DATA COLLECTION AND ANALYSIS PROCEDURES
8.2. Preparing for Data Collection: The Case Study Protocol
As mentioned in Chapter 7 this research applies multiple case study design (embedded - type 4). Consequently, it is imperative to develop case study protocol to ensure that both cases are investigated in the same manner to achieve the purpose behind replication logic. This also increases reliability of the research. Provided below are various sections of the protocol and their descriptions.
8.2.1. Overview of Case Study
This case study offers insights into the phenomenon of innovation in low-technology sectors and offers explanations regarding its existence or non-existence. The study has been undertaken as part of doctoral research for a PhD in Management from University of Southampton, United Kingdom. Two low-technology sectors or cases have been selected that are located in the north-west region of Pakistan. These are Peshawar Marble Sectoral System (PeMaS and Buner Marble Sectoral System (BuMaS). Apart from low-technology characteristic (zero or negligible R&D), the reasons for choosing the two cases are that both produce similar marble products. Additionally, both cases have a presence of only small business that use similar technologies and knowledge, cater to similar markets/customers, influenced by similar institutional frameworks and interactions/relationships amongst various elements within each sector/case.
However, minor differences might exist that may be revealed as a result of in-depth investigations. Another reason for choosing the two cases is because marble industry in north-west Pakistan holds more than 90% of the country’s marble reserves (SMEDA, 2002). Within the industry three regions have a dominant presence of marble businesses. These include;
1. Peshawar – a predominantly urban/semi-urban district with the Federally Administered Tribal Area (FATA) of Mohmand Agency on its geographical boundaries. The region can be accessed through Warsak and Nasirbagh areas of Peshawar. Mohmand Agency is the major source of raw marble to Peshawar’s marble businesses. However the distances between processing and mining units are considerable further aggravated by poor condition of roads.
2. Buner – a predominantly rural district with a large number of marble processing units. The unique characteristic of the region is high marble reserves within Buner thus suggesting presence of both mining and processing units within the same region.
3. Mohmand Agency – a Federally Administered Tribal Area with its peculiar tribal culture and customs and a strong presence of both marble mining and processing units. However, the region has been severely affected by poor law and order situation since the last 4-5 years adversely affecting marble businesses.
Amongst the three regions two cases have been selected in such a way that Case
BuMaS consists of Buner. The reasons for excluding Mohmand Agency as a separate case for this research stems from a choice between the ideal and the practical. The poor law and order situation resulting in closure of many marble businesses and the risks associated with the researcher or enumerators’ travel to the area (mostly located in far-flung mountains) made it almost impossible to effectively collect data. Thus Case 1 comprises of mining units in Mohmand and processing units in Peshawar since they are the main users of marble from Mohmand. Figure 8.1 provides a visual representation of a sector.
The above diagram does not presume interactions taking place amongst various firms and non-firms within the sector. The linkages if present are presumed to be very weak at this stage. This presumably contributes to poor status of marble industry in general and innovation performance in particular.
8.2.2. Relevant Readings and Researcher’s Prior Experience
In order to develop a better understanding of the marble industry in north-west Pakistan, a number of relevant organizations were approached. The purpose was to get access to published material including different reports prepared at various times. Two organizations accessed included;
a. Small and Medium Enterprise Development Authority (SMEDA), Government of Pakistan
b. Pakistan Stone Development Company (PASDEC)
The researcher being an academic himself with prior contacts inside the two organizations was able to gain access to concerned individuals and gather
Figure 8.1: A Marble Sector
Processing
material.
The reports and published material provided by these organizations and studied prior to undertaking data collection included;
1. Marble and Granite Sector Brief (2002) 2. PASDEC Mainstream Projects Brief
3. Pre-feasibility Study – Marble and Granite Warehouse (2005) 4. Pre-feasibility Study – Marble Mosaic Development Centre (2008) 5. Pre-feasibility Study – Marble and Onyx Products Manufacturing (2007) 6. Pre-feasibility Study – Marble Processing Plant (2007)
7. Pre-feasibility Study – Marble Tiles (2007)
8. Cluster Diagnostic Study Marble Processing in Rawalpindi/Islamabad, a SMEDA-UNIDO Project
Other reports collected through miscellaneous sources include;
9. Economic Impact Assessment of Pakistan Initiative for Strategic Development and Competitiveness (PISDAC) and Final Report (2008) 10. PISDAC II Closeout Report (2006)
11. Pakistan Growth and Export Competitiveness (2006)
12. Cluster Mapping of Pakistan’s Marble Sector (N-WFP) 2007, A Pakistan Financial Services Sector Reform Programme (PFSSRP), European Union 13. Report on Evaluation of the Competitiveness Support Fund (CSF), Pakistan
(2008)
Additionally, to gain further understanding related to LT innovation, a detailed and systematic literature review (Chapters 3, 4 and 5) has been conducted. The review in Chapter 5 mainly focuses on empirical studies on different sectors conducted in different countries. This review has resulted in a total of 269 key insights into different perspectives of LT/LMT innovation. Also, the systematic nature of literature review resulting in identification of knowledge gaps has influenced the development of research aims, objectives and questions (Chapter 6).
8.2.3. Research Objectives and Questions
This research attempts to address the research objectives (RO) and related research questions (RQ) as provided in Chapters 1 and 6)
8.2.4. Conceptual Framework
This research applies a conceptual framework discussed in detail in Chapter 4. In
Figure 8.2: Conceptual Framework Diagram 8.2.5. Role of Protocol
The main purpose of this protocol is to increase reliability of the case study. The protocol is being applied to two cases selected for this research and attempts to ensure that the data collection procedures are implemented in exactly the same manner for both cases. The protocol also serves as a guide during the process of data collection so that all criteria and procedures are adhered to and the data collection process remains on target.
8.2.6. Field and Data Collection Procedures:
Data Collection Plan (Three-Phase Approach)
A significant amount of time during the overall period of research (2008-2011) was spent planning for and collecting primary data from various sources. As pointed out in Chapter 7, three tools for data collection have been employed. These include;
a. Semi-structured in-depth interviews b. Structured Interviews
Interconnected Emergent Holistic
Marble Sectoral System of Innovation (Marble SSI)
Open
The ‘Empirical’ – Cognitive System
The ‘Actual’
The ‘Real’
System
Characteristics Stratified Ontology – Critical Realist View
c. Questionnaires
Individual respondents representing firms and non-firms have been selected as units of observation using purposive sampling – heterogeneous and homogenous.
Table 8.1 on the next page provides the data collection plan for executing data collection procedures that applies a ‘Three-Phase Approach’.
Table 8.1: Data Collection Plan (Three-Phase Approach)
PRELIMINARY PHASE: Semi-structured In-depth Interviews (Purposive Sampling – Heterogeneous) (April - May 2009)
Type and Number of Respondents
Procedural Issues Prior to Data Collection and Establishing Contacts
Location For &
Time Per Interview
Procedural Reminders During Data Collection
Owner/Manager of
o Owners/managers of processing and mining units and supplier/middleman identified through contact persons who are in the marble business, have travelled to the areas or are locals, know the respondents and can provide assurance and information
regarding safety/security situation prior to researcher’s travel to the area
o Owners/managers of processing and mining units approached formally after placing phone calls and establishing a mutually convenient time and day for interview o All interviews from processing unit
respondents, suppliers/middlemen
conducted on-site i.e. at factory or business location
o All interviews from sector support organization representatives and sector expert conducted at their respective offices o All interviews from mine owners from Buner
and Mohmand Agency conducted in
Peshawar during their visit to the city due to serious security concerns at areas where mines are located
o Sector expert and representative of sector support organization contacted through formal channel including office email and official letters. Emails/letters followed up with phone calls and interviews scheduled
Peshawar
Processing units being the main potential source of different types of innovation accessed for interviews first
Mining units being the second main source to find possible innovations and primary suppliers of raw marble (the main sector product) to processing units accessed for interviews next
Supplier/middleman, sector expert and representatives of support organization accessed afterwards once an initial understanding of marble industry had been established from firm owners’/managers’ perspectives
All interviews initiated with formal introductions and ice-breaking in the form of greetings in local language (Pushto or Urdu)
Interviewer/researcher dressed in traditional clothes/attire when meeting mine or processing unit owners to help assimilate more quickly. Cultural sensitivities remain a primary concern
Interviewer/researcher dressed more formally when meeting sector expert or support organization representatives
Interviews conducted in Pushto (regional language), Urdu (national language) and English depending on
respondents’ ability to communicate effectively
Interviews kept informal and semi-structured allowing the respondents to discuss things openly
A ‘List of Reminders’ used to help interviewer/researcher stay on course during an interview and avoid wastage of time
Organization (2 respondents – 1 each from SMEDA and PASDEC)
o Sector expert and support organization representative contacted after establishing their credentials in terms of
experience/relevance to marble industry
All interviews conducted by the researcher himself and recorded using a digital recorder
Data Analysis – Step I: Create Case Study Database, Translate & Transcribe Interviews, Conduct Initial Analysis, Inform & Formulate Structured Interviews and Questionnaires (June – December 2009)
BUILD-UP PHASE: Questionnaires and Structured Interviews (Purposive Sampling – Homogeneous within each sub-sector) (January – March 2010)
Type and Number of Respondents
Procedural Issues Prior to Data Collection and Establishing Contacts
Location &
Time Per Interview or Questionnaire
Procedural Reminders During Data Collection
QUESTIONNAIRE
o A team of two trained enumerators hired for the questionnaires and interviews.
o One enumerator belongs to Peshawar and has participated in similar surveys for various projects. The enumerator has contacts in the local marble sector
o Second enumerator belongs to Mardan, an area close to Buner and has also
participated in similar surveys. He knows the Buner area, is well-travelled and has local contacts. Services of local guide were also acquired to access mining areas
o Three meetings held amongst the researcher and enumerators at the researcher’s office in Peshawar.
o Meetings focus on making enumerators understand data collection tools, how they are structured and what purposes do they want to achieve. Broad background of study provided and timelines set. Compensation issues also resolved.
o Most respondents contacted informally by direct visit to business with the exception of
Peshawar
Pilot survey (6 questionnaires/interviews) conducted to test the questionnaire and address possible issues
One meeting held with enumerators after pilot to gather feedback and make amendments to questionnaire and interview format where required
Regular contact with enumerators maintained via telephone to get constant feedback on progress and assess security situation in target areas
Questionnaire in both Peshawar and Buner completed first followed by interviews
Interviews and questionnaires conducted in Pushto (regional language) and Urdu (national language)
All interviews and questionnaires kept formal and structured to help elicit focused and relevant responses
All interviews and questionnaires conducted using printed sheets with questions
None of the questionnaires filled by the respondents themselves primarily because of a lack of education in the areas. To ensure consistency enumerators wrote the responses even if a respondent was educated/literate
All data collected by enumerators except 5
questionnaires and 3 interviews conducted by researcher
a few phone calls prior to visit
o All questionnaires and interviews conducted at mine or factory locations
Data Analysis – Step II: Further Build Case Study Database, Conduct Data Analysis and Write-up of Analysis (May – July 2010) CLOSING PHASE: Structured Interviews (Purposive Sampling – Heterogeneous)
(August – September 2010) Type and Number
of Respondents
Procedural Issues Prior to Data Collection and Establishing Contacts
Location For &
Time Per Interview
Procedural Reminders During Data Collection
Owner/Manager of
o All respondents have been selected from the same group interviewed during Preliminary Phase
o Screening of respondents has been conducted in light of their responsiveness, usefulness of information provided, depth of understanding the marble sector and experience relevant to the industry as observed by the researcher during the Preliminary Phase
o All other procedural issues followed in the same manner as implemented during the Preliminary Phase
All relevant procedural reminders followed during Preliminary Phase being adhered to during the Closing Phase
Data Collection Phase Intermediary Analysis
8.2.7. Case and Respondent Questions:
Preliminary Phase (Semi-Structured In-Depth Interviews)
Because this research focuses on offering explanation of the event of low-tech innovation specific questions (along with their levels within the case study) have been relied on in order to generate explanations of the causal mechanisms (the critical realist view). Yin (2003) suggests two levels of questions that are of primary concern here. One, questions pertinent to the case. These have been termed as Case Questions (Case-Qs) in this section. Second, questions posed to particular respondents. These have been termed as Respondent Questions (Res-Qs) in this section. Additionally, Case-Qs and Res-Qs have been linked to the particular research objectives (ROs) and research questions (RQs) they help address.
RO1-RQ1.1 Case-Qs:
Develop an understanding of the sector in terms of different products, production processes, marketing practices being implemented by firms and the firms’ organizational characteristics
Develop a general sense of various problems and issues relevant to the sector. What is ‘good’, what is ‘bad’?
Res-Qs:
Mining and Processing Unit Owners/Managers
o Different products, shapes, sizes, colours, forms, quality. How does final product look like?
o Phases of production process, equipments/machineries/technologies used o Workers‟ skills, experience and training, respondent‟s business orientation,
experience and knowledge
o Markets for products. Domestic/national/international, types of customers and nature of relationship with them, nature of demand, supply issues related to raw material, equipment/machinery and its components/parts
o Nature of business (small or medium sized firm), organizational structure (owner and manager same or different), roles of workers/staff
o Sharing of experiences that shed light on any other issues and problems prevalent in the sector especially with reference to processing business
Supplier and Middleman
o Technical details about equipment/machinery/technologies currently being used. Where from are they available? Where are the problems and in what form do they exist in the machinery? How they affect product quality and production efficiency
o Different kinds of products (mining and processing phase), machinery/equipment used
o Workers‟ skills/experience and training, processing/mining unit owner/manager‟s business orientation, experience and knowledge, respondent‟s own experience/knowledge
o Markets for products. Domestic/national/international, types of customers and nature of relationship with them, nature of demand, supply issues related to equipment/machinery
o Marble firms‟ organizational structure
o Sharing of experiences that shed light on any other issues and problems prevalent in the sector especially with reference to role of „middleman‟ and supplier of equipment/machinery/components
Sector Expert
o Nature of product and processes both in the mining and processing phases o Technologies and machinery/equipment being used by firms in the sector o Nature of knowledge and learning process prevalent in the sector
o Marketing practices, nature of demand, supply issues and firms‟
organizational structure prevalent in the sector
o Sharing of experiences with respect to respondent‟s interaction with the sector and different stakeholders
Representative of Support Organization
o Sharing of experiences with respect to respondent‟s interaction with the sector, marble firms and different stakeholders
RO1-RQ1.2 Case-Qs:
Find out whether firms in the sector innovate or not. If yes, in what forms do these innovations manifest themselves and what are the respondents’
perceptions about innovation itself.
Begin to focus on factors (internal and external to the firm) that influenced or can influence the owner/manager to innovate or not to innovate.
Res-Qs:
Processing Unit and Mining Unit Owner/Manager
o Was there an attempt by the firm to innovate in terms of products and/or processes? In what form (new and/or improved products, new and/or improved processes e.g. machinery/technologies, production techniques)?
What happened as a result?
o Did the firm search for new markets/customers for its products? What happened with the search? Did the firm attempt to increase sales in existing market? What happened?
o Did the firm introduce any change to its organizational structure, improved worker skills through formal/informal training, hired/removed workers? What happened?
Supplier, Middleman, Sector Expert, Representative of Support Organization
o What kind of product, process, marketing or organizational improvements/innovations has the respondent observed in the sector
o Highlight key factors that influenced or can influence firms to improve/innovate or not to improve/innovate? Let the respondent elaborate on these issues.
8.2.8. Case and Respondent Questions:
Preliminary Phase (Semi-Structured In-Depth Interviews) and Build-Up Phase (Structured Interviews and Questionnaires)
RO2-RQ2.1 Case-Qs:
Develop a more in-depth understanding of SSI in terms of its key element, the agents (firms including individuals and non-firms) and their role within the sector
Res-Qs:
Processing Unit and Mining Unit Owner/Manager
o What and how important is the role of firm and individual (owner/manager)
within the firm and the sector with regards to innovation
o What is the role of government and other support organizations with regards to innovation by a firm
o What is the role of suppliers and middlemen with regards to innovation in a firm
Supplier, Middleman, Sector Expert, Representative of Support Organization
o What is the role of Small and Medium Enterprise Development Authority (SMEDA) in promoting innovation amongst firms in the sector
o What is the role of Pakistan Stone Development Company (PASDEC) o What is the role of government with regards to innovation by a firm o What is the role of suppliers, middlemen and sector experts o What is the role of firm and individual within firm
RO2-RQ2.2 Case-Qs:
Develop an in-depth understanding of nature of knowledge and technologies within the sector
Res-Qs:
Processing Unit and Mining Unit Owner/Manager
o Are technologies changing/improving in the sector? Is the change slow, fast or non-existent?
o What knowledge is structured/unstructured, technical/non-technical
o Do firms generate internal knowledge; do they rely on external knowledge only or have a combination of both?
RO2-RQ2.3 Case-Qs:
Develop a more in-depth understanding of nature of learning processes and demand in the sector
Res-Qs:
Processing Unit and Mining Unit Owner/Manager
o Is learning process in the sector formal in nature or informal? How does
o What is firm’s learning orientation?
o Does demand change occur in the sector? What does it appear like? Do firms seek new markets?
o What factors influence demand?
RO2-RQ2.4 Case-Qs:
Develop a more in-depth understanding of nature of institutions in the sector
Res-Qs:
Processing Unit and Mining Unit Owner/Manager, Supplier, Middleman, Sector Expert, Representative of Support Organization
o What are the different forms of institutions in the sector? Are they regulative, normative and/or cognitive institutions? What role do they play?
o Do institutions help stabilize the sector or play a role otherwise?
o Do institutions in the sector have a national and/or regional character/origin as well? Are there institutions that are sector specific?
RO3-RQ3.1 Case-Qs:
What is the nature of interaction amongst firms and amongst firms and non-firms?
Does the interaction facilitate innovation amongst firms or otherwise? Why or why not?
Res-Qs:
Processing Unit and Mining Unit Owner/Manager
o Do firms in the sector collaborate and interact amongst themselves and with non-firms? Are these interactions strong or weak? What are these
o Do firms in the sector collaborate and interact amongst themselves and with non-firms? Are these interactions strong or weak? What are these