Excerpt 6 June 1988)
4.11 Observation
are interviewing. Their in-group status as peers at the same institution has greatly facilitated the data collection process.
Finally, in ethical review applications and in many published reports, the researcher often needs to provide interview guides or protocols in an appendix with sample questions to be asked for reference purposes.
Because gaining access to fieldwork sites for direct observation is becom- ing increasingly complicated for ethical/institutional reasons in some types of research (see Section 4.14), case studies in applied linguistics will probably rely on interviewing and written text analyses to an even greater extent as their principal data collection strategies in the future (see Duff, Wong, & Early, 2000).
does it become clear how typical the observations are. Some research- ers arrange to have participants (the teacher or family) record their own interactions without the researcher immediately present, and differences may also emerge from occasions when the researcher is physically (more) present. In any case, it is wise to consult with those who have been observed to get a better sense of how typical or representative the observed behav- iors and activities were.
Very often in interpretive case studies, the observations are not guided by a predetermined observational protocol involving the coding of behav- iors every 15 seconds, for example, according to the direction, language, or substance of interaction. Spada and Lyster (1997) and van Lier (1997) compare their approaches to L2 classroom observation and analysis, as quantitative and qualitative, respectively. Observational protocols and coding sheets are often used in quantitative studies (e.g., Spada & Lyster, 1997). What one observes and how one observes and records observations are centrally connected with the theoretical framework and traditions of one’s work. Having a video camera trained only on a teacher in classroom discourse analysis, while convenient, only shows one side of the interac- tion, even if students are not speaking. It does not reveal the facial or other nonverbal behaviors of students, the spatial configuration of the class, the times when students raise their hands bidding for turns, and so on. There- fore, it is important to understand the sorts of information or evidence that are relevant and important to one’s analysis before undertaking it. Typi- cally in ethnographic fieldwork with focal participants (cases) that is sus- tained over a period of time, one begins with larger fields of observation and then narrows things down over time, focusing to a greater extent on the cases in question (Duff, 1995). But other research might have a very precise focus from the start (e.g., an examination of doctor-patient or tutor- student interaction, the requesting behaviors of an L2 user) and will focus immediately on the relevant portion.
Observation involves far more than just the mechanical process of zero- ing in on and recording observable behaviors (Richards, 2003). However, the mechanics are also important to consider. Audiotaping and videotap- ing observations, as opposed to fieldnote taking alone, helps preserve the linguistic character of interactions, and videotaping in particular allows researchers to better attend to nonverbal aspects of language interaction,
such as gestures, participants’ orientation to various media in their envi- ronment, eye gaze, and so on.
In my research involving classroom-based observations in which I suc- cessfully negotiated the use of videotaping (e.g., Duff, 1993c, 2002b), I normally observed classes on several occasions (sometimes weeks) without any equipment in order for the class to become accustomed to my presence.
The classes never entirely forgot about the camera’s presence, though, even after many weeks. In one study in which I had received permission to vid- eotape (Duff, 2002b), the teacher eventually asked me, after several weeks, to stop videotaping because some of the teenaged girls in the class seemed to be too distracted by it, directing off-task comments and gossip at the camera microphone from time to time. In addition to a video camera, I typ- ically have one high-quality tape recorder (and sometimes tabletop micro- phone) on the teacher’s front desk. When examining focal participants engaged in group activities, I videotape the group (when possible) and have high-quality small tape recorders for each group being recorded. Markee (2000) discusses other ways of recording multiple individuals within class- room settings, such as outfitting each one with a small tape recorder and microphone, using radio microphones or special directional microphones.
In my own classroom research, the most I have ever used was about six small tape recorders in addition to a larger one and a video camera.
I have never managed to use more than one video camera in the same classroom because of the logistics of operating two cameras and also the increased intrusiveness and data management required. In more controlled settings, of one or more cases interacting with a computer in a lab space, for example, it would be advisable to have one video camera focusing on the computer screen and another on participants and the keyboard.
With a single video camera in a classroom, I typically place it on the side of the room (e.g., next to windows to avoid backlighting problems), slightly to the back of the room, and near a power source. There are always trade-offs about where equipment and microphones are placed, how easy it will be to turn tapes over without being disruptive, and how much infor- mation can be captured. For observations that are not audio- or video- recorded, the researcher must take detailed fieldnotes, but these records are not really adequate for detailed linguistic analysis. Fieldnote taking may also be done together with recording (if the researcher can manage both or has assistance) to help contextualize the observed behaviors and to
note aspects of the observations that merit follow up. Additional comments or classroom configuration comments may also be written immediately after observations either on the fieldnotes or in a research journal. I often sketch the classroom setup. In the classroom in Figure 4.4, I was located on the far right side of the room close to a power outlet, near the “louder local girls”—the same ones whose distracting asides forced me to stop videotap- ing, unfortunately (Duff, 2002b).
In qualitative case studies, observation is not usually the only data collection technique. It is combined with interviews, to ascertain selected participants’ perspectives on their actions or behaviors, and other data collection, such as document analysis. But in some research in which observation is intended, participants may opt for various reasons not to grant permission because of the perceived intrusiveness of having visi- tors in their midst. This scenario affected data collection in work reported in Duff, Wong, and Early (2000), resulting in an interview-based study
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instead. In other studies, permission to audiotape but not videotape may be granted (e.g., Duff & Li, 2004).
To summarize, case study researchers conducting observations should consider the following points:
What their focus will be in the observations, besides the case itself How best to record the observed behaviors manually (through notetaking) and mechanically so as to capture key information and avoid mechanical dysfunction (note: have backup equipment and extra batteries)
What kinds of information will be lost if audio- or videotaping is not permitted
Over what period of time and what schedule the observations will take place How researchers will elucidate participants’ perspectives of the observed actions at a later point
How they will analyze and use the observational data in the study