas or populations. In this sense, qualitative research differs slightly
from scientific research in general.

What are some qualitative research methods?
The three most common qualitative methods, explained in detail in their respective modules, are
participant observation, in-depth interviews, and focus groups. Each method is particularly suited
for obtaining a specific type of data.

• Participant observation is appropriate for collecting data on naturally occurring behaviors in
their usual contexts.
• In-depth interviews are optimal for collecting data on individuals’ personal histories, per-
spectives, and experiences, particularly when sensitive topics are being explored.
• Focus groups are effective in eliciting data on the cultural norms of a group and in generat-
ing broad overviews of issues of concern to the cultural groups or subgroups represented.

What forms do qualitative data take?
The types of data these three methods generate are field notes, audio (and sometimes video)
recordings, and transcripts.

Comparing Quantitative and Qualitative Research
What are the basic differences between quantitative and qualitative research
methods?
Quantitative and qualitative research methods differ primarily in:
• their analytical objectives
• the types of questions they pose
• the types of data collection instruments they use
• the forms of data they produce
• the degree of flexibility built into study design

Table 1, page 3, briefly outlines these major differences. For a more in-depth theoretical treat-
ment of the differences between qualitative and quantitative research, we refer the reader to the
suggested readings listed at the end of this chapter, especially Bernard 1995.

2 Qualitative Research Methods: A Data Collector’s Field Guide

Table 1. Comparison of quantitative and qualitative research approaches

OVERVIEW
Quantitative Qualitative
General framework Seek to confirm hypotheses about Seek to explore phenomena
phenomena

Instruments use more rigid style Instruments use more flexible,
of eliciting and categorizing iterative style of eliciting and
responses to questions categorizing responses to questions

Use highly structured methods Use semi-structured methods such
such as questionnaires, surveys, as in-depth interviews, focus
and structured observation groups, and participant observation

Analytical objectives To quantify variation To describe variation

To predict causal relationships To describe and explain relationships

To describe characteristics of a To describe individual experiences
population
To describe group norms

Question format Closed-ended Open-ended

Data format Numerical (obtained by assigning Textual (obtained from audiotapes,
numerical values to responses) videotapes, and field notes)

Flexibility in study design Study design is stable from Some aspects of the study are
beginning to end flexible (for example, the addition,
exclusion, or wording of particular
interview questions)

Participant responses do not Participant responses affect how
influence or determine how and and which questions researchers
which questions researchers ask ask next
next

Study design is subject to Study design is iterative, that is,
statistical assumptions and data collection and research
conditions questions are adjusted according
to what is learned

What is the most important difference between quantitative and qualitative methods?
The key difference between quantitative and qualitative methods is their flexibility. Generally,
quantitative methods are fairly inflexible. With quantitative methods such as surveys and ques-
tionnaires, for example, researchers ask all participants identical questions in the same order. The
response categories from which participants may choose are “closed-ended” or fixed. The advan-
tage of this inflexibility is that it allows for meaningful comparison of responses across partici-
pants and study sites. However, it requires a thorough understanding of the important questions
to ask, the best way to ask them, and the range of possible responses.

Overview 3

Qualitative methods are typically more flexible – that is, they allow greater spontaneity and
adaptation of the interaction between the researcher and the study participant. For example, qual-
itative methods ask mostly “open-ended” questions that are not necessarily worded in exactly the
same way with each participant. With open-ended questions, participants are free to respond in
their own words, and these responses tend to be more complex than simply “yes” or “no.”

In addition, with qualitative methods, the relationship between the researcher and the participant
is often less formal than in quantitative research. Participants have the opportunity to respond
more elaborately and in greater detail than is typically the case with quantitative methods. In
turn, researchers have the opportunity to respond immediately to what participants say by tailor-
ing subsequent questions to information the participant has provided.

It is important to note, however, that there is a range of flexibility among methods used in both
quantitative and qualitative research and that flexibility is not an indication of how scientifically
rigorous a method is. Rather, the degree of flexibility reflects the kind of understanding of the
problem that is being pursued using the method.

What are the advantages of qualitative methods for exploratory research?
One advantage of qualitative methods in exploratory research is that use of open-ended questions
and probing gives participants the opportunity to respond in their own words, rather than forcing
them to choose from fixed responses, as quantitative methods do. Open-ended questions have the
ability to evoke responses that are:
• meaningful and culturally salient to the participant
• unanticipated by the researcher
• rich and explanatory in nature

Another advantage of qualitative methods is that they allow the researcher the flexibility to probe
initial participant responses – that is, to ask why or how. The researcher must listen carefully to
what participants say, engage with them according to their individual personalities and styles,
and use “probes” to encourage them to elaborate on their answers. (See the modules on In-Depth
Interviews and Focus Groups, pages 42-43 and 64-65 respectively, for discussions of probes.)

Is my quantitative experience applicable to qualitative research?
Although the objectives of quantitative and qualitative research are not mutually exclusive, their
approaches to deciphering the world involve distinct research techniques and thus separate skill
sets. This guide is intended to train researchers in the skill set required for qualitative research.
Experience in quantitative methods is not required, but neither is it a disadvantage. Essential for
our purposes, rather, is that all qualitative data collectors have a clear understanding of the differ-
ences between qualitative and quantitative research, in order to avoid confusing qualitative and
quantitative techniques. Whatever a researcher’s experience in either approach, a general grasp of
the premises and objectives motivating each helps develop and improve competence in the quali-
tative data collection techniques detailed in this guide.


Sampling in Qualitative Research

OVERVIEW
Even if it were possible, it is not necessary to collect data from everyone in a community in
order to get valid findings. In qualitative research, only a sample (that is, a subset) of a popula-
tion is selected for any given study. The study’s research objectives and the characteristics of the
study population (such as size and diversity) determine which and how many people to select. In
this section, we briefly describe three of the most common sampling methods used in qualitative
research: purposive sampling, quota sampling, and snowball sampling. As data collectors, you
will not be responsible for selecting the sampling method. The explanations below are meant to
help you understand the reasons for using each method.

What is purposive sampling?
Purposive sampling, one of the most common sampling strategies, groups participants according
to preselected criteria relevant to a particular research question (for example, HIV-positive women
in Capital City). Sample sizes, which may or may not be fixed prior to data collection, depend on
the resources and time available, as well as the study’s objectives. Purposive sample sizes are
often determined on the basis of theoretical saturation (the point in data collection when new data
no longer bring additional insights to the research questions). Purposive sampling is therefore
most successful when data review and analysis are done in conjunction with data collection.

What is quota sampling?
Quota sampling, sometimes considered a type of purposive sampling, is also common. In quota
sampling, we decide while designing the study how many people with which characteristics to
include as participants. Characteristics might include age, place of residence, gender, class, pro-
fession, marital status, use of a particular contraceptive method, HIV status, etc. The criteria we
choose allow us to focus on people we think would be most likely to experience, know about, or
have insights into the research topic. Then we go into the community and – using recruitment
strategies appropriate to the location, culture, and study population – find people who fit these
criteria, until we meet the prescribed quotas. (See the section in this module on Recruitment in
Qualitative Research, page 6.)

How do purposive and quota sampling differ?
Purposive and quota sampling are similar in that they both seek to identify participants based on
selected criteria. However, quota sampling is more specific with respect to sizes and proportions
of subsamples, with subgroups chosen to reflect corresponding proportions in the population. If,
for example, gender is a variable of interest in how people experience HIV infection, a quota
sample would seek an equal balance of HIV-positive men and HIV-positive women in a given
city, assuming a 1:1 gender ratio in the population. Studies employ purposive rather than quota
sampling when the number of participants is more of a target than a steadfast requirement – that
is, an approximate rather than a strict quota.

What is snowball sampling?
A third type of sampling, snowballing – also known as chain referral sampling – is considered a type
of purposive sampling. In this method, participants or informants with whom contact has already
been made use their social networks to refer the researcher to other people who could potentially

Overview 5

participate in or contribute to the study. Snowball sampling is often used to find and recruit “hidden
populations,” that is, groups not easily accessible to researchers through other sampling strategies.

Recruitment in Qualitative Research
A recruitment strategy is a project-specific plan for identifying and enrolling people to partici-
pate in a research study. The plan should specify criteria for screening potential participants, the
number of people to be recruited, the location, and the approach to be used. In this section, we
address some of the questions that may come up during the recruitment of participants.

How are recruitment strategies decided?
Ideally, the local principal investigator and qualitative research
team members work together, in close consultation with com-
munity leaders and gatekeepers (that is, community members in
positions of official or unofficial authority), to develop a plan to
identify and recruit potential participants for each site.
Recruitment strategies are determined by the type and number
of data collection activities in the study and by the characteris-
tics of the study population. They are typically flexible and can
be modified if new topics, research questions, or subpopulations
emerge as important to the study, or if initial strategies do not
result in the desired number of recruits. The criteria for selec-
tion can also be changed if certain data collection activities or
subpopulations of people prove not to be useful in answering the research questions, as discussed
in greater detail below.

What if we disagree with recommendations from local leaders’?
It is important for the research team to be respectful of and responsive to the guidance and
advice of local experts and community leaders. Remember that they have had more opportunity
to establish rapport with the local community and they will also have to maintain that rapport
after the study is complete. Remember also that community members may hold community lead-
ers and local organizations accountable for any misunderstandings or other problems resulting
from the behavior of the field staff.

What should we say to people when we try to recruit them?
Each research team develops guidelines for the introductory comments staff make to potential
participants at each site. These guidelines need to be sensitive to the social and cultural contexts
from which participants will be recruited. They should also reflect the researchers’ awareness
that willingness to participate in an interview or focus group will depend on how well the partici-
pants understand what the study is about, what will be expected of them if they participate, and
how their privacy will be respected.

In developing recruitment guidelines, it is important to take special care to avoid saying anything
that could be interpreted as coercive. The voluntary nature of participation in research studies
should always be emphasized.


Can we recruit people who are legally under the care of a parent or guardian?

OVERVIEW
Yes, you may recruit minors, but in most cases you must obtain informed consent (discussed in
detail in this module’s section on Ethical Guidelines in Qualitative Research, page 9) from the
parent or guardian, as well as from the potential participant. Exceptions to the parental consent
requirement include pregnant adolescents and homeless minors, but you should always consult the
guidelines of the relevant ethics review boards before proceeding with recruitment. Moreover,
recruitment of minors must be specifically approved by all relevant ethics review boards. Because
they are considered a vulnerable population, recruiting minors for research studies is a highly sen-
sitive issue, and extra measures are required to ensure their protection.

Do we always need to obtain informed consent? If so, oral or written?
The ethics committee that reviews and approves the study protocol determines whether informed
consent needs to be obtained for each data collection activity. Typically, formal informed consent
is necessary for all qualitative research methods except participant observation, regardless of the
sampling method used to identify potential participants and the strategies used to recruit them.
Whether this informed consent is oral or written depends on a number of project-specific factors
and ultimately upon approval by the ethics committee. During recruitment, obtaining informed
consent for qualitative research involves clearly explaining the project to potential study partici-
pants. (See the section in this module on Ethical Guidelines in Qualitative Research, page 9, for
more on informed consent.)

What if the recruitment strategy is not working?
After data collection is under way, the local principal investigator and field staff may find that
the recruitment strategy is not working as well as anticipated. Because qualitative research is an
iterative process, it is permissible to change the recruitment strategy, as long as the proper
approvals are obtained.

For example, it may be necessary to develop a new recruitment strategy because following the
original plan has resulted in inadequate enrollment or because researchers determine that they
need participants who meet a different set of criteria. After meeting to discuss alternatives, the
research team should write down reasons why the strategy was not working or needs to be
changed and outline how they would like to change it.

Proposed changes in the recruitment strategy must be submitted to the sponsoring organization,
and some will require submission of a protocol amendment for approval by the ethics committees
that initially approved the research. If new criteria for participation are proposed, for instance,
they must be approved by relevant ethics committees before the new phase of recruitment can
begin. Similarly, increasing the number of recruits would also require ethics committee approval.

Because of the limited time frame for data collection, it is important that the field staff work
closely with the site principal investigator and community gatekeepers to identify and recruit the
new set of research participants.

Overview 7

Ethical Guidelines in Qualitative Research
This section briefly summarizes ethical issues relevant to qualitative research. It is intended to
provide a context for discussion in subsequent modules of procedures for safeguarding research
participants’ interests. Qualitative researchers, like anyone conducting research with people,
should undergo formal research ethics training. The material presented here is not a substitute for
training on research ethics. A list of ethics training resources is included on page 12.

Research ethics deals primarily with the interaction between researchers and the people they
study. Professional ethics deals with additional issues such as collaborative relationships among
researchers, mentoring relationships, intellectual property, fabrication of data, and plagiarism,
among others. While we do not explicitly discuss professional ethics here, they are obviously as
important for qualitative research as for any other endeavor. Most professional organizations,
such as the American Anthropological Association, the Society for Applied Anthropology, the
American Sociological Association, and the American Public Health Association, have developed
broad statements of professional ethics that are easily accessible via the Internet.

Why is research ethics important in qualitative research?
The history and development of international research ethics guidance is strongly reflective of
abuses and mistakes made in the course of biomedical research. This has led some qualitative
researchers to conclude that their research is unlikely to benefit from such guidance or even that
they are not at risk of perpetrating abuses or making mistakes of real consequence for the people
they study. Conversely, biomedical and public health researchers who use qualitative approaches
without having the benefit of formal training in the social sciences may attempt to rigidly enforce
bioethics practices without considering whether they are appropriate for qualitative research.

Between these two extremes lies a balanced approach founded on established principles for ethical
research that are appropriately interpreted for and applied to the qualitative research context.
Agreed-upon standards for research ethics help ensure that as researchers we explicitly consider the
needs and concerns of the people we study, that appropriate oversight for the conduct of research
takes place, and that a basis for trust is established between researchers and study participants.

Whenever we conduct research on people, the well-being of research participants must be our
top priority. The research question is always of secondary importance. This means that if a
choice must be made between doing harm to a participant and doing harm to the research, it is
the research that is sacrificed. Fortunately, choices of that magnitude rarely need to be made in
qualitative research! But the principle must not be dismissed as irrelevant, or we can find our-
selves making decisions that eventually bring us to the point where our work threatens to disrupt
the lives of the people we are researching.


What are the fundamental research ethics principles?
Three core principles, originally articulated in The Belmont Report,1 form the universally accepted

OVERVIEW
basis for research ethics.

Respect for persons requires a commitment to ensuring the autonomy of research participants,
and, where autonomy may be diminished, to protect people from exploitation of their vulnerabil-
ity. The dignity of all research participants must be respected. Adherence to this principle ensures
that people will not be used simply as a means to achieve research objectives.

Beneficence requires a commitment to minimizing the risks associated with research, including
psychological and social risks, and maximizing the benefits that accrue to research participants.
Researchers must articulate specific ways this will be achieved.

Justice requires a commitment to ensuring a fair distribution of the risks and benefits resulting
from research. Those who take on the burdens of research participation should share in the bene-
fits of the knowledge gained. Or, to put it another way, the people who are expected to benefit
from the knowledge should be the ones who are asked to participate.

In addition to these established principles, some bioethicists have suggested that a fourth princi-
ple, respect for communities, should be added. Respect for communities “confers on the
researcher an obligation to respect the values and interests of the community in research and,
wherever possible, to protect the community from harm.”2 We believe that this principle is, in
fact, fundamental for research when community-wide knowledge, values, and relationships are
critical to research success and may in turn be affected by the research process or its outcomes.

What is informed consent?
Informed consent is a mechanism for ensuring that people understand what it means to partici-
pate in a particular research study so they can decide in a conscious, deliberate way whether they
want to participate. Informed consent is one of the most important tools for ensuring respect for
persons during research.

Many people think of informed consent primarily as a form, that is, a piece of paper that
describes in detail what the research is about, including the risks and benefits. This form gener-
ally goes through ethics committee approval procedures, includes legalistic language, and is
signed by the participant, the researcher, and possibly a witness. Such informed consent forms
are appropriate for biomedical and other research – including qualitative – when the risks faced
by participants may be substantial. They may also be necessary for minimal risk research when
the foundation for trust between researchers and participants is weak.

1 National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. The Belmont
Report. Ethical Principles and Guidelines for the Protection of Human Subjects of Research. Washington, DC:
National Institutes of Health, 1979. Available: http://ohsr.od.nih.gov/guidelines/belmont.html.

2 Weijer C, Goldsand G, Emanuel EJ. Protecting communities in research: current guidelines and limits of extrapolation.
Nature Genetics 1999;23(3):275-80.

Overview 9

But forms are really only one part of an informed consent process. In some cases, forms may not
be the best way to ensure informed consent. There are also situations where obtaining informed
consent from individual participants may not be feasible or necessary. For example, a researcher
using participant observation to learn about how transactions occur in a public market would find
it very hard to get everyone observed in that setting to sign a consent form and would probably
create unwarranted suspicion about her motives in the process of seeking such consent. Yet if
people see a stranger hanging around, watching, asking questions, and perhaps taking discreet
notes, they may be even more suspicious about why she is there. In these situations, qualitative
researchers must use other mechanisms to achieve the goal of informed consent.

How do we achieve informed consent for qualitative research?
In general, informed consent procedures are based on national and international research ethics
guidelines; a review of such guidance is an important part of ethics training. Research organiza-
tions and ethics committees often have their own specific guidelines as well.

The first task in achieving informed consent is to inform people about the research in a way they
can understand. This can be a multistep process. For example, you may begin by approaching
community leaders and explaining the research to them. The leaders may then facilitate a com-
munity forum where interested people can learn about the research and ask questions. You might
distribute information sheets, advertisements, or brochures, or try to get local newspapers or
radio stations to do a report on the research. A community advisory board might be set up. Or
the researchers might spend a week or two just talking with people one-on-one. If the researchers
will be spending a lot of time in the community setting, or if the research is potentially contro-
versial or sensitive, such efforts can go a long way toward gaining trust as well as understanding.
In some situations, it may be necessary to obtain formal permission from community leaders or
gatekeepers before research can begin.

In general, data collection activities that require more than casual interaction with a person
require individual informed consent from that person, regardless of whether community-level
permissions exist. Examples of such activities include in-depth interviews and focus groups. The
person should be told:
• the purpose of the research
• what is expected of a research participant, including the amount of time likely to be required
for participation
• expected risks and benefits, including psychological and social
• the fact that participation is voluntary and that one can withdraw at any time with no nega-
tive repercussions
• how confidentiality will be protected
• the name and contact information of the local lead investigator to be contacted for questions
or problems related to the research
• the name and contact information of an appropriate person to contact with questions about
one’s rights as a research participant (usually the chair of the local ethics committee oversee-
ing the research)


All this information must be provided in a language and at an educational level that the partici-
pant can understand. Potential participants must be competent to make a decision about being in

OVERVIEW
the research, and free from coercion or undue inducement to participate by researchers or others.

Individual informed consent may be written or oral.
• Written consent means that a person receives a written form
that describes the research and then signs that form to docu-
ment his or her consent to participate. For illiterate partici-
pants, the form is read to them, they make some kind of mark
in place of a signature, and then a witness usually signs as tes-
timony that the consent is authentic. Written informed consent
may also be described as documented informed consent.
• Oral consent means that a person receives all of the information
needed for consent either verbally or in writing and then ver-
bally consents to participate. The participant does not sign a
consent form; therefore, this is often described as waiving the
requirement for documentation of informed consent. This does
not mean that the requirement for informed consent is waived.
Most ethics committees require the researchers to maintain
accurate records of how and when consent was obtained for
each participant. Oral consent is generally acceptable for
research with minimal risk, or where a loss of confidentiality is the primary risk and a signed
consent form would be the only piece of identifying information for study participation.

How do we protect confidentiality?
Because qualitative research is conversational, it is important for data collectors to maintain clear
boundaries between what they are told by participants and what they tell to participants. Conversation
is a social act that requires give and take. As qualitative researchers we “take” a lot of information
from participants and therefore can feel a strong need to “give” similar information in return. People
also enjoy talking about what they hear and learn – and researchers are no different. It may be tempt-
ing to pass along seemingly inconsequential information from one participant to another – for exam-
ple, a funny statement or some news that appears to be common knowledge. Don’t do it! People can
become upset and untrusting about even seemingly trivial comments being shared, especially if they
have divulged very personal information and grow concerned that you will divulge more.

Strategies for protecting confidentiality are described throughout in each of the method modules.
But some situations will require unique strategies. The ways in which confidentiality might be
breached should be carefully considered before data collection begins and explicit strategies be
put in place for protection.

How do I get research ethics training and certification?
We strongly recommend that all staff associated with qualitative research undergo ethics training
and obtain ethics certification before field work and data collection begin. In addition to data col-
lectors, this includes anyone who will have direct contact with participants – such as drivers and

Overview 11

receptionists – or with the data – such as typists, transcribers, translators, and data managers.
Research ethics training courses are available on-line from a number of organizations, including
Family Health International (http://www.fhi.org/training/en/RETC), the U.S. National Institutes
of Health (http://cme.nci.nih.gov), and the University of California, Los Angeles (http://training.
arc.ucla.edu). These courses do not focus specifically on qualitative research issues, but they
provide a valuable foundation for understanding ethical issues important for all research.

Many ethics courses include mechanisms for obtaining a certificate of completion. A copy of this
certificate may be required by the organization sponsoring the research.

Suggested Readings
Bernard HR. Research Methods in Anthropology, Second Edition. London: Sage Publications, 1995.

Denzin NK, Lincoln YS (eds.). Handbook of Qualitative Research. London: Sage Publications, 2000.

Marshall PA. Human subjects protections, institutional review boards, and cultural anthropologi-
cal research. Anthropol Q 2003;76(2):269-85.

National Commission for the Protection of Human Subjects of Biomedical and Behavioral
Research. The Belmont Report. Ethical Principles and Guidelines for the Protection of Human
Subjects of Research. Washington, DC: National Institutes of Health, 1979. Available: http://
ohsr.od.nih.gov/guidelines/belmont.html.

Nkwi P, Nyamongo I, Ryan G. Field Research into Social Issues: Methodological Guidelines.
Washington, DC: UNESCO, 2001.

Pelto P, Pelto G. Studying knowledge, culture and behavior in applied medical anthropology.
Med Anthropol Q 1997;11(2):147-63.

Pope C, Mays N. Qualitative Research in Health Care. London: BMJ Books, 2000.

Schensul, J, LeCompte M. Ethnographer’s Toolkit. Walnut Creek, CA: Altamira Press, 1999.

For additional information on this topic, refer to Chapter 1: Invitation to Explore, Chapter 3: Designing
the Study, Chapter 4: Collecting Qualitative Data: The Science and the Art, Chapter 5: Logistics in the
Field, and Appendix 2: Examples of Oral Consent Forms in these companion guides:
Qualitative Methods in Public Health: A Field Guide for Applied Research
Qualitative Methods: A Field Guide for Applied Research in Sexual and Reproductive Health



Module 2

PARTICIPANT OBSERVATION
Participant Observation



W
hat people say they believe and say that they do are often contradicted by their behavior.
A large body of scientific literature documenting this disparity exists, and we can all

likely summon examples from our own lives. Given the frequency of this very human
inconsistency, observation can be a powerful check against what people report about themselves
during interviews and focus groups.

This module presents the basics of conducting participant observation in applied research projects:
• Overview of Participant Observation
• Ethical Guidelines
• Logistics of Participant Observation
• How to Be an Effective Participant Observer
• Case Study Samples
• Participant Observation Steps

Overview of Participant Observation
What is participant observation?
Participant observation is a qualitative method with roots in traditional ethnographic research,
whose objective is to help researchers learn the perspectives held by study populations. As quali-
tative researchers, we presume that there will be multiple perspectives within any given commu-
nity. We are interested both in knowing what those diverse perspectives are and in understanding
the interplay among them.

Qualitative researchers accomplish this through observation alone or by both observing and par-
ticipating, to varying degrees, in the study community’s daily activities. Participant observation
always takes place in community settings, in locations believed to have some relevance to the
research questions. The method is distinctive because the researcher approaches participants in
their own environment rather than having the participants come to the researcher. Generally
speaking, the researcher engaged in participant observation tries to learn what life is like for an
“insider” while remaining, inevitably, an “outsider.”

While in these community settings, researchers make careful, objective notes about what they
see, recording all accounts and observations as field notes in a field notebook. Informal conversa-
tion and interaction with members of the study population are also important components of the
method and should be recorded in the field notes, in as much detail as possible. Information and
messages communicated through mass media such as radio or television may also be pertinent
and thus desirable to document.

Participant Observation 13

What can we learn from participant observation?
Data obtained through participant observation serve as a check against participants’ subjective
reporting of what they believe and do. Participant observation is also useful for gaining an under-
standing of the physical, social, cultural, and economic contexts in which study participants live;
the relationships among and between people, contexts, ideas, norms, and events; and people’s
behaviors and activities – what they do, how frequently, and with whom.

In addition, the method enables researchers to develop a familiarity with the cultural milieu that
will prove invaluable throughout the project. It gives them a nuanced understanding of context
that can come only from personal experience. There is
no substitute for witnessing or participating in phe-
Participant observation in action
nomena of human interaction – interaction with other
In the early 1990s, sharing needles during
injection drug use was a known risk factor for people, with places, with things, and with states of
HIV acquisition in the United States. After being such as age and health status. Observing and
educational campaigns informed injection drug participating are integral to understanding the breadth
users about the importance of using clean and complexities of the human experience – an over-
needles, surveys indicated that needle-sharing
had declined. High rates of HIV transmission
arching research endeavor for any public health or
persisted among this population, however. development project.

An anthropologist’s observation of heroin users Through participant observation, researchers can also
in one state confirmed that users were not uncover factors important for a thorough understand-
sharing needles. In observing the preparation
ing of the research problem but that were unknown
process leading up to injection, however, the
anthropologist noticed numerous opportunities when the study was designed. This is the great advan-
for cross-contamination of the instruments tage of the method because, although we may get
shared in cooking and distributing the heroin truthful answers to the research questions we ask, we
(such as cooking pots, cotton, and needles) and may not always ask the right questions. Thus, what
of the liquid heroin itself. Discovery of this
phenomenon through participant observation
we learn from participant observation can help us not
constituted an important contribution to only to understand data collected through other meth-
understanding injection drug use behavior as ods (such as interviews, focus groups, and quantitative
related to HIV acquisition. The phenomenon research methods), but also to design questions for
itself is now known as “indirect sharing.”
those methods that will give us the best understanding
of the phenomenon being studied.

What are the disadvantages of participant observation?
The main disadvantage of participant observation is that it is time-consuming. In traditional
ethnographic research, researchers spend at least one year in the field site collecting data through
participant observation and other methods. This is not practical for most applied research studies,
which necessarily require a shorter period of data collection. This weakness is partially mitigated
in most current international development projects by the tendency for the inquiry to be more
focused than in traditional ethnographic study and for the data collection team to include
researchers who are native rather than foreign to the region. Researchers who already possess a
solid base of cultural awareness are better able to concentrate on the research question itself.

A second disadvantage of participant observation is the difficulty of documenting the data – it is
hard to write down everything that is important while you are in the act of participating and
observing. As the researcher, you must therefore rely on your memory and on your own personal


discipline to write down and expand your
More objective: observations as soon and as completely as pos-
The waiting room of the antenatal clinic was sible. It is easy to tell yourself that you will do
empty except for one girl who looked to be this task later, but, because memory fades
approximately 5 to 8 years old. She was sitting in
the corner behind a chair. She peeked out from quickly, postponing the expansion of notes can
behind it and looked at us when we entered the lead to loss or inaccurate recording of data.
room talking. Her nose was running and her eyes The quality of the data therefore depends on
were red and swollen. the diligence of the researcher, rather than on
More subjective: technology such as tape recorders.

The waiting room of the antenatal clinic was
deserted except for a young girl who had been A third disadvantage of participant observation
abandoned there by her mother. She had been is that it is an inherently subjective exercise,
wedged into the corner behind a chair so she
wouldn't wander off. She glared at us because
whereas research requires objectivity. It is
we were making so much noise. She had probably therefore important to understand the differ-
been crying for a long time. ence between reporting or describing what you
observe (more objective) versus interpreting
what you see (less objective). Filtering out
personal biases may take some practice. One way to practice is to write down objective observa-
tions of a given event on one side of a page, and then offer more subjective interpretations of the
same event on the other side of the page, as illustrated in the box at left. Alternately, in team-
based research, field staff can review one another’s field notes and help identify objective versus
subjective observations. Table 2 below summarizes the strengths and weaknesses of participant
observation in qualitative research.

Table 2. Strengths and weaknesses of participant observation

Strengths Weaknesses
Allows for insight into contexts, relationships, Time-consuming
behavior
Documentation relies on memory, personal
Can provide information previously unknown to discipline, and diligence of researcher
researchers that is crucial for project design, data
collection, and interpretation of other data Requires conscious effort at objectivity because
method is inherently subjective

What form do participant observation data take?
In large part, participant observation data consist of the detailed field notes that the researcher
records in a field notebook. Although typically textual, such data may also include maps and
other diagrams, such as kinship or organizational charts. Occasionally, participant observation
may involve quantification of something and, as a result, produce numerical data. For example,
the researcher could count the number of people who enter a particular space and engage in a
particular activity during a specified segment of time. Textual notes are entered into computer
files, and data of all forms are analyzed and consulted on a regular basis throughout the study, as
discussed elsewhere in this module. (See the Case Study Sample Field Notes, page 26.)


How are participant observation data used?
In applied research, as in traditional ethnography, participant observation is almost always used
with other qualitative methods, such as interviews and focus groups. It is an integral part of the
iterative research process – that is, the back-and-forth revising and refining – in several ways:

At the beginning stages of a research project, participant observation is used to facilitate and
develop positive relationships among researchers and key informants, stakeholders, and gate-
keepers, whose assistance and approval are needed for
the study to become a reality. These relationships are
Using participant observation to develop essential to the logistics of setting up the study,
interview questions
including gaining permission from appropriate offi-
In a research study on HIV transmission, a cials, and identifying and gaining access to potential
researcher may observe that some men who
approach women in a particular social setting are study participants.
transient truck drivers, whereas others are local
residents. Previously, researchers may not have Researchers also use data collected through participant
known that women had sexual relationships with observation to improve the design of other methods,
men who lived outside the community.This such as interviews and focus groups. For instance, they
information could be used to develop more
meaningful questions for interview guides. For
help to ensure the cultural relevance and appropriate-
example, researchers might now ask whether it is ness of interview and focus group questions.
more or less difficult for women to negotiate
condom use with truck drivers than with men who Participant observation data are invaluable in deter-
live in the community on a more permanent basis. mining whom to recruit for the study and how best to
recruit them.

When acting as interviewers or focus group facilitators, researchers are guided by the cultural
understanding gained through participant observation, allowing them to discern subtleties within
participant responses. Knowing what these culturally specific cues mean allows the researcher to
ask more appropriate follow-up questions and probes.

Participant observation data also provide a context for understanding data collected through other
methods. In other words, they help researchers make sense of those other data. Participant obser-
vation may be done prior to other data collection, as well as simultaneously with other methods
and during data analysis. For example, researchers might follow up on mention of a neighbor-
hood with a high immigrant population by going there to do structured observation. Or, they
might consult previously collected data that detail interactions between men and women in a
public space, in order to shed light on a cryptic male focus group discussion about how men
meet extramarital sex partners. Frequent consultation of participant observation data throughout a
study can inform instrument design, save time, and prevent mistakes.

Ethical Guidelines
How much should I disclose about who I am and what I am doing?
When conducting participant observation, you should be discreet enough about who you are
and what you are doing that you do not disrupt normal activity, yet open enough that the people
you observe and interact with do not feel that your presence compromises their privacy. In


many situations, there is no reason to announce your arrival at the scene; in many others, how-
ever, it is essential that you openly state your identity and purpose. You should always alert rel-
evant gatekeepers (community members in positions of official or unofficial authority) as to
your presence and purpose. You should never be secretive or deliberately misleading about the
research project or your role in it. If someone asks directly what you are doing, always provide
a truthful response, using your judgment to gauge how exactly to handle a given situation. Be
open, polite, and cognizant of your position as a guest or outsider.

There are no formal rules about disclosing your involvement in a research project while in casual

conversation with community members, but it is usually advisable to do so. If you are at a bar,
for example, you might spend a significant amount of time chatting with other people there. If
someone begins talking to you about a topic related to the research, you might still continue to
talk casually for a while. If it gets to the point where you want to ask specific questions and
direct the conversation, however, then you should reveal your mission. Also, do not neglect to
inform the person or persons of their right to refuse further discussion and of your commitment
to confidentiality if they decide to continue talking with you.

How do I maintain confidentiality during participant observation?
As with all qualitative methods, researchers involved in participant observation must make a per-
sonal commitment to protect the identities of the people they observe or with whom they inter-
act, even if informally. Maintaining confidentiality means ensuring that particular individuals can
never be linked to the data they provide. This means that you must not record identifying infor-
mation such as names and addresses of people you meet during participant observation. If it
becomes necessary to get such information – for example, if the person wants you to telephone
him or invites you to his home or workplace – it should not be included in the field notes that are
entered into the computer. Similarly, it may be reasonable in some instances to record the names
and locations of establishments – if, for example, follow-up observation will be required. These
names and locations may be documented in field notes and shared with other research staff, but
they should be coded and eliminated upon entry of the field notes into the computer, with the
code list kept in a separate, secure computer file with limited access.

Sometimes, you may develop informal personal relationships with key informants. If that hap-
pens, be sure that no personal information they give you is ever included in the actual participant
observation data. If you are unsure whether information they provide is appropriate for your offi-
cial field notes, ask their permission.

Protecting participants’ confidentiality also requires that researchers do not disclose personal
characteristics that could allow others to guess the identities of people who played a role in the
research. This dictates that you take great care not only in entering participant observation data
into field notes but also when talking with other people in the community, whether for research
purposes or otherwise. People may test you to see whether you disclose information by asking
questions about things you may have seen or heard. Your refusal to divulge confidences will
reassure them that you will protect their confidentiality as well. Participant confidentiality must
also be respected during eventual presentation of the data in public dissemination events, as well
as in printed publications.


How should informed consent be handled for participant observation?
It is not necessary to obtain formal informed consent for participant observation. However, when
talking to people informally about the research and your role in it, it is important to emphasize that
they are not required to talk to you and that there will be no repercussions if they do not. If your
involvement with an individual appears to be progressing beyond participant observation to a for-
mal interview, it is necessary to obtain informed consent before beginning an in-depth interview.

Logistics of Participant Observation
What are my responsibilities as a participant observer?
Researchers conducting participant observation need to be prepared and willing to adapt to a
variety of uncontrolled situations and settings. How much you actively participate in activities
versus observe them depends on the objectives and design of the specific project, on the circum-
stances in which you find yourself, and on your ability to blend in with the study population.

Your specific responsibilities include:
• observing people as they engage in activities that would probably occur in much the same
way if you were not present
• engaging to some extent in the activities taking place, either in order to better understand the
local perspective or so as not to call attention to yourself
• interacting with people socially outside of a controlled research environment, such as at a
bar, public meeting place, bus depot, religious gathering, or market – if casual conversation
gives way to more substantive discussion of the research topic, you would need to disclose
your identity, affiliation, and purpose
• identifying and developing relationships with key informants, stakeholders, and gatekeepers

Is participant observation done individually or as a team?
Participant observation may be done individually, in pairs, and in teams – whichever arrangement is
most appropriate for covering the locations and topics at issue. Factors often considered in determin-
ing the appropriate arrangement include the age, gender, physical appearance, ethnicity, personality,
and linguistic abilities of different data collectors. The objective should be to gather data in the least
obtrusive and most efficient manner possible, in light of the specific population and context.

One way to do participant observation is for members of a team to disperse to different locations
individually, or in pairs or groups, to spend time doing focused observation to address particular
questions. They can then reconvene to compare notes. From these notes, they can construct a
more complete picture of the issues being studied. They might then create a map indicating
places where some activity of interest was observed or where certain types of people go at differ-
ent times of the day or week.

Where should I do participant observation?
Where you should go to do participant observation depends on the research goals. Generally, you
should try to go where people in the study population often go in their daily lives, and if appropriate,


engage in the activity of interest. A key informant could tell you where those places are. For exam-
ple, you might go where people in the study population seek medical care, socialize, eat, or shop.
You could visit places where high-risk sexual activities are negotiated, such as discotheques or bars.
Another option is to attend organized events such as religious services, municipal activities, and pub-
lic information sessions. In team-based research, data collectors could decide to distribute them-
selves among observation sites that best match their ages and genders.

When should I do participant observation?

Participant observation is often done at the beginning of the data collection phase, but the
method is also sometimes revisited later to address questions suggested by data collected using
other methods. The best time to schedule participant observation sessions depends on what,
whom, and where you need to observe. You may need to set up specific times based on when the
particular activity takes place, such as on the day a weekly women’s health clinic is scheduled at
a local health facility. There might be specific times of day when an activity usually occurs, as at
bars or public parks. It may also be important to observe the same population in several different
locations and at different times.

Less structured, unscheduled participant observation may occur any time you are moving about
the community and interacting with people. For example, you might talk to people at a bus stop
while you, too, are waiting for a bus, or observe interactions between people at a market while
you are doing your own shopping. You may wish to carry your notebook and a pen so that you
can take advantage of spontaneous opportunities without relying completely on memory.

How long does participant observation take?
The specific duration of participant observation depends on the setting, activity, and population
of interest. For example, the researcher might spend an hour, an afternoon, or a series of after-
noons in a particular setting.

What is the difference between observing and participating?
This module’s section on How to Be an Effective Participant Observer, page 22, includes
detailed discussion of both how to observe and how to participate in a community activity. The
basic difference between these two roles should be self-evident. In the first, you remain an “out-
sider” and simply observe and document the event or behavior being studied. In the second, you
take part in the activity while also documenting your observations.

It is best to have some questions in mind before beginning participant observation. These topics
and questions are typically provided for you or may be generated from team discussion about the
research objectives. Generally, it is best to focus directly on observing behaviors and other fac-
tors that are most relevant to the research problem. For example, you might be advised to focus
on the behaviors of male substance abusers, interactions between women and men, or the length
of time individuals spend at a certain place. It may be helpful to create a checklist to help you
remember what you are meant to observe. Table 3, page 20, suggests some general categories of
information that are worth observing regardless of the research topic. These include individuals’
general appearance, verbal and physical behaviors, personal space, human traffic at the observa-
tion site, and people who stand out.


Table 3. What to observe during participant observation

Category Includes Researchers should note
Appearance Clothing, age, gender, Anything that might indicate membership in
physical appearance groups or in sub-populations of interest to the
study, such as profession, social status,
socioeconomic class, religion, or ethnicity

Verbal behavior and Who speaks to whom and Gender, age, ethnicity, and profession of speakers;
interactions for how long; who initiates dynamics of interaction
interaction; languages or
dialects spoken; tone of
voice
Physical behavior and What people do, who does How people use their bodies and voices to
gestures what, who interacts with communicate different emotions; what individuals’
whom, who is not behaviors indicate about their feelings toward one
interacting another, their social rank, or their profession

Personal space How close people stand to What individuals’ preferences concerning personal
one another space suggest about their relationships

Human traffic People who enter, leave, and Where people enter and exit; how long they stay;
spend time at the who they are (ethnicity, age, gender); whether
observation site they are alone or accompanied; number of people

People who stand out Identification of people who The characteristics of these individuals; what
receive a lot of attention differentiates them from others; whether people
from others consult them or they approach other people;
whether they seem to be strangers or well known
by others present

The specifics of participating in a given community activity, compared to observing it, depend on
each project. However, effectively participating typically requires blending in, interacting with
people, and identifying individuals who may be good sources of information.

How do key informants figure into participant observation?
Another important aspect of participant observation is identifying key informants – local individu-
als who can directly provide important information about the community and thus help the
researcher more quickly understand the study population and cultural environment. Key inform-
ants can facilitate your access to particular resources, populations, organizations, gatekeepers, etc.,
and can help you make connections between phenomena that might not be obvious to an outsider.

Key informants with personal connections to the study population can be invaluable. They may
not be appropriate study participants themselves but may be willing to serve as liaisons to the
community. For example, in a study involving male homosexual adolescents, an older member of
the gay community could play a significant role in developing recruitment strategies by pointing
researchers to key social spaces where these adolescents spend time and by explaining relevant
social practices among them.


Researchers often find such individuals at a field site by chance. You might identify as a key
informant someone toward whom other people seem to migrate, for example. You could even be
approached by someone whose personality or social position makes him or her naturally inclined
to interpret and communicate key aspects of the culture to outsiders.

If you eventually want to interview a key informant formally, rather than converse informally in
a participant observation context, you need to follow procedures for conducting in-depth inter-
views, including obtaining informed consent. (See the module on In-Depth Interviews, page 29,
for more information.)

How do I document what I learn during participant observation?
Documentation of participant observation data consists of field notes recorded in field notebooks.
These data are records of what you experienced, what you learned through interaction with other
people, and what you observed. Field notes should include an account of events, how people
behaved and reacted, what was said in conversation, where people were positioned in relationship
to one another, their comings and goings, physical gestures, your subjective responses to what you
observed, and all other details and observations necessary to make the story of the participant
observation experience complete. Field notes may be written either discreetly during participant
observation or following the activity, depending on where you go and how much you participate.
Whatever the case, notes should be expanded as soon as possible before your memory of the details
fades. (This module’s section on How to Be an Effective Participant Observer, page 22, includes
more guidance for taking and expanding field notes. See also the Case Study Samples, page 26.)

You might also sketch a map of your observation site. You could indicate important establish-
ments and locations, mark where certain activities were taking place, and places where follow-up
observation is needed.

Audio and video recordings of participant observation are generally not permissible in applied
public health or international development research activities because of ethical requirements for
obtaining informed consent.

What should I do with my field notes?
As soon as possible after collecting participant observation data, you should expand whatever
notes you were able to make into a descriptive narrative. If you plan to do participant observation
late in the evening, make sure that you will have time the next morning to expand your notes.
(See the section in this module on How to Be an Effective Participant Observer, page 22. See
also the Case Study Samples, page 26.) Include as many details as possible. You will not have
been able to write down everything that transpired and that you observed, and maybe not any-
thing at all, if you were participating quite actively.

Alternatively, rather than expanding your notes, you might be asked to share your notes with other
members of the research team to produce a joint product, such as an ethnographic map of an area.

Once you have expanded your notes, either you or a typist hired for the project will need to type
your field notes into a computer file. The notebook and hard copy of the typed data should then be
stored in a secure location (along with maps and any other products of participant observation).


(See the module on Data Documentation and Management, page 83, for procedures related to
computer files and data security.)

When should I share my data with the research team?
Frequent sharing of data from participant observation among researchers helps the study team
to become familiar with the context and study population, to identify unanticipated but poten-
tial problems and issues related to carrying out the project successfully, and to adjust proce-
dures as necessary.

Team meetings typically take place throughout data collection but are more frequent at the
beginning of a project. At such meetings, be prepared to discuss what you have seen, raise ques-
tions about the meaning or implications of your observations, and suggest how your observations
might be followed up in interviews, focus groups, or in further observation. Also, discuss any
logistical or security concerns that emerge. The local principal investigator will also review par-
ticipant observation data to get a sense of how things are going in the field, identify areas that
may be over- or under-observed, and identify any other issues that need to be addressed. Be sure
to share with the principal investigator any nuances of your participant observation experience
that seem important.

How to Be an Effective Participant Observer
Participant observation data are only as good as researchers’ observations, descriptions, and
notes. Getting these data requires that participant observers be prepared, know how to gauge
their behavior, be objective, take good notes, and use the data throughout data collection activi-
ties, including those associated with other methods.

How do I prepare for participant observation?
First, know what the research is about. A thorough understanding of the study will help you stay
focused during participant observation. Once you have a clear idea of what the research is about,
you can determine specific objectives for the participant observation activity. It may be useful to
create a list of things to pay attention to, and either write it in your field notebook or keep it in your
pocket for quick reference. Note, however, that it is most important to keep your eyes open for sce-
narios you had not expected to encounter, which may suggest new directions for the research.

In preparing for the participant observation activity, it is useful to find out as much as you can
about the site where you will be participating or observing and about any activities in which you
might participate. If necessary, visit the scene and make initial observations before you set up
your official data collection time.

Also, take some time to rehearse how you will describe or explain yourself and your purpose, if
necessary. Similarly, establish in advance your own personal shorthand conventions – that is,
how you will indicate and abbreviate the words and concepts you are likely to use in your note-
taking. Know how you will separate your objective observations from your interpretations; how
you will indicate men, women, and children, and their ages; and so forth. (More information on
taking field notes is presented later in this section.)


How should I behave during participant observation?
The most important behavioral principle in participant observation is to be discreet. Try not to
stand out or to affect the natural flow of activity. One way to do this is to behave in a way similar
to the people around you, such as praying in a religious setting or drinking in a bar. It also helps
to be aware of local meanings for particular body language (positions and gestures, for example)
and tones of voice, as well as what types of physical and eye contact are locally appropriate in
different situations.

Field staff engaged in participant observation always need to use good judgment in determining

whether to participate in certain types of activities. You should not engage in illegal or sexual
activities with study participants, for example. You should exercise caution about the amount of
alcohol you consume in a social setting. It may be socially appropriate to buy a beer for someone
or to accept their offer to buy you one, but it may not be necessary to actually consume alcohol
in any quantity.

What should I document?
Simply put, document what you observe, taking care to distinguish it from both your expecta-
tions and your interpretation of what you observe.

It is important to document what is actually taking place rather than what you were expecting to
see and to not let your expectations affect your obser-
vations. The purpose of participant observation is
partly to confirm what you already know (or think Distinguishing interpretation from
you know) but is mostly to discover unanticipated observation
truths. It is an exercise of discovery. A North American researcher is hired to observe
the behavior of young men in an African country.
Also, avoid reporting your interpretation rather than He notices a lot of handholding and displays of
an objective account of what you observe. To interpret mutual affection between these men. Because of
his American background, he interprets these
is to impose your own judgment on what you see. For data to mean that many young men in this coun-
example, an interpretive description of a street corner try are homosexual. Although this might be a
might be that it was “dirty and overly crowded.” An logical interpretation in North America, it is not
objective description would be that “there was logical for the African country. Thus, the observa-
tions are correct, but his interpretation is not, and
garbage everywhere and there were so many people
any policies or programs based on his interpreta-
around that it was difficult to move.” The danger of tion would be invalid.
not separating interpretation from observation is that
your interpretations can turn out to be wrong. This
can lead to invalid study results, which can ultimately be damaging for the study population. You
can work on reporting neutral observations by questioning yourself often about your assertions.
Ask yourself, “What is my evidence for this claim?”

How do I take field notes?
Handwritten notes, later converted into computer files, are often the only way to document cer-
tain participant observation activities, such as informal or spontaneous interviews, observation,
and generally moving about in the field. Notes from participant observation – like those from
interviews and focus groups – are called “field notes,” and they are written directly into field
notebooks. The tips on page 24 offers some suggestions for formatting and writing field notes.


How do I expand my notes?
Following each participant observation event, data collectors need to expand their notes into rich
descriptions of what they have observed. (See the Case Study Samples, page 26.) This involves
transforming your raw notes into a narrative and elaborating on your initial observations, a task
most conveniently done using a computer. If no computer is available within a day or so, you
should expand your notes by hand. Eventually, all expanded notes should be typed into computer
files using a specific format, as discussed in the module on Data Documentation and Management,
page 83.

Expanding your notes involves the following:
• Scheduling time to expand your notes, preferably within 24 hours from the time field notes
are made. If you cannot expand your notes the same day as data collection, try to do so first
thing the next morning. This makes it less likely that you will forget what an abbreviation
stands for or that you will have trouble remembering what you meant. Also, the sooner you
review your notes, the greater the chance that you will remember other things that you had
not written down. Good note-taking often triggers the memory, but with the passage of time,
this opportunity is lost.
• Expanding your shorthand into sentences so that anyone can read and understand your notes.
Use a separate page in your field notebook if necessary. Depending on circumstances, you
might be able to expand and type your notes into a computer file at the same time.
• Composing a descriptive narrative from your shorthand and key words. A good technique for
expanding your notes is to write a narrative describing what happened and what you learned
about the study population and setting. This narrative may be the actual document you pro-
duce as your expanded notes. Be sure that you create separate, clearly labeled sections to
report your objective observations versus your interpretations and personal comments.

TIPS

Tips for taking field notes
Begin each notebook entry with the date, time, place, and type of data collection event.

Leave space on the page for expanding your notes, or plan to expand them on a separate page. (See the section
above on “How do I expand my notes?”)

Take notes strategically. It is usually practical to make only brief notes during data collection. Direct quotes can
be especially hard to write down accurately. Rather than try to document every detail or quote, write down
key words and phrases that will trigger your memory when you expand notes.

Use shorthand. Because you will expand and type your notes soon after you write them, it does not matter if you
are the only person who can understand your shorthand system. Use abbreviations and acronyms to quickly
note what is happening and being said.

Cover a range of observations. In addition to documenting events and informal conversations, note people’s
body language, moods, or attitudes; the general environment; interactions among participants; ambiance; and
other information that could be relevant.


• Identifying questions for follow-up. Write down questions
about participant responses that need further consideration or
follow-up, issues to pursue, new information, etc. This contin-
ual adjustment of the research questions and techniques is part
of the iterative nature of qualitative research.
• Reviewing your expanded notes and adding any final comments.
If you have not typed your expanded notes directly into a
computer file, add any additional comments on the same page

or on a separate page. If you use additional pages, be sure to
clearly cross-reference new notes with the original pages in
case another staff member types your notes.

Suggested Readings
Bogdewic SP. Participant observation. In Crabtree BF, Miller W (eds.). Doing Qualitative
Research. Newbury Park, CA: Sage Publications, 1992.

DeWalt KM, DeWalt BR, Wayland CB. Participant observation. In Bernard HR (ed.). Handbook
of Methods in Cultural Anthropology. Walnut Creek, CA: AltaMira Press, 1998.

Handwerker WP. Quick Ethnography. Walnut Creek, CA: Alta Mira Press, 2001.

Johnson J. Selecting Ethnographic Informants. Newbury Park, CA: Sage Publications, 1990.

Jorgensen D. Participant Observation. Newbury Park, CA: Sage Publications, 1989.

Spradley J. Participant Observation. New York: Holt, Rinehart, and Winston, 1980.

Winstein RM. The mental hospital from the patient’s point of view. In Gove WR (ed.). Deviance
and Mental Illness. Thousand Oaks, CA: Sage Publications, 1982.

For additional information on this topic, refer to Chapter 4. Collecting Qualitative Data: The
Science and the Art in these companion guides:


Sample Participant Observation Field Notes
CASE STUDY

Sample Expanded Field Notes

Archival #: CCP001
Site: Capital City Hospital
Data collector: Anna S.
Typist: Brian L.
Date: 14-6-04
Start: 08:00 a.m.
End: 10:15 a.m.

When we arrived, we went first to the antenatal clinic where several
xxxxxxx projects are located, including xxxx, xxx, and the xxxxxxxx
study. The projects occupy rooms on three sides of the large waiting
area, which was largely empty. When we arrived there were seven
women in the main waiting area, listening to a nurse give a health
talk. A few more women arrived as the talk progressed.
We were met by Mrs. xxxxxxx, the head nurse, and introduced to
several of the other study nurses.
There is a small waiting area off the main waiting area for the xxx
project, which includes a recently acquired TV/VCR. This was playing
when we arrived, and there were a number of women gathered
around watching throughout our visit. They have two HIV videos
which the staff said are very popular and that the women will stay
after their study visits to watch.
Monday and Friday are general antenatal clinic days at the hospital
and are therefore busier. Tuesday morning is for high-risk clients and
the afternoon is a teen pregnancy clinic. On Wednesday clients return
for test results. It was unclear to me what happens on Thursday.
Women are tested for STIs, and treatment is provided to both women
and their partners; however, men are usually shy about coming to the
clinic because it is all women. The nurses prefer to have the partners
come to XXX so they can make sure they are treated. The STI clinic
has a long wait and is crowded . . .


Participant Observation Steps
Preparing for Participant Observation
1 Determine the purpose of the participant observation activity as related to the overall research objectives.
2 Determine the population(s) to be observed.
3 Consider the accessibility of the population(s) and the venues in which you would like to observe
STEPS

them.

4 Investigate possible sites for participant observation.
5 Select the site(s), time(s) of day, and date(s), and anticipate how long you will collect participant
observation data on each occasion.
6 Decide how field staff will divide up or pair off to cover all sites most effectively.
7 Consider how you will present yourself, both in terms of appearance and how you will explain your
purpose to others if necessary.
8 Plan how and if you will take notes during the participant observation activity.
9 Remember to take your field notebook and a pen.

After Participant Observation
10 Schedule time soon after participant observation to expand your notes.
11 Type your notes into computer files using the standard format set for the study.



Module 3
In-Depth Interviews

INTERVIEWS


In-Depth Interviews

I
n-depth interviews are one of the most common qualitative methods. One reason for their
popularity is that they are very effective in giving a human face to research problems. In addi-
tion, conducting and participating in interviews can be a rewarding experience for participants
and interviewers alike. For participants – whether members of the study population or someone
related to the population in a professional capacity – in-depth interviews offer the opportunity to
express themselves in a way ordinary life rarely affords them. Many people find it flattering and
even cathartic to discuss their opinions and life experiences and to have someone listen with
interest. For their part, interviewers engaged in in-depth interviews are offered the privilege of
having people who are virtually strangers entrust them with a glimpse into their personal lives.

This module covers the basics of using in-depth interviews in applied research projects, including:
• Overview of In-Depth Interviewing

INTERVIEWS
• Logistics of Interviewing
• How to Be an Effective Interviewer
• Interview Steps
• Interview Checklist

Overview of In-Depth Interviewing
What is an in-depth interview?
The in-depth interview is a technique designed to elicit a vivid picture of the participant’s perspec-
tive on the research topic. During in-depth interviews, the person being interviewed is considered
the expert and the interviewer is considered the student. The researcher’s interviewing techniques
are motivated by the desire to learn everything the participant can share about the research topic.
Researchers engage with participants by posing questions in a neutral manner, listening attentively
to participants’ responses, and asking follow-up questions and probes based on those responses.
They do not lead participants according to any preconceived notions, nor do they encourage par-
ticipants to provide particular answers by expressing approval or disapproval of what they say.

In-depth interviews are usually conducted face-to-face and involve one interviewer and one par-
ticipant. When safety is an issue for the interviewer, the presence of two interviewers is appropri-
ate. In these situations, however, care must be taken not to intimidate the participant. Phone
conversations and interviews with more than one participant also qualify as in-depth interviews,
but, in this module, we focus on individual, face-to-face interviews.

In-Depth Interviews 29

What can we learn from in-depth interviews?
In-depth interviews are useful for learning about the perspectives of individuals, as opposed to,
for example, group norms of a community, for which focus groups are more appropriate. They
are an effective qualitative method for getting people to talk about their personal feelings, opin-
ions, and experiences. They are also an opportunity for us to gain insight into how people inter-
pret and order the world. We can accomplish this by being attentive to the causal explanations
participants provide for what they have experienced and believe and by actively probing them
about the connections and relationships they see between particular events, phenomena, and
beliefs. Interviews are also especially appropriate for addressing sensitive topics that people
might be reluctant to discuss in a group setting. Table 4 below summarizes some of the strengths
of in-depth interviews in comparison to focus groups.

Table 4. Strengths of in-depth interviews versus focus groups

Appropriate for Strength of method
Interviews Eliciting individual experiences, Elicits in-depth responses, with
opinions, feelings nuances and contradictions
Addressing sensitive topics Gets at interpretive perspective, i.e.,
the connections and relationships a
person sees between particular
events, phenomena, and beliefs

Focus groups Identifying group norms Elicits information on a range of
Eliciting opinions about group norms norms and opinions in a short time

Discovering variety within a Group dynamic stimulates
population conversation, reactions

What form do interview data take?
Interview data consist of tape recordings, typed transcripts of tape recordings, and the inter-
viewer’s notes. Notes may document observations about the interview content, the participant,
and the context.

How are interview data used?
Typed transcripts are the most utilized form of interview data. During the data analysis phase of
the research, after data collection, transcripts are coded according to participant responses to
each question and/or to the most salient themes emerging across the set of interviews.

While data is still being collected, researchers use expanded interview notes:
• during interviews, to remind themselves of questions they need to go back to, where they
need more complete information, etc.
• during debriefing sessions with other field staff and investigators
• during transcription of interview recordings, to clarify and add contextual details to what
participants have said


Ethical Guidelines
How do I explain the purpose of the interview?
You should explain the purpose of the interview to study participants within the broader context
of the research study. In doing so, it is important that you be truthful and straightforward about
the study objectives and the anticipated risks and benefits to the individual participant and the
community, and that you identify the organizations involved in the study. It is also important not
to create false expectations in order to obtain a participant’s cooperation. Be cautious about mak-
ing even small promises, such as saying a staff mem-
ber can give a participant a ride home after the
interview, unless you know for certain that they can Obtaining informed consent before an
be fulfilled. in-depth interview
1. For less literate populations, read the con-
sent form aloud to the participant. Be sure
What should I say about confidentiality? you are using the appropriate language
Assuring participants that what they say will be kept version of the form. Speak slowly. Ask the
in confidence is important for earning their trust and participant often whether he or she under-
stands what you are saying, and explain any
thus for eliciting good data. You should understand terms or sentences in your own words as
the procedures outlined in the study protocol for pro- necessary. For more literate populations,
tecting participants’ privacy and be able to explain give the participant time to read the form.

INTERVIEWS
those steps clearly. If the participant raises concerns Then review each section with him or her
and check for comprehension.
about confidentiality that you cannot address, offer to
postpone the interview until you can respond to the 2. Once you are satisfied that the participant
fully understands the research and his or her
stated concerns. You might also refer the participant to rights as a participant, ask for his or her con-
the study officials whose contact information is pro- sent to be interviewed. In some studies, a
vided on the informed consent form. comprehension and evaluation tool may be
used to ensure that participants understand
You should also show how you will protect confiden- the information explained to them. If the
research presents greater than minimal risk,
tiality by stating that you will not reveal anything you
then the study team needs to consider addi-
learn to other participants or members of the commu- tional options for ensuring that the partici-
nity. It is very important to adhere to this commit- pants understand the risks as well as their
ment. During the interview or in casual conversation rights, especially if they are illiterate.This may
include the use of witnesses or advocates, as
is commonly done in biomedical research
Modeling respect for confidentiality that presents greater than minimal risk.

Do not say: 3. If the study protocol requires you to obtain
“You know, I always promise to keep what written consent, ask the participant to sign
people tell me confidential, so I can’t tell you the consent form. After the participant signs
what Mary told me when I saw her yesterday. the form, sign it yourself.
However, I hope you appreciate that I also will 4. If the study protocol requires you to obtain oral
not be able to tell her what you tell me.” consent, you should sign the consent form to
Do say: document that you, the interviewer, have
“You know, I always promise to keep what obtained oral consent from this participant.
people tell me confidential, so I can’t tell you 5. Offer the participant a copy of the informed
who else I have seen or what anyone has said. consent form. This document should always
This also means that I will not be able to tell list the contact information for study offi-
anyone that you and I had this interview, nor will cials to whom questions about the research
I talk to anyone about what you tell me today.” may be directed.


beforehand or afterward, be careful not to make incidental comments about other people you
have interviewed, as this behavior may suggest that you cannot be trusted. As with participant
observation, people may test you by seeing if you will tell them what others have said; your
refusal to disclose any information about others will reassure them about your commitment to
protecting confidentiality.

How should informed consent be handled for an interview?
Before asking any interview questions, you must obtain informed consent in accordance with
procedures specified for the study. For in-depth interviews, informed consent is often oral and
tape-recorded, but some studies may require participants to sign a written informed consent doc-
ument. If the documents exist in multiple languages, be sure you use the version in the appropri-
ate language for the participant.

In addition to informing participants about the voluntary nature of the study, a key purpose of
informed consent is to ensure that they understand the risks and benefits entailed in participation.
As noted in the Qualitative Research Methods Overview module, page 10, informed consent doc-
uments should also provide participants with information on how the interview data will be used,
who will have access to the data, and whom they may contact for questions.

Logistics of Interviewing
What are my responsibilities as an interviewer?
The interviewer is responsible for fulfilling the following roles, tasks, and obligations before,
during, and after the interview:

Prepare for the interview
• Recruit participants according to the recruitment strategy outlined in the work plan (if inter-
viewers are involved in recruitment).
• Set up recording equipment and the physical space where interviews will take place.
• Become knowledgeable about the research topic, including anticipating and being prepared
to answer any questions participants may have about it.
• Be reliable. To get participants to take the interview seriously, you need to demonstrate your
own commitment. Arrive on time,
equipped with the recording equipment,
interview guide, and notebooks. Be both Anticipate questions
mentally and psychologically prepared to Brainstorm about questions participants could
conduct the interview. Keep all promises ask and think about how you would answer
you make to participants. them. You might be asked to explain how a given
contraceptive method works, how HIV is transmit-
ted, or the known efficacy of an investigational
Interview participants thoroughly
product. If you do not know the answer to a
• Obtain informed consent from each par- question, you should tell the participant that you
ticipant before the interview. will research the matter and get back to him or
her with a response. Then be sure to follow up on
• Address all questions or topics listed in this promise, in order to maintain your credibility.
the interview guide.


• Ask follow-up questions (some of which may be scripted in the interview guide) in order to
elicit participants’ complete knowledge and experience related to the research topic.
• Probe participants for elaboration of their
responses, with the aim of learning all they can
Document participant behaviors
share about the research topic.
Note if the participant seems distracted, becomes
emotional over a particular question or topic, or
Document the interview
seems reluctant to discuss a subject area. Also
• Record the interview using an audio (and some- make a note if you suspect the participant is not
times video) recorder. being truthful and why you think this.

• Take backup notes.
• Observe and document participants’ behaviors and contextual aspects of the interview as part
of your field notes.
• Expand your notes as soon as possible after each interview, preferably within 24 hours, while
your memory is still fresh.

How do I recruit people to interview?
Recruiting participants is often a challenge, for a variety of reasons, including the often delicate
nature of working with vulnerable populations; possible stigmatization of participants resulting

INTERVIEWS
from affiliation with the study; the high mobility of some populations; participants’ concerns about
confidentiality; and misinformation, lack of information, fear, or rumors about the study.

The work plan for each site should outline policies and strategies for recruiting participants.
However, it is common for realities in the field to necessitate creative revision of these strategies.
When developing a recruitment strategy, it can be helpful to consult with local people who are
active in or have connections to the study population. They may be able to offer ideas about how to
gain access to the population, how best to approach people, and possible obstacles to recruitment.

Why and how would two people co-conduct an interview?
Typically, only one investigator conducts the interview, but sometimes it is appropriate to have
two interviewers. For example, when interviews are not being recorded for some reason, an extra
interviewer is needed to take notes while the other person conducts the interview. Safety con-
cerns may also call for two interviewers, as may adhering to local norms regarding proper inter-
actions between men and women.

When two field staff are present, they should decide on their roles before the interview. One per-
son should take the role of conducting the interview (interviewer), while the other concentrates
on taking notes (note-taker). (The interviewer can also take brief notes.) The note-taker should
not interrupt or intervene in the interview unless invited to do so by the interviewer or asked a
question by the participant.

Once finished with the questions, the interviewer should ask the note-taker if any points require
clarification before the interview comes to a close. Both staff members should then debrief with
each other (that is, discuss what happened and what was learned) either immediately after the
interview or within a day. The note-taker should take detailed notes during the debriefing. These
notes may then be reviewed and supplemented by the interviewer.


Where should I conduct the interview?
Ideally, interviews should be conducted in a private location with no outsiders present and where
people feel that their confidentiality is completely protected. Finding such a location may be dif-
ficult in some settings, but every effort should be made to protect participants’ privacy to the
greatest extent possible. One way to do this might be to rent a space in which to conduct inter-
views. Interviewers who will move among communities will need to find suitable locations on an
ad hoc basis. Inviting participants to suggest a location where they would feel comfortable may
also be a viable option.

When selecting a location for interviews, be sure to consider local implications of male-female
interactions. For example, it would probably be inappropriate for a male field worker to conduct
an interview alone with a female participant in her room at a women’s boarding house.

How should I present myself to interview participants?
The relationship between the interviewer and the participant begins at first contact, with the partici-
pant’s first impression of the interviewer based on a variety of factors such as the greeting, manner
of speaking, clothing, and body language. All of these should be appropriate for the specific culture
and setting and convey respect for the participant. Cell phones should be turned off and placed out
of view so as not to imply that the participant’s testimony is of secondary importance.

What do I say in the interview?
When conducting an in-depth interview, researchers ask mostly open-ended questions – that is,
questions that encourage a detailed response rather than “yes,” “no,” or one-word answers – to
elicit unstructured talk from participants about their experiences and opinions. Later, researchers
analyze what participants say for insights into the person’s attitudes, beliefs, and perceptions.

The questions you should ask during the interview will be suggested or specified in an interview
or question guide created in advance by the research team. The interview can be conducted with
varying degrees of structure, however, depending on what the project calls for. For example,
some interview guides specify the exact questions researchers should ask, along with follow-up
questions and probes. Other guides simply contain a list of topics to be covered over the course
of the interview, leaving the wording and order of questions up to the individual researchers.

It is common to conduct in-depth interviews with several different categories of people as part of
a single study. This often involves a separate question guide for each category. For example, in a
study about maternal health practices, in-depth interviews might be conducted with health care
providers, pregnant women, and women who have given birth within the last year. Some ques-
tions in the three guides may overlap, but each guide will be tailored to elicit information spe-
cific to the category of participants being interviewed.

How long should the interview last?
On average, in-depth interviews last from one to two hours. As you begin the interview, consider
how much time you will likely have with the participant. Set realistic goals for covering all of
the questions in the interview guide accordingly. It is a good idea to record the start and end
times of each interview in your notebook. Interviews should be tape-recorded, if possible.


Ideally, the interview will flow like a conversation and end naturally, but this is not always the
case. Be aware of signs of impatience, annoyance, and boredom from the participant. These are
cues that the interviewer needs to be more attentive and engaging, or that it is time to wrap up
the interview. It may also be appropriate to take a break, which may actually result in the partici-
pant providing additional information. Even though the tape recorder may be turned off during
the break, you can take brief notes that you expand later.

What if the interview is interrupted?
It sometimes happens that a participant interrupts the interview to attend to another matter. For
example, a health care provider might be called to take an important telephone call, or a mother
may need to tend to her child. Be patient and understanding if a participant needs to stop the
interview temporarily to attend to personal responsibilities.

When an interruption occurs, stop the tape recorder and note the time in your field notes. While
you wait for the participant to return, review your notes, consider what other questions you
would like to ask, and note observations. When the participant returns, resume recording and
again write down the time. You may want to prompt the participant to resume the discussion by
recapitulating the last point and then asking a question about it.

If repeated interruptions make it difficult to keep the discussion going, you might ask if there

INTERVIEWS
would be a more convenient time or place where you could talk more privately. Offer to resched-
ule the interview if necessary.

What if a participant does not complete the interview?
Sometimes participants elect not to complete an interview. If this happens and you would still
like to use the interview data collected up to that point, ask them if they are willing to let you do
so. Assure them that confidentiality will still be maintained. If they agree, manage the data as
you would for any other interview. (See the module on Data Documentation and Management,
page 83.) If they do not agree, destroy the tape, interview guide, and any notes you have made
related to the interviews and participants in question.

What if a participant knows little about the research topic?
Some participants may turn out to have little knowledge about the research topic. If you discover
this to be the case during the interview, do not be afraid to bring it to a close. Otherwise, there is
the risk that participants will fabricate responses in order to please you or to avoid appearing
ignorant. If there is a reimbursement associated with the interview, you should still provide the
full amount.

How should I handle reimbursements?
Policies on reimbursements vary from study to study. In accordance with local practices and with
approval from relevant ethics committees, some studies provide financial compensation to partic-
ipants. When this is the case, researchers should not refer to this compensation as “payment” or
“incentive” for participation. Instead, use the term “reimbursement,” which acknowledges that
the participant has taken time away from other obligations and may have incurred expenses – for
transportation or child care, for example – to meet with you.


Note that all participants should be provided with the full reimbursement sum, regardless of
whether they complete the interview. This includes:
• participants who arrive for the interview and decide not to participate after all
• participants who choose not to answer some questions
• participants who decide to withdraw from the study before or
after they have completed the interview
• participants who turn out to have no knowledge about the
interview topic

Procedures for documenting reimbursement dispersal are study-
specific and usually outlined in the informed consent form.
Commonly, in studies that require only verbal (and not written)
informed consent, the interviewer signs a statement certifying that
each participant was given the cash reimbursement. In studies that
require written informed consent, participants may be asked to
sign a receipt.

Note that accounting personnel are not always aware of the con-
fidentiality issues related to research studies. The local principal
investigator should be prepared to inform accounting personnel
if the established reimbursement procedures risk compromising confidentiality, so that alterna-
tive procedures may be created. These procedures should be worked out by the on-site princi-
pal investigator before interviews begin and must comply with the ethics committee’s
approved protocol.

How do I document the interview?
Documenting the interview consists of making tape recordings, writing field notes, and later
expanding those notes. (See the tips on page 44.) When you cannot tape-record an interview,
take notes that are as extensive as possible. Plan to expand those notes immediately after the
interview. Before setting up any interviews, find out who is responsible for providing recording
equipment and other materials, where they will be stored, and how to get access to them. Make
sure to practice using the recording equipment before the interview.

What if the recording equipment fails?
If the recording equipment fails, the notes you will have taken during the interview and later
expanded will serve as backup documentation. Check for equipment failure immediately follow-
ing the interview, and expand notes within 24 hours if a failure has occurred.

What should I do with my interview recordings and field notes?
The module on Data Documentation and Management, page 83, provides detailed guidelines
for handling your recordings and field notes. In brief, the procedure is to label all materials
according to the same convention, place them together in one large envelope, expand field
notes, and type them into computer files. Then transcribe the tapes directly into a computer
file or first by hand and then into a computer file. A sample transcript is included on page 47.


Interviewers should check the typed transcripts for accuracy if transcription has been per-
formed by other staff members.

At the local level, interviewers should debrief each other, as well as the local site coordinator or
principal investigator, directly after the interview, at scheduled staff meetings, or according to
some other arrangement. At the sponsor level, all electronic files are typically sent to a desig-
nated sponsor-affiliated staff member once the interviewer has reviewed them for accuracy.

How to Be an Effective Interviewer
A productive interview is one in which participants relate a richly detailed, sincere account of how
the research issues occur in their daily lives. Obtaining superior data requires that the interviewer
be well prepared and have highly developed rapport-building skills, social and conversational
skills specific to the capacity of interviewer, and facility with techniques for effective questioning.

The following steps will help you become comfortable with the interview process:
• Be familiar with research documents. An effective interviewer knows the research material
well and is practiced in the method. As a first step in preparing for an in-depth interview,

INTERVIEWS
become thoroughly familiar with the informed consent documents. Although you will read
the form to or along with participants, you should also be able to explain its contents in your
own words. Be prepared to address any questions participants may have about the content of
the consent form, the terminology used, whom to contact for further information, the pur-
pose of the research, and so on.
Next, become thoroughly familiar with the interview guide. During the interview, you should
not have to search through the guide for the next question. It is important to understand not
only the purpose of each question, but also the purpose of the research as a whole.
Depending on how structured the interview is, you may be called on to rephrase questions
that are unclear to participants, or to spontaneously think of follow-up questions and probes.
You should be able to recognize when a participant has provided a response that fulfills the
intent of the question, when a response contains information that addresses a separate ques-
tion or a scripted follow-up question, and which probes to use to elicit needed information
that was absent in a participant’s initial response. If the protocol permits you to ask questions
out of order, being familiar with the guide also enables you to use it flexibly, taking advan-
tage of natural shifts in the conversation. It is a good idea to review the interview guide
before every interview.
• Practice interviewing. It is also helpful to practice interviewing techniques. This is best done
through role-playing exercises with other researchers and study staff, using the actual
interview question guides. (Some suggested exercises are provided in the Exercises for
Training Data Collectors appendix, page 93.) You might also conduct pilot interviews with peo-
ple in the community who are not participating in the study. In that case, however, you must
obtain informed consent, just as you would from someone who was participating in the
study. Informal practice sessions – such as with friends, family, or support staff or other
researchers – do not require informed consent.


• Practice using the equipment. Finally, practice
using the recording equipment and checking it
before the interview. Equipment failure is all
too common, but you can sometimes avoid it by
being familiar with how the recorder operates.
Before beginning an interview, check the batter-
ies, test the microphone, and make sure that the
tape is turning. Know how to use features like
pause and high-low recording. We do not rec-
ommend using the voice activation feature
because it may not record the entire dialogue.

What are important skills for interviewing?
The interviewer’s skills have an important influence
on the comprehensiveness and complexity of the
information that participants provide. The interviewer must be able to lend a sympathetic ear
without taking on a counseling role; encourage participants to elaborate on their answers without
expressing approval, disapproval, judgment, or bias; keep track of the questions yet let the con-
versation develop naturally; and manage the interview while still respecting the principle of par-
ticipant-as-expert. The core skills required to establish positive interviewer/participant dynamics
are rapport-building, emphasizing the participant’s perspective, and accommodating different
personalities and emotional states; these skills are described in Table 5 below.

Table 5. Key skills for in-depth interviewing

Skill Includes Rationale Tips
Rapport-building The ability to quickly Participants will talk Learn culturally-specific
create interviewer/ freely, openly, and styles and techniques
participant dynamics honestly about the for building rapport.
that are positive, research topic only if Suggestions include:
relaxed, and mutually they: -be friendly
respectful -feel comfortable in -smile
the interviewer’s -use a pleasant tone
presence of voice
-trust the interviewer -use relaxed body
-feel secure about language
confidentiality -incorporate humor
-believe the -be humble
interviewer is -do not patronize
interested in their -do not scold, coerce,
story or cajole participants
-do not feel judged -be patient


Table 5. Key skills for in-depth interviewing (contd.)

Skill Includes Rationale Tips
Emphasizing the Treating the participant The interviewer’s Remember that the purpose of
participant’s as the expert perspective on the the interview is to elicit the
perspective Keeping the participant research issue should be participant’s perspective;
from interviewing you invisible.This avoids the consider yourself a student.
risk that participants will If a participant asks for factual
Balancing deference to modify their responses
the participant with information during the
to please the interviewer interview, write down the
control over the instead of describing
interview questions and respond after
their own perspectives. the interview is over.
Being an engaged
listener If a participant asks what you
think, deflect the question. Let
Demonstrating a the participant know that you
neutral attitude consider his or her point of
view more important.
Don’t overcompensate for
perceived status differences by
giving the participant too
much control over the interview.

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Pay attention to what
participants say and follow up
with relevant questions and
probes.
Be aware that what you say,
how you say it, and your body
language can convey your own
biases and emotional reactions.
Use them instead to convey
neutrality and acceptance.

Adapting to different Being able to quickly Every participant has a Different interviewing styles
personalities and adjust your style to suit unique character and may be needed for different
emotional states each individual demeanor. By adopting participants – for example, be
participant an appropriate able to retain control of a
demeanor for each conversation with a dominant
individual, the personality and to animate a
interviewer can help shy participant.
the participant be Know how to tone down
comfortable enough to heightened emotions, such as
speak freely about the when a participant starts
research topic. crying or becomes belligerent.
Adapting to each individual
may require softening the way
you broach sensitive issues,
adjusting your tone of voice to
be more sober or upbeat, or
exhibiting increased warmth
or social distance.


What does managing the interview involve?
Managing the interview effectively involves clearly explaining to participants the purpose and
format of the interview. Bear in mind that this may be the first time that many individuals have
ever participated in one. You should also set ground rules.

Taking the time to explain how an interview works can go a long way toward ensuring a smooth
and fruitful interview. It will be up to you to decide the best way to do this according to the cul-
tural context and study population. You might start by explaining
that, although an interview is a type of conversation, it is different
from typical conversations. You could then explain that you have a
list of questions to which the participant should respond, that the
participant should speak freely in response to each question, and
that you will be directing the conversation in such a way as to
ensure that all questions in the interview guide are addressed.

Clarifying roles can also be useful. Explain that while you are
ultimately responsible for making sure that all questions in the
interview guide are addressed during the interview, the participant
will play the role of expert and you, the interviewer, will be the
student. Explain that you are there to gain from the participant’s
own knowledge about the research topic, not to dispense advice.
Assure the participant that there are no right or wrong answers; it is his or her personal opinion
and perspective that are of interest to the study.

It is important to emphasize the voluntary nature of the interview. Remind participants that they
are not obligated to respond to any question. If the interview guide includes questions that may
be of a personal or sensitive nature, explain this to participants in advance. You should empha-
size that you would like for participants to respond to all questions as fully and honestly as pos-
sible, but only to the extent that they feel comfortable doing so.

Another important aspect of managing the interview is working within time constraints. Before
beginning the interview, ask participants about any time limitations they have. When you know
the time available, you can pace the interview in order to cover all the questions in the guide. One
way to keep track of the questions you have asked or that have been addressed is to check them
off in the guide. This is especially practical when you ask questions in a different order than they
appear in the guide or when a participant’s response applies to a question you have not yet asked.

If the instrument design allows, it can be advantageous to let the interview conversation proceed
more or less naturally, as long as you can redirect the focus if necessary. Adapting the flow of
the interview may involve recognizing when a participant has already addressed a particular
question in a previous response, rephrasing a question, or asking questions in a different
sequence from how they are organized in the interview guide (unless the research design requires
a specific order). Again, this emphasizes the need for familiarity with the guides.

Because it is important to focus on eliciting the participant’s perspective, you should not correct
factual errors during the interview. Afterward, however, the interviewer is free and in some
instances ethically obligated to provide the participant with relevant factual information. For


example, if a participant expresses the belief that mosquitoes transmit HIV, you should relay sci-
entifically correct information about how HIV is transmitted. However, you should speak only on
subjects about which you are well informed. Include these misconceptions and clarifications in
your field notes for the interview.

What are some techniques for effective questioning?
Proficiency in techniques for asking effective questions is especially important for leading inter-
views in which participants speak liberally. This involves keeping track of which questions have
and have not been asked and answered; knowing how to phrase questions that encourage partici-
pants to provide elaborate, detailed (rather than brief) responses; and asking questions that elicit
the participant’s own views and experiences as opposed to reflecting the convictions of the inter-
viewer. Relevant techniques include asking one question at a time, verifying unclear responses,
asking open-ended questions, avoiding leading questions, and using follow-ups and probes.

What does it mean to ask one question at a time?
Be careful not to pose several questions at once with-
out giving the participant an opportunity to respond to
It’s not just what you say . . .
individual questions. This is especially apt to happen
Tone refers to the volume and sound quality of a
when questions are grouped together in the interview person’s voice. It can reveal biases such as excite-

INTERVIEWS
guide. When it does, participants are unlikely to ment, approval and disapproval, scorn, surprise,
address each of the questions in full. A better tech- and disbelief. Remember that cultural context
nique for getting answers to all the questions is to ask affects how tone of voice will be interpreted –
them one at a time, which gives you the opportunity what is moderate in one context may seem inap-
propriately loud in another. For example,
to provide clarification or to rephrase each question. depending on where you are, increasing the vol-
ume of your voice might indicate that you have
How do I verify unclear responses? become irritated or angered by a particular
response, or it could be perceived as a fluctua-
If you are unsure that you accurately heard what the tion of the voice typical of everyday conversa-
participant said, verify the response before going to the tion. The age, gender, social status, educational
next question. You might say, for example, “I’m sorry, background, and economic class of both you and
the participant might also factor into which tone
could you repeat what you just said? I didn’t quite hear you should adopt. Generally, you should aim to
you.” Be careful not to imply that the response was use a friendly tone that will not betray your per-
somehow incorrect. Alternatively, you might use the sonal opinions or emotional state.
mirroring technique, where you reflect the participant’s
answer back to him or her in question form. For Body language is the culturally specific interpre-
tation of what it means to move or position the
instance, you might say, “So you told her that you think body in a particular way. Facial expressions are
being in that study is a sign of having tuberculosis?” perhaps the most obvious example, but gestures,
posture, and constant movement can also be
powerful indicators of a person’s mood, opinion,
How do I ask open-ended questions? and evaluative stance. Interviewers should be
Closed-ended questions are questions that may be conscious of their body language at all times and
answered with a single word or phrase or with a “yes” be careful not to imply, for example, boredom,
aggression, or exasperation. Instead, body lan-
or “no” response. An example is, “Do you use con- guage that indicates patience, pleasant mood,
doms regularly?” It is difficult to glean much insight open attitude, and sincere interest will serve to
from these brief responses, because they usually do encourage participants to express themselves
not indicate “why” or “how.” A better technique for without reserve.


Table 6. Unbiased versus leading questions

Unbiased question Leading question
“I’ve heard some people in this community say that “Most smart people in this community always use
most smart people use a condom, and others say condoms, don’t they?”
that they know smart people who don’t use
condoms. What do you think?”

“Why did you want to use the female condom?” “Was one reason that you wanted to use the female
Potential follow-up question:“What were you trying condom because you were trying to prevent sexually
to protect yourself from?” transmitted infections?”

“What do you think stops people in the school “Do you think people in the school community
community from talking about sex and condoms?” don’t talk about sex and condoms because they
might be stigmatized and seen as promiscuous?”

getting in-depth answers is to phrase questions as open-ended – that is, requiring more than a
“yes” or “no” response. Open-ended questions set no limits on the range or length of responses,
instead giving participants the opportunity to explain their position, feelings, or experiences. An
example is, “Would you please describe your typical condom use?”

What are leading questions and how
do I avoid them? Examples of effective probes
Direct questions:
Leading questions are questions that are • “What do you mean when you say . . .?”
worded in such as way as to influence partici-
• “Why do you think . . .?”
pants’ responses – in other words, questions
• “How did this happen?”
that lead participants along a particular line of
thinking. Asking leading questions risks con- • “How did you feel about . . .?”
veying your own value judgments and biases • “What happened then?”
and imposing a perspective on participants. • “Can you tell me more?”
When asked a leading question, participants • “Can you please elaborate?”
are likely to provide a response that accords • “I’m not sure I understand X. . . . Would you
with it simply because they are reluctant to explain that to me?”
contradict the interviewer. To avoid this, ask • “How did you handle X?”
neutral questions free of preconceptions. • “How did X affect you?”
Table 6 above provides examples of leading • “Can you give me an example of X?”
and unbiased questions. Indirect probes:
• Neutral verbal expressions such as “uh huh,”
What are follow-up questions and “interesting,” and “I see”

how do I use them? • Verbal expressions of empathy, such as,“I can
see why you say that was difficult for you”
Follow-up questions (or sub-questions) are • Mirroring technique, or repeating what the
intended to ensure that participants provide participant said, such as,“So you were 19
the complete set of information each main when you had your first child . . .”
question was designed to elicit. They prompt • Culturally appropriate body language or
the participant to speak on some aspect not gestures, such as nodding in acknowledgment


mentioned in response to the original question. Sub-questions are often provided in the interview
guide under each main question or topic, as cues for the interviewer. If a participant answers a
sub-question in the initial response, it is not necessary to then pose that sub-question. Engaged
listening will help you decide which follow-up questions to ask.

What are probes and how do I use them?
Probes are neutral questions, phrases, sounds, and even gestures interviewers use to encourage
participants to elaborate on their answers and explain why or how. Suggestions for probes are
sometimes outlined in the interview guide, but they are also left to the discretion of the inter-
viewer. The particular probe used depends on the response given by the individual participant.
Probing therefore requires the interviewer to listen carefully to participants and to engage
actively with what they say.

You should use probes when the participant’s response to your question is brief or unclear, when
the participant seems to be waiting for a reaction from you before continuing to speak, or when
the person appears to have more information on the subject. As much as possible, probe for more
detail about what the participant thinks, feels, and experiences in relationship to the research
topic. Do not assume that you understand the intent of a brief response. Instead, use probes to
further or confirm your understanding and to encourage more explanation. Be careful, however,
not to use probes to excess. Balance knowing when to probe with knowing when to go to the

INTERVIEWS
next question. If responses are repetitive or lacking in substance, or if the participant becomes
annoyed or upset about lingering on a particular topic, it is best to advance to the next question.

Probing is probably the most important technique in qualitative interviewing, but also the hardest
to master. It requires practice, thorough knowledge of the interview guide and research objec-
tives, and a solid understanding of what kind of information each question is intended to elicit. It
also requires patience and sensitivity, effective time management, and good interpersonal skills.

What are indirect probes and how do I use them?
Indirect probes are verbal and physical expressions that indicate that the interviewer is listening
attentively. It is important to note that the appropriateness and effectiveness of indirect probes
vary from culture to culture. The box on page 42 offers examples of effective probes, including
both direct questions and indirect probes.

Interviewers must take notes during the interview, regardless of whether it is being tape-
recorded. These notes serve as a backup when recording fails and to capture nonverbal informa-
tion. They are also valuable when a participant asks the interviewer to turn off the tape recorder
during discussion of particularly confidential information.

Interviewers write their notes on the question guide or in a notebook as they are leading the
interview. Because you are actively engaged in the interview, your notes will be less detailed
than those of, say, a focus group note-taker. The tips on page 44 offer some suggestions for for-
matting and writing interview notes. (See also the Case Study Samples, page 46.)


TIPS

Tips for taking interview notes
Begin each notebook entry with the date, time, place, and type of data collection event.

Leave space on the page for expanding your notes, or plan to expand them on a separate page. (See the section
on “How do I expand my notes?” on this page.)

key words and phrases that will trigger your memory when you expand notes.


Write on the interview question guide. Save time by writing notes directly in the question guide under the rele-
vant question. If it is not possible to record direct quotations, write down key words and phrases.

Distinguish clearly between participant comments and your own observations. You could use your own ini-
tials or “MO” to indicate “my observation.” For example:“MO – embarrassed by empty beer bottles in room.”
This documents the researcher’s observation that the participant seemed embarrassed about the empty beer
bottles in the room.

Cover a range of observations. In addition to documenting what people say, note as well as you can their body
language, moods, or attitudes; the general environment; and other information that could be relevant.

Following each in-depth interview, data collectors need to expand their notes into rich descrip-
tions of what they have observed. (See the Case Study Samples, page 46.)

This involves transforming your raw notes into a narrative and elaborating on your initial obser-
vations, a task most conveniently done using a computer. If no computer is available within a day
or so, you should expand your notes by hand. Eventually, all expanded notes should be typed
into computer files using a specific format, as discussed in the Tools for Data Managers appen-
dix, page 105.

• Scheduling time to expand your notes, preferably within 24 hours of the interview. If you cannot
expand your notes the same day as data collection, try to do so first thing the next morning. This
makes it less likely that you will forget what an abbreviation stands for or that you will have
trouble remembering what you meant. Also, the sooner you review your notes, the greater the
chance that you will remember other things that you had not written down. Good note-taking
often triggers the memory, but with the passage of time, this opportunity is lost.
Use a separate page in your field notebook to expand the notes you wrote in the interview
guide. Depending on circumstances, you might be able to expand and type your notes into a
computer file at the same time.


• Composing a descriptive narrative from your shorthand and key words. A good technique for
expanding your notes is to write a descriptive narrative describing what happened and what
you learned. This narrative may be the actual document you produce as your expanded notes.
Be sure that you create separate, clearly labeled sections to report your objective observa-
tions versus your interpretations and personal comments.
• Identifying questions for follow-up. Write down questions about participant responses that
need further consideration or follow-up, issues to pursue, new information, etc. This contin-
ual adjustment of the research questions and techniques is part of the iterative nature of qual-
itative research.
• Reviewing your expanded notes and adding any final comments. If you have not typed your
expanded notes directly into a computer file, add any additional comments on the same page
or on a separate page. If you use additional pages, be sure to clearly cross-reference new
notes with the original pages in case another staff member types your notes.

Suggested Readings
Kvale S. Interviews: An Introduction to Qualitative Research Interviewing. London: Sage
Publications, 1996.

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Rubin HJ, Rubin IS. Qualitative Interviewing: The Art of Hearing Data. London: Sage
Publications, 1995.

Spradley JP. The Ethnographic Interview. New York: Holt, Rinehart, and Winston, 1979.

For additional information on this topic, refer to Chapter 4. Collecting Qualitative Data: The
Science and the Art in these companion guides:


Sample Interview Guide with Field Notes

Family Planning Service Provider Interview Guide
Archival #:
CASE STUDY

Site:

Interviewer:

Date:

Start:

End:

(Question 1)
What family planning methods do you provide in this clinic?

Archival #: CCIISP01
Site: Morning Star Clinic
Interviewer: Beatrice B.
Date: 7-6-04
(Question 2) Start: 10:00 a.m.
Describe the process of how you provide family planning methods.
End: 11:10 a.m.

This interviewee has been a nurse at the Morning Star FP Clinic in
Capital City for 2 years.
At this clinic they offer all methods including long-term, permanent,
pills, injections, Norplant, condoms, coil. Clients are free to choose the
method they want to use. The typical procedure is that when the
client comes to the clinic, the nurse shows them (explains?) all the
methods, counsels them on how they are used (also whether
(Question 3) particular ones better suited to the individual?), and allows them to
Describe any challenges you face in promoting condom use. their preferred method. The person is then examined and fitted
select
with or given the method of their choice. Clients are required to
make a checkup appointment (for how long afterwards??) to make
sure everything is going well for them in relationship to the method.
(How many people really come back for the checkup? Is there a
charge for the checkup? How often are methods like BC pills supplied
to the client, i.e., are they required to come back to the clinic to be
examined if they want to continue using the method?)
(Question 4) The interviewee said that increasing women’s opportunities for HIV
How popular are condoms as a family planning method among the women who offering those services at the clinic could
testing and counseling by come to this clinic?
work if providers were given the proper training, but her tone of
voice was doubtful. She really did not seem convinced. She cited
rumors in the community as a potential barrier. Other people know
who comes to the clinic and how often. It was not clear to me
whether men played a role in the rumor problem or not – she only
mentioned women talking about other women criticizing them for
going to get so many condoms. People at the clinic (employees? or
other clients?) talk about who they have seen there, evident because
clients find that people they have not told know. Thus, confidentiality
appears to be a problem already. (Right now it starts rumors that
frequent clients are having a lot of sex, but with HIV services the
repercussions could be more significant.)


Sample Interview Transcript

Family Planning Service Provider Interview (page 1)

Archival #: CCIISP01
Site: Morning Star FP Clinic I = Interviewer
Interviewer: Beatrice B. R = Respondent
Transcriber: Beatrice B.
Translator: Samuel D.
Typist: Samuel D.
Date: 7-6-04
Start: 10:00 a.m. End: 11:10 a.m.

I: Do you consent freely to participate in this tape-recorded interview?
R: Yes, I consent freely.

(Question 1)
I: As a family planning provider, what do you do or which methods do you provide in this clinic?
R: We provide all methods, some of them being the pills, injection, Norplant, coil, condoms and the permanent family
planning methods.

(Question 2)
I: How do you go about that?
R: Usually when a client comes, we counsel them on all the methods, how they work, how they are used, and then the

INTERVIEWS
client chooses which method she feels she can use.
I: Ehee . . .
R: Then you go ahead and examine and evaluate if she is eligible for the method, we then give it and then we give a
return date, and if she has any problem, she can come and we check it out.
I: Ehee . . .
R: And we are there to assure them of confidentiality, giving instructions and the methods how they are used, the likely
side effects, and how they can deal with them. So that they are free to make their own choices on family planning.

(Question 3)
I: If VCT was to be brought into this clinic, is there anything that makes it very difficult to say promote the condom or
convince someone to use the condom? Is there something?
R: If you are seen everyday coming for the condoms, people may wonder,“Are you sexy that you cannot even refrain
even for a month (laughter) why are you finishing my condoms?” (Laughter)
I: Who will complain about condoms being finished?
R: Now the attitude, if you feel the sisters will see you being given 200 condoms.
I: So there are some clients who fear to come for condoms because they feel they will be seen?
R: I think the client service provider relationship is not really very confidential with all the providers, with some
providers. Because some women, if they feel somebody will know about the services they come for, they will not come
for it. So maybe she will come for a condom then she hears somebody say,“I heard that you came here for condoms, I
was told.”You see this client will say I was only with X, so why did Y also know? Which means they talked about it. So
clients will fear – also fear people knowing they came for the HIV testing.
I: Okay.
R: Because confidentiality is not guaranteed.
I: What can be the solution to that?
I: Privacy, confidentiality, they are some of rights of the client, so if the service provider doesn’t know that those are the
rights of the clients, he/she can just play around with them, but if you know them, you know how to go about it.


Interview Steps
Preparing for the Interview
Getting familiar with the instruments:
1 Study the interview guide.
2 Study the informed consent document.
STEPS

3 Practice with a partner.

Day of the interview:
4 Using a checklist, verify that you have all the equipment. (See the Interview Checklist, page 49.) If
the instruments and consent forms exist in more than one language, be sure you have the appropriate
ones for that participant.
5 Label all data documentation materials with an identical archival number, including tapes, notebooks,
and question guides. (See the module on Data Documentation and Management, page 83, for how to
create archival numbers.)
6 Arrive early at the interview site to set up equipment.
7 Test your recording equipment.

Conducting the Interview
8 Greet the participant in a friendly manner to begin establishing positive rapport.
9 Briefly describe the steps of the interview process (informed consent, question and answer, their
questions, reimbursement).
10 Obtain informed consent.
11 Turn on the tape recorder and verify that it is working.
12 Verify informed consent orally with the tape recorder on.
13 Conduct the interview according to the interview guide.
14 End the question-asking phase of the interview.
15 Give the participant the opportunity to ask questions.
16 Reconfirm the participant’s consent while the tape recorder is still on.
17 Turn off the tape recorder and thank the participant.
18 Clarify any factual errors expressed by participants during the interview.
19 Reimburse the participant in accordance with study procedures.

After the Interview
20 Check the tape to see if the interview was recorded. If it was not, expand your notes immediately.
21 Punch out the re-record tab.
22 Make sure all materials are labeled with the archival number.
23 Debrief with other field staff.
24 Assemble all materials into one envelope. Double-check that you have completed all forms and that
all materials are appropriately labeled. Note and explain any missing materials on the archival infor-
mation sheet. (See the module on Data Documentation and Management, page 83.)
25 Expand your notes within 24 hours if possible.


Interview Checklist
Make arrangements for
❑ Private setting for interview site
CHECKLIST

❑ Transportation of staff to interview site

❑ Transportation of participant to interview site

❑ Refreshments for participants (if applicable)

What to take to the interview
Equipment
❑ 1 tape recorder (plus 1 extra, if available)
❑ 2 blank 90-minute cassette tapes per interview

❑ Spare batteries

❑ Field notebook and pens

Interview packet

INTERVIEWS
❑ 1 large, heavy-duty envelope

❑ Archival information sheet with archival number

❑ 1 copy of interview guide (in the appropriate language for participant)
❑ 2 informed consent forms (1 for interviewer, 1 for participant, in the appropriate language)

❑ Participant reimbursement (if applicable)

❑ Reimbursement form (if applicable)

What to place in the envelope after the interview
❑ Completed archival information sheet
❑ Signed informed consent form (signed only by interviewer if oral, by participant and interviewer if
written)
❑ Labeled interview guide with notes

❑ Field notes

❑ Labeled cassette tapes, re-record tabs punched out
❑ Signed reimbursement form (if applicable)



Module 4
Focus Groups

FOCUS GROUPS


Focus Groups

F
ocus groups are a qualitative data collection method effective in helping researchers learn
the social norms of a community or subgroup, as well as the range of perspectives that
exist within that community or subgroup. Focus groups are often used to determine what
service or product a particular population wants or would like to have, such as in marketing stud-
ies. Because focus groups seek to illuminate group opinion, the method is especially well suited
for sociobehavioral research that will be used to develop and measure services that meet the
needs of a given population.

This module presents the fundamentals of using focus groups in applied qualitative research. It
includes:
• Overview of Focus Groups
• Logistics of Focus Groups
• How to Be an Effective Moderator
• How to Be an Effective Note-taker
• Steps in Moderating a Focus Group
• Steps in Note-taking for a Focus Group

FOCUS GROUPS
• Focus Group Checklist

Overview of Focus Groups
What is a focus group?
A focus group is a qualitative data collection method in which one or two researchers and several
participants meet as a group to discuss a given research topic. These sessions are usually tape-
recorded, and sometimes videotaped. One researcher (the moderator) leads the discussion by
asking participants to respond to open-ended questions – that is, questions that require an in-
depth response rather than a single phrase or simple “yes” or “no” answer. A second researcher
(the note-taker) takes detailed notes on the discussion. A principal advantage of focus groups is
that they yield a large amount of information over a relatively short period of time. They are also
effective for accessing a broad range of views on a specific topic, as opposed to achieving group
consensus. Focus groups are not the best method for acquiring information on highly personal or
socially sensitive topics; one-on-one interviews are better-suited for such topics. Table 7, page 52,
summarizes some of the strengths of focus groups in comparison to in-depth interviews.

Focus Groups 51

Table 7. Strengths of focus groups versus in-depth interviews

Appropriate for Strength of method
Focus groups Identifying group norms Elicits information on a range of
Eliciting opinions about group norms and opinions in a short time
norms Group dynamic stimulates
Discovering variety within a conversation, reactions
population

Interviews Eliciting individual experiences, Elicits in-depth responses, with
opinions, feelings nuances and contradictions
Addressing sensitive topics Gets at interpretive perspective, i.e.,
the connections and relationships a
person sees between particular
events, phenomena, and beliefs

What can we learn from focus groups?
Focus groups are especially effective for capturing information about social norms and the
variety of opinions or views within a population. The richness of focus group data emerges
from the group dynamic and from the diversity of the group. Participants influence each
other through their presence and their reactions to what other people say. Because not every-
one will have the same views and experiences – because of differences in age, gender, edu-
cation, access to resources, and other factors – many different viewpoints will likely be
expressed by participants.

Focus group data can also capture idiosyncratic experiences and views of individuals, but it is
preferable to collect that data during one-on-one interviews, rather than in a group environment.

Within a study, focus groups are typically one method among many that are used to create a
complete picture of how a given issue affects a community of people. Focus groups contribute to
this broad understanding by providing well-grounded data on social and cultural norms, the per-
vasiveness of these norms within the community, and people’s opinions about their own values.

What form do focus group data take?
Focus group data consist of tape recordings, transcripts of those recordings, the moderator’s and
note-taker’s notes from the discussion, and notes from the debriefing session held after the focus
group. Notes are initially handwritten in field notebooks, on the focus group guide, or on special
forms. After data collection, all handwritten notes are expanded into more complete narratives,
then entered into a computer.

How are focus group data used?
Typed transcripts are the most utilized form of focus group data. During the data analysis phase
of the research, after data collection, transcripts are coded according to participants’ responses to
each question and/or to the most salient themes emerging across the set of focus groups.


The moderator’s and note-taker’s expanded focus group notes (from the discussion and the
debriefing session) are used:
• by moderators during the focus group discussions, to remind themselves of questions they
need to go back to, where they need more complete information, etc.
• during debriefing sessions with other field staff and investigators
• during transcription of focus group recordings, to clarify and add contextual details to what
participants have said

Ethical Guidelines
How do I explain the purpose of the focus group?
Sometimes participants or potential participants ask focus group recruiters or facilitators to
answer questions about the research or the topic of discussion before the focus group session
begins. In this event, it is important not to talk about the topic in any detail, to avoid influencing
what people say during the discussion.

You should, however, explain the purpose of the focus group as it fits within the broader context
of the research study. In doing so, it is important that you be truthful and straightforward about
the objectives of the study and the anticipated risks and benefits to the individual participant and
the community. You should also identify the organizations involved in the study. Do not create
false expectations in order to obtain a participant’s cooperation. Be cautious about making even
small promises, such as saying a staff member can give a participant a ride home after the focus
group, unless you know for certain that they can be fulfilled.

Participants may ask you questions that you prefer to answer at the end of the focus group – for
example, if your response would risk influencing the discussion. Write them on a board or large
piece of paper to ensure that you come back to them at the end.

FOCUS GROUPS
What should I say about confidentiality?
Maintaining confidentiality requires special precautions and emphasis in focus groups. For this
reason, it is often preferable to avoid using participants’ names during the focus group. In such
instances, you should implement a system of name substitution before the session begins. For
example, you could assign participants numbers, letters, or pseudonyms for the moderator and
note-taker to use on the seating charts and to identify speakers in their notes.

Although the moderator and note-taker should assure participants that everything they share in
the focus group will be treated as confidential by project staff, they cannot promise that other
members of the focus group will do the same. It is therefore important to emphasize both at the
beginning and end of each session that participants should respect each other’s privacy and
anonymity. Once outside the focus group setting, they should not reveal the identities of other
participants nor indicate who made specific comments during the discussion.

If any participants express concern about their privacy during the focus group, assure them that
you have taken special precautions to protect participants’ identities and the data. You should
understand the procedures outlined in the study protocol for protecting participants’ privacy and

Focus Groups 53

be able to explain those steps clearly. You should also
Obtaining informed consent with focus group provide participants with the contact information of
participants
study officials whom they can call for more specific
1. For less literate populations, read the con-
sent form aloud to the participant. The form information. (If consent forms are being used, these
must be written and read in a language the contacts will appear on the forms.)
participant understands. Speak slowly. Ask
the participant often whether he or she If, after these assurances, any participants are still
understands what you are saying, and uncomfortable and wish to withdraw from the focus
explain any terms or sentences in your own
words as necessary. For more literate popu-
group, the moderator should respectfully acknowledge
lations, give the participant time to read the and support their right to do so and thank them for their
form. Then review each section with him or time and effort. The note-taker should then take the per-
her and check for comprehension. son or persons to the side, preferably to another room,
2. Once you are satisfied that the participant provide them with the full reimbursement (if there is
fully understands the research and his or one), and again thank them for their time. The modera-
her rights as a participant, ask for his or her
consent to be in the focus group.
tor should then redirect the focus group back to the dis-
cussion, taking care to avoid personal commentary.
3. If the study protocol requires you to obtain
written consent, ask the participants to sign
the consent form. After the participants sign How should informed consent be handled for
the forms, sign them yourself.
a focus group?
4. If the study protocol requires you to obtain
oral consent, you should sign the consent Before beginning the focus group, you must obtain
form to document that you have obtained informed consent in accordance with the procedures of
oral consent from these participants. the specific study protocol. Typically, you will obtain
Protocols may require that oral informed informed consent individually with each participant
consent be tape-recorded in full or in part,
before and sometimes again after the focus
before the person joins the group. As noted in the
group. Qualitative Research Methods Overview module,
5. Offer the participant a copy of the informed page 10, the overarching purpose of informed consent
consent form, written in a language the par- procedures is to ensure that participants understand
ticipant understands. This document should that they are not for any reason obligated to participate
always list the contact information for study in the focus group, nor are they required to answer any
officials to whom questions about the
research may be directed.
questions they do not wish to answer. Informed con-
sent for focus groups is often oral and may be tape-
recorded in full or in part, but some studies may
require written informed consent. It is also essential to provide participants with information on
how the focus group data will be used and who will have access to it.

Logistics of Focus Groups
Who conducts the focus group?
Focus groups work best when conducted by two researchers, often called facilitators. These facil-
itators have both individual and shared responsibilities. One person acts as the moderator of the
discussion and the other is the note-taker. Both facilitators should be prepared to perform either
role, in case it becomes necessary to switch roles during the focus group.


What does the moderator do?
Typical duties of the moderator are described in detail in this module’s section on How to Be an
Effective Moderator, page 59, and the specific scope of the moderator’s role will be clarified for
every project. In general, however, moderators are responsible for leading the focus group dis-
cussion, posing all questions specified in the focus group question guide, keeping the discussion
on track, and encouraging all participants to contribute.

What does the note-taker do?
Typical duties of the note-taker are described in detail in this mod-
ule’s section on How to Be an Effective Note-taker, page 69, and the
specific scope of the note-taker’s role will be clarified for every proj-
ect. In general, however, note-takers are responsible for taking
detailed notes of the discussion, even though focus group sessions
are typically tape-recorded. These notes serve as supplementary doc-
umentation of the discussion, documentation of the note-taker’s
observations, and as a backup in the event that the recording system
fails. Note-takers may also be responsible for tasks related to record-
ing (operating the tape recorder, labeling the cassette tapes, and tak-
ing appropriate security measures to protect the tapes once the
session is over). Finally, note-takers typically facilitate the logistics
of participant arrivals and departures, such as early withdrawal and
escort to the restroom.

What other duties do focus group facilitators have?
Depending on the protocol, focus groups facilitators may also be responsible for fulfilling the
roles, tasks, and obligations in the list that follows. If these tasks are not their responsibility,
facilitators should know who is performing them and be assured that everything has taken place
according to plan. Tasks include:

FOCUS GROUPS
• Recruiting participants according to the recruitment strategy outlined in the work plan.
• Reminding recruits of the focus group time and place. If the particularities of local public
transport could affect participants’ punctuality or their accessibility to the focus group loca-
tion, facilitators may need to arrange to transport participants from an agreed location. In
that case they would need to consider how to maintain confidentiality – for example, by
using an unmarked car or finding out whether participants are sensitive about being trans-
ported as a group.
• Answering any advance questions recruits may have, without providing information in
excess. To do this, you should be knowledgeable about the research topic. If you do not
know the answer to a question, tell the participant that you will research the matter and
respond later. Maintain your credibility by following up on such promises.
• Being reliable. Participants will be more likely to take the focus group discussion seriously if
you demonstrate your own commitment to the discussion. Arrive on time, with the recording
equipment, focus group guide, and notebooks, and be prepared to either moderate or docu-
ment the focus group, according to your role. Satisfy any commitments you make to partici-
pants, such as fact-finding and confidentiality, to the greatest possible extent.

Focus Groups 55

How many people are necessary for a focus group?
The qualitative work plan for each site will specify the approximate number of participants to be
recruited for each focus group, as well as the number of focus groups required for the project. A
typical number of participants is eight to ten people, with a maximum of 12.

In most cases, more than the target number of people will be recruited because it is common for
people who are scheduled to participate not to show up. If more than 12 people come to the ses-
sion, one of the facilitators should explain to the last arrivals that the group is already full, pro-
vide them with the full reimbursement (if there is one), offer refreshments (if applicable), and
thank them for coming. If a participant is especially disappointed at not being able to participate
in the focus group, the facilitator can try to schedule him or her for another group or for an indi-
vidual interview, if feasible.

How do I recruit people for the focus group?
Recruiting participants is often a challenge for a variety of reasons, including the often delicate
nature of working with vulnerable populations; possible stigmatization of participants resulting
from affiliation with the study; the high mobility of some populations; participants’ concerns
about confidentiality; and misinformation, lack of information, fear, or rumors about the study.

The work plan for each site should outline policies and strategies for recruiting participants.
However, it is common for realities in the field to necessitate creative revision of these strategies.
When developing a recruitment strategy, it can be helpful to consult with local people who are
active in or have connections to the study population. They may be able to offer ideas about how to
gain access to the population, how best to approach people, and possible obstacles to recruitment.

How do I identify individual participants in my notes?
In most cases you should identify individual participants by some convention other than their
real names. Once all participants have arrived, assign them each a number, letter, or pseudonym
and provide them with the materials to display their “nametag” clearly. Both the moderator and
note-taker should draw a seating chart and label it. This will be of benefit as you take notes dur-
ing the focus group and expand them later. The sample seating chart on page 70 uses numbers to
identify participants. The same numbers are used to identify which participant responds to the
question (e.g., “R10”) in the sample notes on page 71 and the sample transcript on page 78.

Where should I conduct the focus group?
Whenever possible, focus groups should be conducted in a location affording a maximum degree
of privacy to participants. This decision should be made by someone who is familiar with the
local area and cultural context.

How should I present myself to focus group participants?
Dress is an important part of making a good impression on participants, as are initial remarks, man-
ner of speaking, and body language. All of these should be appropriate for the specific culture and
setting and convey respect for the participants. Cell phones should be turned off and placed out of
view so as not to imply that the participants’ testimony is of secondary importance.


How long should the focus group last?
Focus group sessions usually last from one to two hours and should include time for participants
to take a break. If possible, they should be scheduled no closer than 90 minutes apart to allow
time for each staff member to take a break, participate in a debriefing session, and prepare for the
next focus group. As you begin the focus group, consider how much time you are likely to have
and set realistic goals for covering all of the questions in the focus group guide. Keep track of
which questions have been addressed, and be ready to redirect the conversation if necessary in
order to cover all questions. It is a good idea to record the start and end times of each focus group.

What if nonparticipants want to observe the focus group?
It is preferable that no outside observers (that is, someone who is neither a participant nor a facili-
tator) be present during the focus group. Their presence might inhibit participants from speaking
freely. Therefore, even stakeholders should be strongly discouraged from attending the discussion.

What if a participant does not stay for the entire discussion?
Participation in focus groups is always voluntary. Participants who do not want to remain for the
duration of the discussion, for any reason, should be reminded of the confidentiality agreement,
thanked for their participation, and reimbursed, if applicable. In such a situation, the note-taker
can take the participant aside to handle departure, and the moderator can take notes until the
note-taker returns.

What if the focus group is interrupted?
If a focus group discussion is interrupted by someone outside the group, take any steps necessary
to protect the confidentiality of participants. At the least, this will involve stopping the discussion
temporarily and explaining the private nature of the discussion to the person(s) responsible for
the interruption. Again, the note-taker can take the interrupter outside or aside to explain the
need for privacy.

FOCUS GROUPS
What if I want to refer a participant for help?
If, during the discussion, a participant appears to be distressed about information shared, the
moderator or note-taker might consider approaching the person after the focus group and offer-
ing to refer him or her for help as appropriate or desired.

How should I handle reimbursements?
Policies on reimbursements vary from study to study. In accordance with local practices and with
approval from relevant ethics committees, some studies provide financial compensation to partici-
pants. When this is the case, researchers should not refer to this compensation as “payment” or
“incentive” for participation. Instead, use the term “reimbursement,” which acknowledges that
the participant has taken time away from other obligations and may have incurred expenses, such
as transportation or child care, to meet with you.

Note that all participants should be provided with the full reimbursement sum, regardless of
whether they complete the focus group. This includes:

Focus Groups 57

• participants who arrive for the focus group and decide not to participate after all
• participants who choose not to answer some questions
• participants who turn out to have no knowledge about the focus group topic

Procedures for documenting reimbursement dispersal are study-specific and usually outlined in
the informed consent form. Commonly, in studies that require only verbal (and not written)
informed consent, the facilitator signs a statement certifying that each participant was given the
cash reimbursement. In studies that require written informed consent, participants may be asked
to sign a receipt.

Note that accounting personnel are not always aware of the confidentiality issues related to
research studies. The local principal investigator should be prepared to inform accounting per-
sonnel if the established reimbursement procedures risk compromising confidentiality, so that
alternative procedures may be created. These procedures should be worked out by the on-site
principal investigator before the focus group begins and must comply with the ethics committee’s
approved protocol.

How do I document the focus group?
Documenting the focus group consists of making tape recordings and writing notes. The note-
taker is responsible for taking detailed notes of the discussion and often for operating the record-
ing equipment. The moderator takes brief notes. Both facilitators should take the opportunity to
expand their notes during the debriefing session after the focus group, and/or generate a set of
debriefing notes.

What if the recording equipment fails?
Facilitators should practice operating the recording equipment before conducting any focus
groups and test it just before each session. If the equipment fails, the note-taker’s detailed notes,
supplemented by the moderator’s brief notes, will serve as backup documentation. It is important
to check for equipment failure immediately after the focus group and to expand notes as soon as
possible if a failure has occurred.

What should I do with my focus group recordings and notes?
The module on Data Documentation and Management, page 83, provides detailed guidelines for
handling your recordings and notes. To summarize briefly, the procedure consists of labeling all
materials according to the established convention, placing them together in one large envelope,
expanding all notes and entering them into computer files, transcribing the tapes, and entering
the transcripts into computer files. Facilitators should check the typed transcripts for accuracy if
the transcription is done by other staff members.

At the local level, the field staff should debrief each other, as well as the local site coordinator,
principal investigator, etc., about the focus groups they have conducted immediately after focus
groups, at staff meetings, or according to other arrangements as appropriate.


How to Be an Effective Moderator
The moderator is responsible for moving the discussion of each focus group along and for keep-
ing it on topic. A good moderator should be skilled at creating a discussion in which he or she
participates very little. In this regard, the moderator should stress the value of participants’ con-
tributions to the study and emphasize the moderator’s own role as a learner rather than a teacher.
Moderators also need to be adept at directing the discussion at a pace that allows all questions in
the guide to be addressed thoroughly. Having these skills depends on your familiarity with the
focus group guide, flexibility, ability to monitor and gauge the tone of the discussion, and ability
to make quick judgments about when and how to interject.

How do I prepare for a focus group?
An effective focus group facilitator knows the research material well and is practiced in the
method. As a first step in preparing for a focus group, become thoroughly familiar with the
informed consent documents. Although you will read the form to participants, you should also be
able to explain its contents in your own words. Be prepared to address any questions participants
may have about the content of the consent form, the terminology used, whom to contact for fur-
ther information, the purpose of the research, and so on.

Next, the moderator should become thoroughly familiar with the focus group guide. Being famil-
iar with the guide allows the moderator to be more engaged during the discussion, to adhere to
the guide more easily should the conversation begin to deviate from the questions, and to focus
on encouraging equal participation from group members rather than on locating the questions in
the guide. It is important to understand the purpose behind each question and how it fits within
the overall research aims. It may be necessary to rephrase questions that are unclear to partici-
pants, or to spontaneously think of follow-up questions and probes. You should be able to recog-
nize when participants have adequately addressed the intent of the question, when a response or
responses contain information that applies to a separate question or to a scripted follow-up ques-
tion, and when or which probes are needed to elicit additional information from individuals or

FOCUS GROUPS
from the group as a whole. Being familiar with the guide also enables you to use it flexibly, tak-
ing advantage of natural shifts in the discussion. It is advisable to review the focus group guide
before every session. If multiple versions of a guide have been developed, make sure you are
using the correct version.

It is also helpful to practice moderating in pilot or mock focus groups. Mock sessions, in which
you use the focus group guide and other project staff play the role of participants, allow you to
test your knowledge of the questions, your ability to probe and to keep the discussion on track,
and your flexibility. (Some suggested exercises are provided in the Exercises for Training Data
Collectors appendix, page 93.) You might also conduct practice focus groups with people in the
community who are not participating in the study. In that case, however, you must obtain
informed consent, just as you would from someone who was participating in the study. Informal
practice sessions – such as with friends, family, or support staff or other researchers – do not
require informed consent.

Another important step in preparing for a focus group is to label all materials that you will use dur-
ing the focus group – including notebooks and the focus group guide – according to a previously

Focus Groups 59

established convention for archiving the data. All items should be labeled identically. (See the Tools
for Data Managers appendix, page 105, for an example of archival conventions.)

Finally, it is very helpful to review debriefing forms from previous focus groups before conduct-
ing your own. Debriefing information will provide insights into questions that need more prob-
ing, topics that were not well covered in previous groups, and other useful information.

How do I encourage positive group dynamics?
Efforts by the moderator to cultivate a positive atmosphere for the focus group can foster a pro-
ductive and rewarding discussion that is rich in data. Ideally, participants will express a wide
range of perspectives and some points of disagreement, controversy, or debate, rather than con-
sensus. Of course, participants may all agree on a given issue, but you should make certain that
this is the case by encouraging participation of all those in attendance.

A crucial skill for moderating a productive focus group is the ability to build rapport with and among
participants from the start of the discussion. This involves quickly establishing a positive, relaxed, and
mutually respectful group dynamic. If participants do not feel comfortable expressing personal opin-
ions and experiences during the discussion, the focus group will not achieve its objectives.

Specific techniques for building positive rapport are culturally specific; words and behaviors that
would put someone of one culture at ease may be offensive in another. Therefore, if you are
unfamiliar with the context, it is a good idea to ask colleagues who have qualitative research
experience in the local culture for ideas about establishing rapport. Table 8 outlines some sugges-
tions for establishing and maintaining good rapport in any culture, and Table 9 suggests some
ground rules that can help ensure that the focus group goes smoothly.

Table 8. Behavioral techniques for building rapport in focus groups

Fostering a relaxed, positive Establishing mutual respect among
atmosphere researchers and group members
Be friendly Set ground rules at the beginning of the focus
group
Smile
Have a humble attitude
Make eye contact with participants (if culturally
appropriate) Do not be patronizing, for example, by
unnecessarily repeating everything participants say
Speak in a pleasant tone of voice or “talking down” to them

Use relaxed body language Do not scold or berate participants for the content
of their responses or for personal characteristics
Incorporate humor where appropriate
Do not allow any participants to berate others in
Be patient and do not rush participants to respond the group

Do not coerce or cajole participants into responding
to a question or responding in a certain way


How should I handle participants’ different personalities and emotional states?
Every focus group you conduct will be a unique experience, not only because what the partici-
pants say will be different each time, but also because the group dynamics will vary according to
the personalities and moods of the people who attend. Some groups will have a gregarious tone
to them, and others a serious or quiet tone. Whatever the case, your goal should be to keep the
discussion moving along, with as many people participating as possible. If someone presents an
obstacle to meeting this goal, such as by dominating the discussion, expressing a negative atti-
tude, or having an emotional outburst, you need to know how to reduce that person’s impact on
the group and to steer the discussion in a more productive direction.

In an interview setting, the interviewer might try to adjust his or her style to the character of the
individual participant. In contrast, in focus groups, the moderator has to maneuver the conversa-
tion among too many individuals for this technique to be practical. Following are suggestions for
handling common personality traits and emotional states within the focus group context.

If a participant is . . .
Talkative. If a participant holds the floor for too long, you may need to intervene. You could
start by thanking the person for his or her contribution and inviting others to comment on what
the person said or to provide alternative views. You might also try encouraging a talkative person
to make only one point at a time. You could, for example, step in as the person is introducing a
new topic and encourage the group to discuss the first point. You might also use body language
to discourage someone from talking for an excessive amount of time, such as decreasing your
eye contact with the talkative participant and increasing eye contact with other participants.

Table 9. Suggested ground rules for building rapport in focus groups

FOCUS GROUPS
Taking time to establish ground rules at the start of the focus group can save the moderator (and sometimes
the entire project staff ) much grief later on. All parties will be much better positioned if participants are kind
to one another during the focus group and if they respect one another’s privacy afterward. Laying ground
rules is your opportunity to address which behaviors are desirable and which are unacceptable.

Suggested ground rules include:
• Ask participants not to discuss details of the content of the discussion once they leave the focus group site.
• Ask participants to respect other group members by not divulging what any participant says during the
discussion or the identity of any individual present once they leave the focus group site. Remind them
that in the informed consent agreement, you have pledged not to disclose anything concerning their
participation in the study with anyone other than the research team.
• Ask that participants speak one at a time. A moderator may prefer to have participants speak in turn
according to seating, in the order in which participants indicate having something to say, or according to
no particular arrangement. Speaking one at a time lets everyone hear and react to each contribution; it
also makes the note-taker’s job easier.
• Ask participants to treat one another with respect. This means not doing anything that could cause
another member of the group to feel uncomfortable, such as singling out an individual for criticism,
name-calling, or making pejorative comments about any given contribution. All participants need to feel
free to express their opinions without fear of being attacked by the group.

Focus Groups 61

Prone to interrupt. One strategy is to remind the group that one of the ground rules of the focus
group is to refrain from interrupting other people. You might also thank the individual and sug-
gest returning to his or her point after the first speaker’s contribution has been completed.

Aggressive. You might first remind participants of the ground rule that no one is permitted to
insult or personally attack anyone else. You could also try to decrease the level of aggression by
calmly asking the individual in question to explain the reasoning behind the stated negative opin-
ion and then involving the rest of the group in the discussion.

Shy. Some participants will be hesitant to join an ongoing debate or discussion. You could offer
them a safer opportunity to speak by pausing the discussion and asking whether anyone else has
something to contribute. You could also pose questions directly to individuals who have been
especially quiet, thank them afterward for sharing their experience, and encourage them with
body language, such as smiling.

Angry. If a participant becomes angry, try to soften the level of emotion by acknowledging that
the issues at hand are indeed sensitive or controversial. If you consider it preferable to address
the person’s anger, steer the conversation toward the idea that it is the issue that is upsetting
rather than another participant.

Crying. If a participant begins to cry, it is up to the moderator to gauge whether it is better to
address the issue directly or not call attention to the person. If you decide to discuss it, you might
ask the person to identify the source of his or her distress. When the source is an issue related to
the content of the discussion, ask the group if other people feel emotional as well. If the issue
has to do with group dynamics, react accordingly, reminding people of the ground rule of mutual
respect, and so on. In some situations, the note-taker might take the crying participant aside to
resolve the situation.

Tired. If more than one participant begins to appear tired or irritable, it may be time to take a break.
Encourage people to get up and move around, use the restroom, and have refreshments (if provided).

What are some techniques for effective questioning?
Proficiency in techniques for asking effective questions is especially important for leading focus
groups in which participants speak liberally. This involves keeping track of which questions have
and have not been asked and answered; knowing how to phrase questions that encourage partici-
pants to provide elaborate, detailed (rather than brief) responses; and asking questions that elicit
the participant’s own views and experiences as opposed to reflecting the convictions of the mod-
erator. Relevant techniques include asking one question at a time, verifying unclear responses,
and using follow-ups and probes. You can remain neutral by asking open-ended questions and
avoiding leading questions.

What does it mean to ask one question at a time?
Be careful not to pose several questions at once without giving the participant an opportunity to
respond to individual questions. This is especially apt to happen when questions are grouped
together in the focus group guide. When it does happen, participants are unlikely to address each
of the questions in full. A better technique for getting answers to all the questions is to ask them


one at a time, which gives you the opportunity to provide clarification or to rephrase each ques-
tion. If participants do not understand the question or seem to have misinterpreted it, rephrase it.
If the question still does not stimulate a productive discussion, let it go and move on to the next
question. You might also try reintroducing the question later if there is an appropriate time.

How do I stay neutral?
Refrain from inserting your own biases by paraphrasing what participants have said or making
evaluative comments like “good” or “that’s interesting.” Instead, repeat their comments in their
own words, provide positive reinforcement by looking interested, and using neutral comments and
probes, such as, “I see” and “Any other thoughts about this?” You may also address questions to
the group, such as, “What do you [the group] think about what [name or identifier] just said?”

How do I verify unclear responses?
If you are unsure that you accurately heard what a participant said, verify the response before
going to the next question. You might say, for example, “I’m sorry, could you repeat what you
just said? I didn’t quite hear you.” Be careful not to imply that the response was somehow incor-
rect. Alternatively, you might use the mirroring technique, where you reflect the participant’s
answer back to him or her in question form. For instance, you might say, “So you told her that
you think being in that study is a sign of having tuberculosis?”

How do I ask open-ended questions?
Closed-ended questions are questions that may be answered with a single word or phrase, or
with a “yes” or “no” response. An example is, “Have you ever used the family planning services
at xxxx clinic?” It is difficult to glean much insight from these brief responses, because they usu-
ally do not indicate “why” or “how.” A better technique for getting in-depth answers is to phrase
questions as open-ended – that is, requiring more than a “yes” or “no” response. Open-ended
questions set no limits on the range or length of responses, instead giving participants the oppor-
tunity to explain their position, feelings, or experiences. An example is, “What were your experi-

FOCUS GROUPS
ences using the family planning services at xxxx clinic?”

What are leading questions and how do I avoid them?
Leading questions are questions worded in such as way as to influence participants’ responses –
in other words, questions that lead participants along a particular line of thinking. Asking leading
questions risks conveying your own value judgments and biases and imposing a perspective on
participants. When asked a leading question, participants are likely to provide a response that
accords with it simply because they are reluctant to contradict the moderator. To avoid this, ask
neutral questions free of preconceptions. Table 10, page 64, provides a comparison of leading
and unbiased questions.

What are follow-up questions and how do I use them?
Follow-up questions (or sub-questions) are intended to ensure that participants provide the com-
plete set of information each main question was designed to elicit. They prompt participants to
speak on some aspect that was not mentioned in response to the original question. Sub-questions
are often provided in the focus group guide under each main question or topic, as cues for the

Focus Groups 63

Table 10. Unbiased versus leading questions

Unbiased question Leading question
“I’ve heard some people in this community say that “Most smart people in this community always use
most smart people use a condom, and others say condoms, don’t they?”
that they know smart people who don’t use
condoms. What do you think?”

“Why did you want to use the female condom?” “Was one reason that you wanted to use the female
Potential follow-up question:“What were you trying condom because you were trying to prevent sexually
to protect yourself from?” transmitted infections?”

“What do you think stops people in the school “Do you think people in the school community
community from talking about sex and condoms?” don’t talk about sex and condoms because they
might be stigmatized and seen as loose?”

moderator. If a participant answers a sub-question in the initial response, it is not necessary to then
pose that sub-question. Engaged listening will help you decide which follow-up questions to ask.

What are probes and how do I use them?
Probes are neutral questions, phrases, sounds, and even gestures moderators can use in focus
groups to encourage participants to elaborate upon their answers and explain why or how.
Suggestions for probes are sometimes outlined in the focus group guide, but they are also left to
the discretion of the moderator. The particular probe used depends on the response given by the
individual participant. Probing therefore requires the moderator to listen carefully to participants
and to engage actively with what they say.

You should use probes when a participant’s response or contribution is brief or unclear, when a
participant or the group seems to be waiting for a reaction from you before continuing to speak,
or when a person appears to have more information on the subject. As much as possible, probe
for more detail about what the participant thinks, feels, and experiences in relationship to the
research topic. Do not assume that you understand the intent of a brief response. Instead, use
probes to further or confirm your understanding and to encourage more explanation. Be careful,
however, not to use probes to excess. Balance knowing when to probe with knowing when to
move on to the next question. If responses are repetitive or lacking in substance, or if the partici-
pant becomes annoyed or upset about lingering on a particular topic, it is best to advance to the
next question.

Probing is probably the most important technique in focus group moderation, but also the hardest
to master. It requires practice, thorough knowledge of the focus group guide and research objec-
tives, and a solid understanding of what kind of information each question is intended to elicit. It
also requires patience and sensitivity, effective time management, and good interpersonal skills.

What are indirect probes and how do I use them?
Indirect probes are verbal and physical expressions that indicate that the moderator is listening
attentively. It is important to note that the appropriateness and effectiveness of indirect probes


vary from culture to culture. The box on this page
offers examples of effective probes, including both Examples of effective probes
direct questions and indirect probes. Direct questions:
• “What do you mean when you say . . .?”
How do I manage the focus group discussion? • “Why do you think . . .?”
• “How did this happen?”
Moderating a focus group discussion is something of
an art. The moderator must be vigilant about covering • “How did you feel about . . .?”
all the material in the focus group guide, while also • “What happened then?”
ensuring that the entire group participates and that a • “Can you tell me more?”
wide range of perspectives has been solicited and • “Can you please elaborate?”
expressed. The role requires you to be fully engaged • “I’m not sure I understand X. . . . Would you
in the discussion, yet refrain from participating too explain that to me?”
much in it. You must know how and when to interject • “How did you handle X?”
and intervene, yet not interfere. • “How did X affect you?”
• “Can you give me an example of X?”
Facilitating group discussion
Indirect probes:
• Open with a general comment and wait for a • Neutral verbal expressions such as “uh huh,”
response. For example, you might say, “Family “interesting,” and “I see”
planning can be a complex issue …” or “What do • Verbal expressions of empathy, such as,“I can
you think about the issue that has brought us here see why you say that was difficult for you”
today?” Alternatively, you might address the first • Mirroring technique, or repeating what the
question to an individual who seems comfortable participant said, such as,“So you were 19
when you had your first child . . .”
speaking in front of the group. The first question
• Culturally appropriate body language or
in the focus group guide is usually designed to
gestures, such as nodding in acknowledgment
engage participants in discussion and may not
actually be intended to yield important data.
• Invite a wide range of commentary by asking participants for experiences, thoughts, and defi-
nitions. Also ask what others like them or others in their families think, say, or do that may

FOCUS GROUPS
be similar or different. If everyone appears to agree about a particular issue, verify this by
inquiring, “Are there any other points of view?” or “Does anyone see it differently?”
• Use silence to your advantage. Give participants a chance to think about the questions, and
do not be afraid to wait until someone speaks. In some cultures, people are comfortable with
silence; in others, they are not. In the latter case, allowing for pauses could be advantageous,
because eventually someone would feel compelled to speak to end the silence.
• Limit your own participation once the discussion begins. After going through the introductory
material, set the stage by posing a question and then letting the participants react to it for a
few minutes with limited direction from you. Do not provide commentary on each contribu-
tion or take on the role of counselor or educator. The moderator’s role is to elicit information,
not dispense it.

Covering the material in the guide
Moderators are responsible for asking all of the questions in the focus group guide. A good way
to keep track of the questions addressed is to check them off in the guide. This is especially prac-
tical when you ask questions in a different order than they appear in the guide and when a
response applies to a different or additional question than the one you initially presented.

Focus Groups 65

Checking off the questions also makes it easier to return to questions that were skipped in the
natural progression of the discussion.

Although the guide is designed to help the discussion flow easily, you usually do not have to fol-
low the exact order of questions. Try to cover each question thoroughly, because each question is
designed to elicit specific information. Probe each topic as necessary to get sufficient informa-
tion. Make notes in the discussion guide as a reminder to return to a question or address an issue
further. Take advantage of natural shifts in the discussion as they relate to questions in the focus
group guide. If an individual’s comments do not pertain to the research focus, look for opportu-
nities to steer the conversation back to the topic.

During the focus group discussion, moderators should
A good moderator . . . not correct participants. It is important in qualitative data
• Shows flexibility
collection to elicit all the participants’ perspectives,
• Shows sensitivity including misinformation. If inaccurate information is
• Has a sense of humor stated during the focus group, make a note to correct the
• Links ideas together misinformation but only after the focus group discussion
• Encourages participation from everyone is over. Afterward, however, the moderator should pro-
A good moderator tries not to . . .
vide correct factual information. For example, if, during
• Dictate the course of discussion the focus group, participants mention that there are no
• Lose control over the conversation HIV counseling services in the area, and the moderator
• Judge comments or be an “expert”
knows this not to be true, he or she can provide referral
information after the discussion ends. Or if someone
• Inform or educate during the group
mentions the belief that HIV can be transmitted by
• Lead a question and answer session
touching something an infected person has touched, you
should explain how HIV is spread.

Encouraging maximum participation
Try to include as many participants as possible in the discussion, keeping track of their participa-
tion by marking the seating chart each time individual participants contribute to the discussion.
Techniques for encouraging full participation include referring back to a reticent participant’s
previous comments if the current conversation relates it. For example, you might say, “What you
are describing sounds very similar to (or different from) what Beverly was talking about earlier.
What do you think about this, Beverly?” You might also direct one of the questions from the
focus group guide to a particular participant. After he or she responds, ask whether others agree
or disagree. Also, encourage participants to discuss the questions with each other rather than
address the moderator. Finally, remain in charge. Do not allow a pattern to develop in which
everyone orients toward one particular participant and his or her comments.

Focus group moderators write brief notes on the focus guide or in a notebook as they lead the dis-
cussion. Moderators necessarily take less detailed notes than focus group note-takers because their
primary responsibility is to engage in and lead the discussion with participants. (See the Case
Study Sample, page 68.) However, focus group moderators must be prepared to take more
detailed notes in the event that the note-taker has to leave the room. It can also be helpful to have


a backup note-taker available for this purpose. To facilitate note-taking and later transcription,
either the moderator or the participant should state the person’s identification (ID) number or
pseudonym before they respond or contribute.

How do I expand my field notes?
Key skills for qualitative researchers include the ability to take notes quickly and with discretion,
and then to expand those notes into rich descriptions. Moderators should expand their notes as soon
as possible after each focus group session. Expanding notes involves transforming shorthand into
prose or a narrative and elaborating on your initial observations.
Expanded notes are also called “field notes,” and they are writ-
ten directly into your field notebook or a computer file. Begin
each notebook entry with the date, time, place, and type of data
collection event. Eventually, all expanded notes should be typed
into computer files using a specific format as discussed in the
Tools for Data Managers appendix, page 105.

• Scheduling time to expand your notes, preferably within
24 hours from the focus group session. This requires disci-
pline, because it is easy to tell yourself that you will do it
later. A good time to expand your notes is just before or
after the focus group debriefing session. If you cannot
expand your notes the same day as the focus group, try to
do so first thing the next morning. This makes it less
likely that you will forget what an abbreviation stands for
or that you will have trouble remembering what you meant. Also, the sooner you review
your notes, the greater the chance that you will remember other things that you had not writ-
ten down. Good note-taking often triggers the memory, but with the passage of time, this

FOCUS GROUPS
opportunity is lost.
Use a separate page in your field notebook to expand the notes you wrote in the focus group
• Composing a descriptive narrative from your shorthand and key words. A good technique
for expanding your notes is to write a descriptive narrative describing what happened and
what you learned. This narrative may be the actual document you produce as your expanded
notes. Be sure that you create separate, clearly labeled sections to report your objective
observations versus your interpretations and personal comments.
• Identifying questions for follow-up. Write down questions about participant responses or com-
ments that need further consideration or follow-up, issues to pursue, new information, etc. This
continual adjustment of the research questions and techniques is part of the iterative nature of
qualitative research, because answers to some research questions lead naturally to others. In
some cases, your questions might be answered through further clarification from a participant.

Focus Groups 67

Sample Focus Group Guide

Family Planning Users Focus Group Guide

Archival #:
CASE STUDY

Site: Moderator:

Number of participants: Note-taker:

Date: Transcriber:

Start: End:

Excerpt from page 4:
(Question 4)
Have you ever gone to get your preferred method of contraception at the family planning clinic and found it was unavailable?

(4a) If so, what did the clinic staff tell you?

(4b) Did they ever try to give you a different method? Please explain what they said.

(4c) Did they ever refer you to a different clinic? Please explain what they said.

See page 71 for the note-taker’s sample notes from the same focus group.



How to Be an Effective Note-taker
Note-takers play just as important a role in focus groups as moderators. Their efforts, focused
largely on documentation, are essential in providing a record that can be used for immediate
review of the focus group data, improvement of the focus group guide, and improvement of the
facilitator’s skills. Ideally, note-takers should have the versatility to conduct the focus group in
the moderator’s stead should the need arise, but their expertise draws for the most part on a dif-
ferent set of skills. These skills include mastery of an efficient system for taking copious notes
and the ability to quickly identify and take down individual quotes that capture the spirit of a
given point. Effective note-takers should also be careful observers of verbal and nonverbal
behaviors and be discreet about note-taking as they operate the recording equipment. They
should be able to synthesize their observations to serve as the basis for immediate discussion fol-
lowing each focus group session. Gaining proficiency in these areas rests on preparation for the
focus group, developing effective note-taking techniques, and learning how to lead a productive
debriefing session.

How do I prepare for the focus group?
An effective note-taker knows the research material well and is practiced in the method. As a
first step in preparing for a focus group, become thoroughly familiar with the focus group guide
for several reasons. First, as mentioned previously, you might need to conduct the focus group at
the last minute or perhaps to fill in temporarily during a portion of the discussion. Thorough
knowledge of the guide will enable you to step seamlessly into this role. Knowing the guide
thoroughly is also essential for being able to track the questions as you take notes. You want to
be able to easily identify and indicate the question to which a noted response pertains. Develop a

FOCUS GROUPS
system of shorthand for associating answers with questions that will be simple for you to expand
when completing your notes later on. Finally, if you know the guide well, you are more likely to
understand the purpose behind each question, which will enable you to identify quotations that
capture the essence of an answer or stance.

Another step in preparing for a focus group is to practice taking notes in a pilot or mock focus
group. Practicing note-taking is best done in cooperation with a moderator who is also rehearsing
his or her part in a focus group. Mock sessions, in which the moderator uses the actual or real
focus group guide and other project staff play the role of participants, allows you to test your
knowledge of the questions and note-taking skills. (Some suggested exercises are provided in the
Exercises for Training Data Collectors appendix, page 93.) You and the moderator might also
conduct practice focus groups with people in the community who are not participating in the
study. In that case, however, you must obtain informed consent, just as you would from someone
who was participating in the study. Informal practice sessions – such as with friends, family, or
support staff or other researchers – do not require informed consent.

continued on page 72

Focus Groups 69

Sample Note-Taker Form with Field Notes

Focus Group Note-Taker Form

Archival #: Site:
CASE STUDY

Date: Focus Group Category:

Start time: Moderator:

End time: Note-taker:

Seating chart :
Make a seating chart indicating the participants and their number or identifier. Use this chart to identify speakers as you
take notes.


Sample Note-Taker Form with Field Notes (contd.)

Focus Group Note-Taker Form

Archival #: __________________ Date: __________________ Note-taker: ____________________________

Question Responses Observations
(# or key words)

FOCUS GROUPS
Archival #: CCFGFPU01
Site: Capital City Hospital
Note-taker: Marie K.
Date: 15-6-04

A lack or shortage of FP supplies appears to be a recurrent problem at this clinic. All participants
agreed that supplies are sometimes not available, for example pills and injectables. (How often
does this happen???)
Another problem with the supply is that the prices change and women travel to the clinic to find they
didn’t bring enough money.They expressed that in that case coming to the clinic is a waste of time
because they leave empty-handed even though the supplies were there. (Find out why prices change.)
One person said when there are supply problems they are told to switch methods.
(Who recommends this? Doctor? Nurse? How often does this occur? How many women end up
abandoning FP for this reason? Potential for problems adjusting to new methods – but no one
mentioned this. Do women in fact switch methods?)
It seems like women are left to their own devices when the supply runs short.There don’t seem to be
any temporary solutions offered or advised. Participants laughed but nonetheless appeared frustrated
about the lack of concern of the clinic staff. One person imitated a staff member throwing up her
hands and saying,“Sorry, nothing we can do for you!”

Focus Groups 71

continued from page 69

It is also important to practice operating the recording equipment to prevent disruption during the
middle of a session. Know how many batteries are required, the range of the microphone, how to
quickly flip or change the tape, and the convention for labeling the tapes accurately. Bring a suf-
ficient number of tapes and extra batteries to the focus group, and test the tape recorder before
every focus group session.

Another important preparatory step is to label all materials that you will use during the focus
group – including cassette tapes, notebooks, note-taking and debriefing forms, and the focus
group guide – according to a previously established archival system. All items should be labeled
identically. (See the Data Documentation and Management module, page 87, for information
about archival numbers.)

Finally, arrive early to set up the focus group space and equipment. Be sure to arrange timely
transportation to the site so that you have time to set up before participants arrive. You should also
find out where the closest restrooms are located. It might be wise to allow for extra travel or set-
up time if you have never been to the location, and take traffic into consideration. Set up the
recording equipment according to the range of the microphone. Remember that you will need to
sit next to the recorder during the discussion. (It is preferable for the note-taker to sit off to the
side from the group, if possible.) You should then verify that the equipment is working properly.
Make sure that features such as pause, voice activation, and high-low recording levels are turned
off, and that extra batteries, tapes, and a spare tape recorder are readily accessible. Place chairs in
a circle or around a table, so that all participants will be able to see the moderator and each other.

Focus group note-takers are responsible for taking detailed notes on what they observe and on
what participants say during the focus group, regardless of whether the focus group is being
tape-recorded. These notes serve as a backup when recording fails and to capture nonverbal
information. Every note-taker develops his or her own style, which will undoubtedly evolve and
become more precise and efficient over time. Although the specifics of how you organize your
process is up to you, the tips on page 73 offer some suggestions. (See also the Case Study
Samples, pages 70-71.)

Key skills for qualitative researchers include the ability to take notes quickly and with discretion,
and then to expand those notes into rich descriptions. (See the Case Study Samples, page 71.)
Note-takers should expand their notes as soon as possible after each focus group session.
Expanding notes involves transforming shorthand into prose or a narrative and elaborating on
your initial observations. Expanded notes are also called “field notes,” and they are written
directly into your field notebook or a computer file. Begin each notebook entry with the header
information, including the archival number, site, date, names of the moderator and note-taker,
and start and end times. Eventually, all expanded notes should be typed into computer files using
a specific format, as discussed in the Tools for Data Managers appendix, page 105.


TIPS

Tips for taking focus group notes
Create a form on which to write your notes. If a note-taking form is not provided, creating one can help you
organize your notes during the session and make it easier to expand your notes. For example, you might have
several columns – one to identify the speaker, another to write quotes or the main idea of what a speaker said,
and another in which to write your observations. Begin each notebook entry with the date, time, place, and
type of data collection event, and either leave space on the page for expanding your notes, or plan to expand
them on a separate page. (See the section in this module on “How do I expand my notes?”)

key words and phrases that will trigger your memory when you expand notes. However, remember that your
notes will be the only documentation of the session if the recording fails or is faulty. Try to capture the content
of all essential verbal contributions, and when possible, to document especially representative quotes word-
for-word.
Record participant identifiers. It can be a great help during later transcription if you note the identifier of each
participant as they speak. The moderator can make this easier for you by asking participants to say their iden-
tifier before making a contribution.


Record both the question and the response. If the question or probe comes from a focus group question guide,
save time by noting the question number. If it is not possible to record direct quotations, write down key
words and phrases.

Distinguish clearly between participant comments and your own observations. You could use your own ini-
tials or “MO” to indicate “my observation.” For example:“MO – embarrassed by empty beer bottles in room.”
This documents the researcher’s observation that the participant seemed embarrassed about the empty beer
bottles in the room.

FOCUS GROUPS
Cover a range of observations. In addition to documenting what people say, note as well as you can their body
language, moods, or attitudes; the general environment; and other information that could be relevant.

• Scheduling time to expand your notes, preferably within 24 hours from the focus group ses-
sion. This requires discipline, because it is easy to tell yourself that you will do it later. A
good time to expand your notes is just before or after the focus group debriefing session. If
you cannot expand your notes the same day as the focus group, try to do so first thing the
next morning. This makes it less likely that you will forget what an abbreviation stands for
or that you will have trouble remembering what you meant. Also, the sooner you review
your notes, the greater the chance that you will remember other things that you had not
written down. Good note-taking often triggers the memory, but with the passage of time,
this opportunity is lost.
Use a separate page in your field notebook to expand the notes you wrote in the focus group

Focus Groups 73

Sample Focus Group Debriefing Form

Focus Group Debriefing Form
Archival #:
CASE STUDY

Date: Name of Study:

Moderator:

Note-taker:

(1) What are the main themes that emerged in this focus group?

(2) Did any information contradict what you learned in previous focus groups?

(3) What did participants say that was unclear or confusing to you?

(4) What did you observe that would not be evident from reading a transcript of the discussion (e.g., group dynamic,
individual behaviours, etc.)?

(5) What problems did you encounter (e.g., logistical, behaviors of individuals, questions that were confusing, etc.)?

(6) What issues will you follow up?

(7) Does the note-taker have any suggestions for the moderator and vice versa?


• Composing a descriptive narrative from your shorthand and key words. A good technique
for expanding your notes is to write a narrative describing what happened and what you
learned. This narrative may be the actual document you produce as your expanded notes. Be
sure that you create separate, clearly labeled sections to report your objective observations
versus your interpretations and personal comments.
• Identifying questions for follow-up. Write down questions about participant responses or com-
ments that need further consideration or follow-up, issues to pursue, new information, etc. This
continual adjustment of the research questions and techniques is part of the iterative nature of
qualitative research because answers to some research questions lead naturally to others. In
some cases, your questions might be answered through further clarification from a participant.

How do I lead a debriefing session?
The note-taker typically conducts a debriefing session with the moderator immediately after the
focus group. This should ideally begin shortly after the discussion session has ended, say within
15 minutes or a half-hour. Although the mood should be more relaxed than during the discussion
session, it should not be completely informal. Debriefing is a very important part of focus group
research and must be done with a certain degree of rigor to maximize its usefulness.

Debriefing has multiple purposes:
• To log any additional information about the focus group while it is still fresh in the memory.
For example, even when audiotapes are used to record the session, there will be nonverbal
communication, such as gestures, facial expressions, eye contact, tension, that will not be
picked up on tape.

FOCUS GROUPS
• To discuss issues or comments that need clarification. Field notes explaining confusing parts
of the focus group will be valuable for helping other researchers to interpret the transcripts
later on.

• To discuss particular questions that did not work well and why.

• To note any information that contradicts or confirms data collected in previous sessions.

• To discuss new topics that arose during the focus group.

• To identify missing information. Comparing what information was being sought with what
was actually learned can help moderators plan how to solicit this information more effec-
tively in subsequent focus groups.

• To identify information that needs to be researched outside the focus group setting. This may
have to do, for example, with cultural norms, fact-checking, or specifics about the study.

Focus Groups 75

• To discuss trouble spots that came up during the focus group, with regard to participants,
group dynamics, and questions. It may be necessary to develop new strategies for dealing
with a particular issue for subsequent focus groups.

• To provide the moderator and note-taker a forum for giving each other constructive feedback.

How do I take and use debriefing notes?
Note-takers use debriefing forms to record all points and issues that come up during the debrief-
ing sessions. Creating and using a debriefing form will help you to be consistent and thorough
about which aspects of the focus group you discuss at each session. (See the Case Study Sample,
page 74.) These notes must then be typed and appended to the focus group transcript in the
computer file.

Debriefing notes are used for two purposes. Before the start of every new focus group, modera-
tors and note-takers review debriefing notes from previous sessions. This helps them to make
adjustments and improvements as they conduct the next session. Debriefing notes are also shared
and reviewed during staff meetings, when data collectors and other researchers discuss what they
are finding and any questions or problems they may have. This helps all the researchers to get a
sense of what is and is not working well, which issues require follow-up, and whether any new
issues are emerging as potentially important.


Suggested Readings
Greenbaum TL. The Handbook for Focus Group Research. New York: Lexington Books, 1993.

Krueger RA. Moderating Focus Groups (Focus Group Kit). Thousand Oaks, CA: Sage
Publications, 1997.

Krueger RA, Casey MA. Focus Groups: A Practical Guide for Applied Research. Thousand
Oaks, CA: Sage Publications, 1994.

Morgan D. Focus Groups as Qualitative Research. London: Sage Publications, 1988.

Morgan D. Successful Focus Groups: Advancing the State of the Art. London: Sage
Publications, 1993.

For additional information on this topic, refer to Chapter 4: Collecting Qualitative Data: The
Science and the Art, Appendix 4: Procedural Guidelines for Managing Focus Group Discussions,
Appendix 6: Topic Guides for Focus Group Discussions on Reproductive Health, and Appendix
8: Common Errors in Moderating Focus Groups in these companion guides:


FOCUS GROUPS

Focus Groups 77

Sample Focus Group Transcript

Family Planning Users Focus Group
CASE STUDY

Archival #: CCFGFPU01
Site: Capital City Hospital Moderator: Sandrine B. M = Moderator
Number of participants: 10 Note-taker: Marie K. R = Respondent
Date: 15-6-04 Transcriber: Sandrine B.
Start: 15:30 End: 16:50 Typist: Samuel D.

Excerpt from page 5:
(Question 4)
M: Even the way you are all here, I believe you are under different family planning methods. There are those who are
under the injection, there are those who are using pills, there are those who are even using condoms; let me ask, is there a
time you went to an FP clinic and found that injectables were not available? Or the pills were not available? Is there any
time that this has happened?
R: Yes. (in chorus)
R10: That one is very common. You could have prepared that you are coming for injections or pills, then they tell you that
the pills are not there. You wait . . . maybe you go to buy and find they are not even there and you know . . . you could get
that they are selling them at thirty shillings and you don’t have that.
M: Mmm
R10: Coming back they tell you the pills are not there, they tell you we don’t have this type . . . change to this . . . you know
it causes a lot of problems and we are having that problem. Especially people who are on pills.
M: There has always been a shortage?
R5: Oh yes.
Respondents: Yes yes. (in chorus)

(Question 4a)
M: Now when you experience such a problem of shortage of stock, let’s say for pills or so, what do these providers advise
you?
R2: They just tell you to go.
R8: Because the pills are not there, they therefore just leave you to go.
M: They are not there.
R8: There is no single advice they give.
M: No single advice?
R8: They tell you that the pills are not there.
M: So you go?
R8: Yes.
M: Come back maybe when . . . when they have . . .
R5: (Interjects) They don’t even tell you to come back!
M: Mmm . . . they don’t tell you anything?
R3: But in some places they advise you. If you find that there are no pills the doctor can get them for you from elsewhere
immediately.
M: Where is this sister?
R3: XXXXX
M: So they provide an immediate solution?
R3: Yes.
R1: But here it’s like you wait on till the stock is brought.


Sample Focus Group Transcript (contd.)

(Question 4b)
M: Do they ever attempt to advise you on an alternative?
R7: No they don’t.
M: They don’t?
R: Yes (some respondents say yes).
R2: They just tell you to go back home and take care of yourself.
M: That you just go back home and take care of yourself? Now, how do you take care of yourself?
R6: You should not have sex with your husband.
M: You should not have sex with the old man?
R6: Mmm.
R8: Or they say to use condoms but if there are none then the advice is no good.

(Question 4c)
M: So there’s no time that you are referred to another place or there’ s nothing like that?
R: (Majority) There’ s nothing like that . . .

FOCUS GROUPS

Focus Groups 79

Steps in Moderating a Focus Group
Preparing for the Focus Group
1 Study the focus group guide.
3 Practice both moderating and taking notes.
STEPS

4 Decide with the note-taker how you will handle not using participants’ real names.
5 Review debriefing notes from previous focus groups.
6 Prepare a checklist of everything you need to bring to the focus group. (See the Focus Group
Checklist, page 82.)
7 Confirm the reservation of the focus group location and arrange for refreshments (if applicable).

Day of the Focus Group
8 Before leaving for the focus group, use a checklist to verify that you have all equipment.
9 Arrive early at the focus group site to set up the room and materials.
10 Label all data documentation materials.
11 Greet and check in participants.
12 Obtain informed consent from each participant before they join the group (unless the note-taker has
this responsibility).
13 Assign identifying pseudonyms or numbers to participants and provide materials for making name
cards (unless the note-taker has this responsibility).
14 Make a seating chart to identify speakers in your notes.
15 Introduce yourself and explain your role.
16 Lay the ground rules.
17 Lead the discussion according to the focus group guide.
18 Take brief notes in the focus group guide during the discussion.
19 End the question-asking phase of the discussion.
20 Give the note-taker the opportunity to ask questions.
21 Give the participants the opportunity to ask questions.
22 Obtain oral confirmation of the group’s informed consent while the tape recorder is still on (if
specified in the protocol).
23 After the focus group, clarify any factual misconceptions expressed by participants.
24 Reimburse the participants in accordance with study procedures.
25 Wrap up all conversations and clear the room.

Immediately after the Focus Group
26 Take a break.
27 Participate in the debriefing session led by the note-taker.
28 Using a checklist, gather all forms and notes.
29 Expand your notes, within 24 hours if possible.


Steps in Note-taking for a Focus Group
Preparing for the Focus Group
1 Study the focus group guide.
3 Practice taking notes and moderating.
STEPS

4 Obtain or create note-taking and debriefing forms.
5 Prepare a checklist of everything you need to bring to the focus group. (See the Focus Group
Checklist, page 82.)
6 Decide with the moderator how you will handle not using participants’ real names.
7 Review debriefing notes from previous focus groups.

Day of the Focus Group
8 Before leaving for the focus group, use a checklist to verify that you have all equipment.
9 Arrive early at the focus group site to set up the recording equipment.
10 Test the recording equipment.
11 Label all data documentation materials.
12 Greet and check in participants.
13 Obtain informed consent from each participant before they join the group (unless the moderator has
this responsibility).
14 Assign identifying pseudonyms or numbers to participants and provide materials for making name
cards (unless the moderator has this responsibility).
15 Make a seating chart to identify speakers in your notes.
16 Introduce yourself and explain your role.
17 Monitor the recording equipment discreetly throughout the focus group.
18 Write notes on the note-taker form about what people say and what you observe.

FOCUS GROUPS
19 Turn away latecomers or extra participants, but provide them with the reimbursement, outside the
room where the discussion is being held.
20 Provide reimbursements to participants who drop out of the focus group early.
21 At the end of the discussion, ask the group for clarification of any questions you have.
22 Stop the tape recorder after the group has orally confirmed their consent.
23 Reimburse the participants in accordance with study procedures.
24 Wrap up all conversations and clear the room.

Immediately after the Focus Group
25 Take a break.
26 Lead the debriefing session.
27 Using a checklist, gather all forms and notes.
28 Assemble all materials into one envelope. Double-check that you have completed all forms and that
all materials are appropriately labeled. Note and explain any missing materials on the archival infor-
mation sheet. (See the module on Data Documentation and Management, page 83.)
29 Expand your notes, within 24 hours if possible.

Focus Groups 81

Focus Group Checklist
Make arrangements for
❑ Private setting for focus group site
CHECKLIST

❑ Transportation of staff to focus group site

❑ Transportation of participants to focus group site

❑ Refreshments for participants (if applicable)

What to take to the focus group
Equipment
❑ 1 tape recorder (plus 1 extra, if available)
❑ 2 blank 90-minute cassette tapes per focus group

❑ Spare batteries

❑ Field notebook and pens
❑ Name card materials

Focus group packet
❑ 1 large, heavy-duty envelope

❑ Archival information sheet with archival number
❑ 2 copies of focus group guide (1 for moderator, 1 for note-taker)

❑ Informed consent forms (enough for all participants)

❑ Note-taking form
❑ Debriefing form

❑ Participant reimbursement (if applicable)

❑ Reimbursement form (if applicable)

What to place in the envelope after the focus group
❑ Completed archival information sheet
❑ Signed inform consent form (signed by moderator and/or note-taker)

❑ Labeled focus group guide with notes (moderator’s copy)

❑ Labeled focus group guide (note-taker’s copy)

❑ Note-taker’s field notes
❑ Labeled cassette tapes, re-record tabs punched out
❑ Signed reimbursement form (if applicable)



Module 5
Data Documentation and Management:
Organizing and Storing Your Data

DATA MANAGEMENT


Data Documentation and Management:
Organizing and Storing Your Data

B
ecause they capture the thoughts and experiences of individual people, every set of
qualitative data collected (from every participant observation event, interview, and focus
group) is distinct. In addition, individual researchers inevitably have differences in style
that affect how data are managed in the field, and different locations have unique logistical con-
straints. Thus, systematically comparing and analyzing qualitative data in raw form is challenging.

Organizing data in a rigorous, standardized way is essential to their security and to the validity of
the study results, however. Consistency is important for every study but is especially crucial for
large, team-based projects involving extensive amounts of data located in multiple sites.

Your study’s local principal investigator or data manager will set up a data management system
that is specific to your site. This module suggests a general method for the complex task of sys-
tematically managing qualitative data, covering the following topics:
• Converting Raw Data to Computer Files
• Organizing Data Storage
• Suggested Reading
• Data Archiving Steps
• Data Management Checklist

For a specific study, the procedures outlined in this module may be followed exactly or adapted,
as the principal investigator or data manager sees fit. The Tools for Data Managers appendix,
page 105, contains a detailed example of a transcription protocol and data archive model, which
should be of interest to your study’s data management personnel but is likely less relevant for
field workers.

Converting Raw Data to Computer Files
What do we do with audio recordings?
In-depth interviews and focus groups are tape-recorded whenever possible. Preparing these DATA MANAGEMENT
recorded data for analysis requires transcribing all tapes and typing the transcriptions into com-
puter files. Before transcription, the tabs on the tapes should be punched to prevent them from
being recorded over. Next, backup copies of the tapes should be made. The backup copies should
be securely stored in a separate location from the original tapes.

What happens to the handwritten field notes?
Participant observers, focus group facilitators, and interviewers take handwritten notes to docu-
ment a wide range of information, including:

Data Documentation and Management 83

• casual and structured observations
• verbatim quotes
• paraphrases of participant responses
• interview and focus group backup documentation
• the researcher’s questions
• questions, conclusions, and observations discussed during the staff debriefing sessions

These notes are written on standardized forms, the interview or focus group question guide, or
field notebooks, according to the situation.

For focus groups and interviews, after transcribing all relevant recordings, the transcriptionist
types up the interviewer’s or focus group moderator’s corresponding handwritten field notes.
These typed field notes could either be appended to the transcript within the same file or kept in
a separate file (the principal investigator or data manager would make this decision). Whatever
the case, the typed field notes provide contextual information that could enhance the researchers’
understanding of the transcript and therefore need to be easily identifiable as part of the same
data collection event. Expanded notes from each participant observation event should be typed as
separate computer files.

When should we begin typing the data?
Transcription of recordings and typing of field notes should begin as soon as possible after the
data collection event. Tapes of interviews and focus groups should be processed as soon as they
are archived, rather than allowed to accumulate. Field notes should be typed as soon as the data
collector has expanded them (if they are not typed while they are being expanded).

What does transcription involve?
To transcribe an audio recording, the transcriptionist listens to the tape and simultaneously writes
down or types everything that is said on the tape. Nonverbal sounds (such as laughter, sirens, some-
one knocking on the door) are also often noted on the transcript. Transcription is performed by either
the data collectors themselves or other staff hired specifically as typists or transcriptionists. When the
transcriptionist is not the person who collected the recorded data, the interviewer or focus group
moderator who did collect it should review completed transcripts for accuracy. Transcripts may also
need to be translated into the language(s) of the organization sponsoring the study.

Does it matter what format is used for transcription?
Whether one person or many staff members are involved in transcription, it is highly recom-
mended that everyone involved in a given study use a common format for transcribing all record-
ings. That is, there should be standard conventions for identifying the researcher and individual
participants throughout the transcript. There should also be a uniform way of presenting informa-
tion on the location, date, and type of data collection event.

These conventions should be detailed in a project-specific transcription protocol which precisely
outlines procedures and formats for transcribing recorded data. A sample transcription protocol is


provided in the Tools for Data Managers appendix,
page 108, for your use or adaptation. Note, however, Naming transcript files
that this protocol reflects the specifications of the To avoid confusion, consider using the archival
data-analysis software frequently used by the authors. number as the computer file name for the
The transcription protocol you develop for your own transcript. As with the archival number, the file
study should similarly reflect any formatting or other name should indicate the site name, method of
data collection, participant category, and
requirements of the software that you will use. sequential number.
Whether the research team or some other entity is in
charge of data analysis, it is important to determine For example, for your fifth individual interview
such requirements before even the first transcription is with a health care service provider at your study's
Capital City site, the naming convention might be:
done. Doing so will save much work later. If you find
that the software does not require any specific format, File name: CCIISP05.doc
it is still important for you to design a systematic and CC = Capital City
consistent transcription protocol.
II = In-depth interview
SP = Health care service provider
What do we name the computer files?
05 = Fifth data collection event (either in
You should name the computer file for each interview this category, or sequentially for all events)
and focus group transcript according to a standard
convention specified in the transcription protocol. As
previously noted, such conventions are project-specific. To avoid confusion, consider using the
archival number as the computer file name for the transcript. As with the archival number, the
file name should indicate the site name, method of data collection, participant category, and
sequential number. (See the box above for a sample.)

What other information should we include in the computer files?
Each transcript or set of notes should begin with a standard header that indicates the archival
number, site, data collector’s name(s), date of data collection, data collection method, transcriber,
translator, typist, and date of computer entry. (See the sample on page 86.)

Organizing Data Storage
Who organizes the data?
The site coordinator or principal investigator typically assigns a member of the research team or
other staff member to be the data manager. This person is in charge of creating a system of
organizing and archiving (that is, storing) the data, and for ensuring that all staff members follow
these procedures for the duration of the study. This helps ensure the security and integrity of the
data. It is also a good idea to have one person who always knows where all data are located.
DATA MANAGEMENT

How should the data be organized?
In the Tools for Data Managers appendix, page 105, a detailed sample protocol for organizing
data (called the Model Data Archive Protocol) is provided for the data manager to use as a
model. However, it is important that each project have a set of procedures that are appropriate for
the site and that make sense to the research team. If a project has multiple sites, one system
should be used in all sites to avoid confusion.


Sample Header for Typed Field Notes or Transcripts

Archival #:

Site:

Data collector(s):

Date of data collection:

Data collection method:

Transcriber:

Translator:

Typist:

Date of computer data entry:

Note: This is the same header information that you will have written at the top of your field notes, the interview and focus
group guides, note-taker form, and debriefing form.

What steps should we take before data collection?
A strategy that works well for keeping data organized, and which should be implemented even
before data are collected, is to create packets of all necessary forms for each kind of event using
large, heavy-duty envelopes, sometimes called “archival envelopes.” Then, when you are ready to
do the data collection – for example, a focus group – you can go to the study office and get a
focus group envelope containing the focus group guide, note-taker form, informed consent
forms, debriefing form, reimbursement form, and all other materials you will need. At that time,
the data manager should assign an archival number to the data collection event. (See the section
on page 87, “What are an archival number and archival log?”) This strategy enables researchers
to label all materials with the appropriate archival number before the event.

Where should we put the data after collection?
Centralizing data, or keeping them all together in one place, is a key element of managing data
in an organized and systematic fashion. All physical data (notes, tape recordings, transcripts, etc.)
should be kept in a locked filing cabinet or equally secure location. We recommend keeping all
documents related to a given data collection event in a secure location at each field site, in one
large, heavy-duty archival envelope per event with an archival information sheet. (See the Case
Study Sample, page 88.) The envelope’s contents will include typed transcripts, expanded field
notes, debriefing notes, handwritten versions of the notes, and possibly cassette tapes.

The data manager may also decide to store the original tapes in the envelope, but backup copies of
tapes should be stored separately (or vice versa). Eventually, both copies of the tapes will be
destroyed for reasons of confidentiality. Once you are instructed by the project manager or coordi-
nator to destroy the tapes, it will be necessary to put documentation of this in the archival envelope.


Copies of all electronic files should be sent to the sponsoring organization and also maintained at
the field site.

What are an archival number and archival log?
All data, both electronic and paper, are organized and identified according to archival numbers –
numbers assigned in sequential order to each data collection event. The archival number is used
to label all documentation related to a particular data collection event. The archival log is the list
of sequential numbers assigned to each data collection event and is used to track data. (See the
Case Study Sample, page 89, for an example of an archival log created to track interviews. For
more information, see the sample Model Data Archive Protocol in the Tools for Data Managers
appendix, page 105.)

Suggested Readings
McLellan E, MacQueen KM, Niedig J. Beyond the qualitative interview: data preparation and
transcription. Field Methods 2003;15(1):63-84.

For additional information on this topic, refer to Chapter 5: Logistics in the Field and Chapter 6:
Qualitative Data Analysis in these companion guides:

DATA MANAGEMENT


Sample Archival Information Sheet

Archival Information Sheet
Study: ____________________________________ Archival # ______________
CASE STUDY

Data type: Interview Focus group Participant
(circle one) observation
Indicate type of __ FP Provider __ FP Users __ FP Clinic
participant(s) or __ HIV Clinic Staff (#________) __ HIV Clinic
observational setting: __ FP Users
__ FP Non-users __ FP Non-users
(#________)
Gender (circle one): Age: Ethnicity: Language of Data:

Female

Male

Data in this envelope: Staff: Name Date

Cassette tape Data collector

Interview guide notes Transcriber

FG note-taker notes Translator

FG guide notes Typist

FG debriefing notes

Handwritten field notes

Expanded field notes

Handwritten transcript

Translation

Hardcopy of Electronic

Data Sign-out:
Name Item(s)/Purpose Date Out Date In


Sample Archival Log

Interview Data Tracking Form

Archival # Category* Interviewer Transcriber Translator Typist Date of Language Sex Age Date to
Interview of Interview Manager

* SP = Health care service provider
HP = Provider for HIV/AIDS-related services

Data Documentation and Management
FPU = Family planning users
FPN = Family planning non-users

89
DATA MANAGEMENT

Data Archiving Steps
In the Field
1 Label all materials (tapes, guide, field notes, forms).
2 Punch the re-record tabs on each cassette after the interview/focus group is completed.
3 After data collection, return all materials to the large, heavy-duty envelope.
STEPS

At the Research Office
4 Return all materials, including field notes and expanded field notes, to field office as soon as possible
(no later than 48 hours).
5 Obtain the archival number if you did not do so before data collection.
6 Write the archival number on the archival envelope, all materials, and all pages of the question guide.
7 Complete the archival information sheet and place it in the envelope with the other items.
8 Duplicate tapes as soon as possible (within 24 to 48 hours).
9 Store materials in a secure location.

Translating and Transcribing Data
10 Sign out the duplicate audiotape (on the large envelope itself) and other necessary materials for
transcription or translation (e.g., notes). Do not take the entire envelope from the secure location.
11 Conduct the translation or transcription.
12 Write the archival number on the translated or transcribed data.
13 Record new materials (e.g., diskette and hard copy of transcription or translation) on the archival
information sheet.
14 Return all materials to the envelope.
15 Return the envelope to the secure data area and record the return of data per the data manager’s
procedures.

Data Transfer to Project Manager or Coordinator
16 Verify the accuracy of the translation and that transcription protocol has been followed.
17 Remove identifying information from the transcript (if necessary).
18 Send the transcript to the project manager or coordinator and send a copy to individuals designated in
the study protocol. If you send the transcript electronically, we recommend that you password-protect
it and place a hard copy in the archival envelope.
19 The project manager or coordinator should confirm receipt of data. Document this in writing and put
it in the archival envelope.
20 Make sure all materials are returned to the archival envelope and return it to the secure data storage
area.
21 Print any correspondence regarding a particular archival number and place it in the archival envelope.

Maintain security and confidentiality of data at all times.


Data Management Checklist:
Items to Be Labeled and Placed in the Archival Envelope
Participant observation
CHECKLIST

❑ Handwritten notes, including maps and diagrams
❑ Expanded notes
❑ Archival information sheet

❑ Any additional documentation relevant to the event

In-depth interviews
❑ Consent form signed by the interviewer (and participant if obtaining written consent)
❑ Audiotape(s) of the interview

❑ Handwritten notes

❑ Expanded notes
❑ Transcripts (handwritten and typed, with translations)


❑ Correspondence related to the data collection event

Focus groups
❑ Consent form signed by the focus group moderator (or participants if obtaining written consent)
❑ Audiotape(s) of the focus group
❑ Handwritten notes

❑ Seating chart

❑ Expanded notes

❑ Debriefing notes

❑ Correspondence related to the data collection event

DATA MANAGEMENT


APPENDICES/GLOSSARY

Appendices and Glossary


Appendix A:
Exercises for Training Data Collectors

APPENDIX A
The most effective way to learn how to use the qualitative methods described in the preceding
modules is to practice them. The following exercises have been used extensively in training
workshops for developing country settings. Trainers should feel free to use and modify them as
they see fit.

Exercise 1: Planning for participant observation
Objectives:
• To choose an appropriate location for doing participant observation
• To decide how to best match field staff to the study population and context
• To create a list of topics or questions to guide observation
What you will need:
• A research topic (real or hypothetical)
• A study population (real or hypothetical)
Instructions:
As a class, in groups, or in pairs, discuss places that would be appropriate for doing participant
observation on a research topic of interest. Consider which field staff members would be best
suited for each location and how they might adjust their appearance in order to be inconspicuous.
Determine the best times to do participant observation activities, including times of day and days
of the week. Create a list of questions or topics to direct focused observation. Discuss safety
issues that might arise.

Exercise 2: Practicing collaborative participant observation in a natural context
Objectives:
• To experience being a participant observer
• To discover the challenges of taking notes during participant observation
• To practice describing settings, people, and activities
• To work collaboratively with other field staff to combine multiple perspectives
• To become more aware of researchers’ potential biases
• To practice differentiating objective observations from subjective interpretations


What you will need:
• An observation site accessible from the training facility
• A study population (must be real people)
• Field notebooks
• Large sheets of paper, such as flip chart paper
• Markers
Instructions:
In pairs or small groups, go to a location specified by the trainer, with the objective of describing
the setting and people in it. Spend anywhere from 45 minutes to two hours at the location,
depending on the type of place it is.

a. Writing field notes
While at the site, write your observations in your field notebook. Address the following questions:
• Where are you?
– Area description
– Map of the area
• Who is there?
– Approximate age
– Ethnicity
– Languages spoken
– Gender
– Occupation
• What are they doing?
• As you observe, what questions come to mind?

b. Combining your observations with those of other staff for a class presentation
Return to the training facility. Spend one to two hours working in small groups to prepare a
15-minute group presentation synthesizing what you observed. Draw a map of the location
where you did participant observation to show as part of your presentation. (See Exercise 3,
page 95, for a more detailed map exercise.)

c. Supportive class critique
After each group presentation, other class members will question and critique the presenting
group in a constructive manner. Give special attention to distinguishing between objective and
subjective elements of the group’s presentation. The goal of this critique is to encourage each
group to think about what they may have not considered, help them identify their biases, and
practice distinguishing observation from interpretation.


d. Debriefing session

APPENDIX A
Complete the exercise with a general debriefing session among class members. Address the
following questions:
• How did the participant observation experience go overall?
• Were you able to engage in conversation with people? How did you do this?
• Describe what you did to map out the site.
• What note-taking strategies did you use?
• How did you practice discretion?
• Did you feel uncomfortable at any time?
• Did you decide to explain your identity and purpose to anyone? If so, what did you say?
• Did you choose to remain an outsider or did you try to blend in?
• What could you have done to more effectively assimilate with the people in the setting?
• How would you change what you did in this exercise if you could do it again?
• What evidence do you have for the observations you made?

Exercise 3: Making an ethnographic map
This exercise can be done in conjunction with Exercise 2, page 93.

Objectives:
• To collaboratively create a map of the participation observation setting that will be useful to
consult throughout the project
• To experience being a participant observer
• To practice investigating a location, including asking people to help you understand particular
aspects of it
• To practice revealing your purpose to people in the observation site
• To describe a setting in detail
• To work collaboratively with other field staff to combine multiple perspectives
What you will need:
• An observation site accessible from the training facility
• A study population
• Courage
• Field notebooks
• Large sheets of paper, such as flip chart paper
• Markers


Instructions:
a. Investigating the site
In pairs or small groups, go to a specific nearby location for the purpose of making a map of the
location and its environs. While you are there, ask people around you for help in understanding
the activities taking place and in identifying any organizations, stores, etc., that may not be obvi-
ous to you. Take care not to alarm people about the purpose of your map. Reveal your identity
and purpose to the extent you think reasonable and appropriate. Also take advantage of this
opportunity to talk informally with people who are potential key informants.

b. Sketch a map and write field notes at the observation site
Sketch a small map in your field notebook. Observe what activities are being done where and
note them on your map. Note the types of people who are there and anything else you observe.

c. Collaboratively make a map and present it to the class
Return to the training facility. Using your notes and any drawings you made while at the site,
work in your small groups to create a combined, detailed map of the observation area, indicating
where pertinent activities are occurring and the key actors involved (each small group should cre-
ate one map). Make it as complete as possible, including any significant markers, businesses,
buildings, or geographical formations. When you have finished, brainstorm about the implica-
tions of your map. Based on what you learned, what recommendations might you make concern-
ing potential participants or about doing research in this community? Present your map, its
implications, and your recommendations to the class for feedback.

d. Supportive class critique
After each group presentation, the class or a specific group should question and critique the pre-
senting group in a constructive manner. Give special attention to distinguishing between the pre-
senting group’s objective and subjective elements. The goal of this critique is to encourage each
group to think about what things they may have not considered, to identify their biases, and to
practice distinguishing observation from interpretation.

Exercise 4: Practicing objectivity in reporting
Objective:
• To practice differentiating objective observation from subjective interpretation
• To practice taking notes in the observation setting
What you will need:
• An observation site or sites
• Observation objectives
• Field notebooks


Instructions:

APPENDIX A
a. Reporting observations
Individually or in teams, go to different observation sites or different areas of a single site. Spend
30 minutes to one hour there quietly observing. In your notebook, record what you see. On one
page, present your observations as objectively as possible. On a second page, report the same
observations in a more subjective manner, indicating your own interpretation of what is there.

b. Supportive class critique
Return to the training facility and divide into pairs. Exchange notebooks with your partner. Read
your partner’s notes describing objective observations and subjective interpretation. Provide your
partner with constructive feedback about his or her ability to distinguish between objective
observation and subjective interpretation. When everyone has finished, each pair will present a
summary of the feedback to the class. Data collectors should always be able to provide evidence
for their observations.

In-Depth Interviews
Exercise 1: Interview circle
This exercise works well with both large and small groups.

Objectives:
• To practice interviewing and probing
• To experience being interviewed
• To become familiar with the interview guide
• To enable trainers/project leaders to evaluate each team member’s strengths and areas for
improvement

What you will need:
• An interview guide (preferably one to be used in the study)

Instructions:
a. Round robin
One person starts by asking the person next to him or her the first interview question. The inter-
viewer should ensure that the question is addressed completely, including following up with
appropriate probes. That interviewee responds to the question, and then turns to the next person
and asks him or her the second question in the interview guide. Continue going around the room
until everyone has had an opportunity to ask and answer a question, or until all the questions on
the interview guide have been exhausted.

b. Self-critique
At the end of the round robin, each individual team member should describe the difficulties
experienced as an interviewer and as an interviewee.


Individuals comment on the performance of other team members, focusing on whether the inter-
viewer was successful in eliciting answers that satisfied the question.

d. Instructor critique
After everyone has had a chance to describe their experience, the trainer provides feedback
regarding what team members did well during the round robin, as well as areas needing improve-
ment. The trainer should also review interviewing techniques as necessary.

Exercise 2: Establishing rapport
Objectives:
• To practice putting participants at ease
• To become more conscious of how your behavior could affect people negatively

What you will need:
• Familiarity with local cultural norms

Instructions:
a. Identify positive techniques
As a class, make a list of suggestions for culturally appropriate ways to put someone at ease
from the beginning to the end of an interview. Address the following questions:
• How should you start the interaction?
• What could you say or do initially to make the participant feel relaxed?
• What could you say or do to make the participant feel more comfortable during the inter-
view if the conversation becomes tense?
• What would make a participant feel that he or she could trust you?
• What parting words or behaviors will help the participant leave with the feeling that he
or she had a positive interview experience?

b. Identify potentially damaging techniques
As a class, make a list of things an interviewer might do that would be offensive to a participant
or that would discourage the participant from speaking freely. Address the following questions:
• What sort of blunder might an interviewer commit that would make someone feel
uncomfortable? Offended? Hurt? Angry?
• What kind of clothing would express disrespect for the participant in this culture?
• What kinds of culturally specific words or gestures would convey interviewer bias?


Exercise 3: Paired interviews

APPENDIX A
Objectives:
• To practice conducting interviews
• To practice probing
• To become familiar with the interview guide
What you will need:
• An interview guide
Instructions:
a. Interviewing
Pick a partner in the group and decide with that person who will play the role of interviewer and
who will be the participant. Spend 10 minutes asking your partner questions from the interview
guide. The person playing the participant should feel free to take on a persona, such as talkative,
irritable, shy, etc. This will help the interviewer to work on probing. After 10 minutes, exchange
roles and repeat the exercise for another 10 minutes. Use different questions so as to become
familiar with the entire interview guide by the end of the exercise.

b. Performance and supportive class critique
At the end of the 20 minutes, each pair will perform their interview for the class. The class will
then critique each pair, citing both the positive points of the interview and areas needing
improvement.

Exercise 4: Mock interviews
Objectives:
• To practice interviewing someone outside of the research team
• To practice recording and taking notes during an interview
• To practice identifying and avoiding leading and closed-ended questions
• To practice transcribing an interview
What you will need:
• Someone who is not a member of the research team
• Tape recorder, cassettes, batteries
Instructions:
a. Mock interview
Outside of the training facility, do a mock interview with someone who is not a member of the
research team (for example, a friend or family member). Use a real interview guide. Tape-record
the interview and take notes just as you would during a real interview.


b. Transcription
The trainer will assign you a point at which to begin transcribing the interview. You may transcribe
by hand or at a computer. Transcribe about five minutes of the tape.

After you have finished transcribing a five-minute segment, exchange your transcript with a part-
ner and give each other feedback on:
• The positive points of the interview
• Areas for improvement
• Use of leading and closed-ended questions
• The quality of the transcription
After all pairs have had a chance to critique their work, each pair will present a summary of their
critiques to the class.

Exercise 5: Probing
Objectives:
• To become more proficient at knowing when to probe
• To become more proficient at using the probes scripted in the interview guide
• To improve your ability to create probes spontaneously based on individual participant
responses
• To practice identifying and avoiding leading and closed-ended questions
• To know the questions well enough to not have to focus on reading from the guide
What you will need:
Instructions:
Either in pairs or in interview circle fashion, team members will play the roles of interviewer and
participant. Interview each other using a real interview guide, and focus on probing both with
scripted and original probes. Probing requires being attentive and responsive to the participant.
To practice this skill, cover up the interview guide after asking each question. This will force you
to focus your attention on the participant instead of the guide.

Probes should be purposive and related to the objectives behind each question. After asking a
question and following up with probes, ask yourself if the information you received from the
participant is useful and satisfies the intent of the question. Identify any leading and closed-
ended probes you asked and discuss with your partner how to word them differently.


Focus Groups

APPENDIX A
Exercise 1: Role-playing
Objectives:
• To practice leading a focus group
• To practice accommodating different types of personalities
What you will need:
• A focus group guide
• At least four people (one to play the moderator, three to be participants)
Instructions:
a. Assign roles
Select one person to be the moderator. The other members of the research team will suggest a
type of personality they would like to play. These could include types such as talkative, aggres-
sive, shy, or scornful, as well as other culturally relevant examples (devout, elderly, young, silly,
joker, etc.).

b. Mock discussion
Have a mock focus group discussion, with each person playing the role he or she selected. Let
speakers take turns playing the moderator.

As a group, discuss positive points about the mock discussion as well as areas that need
improvement. Give each other suggestions on how to respond and react to each type of person.

Exercise 2: Note-taking and role-play
This exercise can be done in conjunction with Exercise 1, above.

Objectives:
• To practice taking notes during a focus group
• To practice accommodating different types of personalities
What you will need:
• A focus group guide
• At least four people (one to play the moderator, two to be participants, and one to be the
note-taker)
• A note-taker form


Instructions:
a. Assign roles
Select one person to be the note-taker and another to be the moderator. Identify types of charac-
ters and assign them to other team members, as described in Exercise 1, page 101.

b. Create a note-taking form
The person chosen to play the note-taker will devise a form to use in keeping track who is speaking.

c. Mock discussion
Have a mock focus group discussion, with each person playing the role he or she drew and the
note-taker taking notes on the discussion. Let team members take turns in the note-taker role.

d. Supportive class critique
After everyone has taken a turn as note-taker, compare and discuss as a group the adequacy of
the different note-taking forms created, the specific difficulties you had taking notes, and solu-
tions for how you might address these. Discuss how effectively the group feels each note-taker
documented what was important in the discussion.

Data Management
Exercise 1: A Day in the Life
This exercise can be used with any size group and adapted to any qualitative method. It can also
be done as part of a longer mock interview or focus group exercise.

Objectives:
• To rehearse the steps of data management from beginning to end
• To practice creating and using data collection checklists
What you will need:
• Flip chart and markers
• Paper and pens for each team member
• Large, heavy-duty envelopes
• Equipment relevant to the method
– Interviews: tape recorders, cassettes, batteries, field notebook, pens
– Focus groups: tape recorders, cassettes, batteries, field notebook, pens
– Observations: field notebook, pens
Instructions:
Choose the method you will practice during the exercise (participant observation, interview,
focus group). Adapt the instructions below according to the method you select.


a. Creating checklists

APPENDIX A
As a group, create two checklists appropriate to the data collection method. One should be called
“What to Take with You” and the other, “What to Submit after Data Collection.” The checklists
provided at the end of the interview and focus group modules can serve as models. Each team
member should make a handwritten checklist to use later.

b. Creating forms
As a group, create the forms you will need for data collection with the particular method. These
include:
• Observations: list of focal points for observation
• Interviews: informed consent forms, interview question guide, reimbursement forms
• Focus groups: informed consent forms, focus group question guide, note-taker form,
debriefing form, reimbursement forms

c. Getting ready for data collection
Assemble the materials you would need for data collection on a table. Include equipment, large
envelopes, and forms. One by one, each team member should approach the table and use their
checklist for “What to Take with You” to make up a packet of materials. One person acting as the
data manager should stand at the table and assign a sequential archival number to each person as
they complete their packet.

d. Practice using forms and equipment
Label all materials with the assigned archival number. Fill out all forms as if you had done the
data collection. Sign the informed consent and reimbursement forms. If practicing interviews or
focus groups in the exercise, test the recording equipment. Do not forget to make a page labeled
“Expanded Notes.”

e. Submitting the data
Using the checklist for “What to Submit after Data Collection,” assemble the completed forms
and all other data collection materials you would need to submit. Return the packet to the data
manager.

f. Supportive class critique
The data manager will open one packet and check its contents for completeness in front of the
group. Then each team member should be given a packet not their own, check its contents, and
report back to the group.


Appendix B:
Tools for Data Managers

APPENDIX B
All data collectors will perform some aspects of data management as they collect and handle
data, using the forms and procedures described in the preceding modules. However, it is likely
that a person in the role of data manager will take primary responsibility for keeping close track
of all the data at once. In this appendix we provide models of data archival and transcription pro-
tocols that data managers may use or adapt to meet the needs of the project.

Model Data Archive Protocol
How to archive the data
1. Create a master archival log for each field site, such as the one in the sample below. Each
data collection event will have its own entry on the log and be assigned an individual
archival number. The archival number is made up of letters indicating the name of the field
site (CC for Capital City), the data collection method (FG for focus group), participant cate-
gory (FPU for family planning users), and a sequential number. For simplicity, some data
managers will elect to assign each data collection event a sequential number as it is entered
into the archival log, grouping participant observation, interview, focus group data together –
for example, CCFGFPU01, CCIISP02, CCIIFPN03, etc. Other data managers may choose to
keep a separate log (and number sequence) for each type of data collection method and cate-
gory of participant – for example, CCFGFPU01 (focus groups with family planning users),
CCIISP01 (in-depth interviews with service providers), and CCIIFPN01 (in-depth interviews
with family planning non-users). (See sample, page 89.)

Sample Master Archival Log

Master Log
Site Name: ___________________________________________ Page # _____

Participant Number
Archival # Interview Focus Group Date Assigned
Observation Assigned by:

2. Assign an archival number to each data source as you enter it on the archival log. The data
manager should assign each event an archival number before the data collection event. (This
could be done as the field staff member checks out the recording equipment and other neces-
sary documentation materials.)


Sample Archival Information Sheet

Archival Information Sheet
Title of Research Phase/Project: ____________________________________ Archival # ______________
CASE STUDY

Data type: Participant
(circle one) Interview Focus group
observation

Indicate type of participant(s) __ FP provider __ FP users __ FP clinic
or observational setting:
__ HIV clinic staff __ FP non-users __ HIV clinic

__ FP users

__ FP non-users

Number of persons interviewed/observed: Gender of person(s):
(circle):
Female Male
Approximate age of person(s): Ethnicity (if appropriate):

Method of recording data (mark all that apply): Additional/backup location(s) of data:
Audiotape

Field notes

Interview guide notes

Focus group note-taker notes

Focus group guide notes

Expanded field notes

Transcription

Translation

Electronic, translated transcription

Person(s) who collected data: Date:

Person(s) who transcribed data: Date:

Person(s) who translated data: Date:

Person(s) who typed data: Date:


3. Label a large, heavy-duty envelope with the archival number and place all labeled items from
the data collection event inside it. Do not write any potentially identifying information such as

APPENDIX B
full or partial names or addresses on the envelope or any other item. Use one envelope for each
interview, focus group, or participant observation event. Do not include materials from more
than one interview or focus group in a single envelope. Write the archival number on every
item that is related to a data collection event and that is placed into the archival envelope.
4. Create an archival information sheet for the data source, such as the one in the sample on
page 106. It should ask for type of data, date of data collection, data collector, translator, typ-
ist, number/age/gender of people interviewed or observed, characteristics of participants
(such as sex worker, truck driver, community leader, elder, employer, service client, or med-
ical research participant), data collection method (such as notes or tape recordings), location
of original data, and the electronic file name. Note that the first box on the archival informa-
tion sheet requests the archival number.
5. Fill out the archival information sheet with as much information as possible.

How to keep track of collected data
1. Make every effort to ensure that envelopes containing data are filed at the research office as
soon as possible and no later than 48 hours after data collection. Between the time the data
are collected and the time the envelope is filed at the research office, all materials must
remain in the possession of the interviewer/moderator or in a securely locked location. Under
no circumstances should a field worker give data to someone outside the research team, even
to hold or watch temporarily.
2. Follow the sign-out procedures established by the data manager. Whenever an item is
removed from an archival envelope, record the following information: the name (not just the
initials) of the person removing the item(s), the date removed, and the reason for removal.
Record the date the items are returned. Note that these procedures apply to removal of tapes
even for transcription, for translation, and for checking a transcription or translation against
the original tape. Sign-out procedures must be followed even if the item is removed only for
a few minutes.
3. List all transcripts, translations, and typed notes on the archival information sheet when you
add such materials to the archival envelope.
4. Note the location of all computer files on the archival information sheet, including the specific
computer where the digital copies are stored and the specific folder where the files are
located.
5. Submit transcripts, typed field notes, and typed debriefing notes to the sponsoring organiza-
tion electronically, by fax, or by courier. We recommend that you include an itemized list of
all materials being sent and include the archival number.
6. Place copies of all materials documenting the transfer of files to outside parties in the
archival envelope. This includes copies of e-mails showing electronic transfer of files, and
copies of fax cover sheets and fax delivery confirmations. For material sent by courier,
include copies of the cover letter, shipping instructions, and tracking number.


Model Transcription Protocol
The following, adapted from McClellan, 2003, is an example of what a transcription protocol
might look like. Data managers are free to adapt it to suit project needs.

Tape Storage
Store all tapes that are not actively being transcribed or reviewed in a locked cabinet.

Text Format
Transcribe all interview and focus group recordings using Times New Roman 12-point font, with
one-inch margins on all sides and left justification of the text.

Interview Transcript Header
Label all individual interview transcripts with the following header, left justified at the top of the
document:
Participant ID:
Interviewee Category:
Site/Location:
Date of Interview:
Interviewer ID:
Transcriptionist:

For individual interviews, the Participant ID is composed of the archival number of the interview
tape, followed by the sequential number assigned to each participant. For example, for the partici-
pant interviewed on the tape with the archival number LL007, the Participant ID is LL007_1.

For Interviewee Category, indicate Service Provider, Community Gatekeeper, or Service
Consumer, as noted on the tape. Record the location, date (day/month/year), and the interviewer’s
identification numbers.

Press “Enter” twice after the header, leaving a single blank line between the header and the
interview transcript.

Type the speaker ID. Before the transcript of each question or response, identify the speaker
using the Interviewer ID or Participant ID, preceded and followed by a double pound sign (##).
For example: ##LL007_1##.

Press “Enter” once after the speaker ID.

Start the text of the question or response on the next line.

The first part of every document will thus resemble the following sample:


Sample Interview Transcript Header

APPENDIX B
Interview Transcript
Participant ID: LL005_1

Interviewee Subgroup #: Service Provider

Site: Lilongwe Clinic

Date of Interview: 05/11/03

Interviewer ID: ILL3

Transcriptionist: John Smith

##ILL3##
OK, before we begin the interview itself, I’d like to confirm that you have read and signed the informed
consent form, that you understand that your participation in this study is entirely voluntary, that you may
refuse to answer any questions, and that you may withdraw from the study at any time.

##LL005_1##
Yes, I had read it and understand this.

##ILL3##
Do you have questions before we proceed?

Focus Group Transcript Header

Label all focus group transcripts with the following header, left justified at the top of the document:
Focus Group Archival #:
# Participants:
Site:
Focus Group Sample:*
Date of Interview:
Moderator ID:
Note-taker ID:
Transcriptionist:

* The Focus Group Sample refers to the subgroup of people who are participating in the focus
group (for example, truck drivers, community stakeholders, public health officials).

Press “Enter” twice after the header, leaving a single blank line between the header and the
focus group transcript.

Type the speaker ID. Before the transcript of each question or response, identify the speaker
using the Interviewer ID or Participant ID, preceded and followed by a double pound sign (##).
For example, ##LL007_1##.


The Participant ID for each individual participating in the focus group is the archival number
from the focus group tape, followed by _1 for the first speaker, _2 for the second speaker, etc.
(for example, tape archival number LL007 becomes Participant ID LL007_1 for the first speaker,
LL007_2 for the second speaker, and so on.)

For focus group participants who cannot be readily identified on the tape, type the archival num-
ber from the tape, followed by _UNKNOWN. For example: LL007_UNKNOWN would mean
unidentifiable participant for the focus group with archival number LL007. Do not use
“UNKNOWN” in interview transcripts.

Indicating the Start of a New Tape
Indicate the start of a new tape for an interview or focus group by typing “START OF TAPE _,
SIDE A.” Be sure to use capital letters. You should also indicate in the transcript when you turn
the tape to side B. For example:
START OF TAPE 1, SIDE A
Transcript
SIDE B
Transcript
START OF TAPE 2, SIDE A

Indicating End of Interview/Focus Group
Press “Enter” twice after the last line of interview/focus group transcript text, leaving two blank lines.

Type END OF INTERVIEW in capital letters on the last line of the transcript to indicate that
the interview session has ended. For example:

Sample End of Focus Group Transcript

Excerpt from Focus Group Transcript
##ILL3##
Is there anything else that you would like to add?

##LL007_1##
Nope, I think that about covers it.

##ILL3##
Well, thanks for taking the time to talk with me today. I really appreciate it.

END OF INTERVIEW


Transcribing Contents of Tape

APPENDIX B
Transcribe all tapes verbatim (that is, word-for-word, exactly as words were spoken).

Indicate all nonverbal or background sounds in parentheses. This includes laughter, sighs,
coughs, clapping, snapping of fingers, pen clicking, car horn, birds, etc. For example: (short
sharp laugh), (group laughter), or (police siren in background).

Do not “clean up” the transcript by removing foul language, slang, grammatical errors, or mis-
used words or concepts.

Transcribe any mispronounced words exactly as the interviewer or participant pronounced them.
If a transcribed mispronunciation risks causing problems with the reader’s comprehension of the
text, use the following convention: [/word as it would correctly be pronounced/]. (For translation,
mispronunciations will be ignored and only the correct translation will be provided.) For example:
I thought that was pretty pacific [/specific/], but they disagreed.

Standardize the spelling of key words, blended or compound words, common phrases, and
identifiers across all interview and focus group transcripts.

Transcribe both standard contractions (e.g., contractions of the following words: is, am, are,
had, have, would, or not) and nonstandard contractions (e.g., betcha, cuz, ‘em, gimme, gotta,
hafta, kinda, lotta, oughta, sorta, wanna, coulda, couldn’ve, couldna, woulda, wouldn’ve,
wouldna, shoulda, shouldn’ve, or shouldna).

Transcribe all fillers, sounds that are not standard words but that do express some meaning. For
example: hm, huh, mm, mhm, uh huh, um, mkay, yeah, yuhuh, nah huh, ugh, whoa, uh oh, ah, or
ahah.

Transcribe repeated words or phrases.
I went to the clinic to see, to see the nurse.

Transcribe truncated words (words that are cut off) as the audible sound followed by a hyphen.
For example:
He wen- he went and did what I told him he shouldn’ve.

Unclear Speech
Indicate tape segments that are difficult to hear or understand on the transcript. For words
or short sentences, use [inaudible segment]. For example:
The process of identifying missing words in a tape-recorded interview of poor quality is
[inaudible segment].

For lengthy segments that are difficult to hear or understand, or when there is silence because no
one is talking, record this information in square brackets. Also provide a time estimate for the
information that could not be transcribed. For example:
[Inaudible: 2 minutes of interview missing]


Overlapping Speech
Indicate overlapping speech (when multiple participants are speaking at the same time) that is
difficult to separate and assign to individual speakers by typing [cross talk]. Resume transcrip-
tion with the first speech that can be attributed to an individual.

Pauses
Mark brief pauses with periods or ellipses (. . .). Brief pauses are breaks in speech lasting two
to three seconds. They often occur between statements or when the speaker trails off at the end
of a statement. For example:
Sometimes, a participant briefly loses . . . a train of thought or . . . pauses after making a
poignant remark. Other times, they end their statements with a clause such as but then . . .

Mark pauses longer than 3 seconds by typing (long pause). For example:
Sometimes the individual may require additional time to construct a response. (long pause)
Other times, he or she is waiting for additional instructions or probes.

Questionable Accuracy
Indicate that a word or phrase may not be accurate by typing the questionable word between
question marks and parentheses. For example:
##LL004_1##
I went over to the ?(clinic)? to meet with the nurse to talk about joining up for the study.

Sensitive Information
When an individual uses his or her own name during the discussion, replace the name with the
appropriate Participant ID. For example:
##LL008_2##
My family always tells me, “LL008_2, think about things before you open your mouth.”
#LL008_4##
Hey LL008_2, don’t feel bad; I hear the same thing from mine all the time.
If an individual uses the names of people, locations, organizations, etc., identify them by typing
an equal sign (=) immediately before and after the sensitive information. For example:
##LL001_1##
We went over to = John Doe’s= house last night and we ended up going to = O’Malley’s Bar
= over on =22nd Street= and spending the entire night talking about the very same thing.

Proofreading and Reviewing for Accuracy
Proofread (read through for errors) and check the accuracy of all transcripts against the audio-
tape, then revise the transcript computer file accordingly. Check each transcript while listening to
the tape three times before submitting it.


Check transcripts for accuracy. If the transcriptionist is not the same person who led the inter-
view or focus group, then the interviewer or focus group moderator who did lead the session

APPENDIX B
must also check every transcript for accuracy against the tape.

Removal of Sensitive Information
Replace sensitive information in the transcript with generic descriptive phrases enclosed
within brackets. Sensitive information includes incidental mention of names of individuals,
organizations, or locations that may compromise the identity of the participant or another person,
such as a family member, friend, partner/spouse, coworker, doctor, study staff, clinic, hospital,
social service agency, public figure, religious leader, entertainer, print media, restaurant, educa-
tional facility, or place of employment. The use of generic descriptions for names, places,
groups, and organizations permits analysts to retain important contextual information while pro-
tecting the identity of the individual, place, or group.

Transcriptionists will have already identified sensitive information in the transcript by enclosing
it within equal signs (=). To locate these easily, do a “search” for equal signs (=) in the text file.
However, it is important for the interviewer or focus group moderator also to review the entire
transcript in order to catch any sensitive information that the transcriptionist may have missed.
For example:
[counselor’s name omitted]
[name of local AIDS service organization omitted]

Saving Transcripts
Save each transcript as an individual MS-DOS ASCII text file with a .txt extension or a rich
text file with an .rtf extension.

To name individual interview transcript files, use the interview name followed by the participant
ID. For example: SOCLL007_1.txt = TDF interview for Lilongwe participant #007_1.

To name focus group transcript files, use the study name followed by the archival number for the
site/location, followed by the designation for the sample population. For example:
SOCLL009TDF.rtf = TDF focus group for Lilongwe, archive #LL009, TDF participant.

Backup Transcript Files
Backup all transcript files to a diskette or CD. Do not store diskettes or CDs in the same loca-
tion as the audiotapes.

Destroy Tapes
Destroy all audiotapes when transcription is complete, unless the research protocol specifies a
length of time to keep them. Once a transcript has been reviewed for accuracy against the audio-
tape and the corrected transcription file has been saved and backed up, erase all tapes using an
audiotape eraser. Recycling of audiotapes is permissible, provided that their sound quality is
tested and new labels are affixed to the tape.


Glossary

GLOSSARY
archival log The list of sequential numbers assigned to each data collection
event; used to track data. Also called the master archival log.

archival information sheet An information sheet to be included in the envelopes containing
data, to indicate what is inside (transcripts, tapes, field notes, etc.).

archival number A number assigned in sequential order to each data collection
event as it is entered on the master archival log.

beneficence Taking steps to minimize psychological and social risks to
research participants while maximizing benefits to them.

community All people living in a geographic area (village, city, state, or
region) or a group of people who identify with one another or
share a common characteristic (for example, a religious, ethnic,
or immigrant community).

community gatekeepers People whose position in their community affords them formal
or informal power to influence researchers’ access to members
of the study population (for example, village chiefs, elected offi-
cials, government appointees, religious leaders, highly respected
or influential members of the study population).

data collection instruments Tools or forms used to collect data from research participants.
Data collection instruments include in-depth interview guides,
focus group guides, observation guides, and interviewer scripts.
Equipment used during data collection, such as tape recorders
or microphones, are not data collection instruments.

data tracking Monitoring the status of data processing.

facilitator The moderator or note-taker of a focus group.

focus group A qualitative research method in which one or two researchers
and several participants (usually representatives from, or indi-
viduals associated with, a target/study population) meet as a

Glossary 115

group to discuss a specific research topic. This technique is
effective for quickly accessing a broad range of views on a spe-
cific topic. During a typical focus group, one researcher (the
moderator) leads a discussion by asking participants to respond
to open-ended questions while a second researcher (the note-
taker) takes detailed notes on the discussion.

in-depth interview A qualitative research method in which a researcher/interviewer
gathers data about an individual’s perspectives on a specific
topic(s) through a semi-structured exchange with the individual.
The researcher/interviewer engages with the individual by posing
questions in a neutral manner, listening attentively to responses,
and asking follow-up questions and probes based on those
responses.

informed consent document Form(s) approved by all relevant ethics review boards contain-
ing information about the purpose of the research study, expec-
tations for research participants, expected risks and benefits to
them, the voluntary nature of participation, their right to with-
draw at any time, and contact information for study officials
available to answer questions. Research staff read the forms to
prospective study participants, ask them questions to evaluate
their comprehension of the contents, and then ask if they con-
sent to participate. Participants may or may not be required to
sign the form, depending on ethics review board requirements
for the study. Signed forms are kept on file.

instruments (see data collection instruments)

interviewer Person who conducts in-depth interviews; can also refer to the
person who asks questions during focus groups. Also known as
the moderator.

iterative Subject to continual revision and adjustment. Researchers con-
tinually consult collected data throughout all stages of qualita-
tive research and use what they learn to shape and inform what
they do next. This may occur at the level of study or instrument
design, such as revising and creating research questions, or at
the level of researcher-participant interaction, such as when an
interviewer decides what questions to ask based on the
responses of the participant.


justice The fair distribution of risks and benefits resulting from participa-
tion in research; includes treating research participants fairly and

GLOSSARY
making sure they have equal access to all available information,
prevention methods, effective treatments, and research results.

moderator Person who facilitates a focus group. Also known as a facilitator.

note-taker Person responsible for taking notes during a focus group. Also
known as a facilitator.

participant observation A qualitative research method in which researchers gather data
either by observing or by both observing and participating, to
varying degrees, in the study community’s daily activities, in
community settings relevant to the research questions. Examples
include bars, brothels, and health clinic waiting areas.

quota sampling A process for selecting research participants in which the criteria
and number of people to be included in the study are predeter-
mined. A target number of participants is set, and people who
meet the desired criteria are recruited until the target number
is reached.

reimbursement Money or goods given to research participants to acknowledge
the time they have taken from other obligations and the expenses
they may have incurred in order to participate in the study.

reimbursement form A statement the interviewer or facilitator signs to certify that
each participant was given the reimbursement. In studies that
require written informed consent, participants may be asked to
sign a receipt.

respect Commitment to ensuring that research participants are not used
only as a means to achieve research objectives by ensuring their
autonomy, voluntary informed consent, and confidentiality, and
by protecting persons with diminished autonomy.

sponsoring organization The institution that provides funding and scientific oversight for
the study; is responsible for overall management of the project;
ensures the scientific integrity of research at the local site; and
serves as a link between the funding institution and local
research activities.

Glossary 117

study population The pool of people from which research participants are drawn.
For example, for a study of family planning users, a study popu-
lation might be users and non-users of family planning among
women of reproductive age in Capital City, Developing Country.

textual In the form of written words, phrases, and sentences, as opposed
to numeric (characterized by numbers) or pictorial (in the form
of images).

theoretical saturation The point at which new data collected and analyzed no longer
bring additional insights to the research questions. For example,
if interviews 11 through 15 contain the same information found
in the first 10 interviews, theoretical saturation has been reached.


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Research Triangle Park, NC 27709 USA

Telephone: 1.919.544.7040
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Web Site: www.fhi.org

Mack qualitative researchmethods2005

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