Article A4.2 Doctoral Summer School 2007: Fundamentals of Management Research D. P. Dash Xavier Institute of Management, Bhubaneswar, INDIA dpdash[at]ximb.ac.in C. D. Kuruvilla Doctoral Scholar, Xavier Institute of Management, Bhubaneswar, INDIA cdkuruvilla[at]gmail.com 1. DSS 2007: A Summer Event on Doctoral Education A Doctoral Summer School (DSS 2007) on the “fundamentals of management research” was held at Xavier Institute of Management, Bhubaneswar (XIMB), during June 8-13, 2007. This was the third consecutive doctoral summer school being organised at XIMB, with the objective of improving the quality of doctoral education in the country and producing competent and innovative researchers in the field of management. The event attracted a total of 17 participants from different parts of India, most of them full-time doctoral scholars; others were academicians and other professionals intending to start their doctoral studies. They were introduced to the world of research with an emphasis on the issues of doing research in an applied discipline such as management. Topics covered in the school were related to research thinking, research process, research skills, tools and methods of research, and the human-side of research, which were demonstrated using snippets from different areas of management research. This report presents a gist of the sessions so as to give the reader a ringside view of the entire event. 2. Day-1: Orientation to Learning and Research The inaugural session drew attention to various dimensions of doctoral education and asserted that a doctoral degree is only one of the many possible outcomes of doctoral education. David A. Kolb’s model of experiential learning was then discussed. The model explains how individuals develop their learning styles by habitually focusing on some parts of the learning cycle rather than utilising the entire cycle. The session emphasised on the importance of being aware of one’s learning style and using the entire learning cycle to one’s advantage. The participants were encouraged to give a look and feel to their images of research in a workshop session, in which they created collages using newspaper and magazine cuttings. Sharing their reflections on the images, the participants described research as a long journey with several obstacles, twists and turns, and paths that might lead to blind alleys. There was a threat of failure at every stage and often confusion about the course to be taken at a fork in the road. To some, the price of doing research seemed too heavy, calling for grit and endurance. Of course, some brighter images also emerged that depicted research as a process of discovery and endless possibilities that could lead to discoveries and innovations. Some of the images depicted the qualities a researcher should possess such as faith in one’s abilities, focus, tenacity, open-mindedness, creativity, flexibility, intuition, and the ability to turn failures into opportunities to learn and grow. Further discussions on this indicated that the themes and images of research which had emerged in the exercise were popular opinions and have become accepted as common sense, although they represent research only partially. For instance, by accepting that research is journey-like, one tends to overlook other possible metaphors which also depict some important aspect of research. Research could also be seen as a process of building an edifice, acting according to a script, participating in a shared information space, or engaging in struggle and resistance. The important thing is to become aware of one’s assumptions and allow one’s development as a critically reflective person. Not all researchers start from a state of confusion as some of the images implied; some researchers also start with a great deal of clarity on what they intend to establish when they begin their research. 3. Day-2: Management Research: Philosophy and Practice Continuing on this theme, the participants were invited to appreciate the process of research by visualising an iceberg floating on water. The events we observe around us may be compared to the tip of the iceberg that is visible above the water level. There are other realities associated with the events underlying the water level. For example, at the water level could be the trends and patterns associated with the events. The deepest and hidden level might have the generative mechanisms (or structures) which give rise to the trends and patterns. In the context of research, the generative mechanisms are often taken to be stable, pre-existing, and given by Nature. However, research also deals with generative mechanisms which have either evolved or even purposefully invented. For an applied discipline, which is more inclined towards research that serves as a reliable guide to action, mere generation of knowledge cannot be the sole aim of research. The entire space between knowledge and action is called into question. This harks back to the Aristotelian notions of episteme, techne, and phronesis--three important foundations of reflective practice. Consequently, researchers in such action-oriented disciplines will need to appreciate the proper function and the interplay of the different kinds of rationality associated with these foundations. In addition, the day included sessions on forecasting, data mining, marketing, and entrepreneurship. The session on forecasting highlighted the importance of forecasting as a research tool. Research in management may involve forecasting as a necessary component. Sometimes, forecasting may be involved as a major issue in a research project. The session dealt with the principles and methods of forecasting, covering both quantitative and non-quantitative methods. Errors in forecasting and approaches to minimising such errors were also discussed. The session on data mining introduced the vocabulary and methods of searching for meaningful patterns in large volumes of data. Concepts of association, classification, and clustering were discussed. Software such as XLMiner, SAS, and SPSS are used for data mining. Data mining could be applied wherever decision making has to be based on large volumes of data, such as in customer retention, risk assessment, fraud detection, retail operations, and so forth. Reflecting on the notion of knowledge in applied disciplines, the session on marketing suggested that this field appears to borrow from various parent disciplines, specifically economics, psychology, and sociology, but it is often criticised for producing vacuous concepts, which nonetheless become part of the marketing jargon. While in the physical sciences there is a clear distinction between object and subject, in the social sciences such a distinction is much less direct. In an applied discipline such as management, the focus is on the study of interventions and their effects. This introduces an additional level of complexity--the level signified by interventions, which seem to operate between subjects and objects. Moving on to contemporary research in marketing, some of the recent trends were identified and discussed. These included: (a) return on marketing investments, (b) cultural issues in marketing, and (c) empirical validity of marketing knowledge. Entrepreneurship was the focus of an entire session. Entrepreneurship as a notion defies formal definition--a difficulty commonly encountered in many areas of management research. Some of the attributes typically associated with entrepreneurs prove to be unhelpful in conducting research. What an entrepreneur does needs to be appreciated in the context of the person, place, and the socio-economic milieu within which it is done. Two persons jumping into a river to save a drowning person are not taking the same level of risk--the one not knowing how to swim is taking a greater risk. Although risk taking is often associated with entrepreneurship, studies show that the risks are usually not high given the personal capabilities of the entrepreneur. Similarly, considering the socio-economic milieu, entrepreneurship may be necessity-based or opportunity-based. Entrepreneurship is a dynamic process and the relevant factors keep on changing. The subject calls for multi-level analysis, longitudinal studies, and a focus on specific contexts. The method of case-study research appears to be relevant to this area of research. 4. Day-3: Research Process: Hypothetico-Deductive Model The entire day was reserved for a detailed introduction to the so-called hypothetico-deductive model of research. According to this model, research becomes a process of gradually improving our understanding of some “actual reality” by making conjectures about it and going about systematically to check those conjectures through well-defined observations. Following this model, it becomes the researcher responsibility to build possible images of the actual reality and then derive from it conjectures worth investigating. Of course, the design and conduct of that investigation becomes part of the researcher’s work. In this model, theory consists of some possible image of a part of reality together with the conjectures derived from it. Thus a theory may be taken to be a representation of a limited part of some reality. Developing this kind of theory is taken as an important aim of research in this model. Much of the day’s discussions focused on the constitutive elements of theory and defining the research tasks associated with each element. A theory may be taken to contains six key constitutive elements: (a) domain specification, (b) basic terms (concepts), (c) statements specifying the meaning of terms (often using definitions, typologies, polar types, configurations, and ideal types), (d) statements specifying some established principles (premises), (e) statements specifying conjectural relationships between concepts (propositions), and (f) hypotheses (to be tested). The basic terms in a theory may be categorised as under: (a) observational term (i.e., can be communicated through denotation, by showing an empirical object), (b) indirectly observable term (say, using an instrument, e.g., molecule), (c) not observable, but can be determined with reference to observables (e.g., government), and (d) not observable, but can be determined only with reference to some theory (e.g., marginal utility). The last two categories are usually referred to as constructs. Methods for arriving at propositions from premises were discussed next. These are usually methods of reasoning, i.e., deductive and inductive reasoning. A proposition becomes hypothesis when the terms used are operationalised, so as to be expressed as variables. A hypothesis is a conjectural statement about a relationship between variables. The process of operationalisation refers to specifying how a term (especially, a construct) would be measured and designing the process of recording the magnitude of some relevant attribute of a concept. The session then focused on different levels of measurement used in scale development (nominal, ordinal, interval, and ratio), sources of error in measurement, properties of measurement and the steps involved in scale development. There are two important sources of error in measurement of variables: (a) sampling error and (b) non-sampling error. Sampling errors arise because a random sample is surveyed rather than the entire population. Non-sampling errors relate to all errors other than sampling error, such as non-response and processing error. Non-sampling errors could be grouped further into systematic and random errors. The day-long session concluded with an elaborate discussion on the reliability and validity of measurements. Reliability refers to consistency; it indicates the extent to which the measure is free from random errors. Validity refers to the extent to which a measure captures a concept’s true meaning. Reliability is a necessary contributor to validity but not a sufficient condition for validity. There are different approaches to assessing reliability, such as (a) stability-based approach (test-retest reliability) and (b) internal-consistency-based approach (split-half reliability). The Kuder-Richardson Formula 20 (KR-20) and Cronbach’s coefficient alpha are two indices used to secure reliability estimates. Cronbach’s alpha should be above 0.7 for a new measure. Validity of a measure could be classified into three categories: (a) content validity (whether the measurement--questionnaire item, in a survey--seems to be related to the meaning of the concept, (b) criterion-related validity (how well a variable predicts an outcome based on information from other variables), (c) construct validity (whether a measure correlates with other measures of the same construct). 5. Day-4: Research in Context: In Vitro and In Vivo Sessions on Day 4 extended the ongoing discussion on research process and went into approaches for identifying a specific research focus. The discussion often underlined the importance of the context, because truly generalisable results are quite rare in management research. The session on research trends in finance introduced micro- and macro-perspectives in financial research. Finance managers make decisions regarding mobilising funds (i.e., financing) and utilising funds (i.e., investing). They do so while recognising the financial realities within their firms (micro-perspective) as well as the institutions, markets, regulatory agencies, and broader economic trends in their environments (macro-perspective). Given the ongoing integration of financial markets across the globe, it has become imperative for Indian finance managers to view their role from both local and global standpoints. The discussion suggested that research questions in finance could focus either on the firm or its environment. Research focusing on the environment would seek to identify patterns and trends which clarify and delimit the options before individual firms. Alternatively, research focusing on the firm would seek to identify how the practices within the firm might affect its financial risk-return profile, thus indicating options for innovation and change. Some specific research topics were mentioned: impact of outsourcing by banks, cash management practices of Indian companies, financial performance before and after mergers, credit-risk management in Indian private banks, and so forth. Another session attended to research on international strategy, with a focus on the necessary exploration in order to identify a research topic. If a certain strategy has been successful in one geographic region, research can look into its chance of success in another geographic region. Another approach to identifying a research focus would be to review the definition of terms used in some prior research, with a view to examining the prospects of any other definitions. A common way to proceed is often a thorough review of the literature. Done in a critical and creative manner, it reveals gaps in the literature, thus offering ideas for future research. An important genre of research in management is known as operations research (OR). It looks into the system of activities within an organisation with a view to “optimise” the system so that the activities yield the best possible results within the given constraints. Borrowing a notion from the life sciences, a distinction was made between in vitro and in vivo forms of research, in order to appreciate the nature of OR. Whereas in vitro research might look for general properties of whatever is being studied, in vivo research would seek to find out how a certain thing (or process) actually fares within a living context. From this point of view, OR might be likened to in vivo research, in the sense that OR engineers specific solutions that would work within the living context of an organisation, rather than imposing a general solution from outside. OR approaches its task by first developing a model of the system relevant to the problem situation. Ultimately, it is the model that is optimised (or solved) under the given constraints. To the extent the model is realistic and relevant, the solution would be effective. A specific genre of research called small-n research, that is particularly attentive to the contextuality of findings, was introduced next. The session started with a mock interview. Participants prepared transcripts of the interview. Using the transcripts as raw data, the whole sequence of small-n research was demonstrated step by step. It involved translation, assignment of codes to chunks of idea, clustering and renaming the codes, identification of themes, and finally generation of an overarching synthesis that is creative, insightful, and relevant to some theoretical domain. 6. Day-5: Research as an Exemplar of Practice The sessions on Day 5 drew attention to the human-side of research. In exploratory research, it often becomes important to grasp the lived experiences and reflections of a person, organisation, or community without imposing an external frame of meaning. Methods of data collection such as participant observation or non-directive interview are used in this type of research. In this, the researcher serves as the main instrument in the research process. Therefore, the research is likely to be affected by the cognitive habits, behaviour patterns, values, and attitudes of the researcher. Moreover, since such research requires rapport, discretion, and mutual trust, the human-side of research becomes even more pronounced here. This has implications for research ethics, which is sometimes overseen by institutional regulators. It also becomes a matter for the researcher’s own discipline and adoption of a set of basic values and norms internal to research. These issues were demonstrated through two exercises, named Pipe Transfer and Square Rope, depicting well-structured and ill-structured problem situations respectively. These situations pose different challenges. Technical challenges are those we have faced before and whose solutions are known or can be visualised. Adaptive challenges are complex and need more time for familiarisation and development of a solution strategy. It is a common error to treat an adaptive challenge as a technical one. Adaptive challenges require an openness of mind so as to allow unexpected sources of ideas and support. On the whole, these exercises were an invitation to reflect on how we as researcher, but also humans, choose to respond to challenging situations and the consequences of our choices. Another session focused on the human interactions involved in academic publishing. Even this was conducted in a workshop mode, where the participants peer-reviewed an article submitted to an academic journal. Their reviews were compared with the actual review comments received by the journal. The process highlighted some of the dos and don’ts of peer-review. The revised and published version of the article was also discussed, which demonstrated how peer-review and appropriate editing can enhance the publishability of articles. There was a late evening session of dialogue with an “artist-researcher”--a reputed violinist. It started with a discussion on some of the models of engagement between art and research, followed by a demonstrative performance. The idea of seeking mutually enhancing connections between art and research was the key message of this session. 7. Day-6: Preparing for Doctoral Work: Working Smart On the concluding day, the participants got an introduction to multivariate data analysis and also a step-by-step demonstration of how to do a factor analysis using the SPSS software. Following such a smart approach should not be limited only to data analysis, but extended to every other aspect of one’s research--such was the message of an entire session on managing one’s doctoral work. The approach to manage one’s doctoral work would depend on the individual doctoral scholar and the institutional context where one’s work is located. In general, there is no alternative to extensive reading, but one can smartly arrive at the most important literature in one’s field by concentrating on a few leading peer-reviewed journals. A smart researcher would also make use of electronic resources so easily available today. Choosing the right research guide and co-guide(s), developing a functional working relationship with the guides, sharing one’s progress with them as well as one’s peers were some of the tips shared in this session. Sometimes, researchers underestimate the time required for the various phases of their work. This can be avoided by consulting those who have relevant experience. An important warning: Working smart does not mean sidestepping the established standards of ethics in doctoral research. The summer school came to an end with a session on recapitulation, action planning, and sharing of feedback. Participants’ feedback and their overall assessment of the event, glimpses of which are presented below, indicate the high levels of satisfaction and inspiration they derived from the summer school. 8. Participants’ Comments on DSS 2007 “Gained a lot of rich experience. The very opportunity to interact with professors and other doctoral students for such long period of time in itself is a rare opportunity. I would attend more such events.” (Subhakant) “I came across many new things--some interesting things which I will pursue. My expectations are more than fulfilled.” (Pratik) “My expectations have been met. In the next 6 months, I plan to read more quality material and define the research problem in a better fashion. I also intend to familiarise myself with the various quantitative techniques.” (Pravat) “I am on the firm position of working towards my research goal. Yes, I am more than fulfilled intellectually and quite optimistic about the next phase of my journey.” (Pramod Kant) “Having already undergone DSS 2006, I already had very high expectations from DSS 2007. I was apprehensive about repetitions in the summer school this year. However my fears were unfounded and the entire DSS 2007 had no repetition. I plan to take up serious reading and improve my writing skills.” (Suryakant) “It showed me a mirror in which I could see where I was and where I needed to go. It mentally prepared me for what lies ahead. To continue the journey, I will join a school imparting doctoral education, moving myself from a summer school to a regular school.” (Mousumi) 9. Overall Assessment by Participants * One of the most enriching workshops I have attended in the last 10 years of my working. (Subhakant) * Elated. (Pratik) * 7 out of 10. (Govind) * The fragrance of DSS is not reaching all the eligible people. Some more effort (which will be mine for next DSS, if you permit me to) is required about the awareness of this event so that other colleges also provide the same kind of platforms for doctoral events. (Madhavi) * Very positive, a tremendous confidence builder, and a great eye opener. (Saveeta) * It was like training with enjoyment. I have enjoyed each and every moment which you will rarely find. It was a bit of a new experience and a new journey. (Prakash) * Good forum. Felt positive attending it. All session leaders/facilitators were ready to answer questions. (Krishna Priya) * It was an interesting and pleasant experience; over all, it was enlightening. (Pravat) * Memorable, overwhelming, and very useful. (Ajith) * The programme was quite inspiring. It built my confidence and worked like a path-finder to my research work. It was an opportunity to interact with eminent experts within and outside XIMB. (Sachi Kanta) * Worthwhile experience, learning, and interaction. (T. V. Prasad) * Excellently revealing, lot of pointed guiding inputs useful for my intellectual broadening and deepening. I am confident that I shall be enabled to report concrete achievement in this journey. (Pramod Kant) * A well conducted programme which is of immense help to the academic family in general and doctoral students in particular. This type of academic commitment needs to be increased in our country to improve the quality of doctoral work and academic writing. (Suryakant) * I was able to reflect on the various aspects of the research process. (Kuruvilla) * Good experience, thought-provoking, good learning. (Amarendra) * A very good learning and transformation exercise from a carefree learner to a serious researcher. (Mousumi) * DSS improved my awareness about my surroundings. It made me more receptive. It instilled in me a sense of discipline. (Talat) APPENDIX A. Programme Coordination D. P. Dash, XIMB, INDIA; dpdash[at]ximb.ac.in [Convenor] Florian Kohlbacher, German Institute for Japanese Studies, Tokyo, JAPAN; kohlbacher[at]dijtokyo.org Jacob D. Vakkayil, XIMB, INDIA; jacobdvakkayil[at]yahoo.com Munish Thakur, XLRI, Jamshedpur, INDIA, munish[at]xlri.ac.in Rajesh K. Muthuswamy, XIMB, INDIA; rajesh[at]ximb.ac.in [Convenor] Snigdha Pattnaik, XIMB, INDIA; snigdha[at]ximb.ac.in B. List of Faculty Amar K. J. R. Nayak, XIMB, amar[at]ximb.ac.in Brajaraj Mohanty, XIMB, brajaraj[at]ximb.ac.in Badrinarayan Pawar, Amrita Business School, b_pawar[at]ettimadai.amrita.edu D. P. Dash, XIMB, dpdash[at]ximb.ac.in Jacob D. Vakkayil, XIMB, jacobdvakkayil[at]yahoo.com Jaydeep Mukherjee, XIMB, jaydeep[at]ximb.ac.in Munish Thakur, XLRI, munish[at]xlri.ac.in Neharika Vohra, IIM Ahmedabad, neharika[at]iimahd.ernet.in Pradip K. Bala, XIMB, pradip[at]ximb.ac.in Prahlad Mishra, XIMB, pmishra[at]ximb.ac.in Sandip Anand, XIMB, sandip[at]ximb.ac.in Samson Moharana, Utkal University, samsonmoharana55[at]rediffmail.com Sambit Mukherjee, XIMB, sambit[at]ximb.ac.in Snigdha Patnaik, XIMB, snigdha[at]ximb.ac.in Trilok Kumar Jain, Afterschool Centre for Social Entrepreneurship, Bikaner, tkjainbkn[at]yahoo.co.in C. List of Participants 1. D. Krishna Priya, Utkal University, Bhubaneswar, kpriya_sep05[at]yahoo.co.in 2. T. V. Prasad Chowdry, IFIM B-School, Bangalore, chowdry[at]ifimbschool.com 3. Saveeta Mohanty, XIMB, saveta[at]ximb.ac.in 4. Mousumi Padhi, IPSAR, Cuttack, mousumipadhi[at]rediffmail.com 5. Pratik Modi, IRMA, Anand, pratikmodi_78[at]yahoo.com 6. Adwaita Govind Menon, XIMB, agm_govind[at]yahoo.co.in 7. Madhavi Latha Nandi, XIMB, madhavinandi[at]yahoo.co.in 8. C. D. Kuruvilla, XIMB, cdkuruvilla[at]yahoo.co.in 9. P. Ajith, MDI, Gurgaon, ajithmba[at]rediffmail.com 10. Suryakant Sharma, College of Air Warfare, Secunderabad, suryakantsharma[at]yahoo.com 11. Pravat S. Kar, Rourkela Institute of Management Studies, Rourkela, coolpravat[at]yahoo.com 12. Prakash Chandra Dash, Utkal University, dash_prakash2004[at]yahoo.co.in 13. Pramod Kant Tripathi, Independent, ravcafe4321[at]gmail.com, tripathi2007[at]yahoo.com 14. Subhakant Padhi, XIMB, skpadhi[at]ximb.ac.in 15. Talat Yasmin, Islamic Business and Finance Network, Bhubaneswar, talat2_yasmin[at]yahoo.com 16. Sachikanta Kar, Central Tool Room & Training Centre, Bhubaneswar, skkar_cttc[at]yahoo.co.in 17. Amarendra Sahu, Independent, amar15[at]yahoo.com Note. The report is based on the notes taken by D. Krishna Priya, T. V. Prasad Chowdry, Saveeta Mohanty, Mousumi Padhi, Pratik Modi, Adwaita Govind Menon, Madhavi Latha Nandi, C. D. Kuruvilla, P. Ajith, Suryakant Sharma, Pravat S. Kar, Subhakant Padhi, and Talat Yasmin--all of whom participated in the summer school. 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