Limitations – internal and external validity and reliability

Credibility

Confirmability Transferability Dependability

This thesis presents the findings of the study of small and micro firms that explores the interaction of internal process of decision-making and ownership that impact upon Edinburgh’s South Asian owned convenience stores. Section 1.3 outlined the constructivist paradigm as a philosophical basis that facilitates a description of the small and micro enterprises that make up the population at the focus of the research. Such a framework is an appropriate means on which to build an understanding of the tacit, intangible, culturally defined and unquantifiable suggests that are a primary feature of the proposed fieldwork inquiry. Additionally, Section 1.4 raised a number of implications for the research design and the selection of methodologies and instruments consistent with the intended qualitative fieldwork stance, and introduced adaptive grounded theory.

This chapter expands upon the methodological underpinnings of the adopted approach to empirical research. The role of theory generation in the adaptive grounded theory methodology and the appropriateness of social science methods for business research are outlined. The implications of this for the research process are discussed and the research plan established. The conceptual stages in the research plan are presented and the fieldwork experience described, linking to the rest of the thesis in the following sections: review of literature to develop sensitising concepts and fieldwork interview schedule; identification of the research population, sample selection approaches and the final research sample; data collection, management and analysis techniques and processes; finally theory generation and findings presentation. Thus, Chapter Two is an evaluation of the research in relation to issues of the role of the researcher, the fieldworks’ credibility, dependability, and confirmability (internal and external validity), and generalisability of the conclusions drawn from it.

2.1 Qualitative, adaptive grounded theory and business research

As stated previously, the aim of the research is to identify, and explore the interaction of, internal factors influencing South Asian owned convenience store businesses in Edinburgh. This thesis argues that these factors fall into three main

groupings: motivation for self-employment; personal and business background and experience; and ethnic, cultural, family and community influences.

This section discusses the rationale behind adopting a qualitative investigative approach, questions the role of theory in qualitative methodology and presents the adaptive grounded theory methodology developed by Layder (1993; 1998). The suitability of social science methodologies and methods for business research is identified.

Adaptive grounded theory - the role of theory in qualitative research

As discussed above (Section 1.3), the thesis contends that the abstract, intangible nature of the topic under examination in the research makes it unsuitable for a positivistic, scientific, quantitative approach. Rather, there is a call for a non- positivistic, constructivistic, qualitative approach that accepts that all business owners studied offer a version of reality and the ‘truth’ is a combination of mixed views and meanings.

By taking such an approach, the research is not concerned with the deductive, quantitative approach of finding the majority viewpoint and ignoring the different. In contrast, it is concerned with an inductive, qualitative approach of exploring the different and finding common themes.

The fieldwork thus draws on the constructivist paradigm that takes the stance that “to understand this world of meaning one must interpret it. The enquirer must elucidate the process of meaning construction and clarify what and how meanings are embodied in the language and actions of social actors” (Schwandt, 1998: 222).

In such an approach to increasing understanding of a particular situation, contingency setting or phenomenon the enquirer must “watch, listen, ask, record, and examine” (ibid) and can be seen as bricoleur or maker of quilts, “deploying whatever strategies, methods, or empirical materials are at hand … what is available in the context, and what the researcher can do in that setting” (Denzin and Lincoln, 2003: 6).

The interpretive practices involved develop a montage in which “several different images are superimposed onto one another to create a picture” (ibid). While objective reality cannot be captured, using multiple methods, or triangulation, an in-depth

understanding of the subject in question can be secured. Interpretations are built on association based on contrasting images that blend into one another but are immediately recognisable by individuals with similar shared experiences (Marshall and Rossman, 1995; Appleton, 1995; Guy, 1999). These images of reality do not happen sequentially, one at a time, but simultaneously and the viewer “puts the sequences together into a meaningful emotional whole” (Denzin and Lincoln, 2003: 7).

The social science qualitative grounded theory methodology of Glaser and Strauss (1967) is seen as appropriate and consistent with the paradigm reviewed above. In a pure form, this methodological approach relies purely on theory emerging from the empirical data collected in the course of the study and excludes the acknowledgement of existing theory. This stance is questioned in later developments to the approach adopted by Strauss and Corbin (1990) where prior theory is addressed only after completion of empirical work – describing the whole network of relations, assumptions and transactions..

In contrast to this, adaptive grounded theory methodology developed by Layder (1993; 1998) stresses the importance of identifying and examining as wide a range of prior knowledge and existing theory as a first stage of the research process. This “should be regarded as ‘networks’ or ‘integrated clusterings’ of concepts, propositions and ‘world-views’ [and] theory construction [should] always be undertaken against a background of more general underlying assumptions” (Layder, 1993: 15). This allows the researcher to contextualise, or benchmark against a store of knowledge, the research at the same time as “recognising the importance of actors’ meaning and in some way incorporating them in research” (Layder, 1993: 16).

A further contention is that theory and conceptual modelling falls into two distinct categories. Substantive theory is developed for a substantive area through comparative analysis among groups in the same area. On the other hand, formal or general theory is developed for a formal or conceptual area through comparative analysis between separate empirical cases. However, such formal theory cannot be

developed in a way that shortcuts initial substantive grounding (Layder, 1993: 42). By such an approach one “ensures that the concepts and categories so produced will be appropriate and relevant. Also, it means that one’s analysis as a whole will be grounded in empirical reality” (Layder, 1993: 44). Therefore, the research process is seen as “a running theoretical discussion [and] as an ever developing entity which can be extended and modified [theory being] a constant and flexible accompaniment to the incremental collection of data and the unfolding nature of the research” (Layder, 1993: 45).

This mix of deducing possible hypothesis from existing theory and the inductive process of generating theory from an information base requires appropriate information gathering processes. These are seen to involve focusing on gaps in knowledge about social processes and their significance, confirming or verifying previous findings, investigating a social problem – or a mix of these three aims. Primarily the information is descriptive, not trying to give detailed accounts of the closed or bounded social worlds of groups or communities, and the research “focuses on segments of society or social processes about which there is a lack of information” (Layder, 1993: 47), as is the case in this research.

In the proposed methodological approach, the research process is concerned with clarifying conceptual models and assessing their usefulness in increasing an understanding of the particular area(s) under observation. The study is guided by general conceptual frameworks and particular derivated questions taken from them in order to organise and give sense to the emerging findings (Layder, 1993: 48). Thus exploratory fieldwork questions develop into concepts and descriptions which are “theoretically insightful and thus provide useful starting points for further research” (Layder, 1993: 49). Once developed, these act as “sensitizing devices” (Layder, 1993: 49) to help the subsequent formulation of theoretical ideas and data organisation.

Such an approach to research can be expressed as follows:

[it] rests on the twin employment of, and the subsequent interaction between, extant or ‘prior’ theoretical materials and emergent data from ongoing research … prior concepts and theory both shape and inform the analysis of data which emanates from ongoing research at the very same

time that the emergent data itself shapes and moulds the existing theoretical materials. (Layder, 1998: 166)

This relationship between theory and data is “a continuous circuit of influences and effects” (Layder, 1998: 167). It provides a link between general, formal theory and the empirical research by testing the validity of aspects of general theory in the context of the ongoing fieldwork research. In addition, the process reformulates or adds explanatory scope to the original theory in contexts not previously considered (Layder, 1998: 168). The cyclical approach is illustrated by Figure 2.1. below.

Adaptive theory

Emergent data Extant theory

Figure 2.1: Relations between extant theory, emergent data and adaptive theory (Source: Layder, 1998: 167)

In adaptive grounded theory research this iterative process continues throughout the course of the study as it:

attempts to map some of the lifeworld-system interlocks that form a synthesis of subjective and objective aspects of social life [and] is both descriptive and explanatory and relies on concepts, networks and conceptual models of the social world which both shape and are shaped by that world. (Layder, 1998: 175)

Social science and business research

The adaptive grounded theory methodology with its qualitative approach has its foundations in the social sciences, and is also relevant for exploring the empirical fieldwork questions of small business research.

As detailed in Section 3.2, our current academic understanding of small and micro enterprises have developed from the Bolton Committee’s (1971) insights. This UK government report used qualitative methods to describe the perceptions of the

realities of such enterprises held by a wide range of individual business owners. No one, clear definition of the sector emerged and the value and importance of individual and sectoral issues was emphasised.

The ongoing need for a qualitative approach to business research is stressed by Sparrow (1999) who, when investigating the support needs of small and micro enterprises, notes that:

basis quantitative indicators … fail to generate sufficient insights into clients needs … there is a need to get closer to the world of business owner-managers, to identify how they see situations … [and] there is an emerging recognition of the value of, need for, and required sophistication of qualitative studies of small business practice to inform small business support initiatives. (Sparrow, 1999: 122)

Also Hill and McGowan (1999) add, it is important to remember that the success of a particular micro-enterprise focuses on the skills, attributes and background of the individual business owner (see Section 3.2 for discussion of these issues). Therefore, there is a need for fieldwork research into such small and micro enterprises to “reflect its individual and unique characteristics and circumstances in addition to taking account of the personalities within it” (Hill and McGowan, 1999: 8). This can be achieved through adopting the constructivist paradigm as “it is an approach which embraces the notion of multiple realities and accepts that each individual constructs their own reality as they interpret and perceive their world” (Hill and McGowan, 1999: 9). Similarly, Shaw (1999) comments that: “small firm research is at too “young” a stage in its development to benefit from a positivist research approach” (Shaw, 1999: 59). Rather, research should be concerned with theory development, not testing and researchers “need to adopt an approach that allows them to “get close” to participants, penetrate their internal logic and interpret their subjective understanding of reality” (Shaw, 1999: 60).

Building on these early studies, there has been a marked increase in the conceptual and empirical understanding of ethnic minority small business issues (see Section 3.5), based largely, but not exclusively, on such an approach.

This thesis contends that such a methodological approach is appropriate for ethnic minority business research.

In support of this, in research into ethnic minority business involvement in the UK, Jenkins (1984) proposes that:

we need more qualitative studies. If we are to understand and distinguish between ‘cultural’ and ‘structural’ factors which go to encourage or inhibit the success of ethnic minority businesses … [and] must be in a position to understand the decisions and actions of all those individuals. (Jenkins, 1984: 236)

Thus, the primary aim of the study is to explore personal, intangible issues: beginning by describing the range and interaction of internal factors impacting upon the development of Edinburgh’s South Asian owned convenience stores. Adopting an adaptive grounded theory approach allows the researcher to address a wide range of existing formal theories and concepts. This includes convenience store, small and micro enterprise and ethnic minority business literature, prior experience and widely held stereotypes in order to develop sensitising concepts to guide the empirical study. The empirical research gives an opportunity to explore the range of individual South Asian business owners’ experiences and perceptions of the factors influencing the development of their particular business. It offers an opportunity to widen the scope of substantive theory by comparing findings from each of the individual businesses included in the research sample. This emerging increased understanding of the issues relevant to such a small ethnic minority community will, in turn, contribute to a general explanation of a number of areas: namely the micro retail sector, small and micro businesses, and ethnic minority business activity in the Edinburgh context.

2.2 Research process and design

Fundamentally, the adaptive grounded theory methodology relies upon a cyclical process of linking extant theory, emergent data and adaptive theory. The fieldwork implications of such an approach include the development of a design for the research process and the presentation of findings that incorporates appropriate methods of acknowledging prior theory, sample selection, data collection and management techniques and the iterative theory generation process.

These factors are included in the research process, or plan, proposed by O’Donnell and Cummins (1999) for small business research that “allow the phenomenon to be examined within its own social context … examined in totality .. allow[s] the

researcher to get close to the participants .. [and is] sensitive to the holistic nature of the phenomenon” (O’Donnell and Cummins, 1999: 84).

The role of extant theory is acknowledged in a review of relevant literature that combines with the researcher’s understanding of the subject, thus enabling the identification of the key research issues and problems. Themes from the literature, their interactions and relationships are then linked together to develop conceptual models to guide the development of a conceptual framework for the research. This process also serves to improve the researchers evolving understanding of the subject and highlight any gaps within the existing formal theory of the subjects, topics and themes being researched. These models and concepts form the framework for initial empirical work and the ongoing data collection and analysis process. This is termed the emergent data stage.

Data collection and analysis are concurrent activities and, when combined with comparison to the conceptual models, allow the researcher to amend the interview framework as required to include areas highlighted as worthy of further investigation. Such refined frameworks are then used to guide the later stages of fieldwork until an in-depth understanding of the research area is reached, leading, perhaps, to an emergence of descriptive models of the phenomenon. This can be termed adaptive theory generation (O’Donnell and Cummins, 1999: 84-5).

It is suggested that within such a research plan or process:

a variety of methods can be used to suit the purpose of the research, and to develop and build on understandings as the research progresses over time … each should contribute some increased understanding of the issue, thereby allowing the next research stage to build on previous learning and knowledge… it provides ongoing empirical support for the conceptual description … [and] allows the researcher to examine in increased depth and width a number of key components in a given research topic. (O’Donnell and Cummins, 1999: 85)

In accordance with this viewpoint, the research process illustrated in Figure 2.2 broadly conforms to the iterative extant theory, emergent data, adaptive theory cycle of the adaptive grounded theory methodology identified above, and forms the base upon which the methods adopted in this study were developed.

1. Researcher’s understanding of the subject 3. Key research issues and problems 2. Literature review 5. Framework for research tool

6. Field work and concurrent data

analysis

7. Analysis of field work data,

post field work

9. Descriptive model 10. Outcome: In-depth understanding of phenomenon 4. Conceptual model(s) 8. Required level of understanding reached

Figure 2.2: A qualitative research process (Source: O’Donnell and Cummins, 1999: 84)

The conceptual, theoretical details of the steps in this research process and discussion of the research experience are presented in the remainder of the methodology chapter. In summary these are: the development of sensitising concepts through a broad literature review leading to interview questions and schedule; identification of research population, sampling methods and final sample selection; data collection and management; presentation of findings; emerging themes and iterative literature reviews; theory generation; issues of the role of the researcher, credibility, dependability, confirmability and transferability.

2.3 Development of sensitising concepts and interview schedule

Essentially, it is argued that the adaptive grounded theory methodology is guided by general theoretical frameworks and concepts taken from them. These sensitising concepts or devices provide a starting point for further exploration of the primary research questions and fieldwork focus. This process of exploring prior theory continues throughout the research process as new relevant concepts emerge (Layder, 1993: 48-9).

In the research process adopted in this study (Figure 2.2) this is included in stages 1- 3, by the researcher addressing their prior understanding of the research subject and carrying out a wide ranging literature review in order to identify key research issues and problems. This allows the development of conceptual models, which, in turn, provide a framework for the design of empirical research tools (stages 4 and 5). As the research progresses, emergent data guides an ongoing review of relevant literature, thus allowing the conceptual models and frameworks to be expanded until the required level of understanding is reached (stage 8). A descriptive model can then be developed and added to existing knowledge of the phenomenon in question. By this means a continuous and iterative process provides a base for further empirical study (stages 9 and 10).

In this study of internal barriers to the development of convenience stores owned by members of the Edinburgh South Asian community, the researcher’s understanding of the subject area was partially based on previous experience as a convenience store manager. This knowledge of the practical difficulties of running such a business was

useful in identifying potential topics for the literature review, and also for gaining access to individual businesses. Understanding of the Edinburgh South Asian community and business activity was gained through a series of background interviews. This included a colleague with previous experience of ethnic minority convenience store research (Wallace, 2001), an ethnic minority business support provider (Akram, 2001), the Edinburgh City Council Equality Department (Hameed, 2001), South Asian community small business owners (Uddin, 2001; Unis, 2001) and community representatives (Khan, 2001; Uddin, 2001).

The insights gained from these interviews both shaped the development of sensitising concepts and conceptual models leading to the research framework and underpinned the identification of the research population and sample selection processes described later in the chapter.

The initial literature review, presented in Chapter 3, covered the following areas: small and micro business theory; convenience store and small independent retail business research; literature concerning motivation, family business and the influence of religion and culture on business activity; and ethnic minority business research. This process identified both small and micro business and ethnic minority