质性研究的样本量判断——饱和的概念、操作与争议

doi:10.16382/j.cnki.1000-5560.2021.12.002

摘要/Abstract

摘要：

饱和业已成为判断质性研究质量、说明样本量合理性的重要标准。本文系统梳理了三类饱和概念——理论饱和、主题饱和与数据饱和，指出研究者要考虑自身的整体研究设计以决定采信何种概念。此外，还介绍了三种记录和判断饱和的方法，它们分别是结构性编码本、饱和表以及概念深度量表。其中，结构性编码本较为适合采信演绎主题饱和与数据饱和概念的研究；饱和表主要有主题饱和表和编码饱和表两类，较为适合采信既定主题饱和模式、特别强调既定主题能够得到数据有效支撑的研究；概念深度量表尤为适合采信理论饱和模式的研究。本文指出，“度”的概念较好地把握了饱和的本质特征；质量（充分）而非数量（多少）是饱和的关键；饱和本身应当是具体的方法论实践，重视饱和，并对取得饱和的过程进行清晰陈述，有助于提升质性研究的规范性、透明度、质量和认可度。

关键词: 理论饱和, 主题饱和, 数据饱和, 操作

Abstract:

Saturation has become an important criterion to judge the quality of qualitative research and explain the rationality of sample size. This paper systematically and critically reviews the literature and introduces three types of saturation: theoretical saturation, thematical saturation and data saturation and points out that researchers should consider their own overall research design to decide which model to adopt. The paper also introduces three ways to record the process of saturation. Among them, the structural coding book is more suitable for recording deductive thematical saturation and data saturation. There are two types of saturation tables which are more suitable for recording a prior thematical saturation. The conceptual depth scale is particularly suitable for recording theoretical saturation. This paper points out that saturation is a process rather than an event. Quality rather than quantity is the key to understand saturation. Saturation itself should be a concrete methodology practice. Researchers should pay attention to the concept of saturation and make a clear statement of the process of achieving saturation, which can help to improve the standardization, transparency, quality and recognition of qualitative research.

Key words: theoretical saturation, thematical saturation, data saturation, operationalization

谢爱磊, 陈嘉怡. 质性研究的样本量判断——饱和的概念、操作与争议[J]. 华东师范大学学报(教育科学版), 2021, 39(12): 15-27.

Ailei Xie, Jiayi Chen. Determining Sample Size in Qualitative Research: Saturation, its Conceptualization, Operationalization and Relevant Debates[J]. Journal of East China Normal University(Educational Sciences), 2021, 39(12): 15-27.

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模式		特征	焦点
理论饱和		源于扎根理论，强调已发现理论类属的充分发展。	指导抽样（理论抽样）
主题饱和	演绎主题饱和	受扎根理论影响，强调数据分析过程中不再涌现新编码或新主题。	指导数据分析
主题饱和	既定主题饱和	受扎根理论影响，强调既定编码或主题得到数据充分支持。	指导抽样（理论抽样）
数据饱和		在扎根理论之外发展，强调检查新数据是否是对旧数据的重复，相对独立于理论发展。	指导数据收集

研究进路	教科书建议	梅森的研究发现
人种志	Morse（1994）：30-50；Bernard（2000）：30-60	60%：30-50
扎根理论	Morse（1994）：30-50；Creswell（2013）：20-30	49%：20-30；37%：30-50
现象学	Creswell（2013）：3-10；Morse（1994）：6个以上	100%：5个以上；68%：5-25
叙事研究	Creswell（2013）：除集体叙事外，一般1-2个；	/
个案研究	Creswell（2013）：不超过4至5个；	中位数：33**
质性研究*	Bertaux（1981）：15个以上	80%：15个以上；50%：50个以下

编码	定义	操作性定义	适用或不适用的情形	例证
害怕被拒斥	表现出对被边缘化的焦虑；害怕由于别人的言辞和行动而感到受伤、痛苦或尴尬。	基于信念或疑虑、或没有依据的观点、非理性的推断而形成的对彼此的看法。	适用：可以是毫无缘故地被嘲笑的病人或者医务工作者。	感觉有点羞愧。担心……他们担心医务工作者的排斥…… ACU013
自卑感	表达感受说自己在一群人中存在差别。	提到权力的不平衡，被不平等对待，感觉到世界观等方面的“不同”。	适用：表达的是存在于临床医师之间的感受，而不是存在于病人之间的感受。	我有一般不和全科医生那么做，这是不是很有趣?我一般不是那么想，但我有点感觉我更懂理疗。我们看起来……水平更高? ACU012
……	……	……	……	……

编码	访谈参与者/团体
编码	1	2	3	4	5	6	7	8	……	N
日常—购物	√
日常—家务		√
日常—穿着		√
应对—调整	√
应对—求助	√
应对—计划	√
应对—活跃	√
环境—空气		√
环境—湿度					√
环境—温度
心理—焦虑感	√
心理—受惊吓	√
心理—生气	√
娱乐—运动			√
娱乐—其他		√
……	√

标准（证据）	低（1）	中（2）	高（3）
范围（编码的频率与多样性；数据来源多样性）	少有例证支持概念；数据类型单一。		有大量例证支持概念；数据类型多样。
复杂性（编码树，观点图，矩阵）	描述性编码；编码间联系简单；分析少。		概念网交错；理论类属涵盖一系列编码和概念。
微妙性（备忘录，世界观图）	概念语言看起来没问题，单向。		概念语言丰富，略显模糊和多面。
回应性（文献）	回应低；涌现的理论与既有文献和理论框架遥远。		回应强；涌现的理论与既有文献有对话；与其他理论框架有联系（变体和创新）。
效度	理论化程度低；发现对类似处境参与者适用度低。		抽象层面理论化程度高；发现对那些在同一或相似社会环境下的人而言有意义。