Chapter 9. Synthesising Qualitative and Quantitative Evidence within a Systematic Review
Mary Dixon-Woods, Shona Agarwal, David R. Jones, Bridget Young, Alex J. Sutton and Jane Noyes
▪ Introduction
▪ Systematic reviews
▪ Methods for synthesis
▪ Issues in synthesis
▪ Conclusion
Introduction
In this chapter we briefly describe systematic review methodology, signpost examples of guidance, and present a brief overview and critique of a selection of approaches for synthesising qualitative and quantitative forms of evidence, illustrated with examples. The challenge for nurses is to synthesise evidence from studies in a rigorous and meaningful way (Oliver et al 2005). Along with others (e.g. Dixon-Woods 2001 and Dixon-Woods 2005), nurse researchers (e.g. Morse 2006, Pearson 2005 and Sandelowski 1997) have been at the forefront of developing methods for review and synthesis. Likewise, nurse researchers have been prominent in publishing their experiences of synth-esising studies in nursing journals (e.g. Henderson 2005 and Whittemore 2005).
Systematic reviews
Several resources exist to guide nurse researchers on methods of systematic review. These vary in complexity, and include the University of Plymouth’s webguide (Barbour 2004), which is a comprehensive but basic resource for novice nurse researchers. Other sources of guidance include the Cochrane Reviewers’ Handbook (Alderson et al 2004), the Centre for Reviews and Dissemination guidance (CRD 2001), and publications of the Evidence for Policy and Practice Information and Co-ordinating Centre (EPPI-Centre) (e.g. Rees et al 2001). The search strategy is usually developed in association with an information specialist to minimise bias and searcher oversight. A variety of sources should be searched to minimise a range of biases. The types of studies to be sought depend on the nature of the review (Glanville 1999 and Dixon-Woods 2004).
Systematic review methodology has traditionally tended to favour quantitative forms of evidence – particularly from randomised controlled trials (RCTs). However, nurses are increasingly aware of the limitations regarding RCTs as the sole source of ‘evidence’. This has resulted in growing calls for more inclusive forms of review, so that better use may be made of primary data, including qualitative research (Davies 2001, Kelly 2002, Pound 2005, Speller 1997 and Thorne 1994). Using multiple forms of evidence allows maximum value to be gained from studies that have overcome problems with access to sensitive or hard-to-reach settings; contradictions in the evidence base can be identified and examined; and theory development or specification of operational models can be optimised. Excluding any type of evidence on grounds of its methodology could have potentially important consequences.
In characterising the different approaches to synthesis, Noblit and Hare (1988) introduce a useful distinction between integrative (or what we term aggregative) and interpretive reviews. Aggregative synthesis involves techniques, such as meta-analysis, that are concerned with assembling and pooling data, and require a basic comparability between phenomena studied so that the data can be aggregated for analysis. Interpretive reviews, by contrast, see the essential tasks of synthesis as involving both induction and interpretation. Interpretive reviews achieve synthesis through subsuming the concepts identified in the primary studies into a higher-order theoretical structure.
We suggest that aggregative syntheses of the type most commonly found in systematic reviews are those where the focus is on summarising data, and where the concepts (or variables) under which data are to be summarised are assumed to be largely secure and well specified. For example, in an aggregative synthesis of the impact of educational interventions on uptake of influenza immunisation in older people, the key concepts (educational intervention, uptake, older people) would be defined at an early stage in the synthesis and would effectively form the categories under which the data extracted from any empirical studies are to be summarised. This summary may be achieved through pooling of the data, perhaps through meta-analysis, or less formally, perhaps by providing a descriptive account of the data. It is important not to exaggerate how secure such categories are (for example, how to define ‘older people’ might be debated), nor is it impossible for an aggregative synthesis to fulfil theoretical functions (though these are most likely to be theories of causation).
The defining characteristic of an interpretive synthesis is its concern with the development of concepts, and with the development and specification of theories that integrate those concepts. An interpretive synthesis will therefore avoid specifying concepts in advance of the synthesis. It will not be concerned to fix the meaning of those concepts at an early stage to facilitate the summary of empirical data relating to those concepts. The interpretive analysis that yields the synthesis is conceptual in process and output, and the main product is not aggregations of data, but theory. Again it is important not to caricature an interpretive synthesis as therefore floating free of any empirical anchor: an interpretive synthesis of primary studies must be grounded in the data reported in those studies. An interpretive synthesis may be able to address questions that are difficult to address through aggregative syntheses, and be concerned with the generation of middle-range theories – explanations which apply in a specified domain, such as seeking to explain why people defer help-seeking for some types of symptoms. Interpretive syntheses, therefore, can be carried out on all types of evidence, both qualitative and quantitative.
Methods for synthesis
The different methods can be broadly grouped in terms of their epistemological and ontological found-ations and whether the aim of synthesis is primarily interpretive or primarily aggregative. Clustering towards the interpretive end of the spectrum are the methods of narrative summary, grounded theory, meta-ethnography, meta-synthesis, meta-study, realist synthesis and Miles and Huberman’s (1994) data analysis techniques, while lying at the more aggregative end of the spectrum are content analysis, case survey, qualitative comparative analysis and Bayesian meta-analysis. Within these clusters or groups, elements of the methods show considerable overlap.
Narrative summary
Narrative summary typically involves the selection, chronicling and ordering of evidence to produce an account of the evidence. Its form may vary from the simple recounting and description of findings through to more interpretive and explicitly reflexive accounts that include commentary and higher levels of abstraction. Narratives of the latter type can account for complex dynamic processes, offering explanations that emphasise the sequential and contingent character of phenomena (Abbot 1990). Narrative summary is often used in systematic reviews alongside systematic searching and appraisal techniques, as exemplified by Fairbank et al (2000). It can ‘integrate’ qualitative and quantitative evidence through narrative juxtaposition. Under the UK ESRC Methods Programme, methodological guidance on the conduct of narrative summaries has been developed, which informs good practice in this area (Popay et al 2006).
Thematic analysis
Thematic analysis, clearly sharing some overlaps with narrative summary and content analysis, involves the identification of prominent or recurrent themes in the literature, and summarising the findings of different studies under thematic headings. Summary tables, providing descriptions of the key points, can then be produced (Mays et al 2001). Several recent attempts at providing structured or systematic overviews of diverse areas of evidence have adopted this kind of approach (e.g. Garcia et al 2002).
Thematic analysis allows clear identification of prominent themes. It is flexible, allowing considerable latitude to reviewers and a means of integrating qualitative and quantitative evidence. It can be either data driven – driven by the themes identified in the literature itself – or theory driven – oriented to evaluation of particular themes through interrogation of the literature. However, there is frequently a lack of explicitness about procedures and aims in this area, including failure to specify the extent to which them-atic analyses are descriptive or interpretive. Questions remain about whether the structure of the analysis should reflect the frequency with which particular themes are reported, or should be weighted towards themes that appear to have a high level of explanatory value. If thematic analysis is limited to summarising themes reported in primary studies, it offers little by way of theoretical structure within which to develop higher-order thematic categories beyond those identified from the literature.
Grounded theory
Grounded theory, originally formulated by Glaser and Strauss (1967), describes methods for qualitative sampling, data collection and data analysis. It sees the overriding concern of qualitative research as the generation of theory (generalisable explanations for social phenomena). The constant comparative method, the most widely used element of grounded theory, has the most obvious potential for application for systematic review in part (especially in later formulations) because it offers a set of procedures by which data may be analysed (see Strauss & Corbin 1998).
One of the most robust and theoretically sophisticated examples of the use of grounded theory for synthesis is Kearney’s (2001) grounded theory analysis of 15 qualitative papers on women’s experience of domestic violence. This study shows how grounded theory can deal with sampling issues and allow a synthesis of studies by treating study reports as a form of data on which analysis can be conducted using the constant comparative method. The generation of higher-order themes as a means of synthesis encourages reflexivity on the part of the reviewer while preserving the interpretive properties of the underlying data. Grounded theory, in the notions of theoretical saturation and theoretical sampling, also offers a means of limiting the number of papers that need be reviewed, especially where the emphasis is on conceptual robustness rather than on completeness of data.
Grounded theory does, however, have several disadvantages as a method for review. Even in its more proceduralised forms, it inherently lacks full transparency because it is an interpretive method. It also offers no advice on how to appraise studies for inclusion in a review. There are several important epistemological issues to be resolved, including the status of the accounts offered in the studies and how to deal with the varying credibility of these accounts. Moreover, the methodological anarchy that characterises the area, with ‘grounded theory’ being used to label many different types of analysis, should not be underestimated as a barrier to the development of this approach as a means of syn-thesising primary studies (Dixon-Woods et al 2004).
Meta-ethnography
Meta-ethnography is a set of techniques specifically developed for synthesising qualitative studies. First proposed by Noblit and Hare (1988), it involves three major strategies:
1. Reciprocal translational analysis (RTA)
The key metaphors, themes, or concepts in each study are identified. An attempt is then made to translate these into each other. Some analogies can be drawn between RTA and content analysis.
2. Refutational synthesis
Key metaphors, themes or concepts in each study are identified, and contradictions between the reports are characterised. Possible ‘refutations’ are examined and an attempt made to explain them.
3. Lines of argument synthesis (LOA)
This involves building a general interpretation grounded in the findings of the separate studies. Some analogies can be drawn between LOA and the constant comparative method.
Britten et al (2002) offer a well-documented demonstration meta-ethnography to synthesise four papers on the meanings of medicines, drawing on Schutz’s (1962) notion of first and second order constructs. ‘First order constructs’ refer to the everyday understandings of ordinary people, whereas ‘second order constructs’ refer to the constructs of the social sciences. Britten and colleagues built on the second order constructs reported in the studies they reviewed to develop what they call ‘third order interpretations’, which were consistent with the original results but extended beyond them.
Meta-ethnography represents one of the few areas in which there is an active programme of funded methodological research for qualitative synthesis. It offers several advantages, including its systematic approach combined with the potential for preserving the interpretive properties of the primary data. Like grounded theory, it can potentially deal with quantitative data.
Several issues need to be resolved if meta-ethnography is to develop in ways that are helpful and useful to reviewers. Meta-ethnography, at least in its original form, offers no guidance on sampling or appraisal, and is solely a means of synthesis. It is demanding and laborious, and might benefit from the development of suitable software. Like most interpretive methodologies, the process of qualitative synthesis cannot be reduced to a set of mechanistic tasks, and meta-ethnography thus runs into the usual problems of transparency. Campbell et al (2003), for example, point to the problem of determining in which order the papers should be synthesised for reciprocal translational analysis. Other difficulties arise when a large number of reports need to be synthesised, because RTA appears to be most suitable for small stable sets of papers. Finally, RTA provides summaries in terms that have already been used in the literature, and there is therefore a danger that it will tend towards conservatism.
Meta-study and meta-synthesis
Paterson 1998a and Paterson 1998b use the term ‘meta-study’ to encompass the overview of theory, method and data. They distinguish between meta-data synthesis, meta-method synthesis and meta-theory synthesis. Meta-data synthesis refers to the syn-thesis of data presented in reports; they suggest that the choice of analytic approach is up to the reviewers, with possible choices including grounded theory, meta-ethnography, thematic analysis and interpretive descriptive analysis (by which they seem to mean a narrative critical review).
Paterson et al propose that the key concern in meta-method is with identifying how the methods applied to an area of study shape understandings of it (e.g. interview-based studies compared with ethnographies). Meta-theory, on the other hand, in-volves a critical exploration of the theoretical frameworks that have provided direction to research (e.g. psychological and sociological approaches to understanding people’s experiences of chronic illness). They use the term ‘meta-synthesis’ to describe bringing together the ideas that have been deconstructed in the three meta-study processes. The primary goal of such an analysis is to develop mid-range theory (i.e. theories that are moderately abstract and have direct applications for particular defined areas of practice). However, the term ‘meta-synthesis’ is often deployed as a way of distinguishing reviews of qualitative studies from systematic reviews or meta-analyses (Walsh & Downe 2005). In this latter sense, ‘meta-synthesis’ has become widely used to describe an approach to synthesising qualitative research that draws broadly on the meta-ethnography tradition, and does not necessarily involve the strategies specified by Paterson et al. Though meta-study provides a very useful framework it also suffers from the limitations that it does not explicitly cope with quantitative evidence, and its processes are laborious and time-consuming.
Realist synthesis
Realist synthesis is an explicitly theory-driven approach to the synthesis of evidence (Pawson 2002a). Beginning with the theory that (apparently) underlies a particular programme or intervention, it seeks evidence in many forms, including formal study reports (both qualitative and quantitative) as well as case studies, media reports, and other diverse sources, and integrates them by using them as forms of proof or refutation of theory.
Examples of the approach have been provided in relation to the provision of smoke alarms as a means of improving safety, and public disclosure (Pawson 2002b). Key problems include the tendency to treat all forms of evidence as equally authoritative, the contingency of the chains of evidence, the vul-nerability to the robustness of the theory being evaluated rather than the evidence being offered, and the lack of explicit guidance on how to deal with contradictory evidence.
Cross-case techniques
Miles and Huberman’s cross-case techniques (1994) offer a number of strategies for conducting cross-case analyses, which might also be suitable for synthesising across different studies. These include meta-matrices for partitioning and clustering data in various ways, sometimes involving summary tables based on content analysis, case-ordered displays, or time-ordered displays. Though Miles and Huberman appear to be discussing the analysis of primary data, their techniques are readily transferable to the synthesis of study reports. McNaughton (2000) describes using these techniques to conduct a synthesis of 14 qualitative reports of home visiting research.
Miles and Huberman’s approaches are highly systematic. The emphasis on data display assists in ensuring transparency, and the results of the synthesis are likely to be capable of being readily converted to quantitative variables. Software is available that can cope with this approach. However, Miles and Huberman’s emphasis on highly disciplined procedures is seen by some as unnecessarily and inappropriately stifling. Miles and Huberman offer no advice on sampling or appraisal of the primary papers.