Action Research Participative Inquiry and Practice Reasonbradburry PDF

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The SAGE Handbook of
Action Research
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The SAGE Handbook of

Action Research
Participative Inquiry and Practice
Second Edition
Edited by
Peter Reason
Hilary Bradbury
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© Sage Publications 2008
First published 2008
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Contents
Editorial Board x
Preface xii
Peter Reason and Hilary Bradbury
Notes on Contributors xvi
Introduction 1
PART ONE GROUNDINGS 11

Introduction to Groundings 11
1 Living Inquiry: Personal, Political and Philosophical

Groundings for Action Research Practice 15
Patricia Gayá Wicks, Peter Reason and Hilary Bradbury
2 Participatory Action Research as Practice 31

Marja Liisa Swantz
3 Some Trends in the Praxis of Participatory Action Research 49

Md. Anisur Rahman
4 Action Research and the Challenge of Scope 63

Bjørn Gustavsen, Agneta Hansson and Thoralf U. Qvale
5 Action Research at Work: Creating the Future Following

the Path from Lewin 77
Hilary Bradbury, Phil Mirvis, Eric Neilsen and William Pasmore
6 Continuing the Journey: Articulating Dimensions

of Feminist Participatory Research (FPAR) 93
Colleen Reid and Wendy Frisby
7 Towards Transformational Liberation: Participatory

and Action Research and Praxis 106
M. Brinton Lykes and Amelia Mallona
8 Critical Theory and Participatory Action Research 121

Stephen Kemmis
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vi CONTENTS
9 Systems Thinking and Practice for Action Research 139

Ray Ison
10 Social Construction and Research as Action 159

Kenneth J. Gergen and Mary M. Gergen
11 Power and Knowledge 172

John Gaventa and Andrea Cornwall
12 Appreciable Worlds, Inspired Inquiry 190

Danielle P. Zandee and David L. Cooperrider
13 Ethics and Action Research: Deepening our Commitment

to Principles of Social Justice and Redefining
Systems of Democratic Practice 199
Mary Brydon-Miller
14 The Future of Universities: Action Research

and the Transformation of Higher Education 211
Morten Levin and Davydd Greenwood
15 Action Research, Partnerships and Social Impacts:

The Institutional Collaboration of PRIA and IDR 227
L. David Brown and Rajesh Tandon
PART TWO PRACTICES 235

Introduction to Practices 235
16 Action Inquiry: Interweaving Multiple Qualities

of Attention for Timely Action 239
William R. Torbert and Steven S. Taylor
17 Action Science: Linking Causal Theory and Meaning

Making in Action Research 252
Victor J. Friedman and Tim Rogers
18 Clinical Inquiry/Research 266

Edgar H. Schein
19 The Practice of Appreciative Inquiry 280

James D. Ludema and Ronald E. Fry
20 PRA, PLA and Pluralism: Practice and Theory 297

Robert Chambers
21 Action Learning 319

Mike Pedler and John Burgoyne
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CONTENTS VII
22 The Jury is Out: How Far Can Participatory Projects Go

Towards Reclaiming Democracy? 333
Tom Wakeford with Jasber Singh, Bano Murtuja, Peter Bryant
and Michel Pimbert
23 Learning History: An Action Research Practice in Support

of Actionable Learning 350
George Roth and Hilary Bradbury
24 Extending Epistemology within a Co-operative Inquiry 366

John Heron and Peter Reason
25 Action Research in Healthcare 381

Ian Hughes
26 Action Research on a Large Scale: Issues and Practices 394

Ann W. Martin
27 Theorizing Audience, Products and Provocation 407

Michelle Fine and Maria Elena Torre
28 Taking the Action Turn: Lessons from Bringing Participation

to Qualitative Research 420
Sonia Ospina, Jennifer Dodge, Erica Gabrielle Foldy and
Amparo Hofmann-Pinilla
PART THREE EXEMPLARS 435

Introduction to Exemplars: Varieties of Action Research 435
Hilary Bradbury and Peter Reason
29 Charismatic Inquiry in Concert: Action Research in the

Realm of ‘the Between’ 439
John Heron and Gregg Lahood
30 Presentational Knowing: Bridging Experience and Expression with

Art, Poetry and Song 450
Jennifer Mullett
31 Working with ‘Not Knowing’ Amid Power Dynamics Among Managers:

From Faultfinding and Exclusion Towards Co-learning and Inclusion 463
Marianne Kristiansen and Jørgen Bloch-Poulsen
32 Learning to Love Our Black Selves: Healing from Internalized Oppressions 473
Taj Johns
33 The Tapestry of Leadership: Lessons from Six Cooperative-

Inquiry Groups of Social Justice Leaders 487
Lyle Yorks, Arnold Aprill, LaDon James, Anita Rees,
Amparo Hoffman-Pinilla and Sonia Ospina
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viii CONTENTS
34 The Workplace Stress and Aggression Project:

Ways of Knowing – Our Rosetta Stone for Practice 497
Rita Kowalski, Lyle Yorks and Mariann Jelinek
35 Theatre in Participatory Action Research: Experiences

from Bangladesh 510
Meghna Guhathakurta
36 Changing the Culture of Dependency to Allow for

Successful Outcomes in Particpatory Research: Fourteen Years of
Experience in Yucatan, Mexico. 522
María Teresa Castillo-Burguete, María Dolores
Viga de Alva and Federico Dickinson
37 Health Promotion and Participatory Action Research:

The Significance of Participatory Praxis in Developing Participatory
Health Intervention 534
Lai Fong Chui
38 ‘This Is So Democratic!!’ Action Research and Policy Development

in East Timor 550
Ernie Stringer
39 ‘No – You Don’t Know How We Feel!’: Collaborative Inquiry Using

Video with Children Facing the Life-threatening Illness of a Parent 562
Gillian Chowns
40 IT and Action Sensemaking: Making Sense of New Technology 573

Chris Dymek
PART FOUR SKILLS 585

Introduction to Skills
41 Negotiating the Challenges of Participatory Action Research:

Relationships, Power, Participation, Change and Credibility 589
Jill Grant, Geoff Nelson and Terry Mitchell
42 Getting in, Getting on, Getting out: On Working with

Second-person Inquiry Groups 602
Kate Louise McArdle
43 Facilitation as Action Research in the Moment 615

Jenny Mackewn
44 Muddling Through: Facing the Challenges of Managing a

Large-scale Action Research Project 629
Geoff Mead
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CONTENTS IX
45 Insider Action Research: The Dynamics of Developing

New Capabilities 643
David Coghlan and A.B. (Rami) Shani
46 Teaching Reflective Practice in the Action Science/Action Inquiry

Tradition: Key Stages, Concepts and Practices 656
Steven S. Taylor, Jenny W. Rudolph and Erica Gabrielle Foldy
47 The Praxis of Educating Action Researchers 669

Morten Levin
48 Finding Form in Writing for Action Research 682

Judi Marshall
49 Concluding Reflections: Whither Action Research? 695

Index 708
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Editorial Board
Robert Chambers
University of Sussex, UK
Orlando Fals Borda

National University of Colombia, Bogota
Bjørn Gustavsen
Work Research Institute, Norway
Marcia Hills
University of Victoria, BC, Canada
Stephen Kemmis
Charles Sturt University, NSW, Australia
Morten Levin
Norwegian University of Science and Technology, Trondheim, Norway
Yvonna Lincoln
Texas A&M University, USA
Patricia Maguire
Western New Mexico University, USA
Robin McTaggart
James Cook University, Queensland, Australia
Peter Senge
Society for Organizational Learning, USA
Bridget Somekh
Huddersfield University, UK
Marja-Liisa Swantz
University of Helsinki, Finland
Rajesh Tandon
Society for Participatory Research in Asia, New Delhi, India
William Torbert
Boston College, USA
Md. Anisur Rahman

Research Initiatives, Bangladesh
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EDITORIAL BOARD XI
Yoland Wadsworth
Swinburne University of Technology, Melbourne, Australia
Davydd Greenwood
Cornell University, USA
Mary Brydon-Miller
University of Cincinnati, USA
Sonia Ospina
New York University, USA
Judi Marshall
University of Bath, UK
L. David Brown
Harvard University, USA
John Gaventa
University of Sussex, UK
Kenneth Gergen
Swarthmore College, UK
Victor Friedman
Emek Yezreel College, Israel
Jack Whitehead
University of Bath, UK
Jenny Rudolph
Boston University, USA
Elizabeth Kasl
California Institute for Integral Studies, USA
Kurt Neilsen
Roskilde University, Denmark
Werner Fricke
Institute for Regional Cooperation, Germany
Bob Dick
Southern Cross University, Australia
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Preface
Welcome to the second edition of the Handbook of Action Research: Participative Inquiry and
Practice!
This volume, published five years after the original Handbook, builds on the original work
and extends it. Because most of the material in the first edition will continue to be available in
the ‘concise paperback edition’ (Reason and Bradbury, 2006), we have put together a collec-
tion of all new material. Some chapters are revisions and developments of key chapters in the
first edition (Gaventa and Cornwall, Chapter 11; Schein, Chapter 18) or completely new artic-
ulations (Kemmis, Chapter 8). In other chapters we address similar themes and issues to the
first edition, but have invited different authors to address them in order to provide a different
perspective (e.g. Swantz, Chapter 2; Rahman, Chapter 3; Ison, Chapter 9; Gergen and Gergen,
Chapter 10). We have added some important practices that were omitted from the first edition
(e.g. Chambers on Participatory Rural Appraisal and related approaches, Chapter 20; Pedler
and Burgoyne on Action Learning, Chapter 21; Wakeford et al. on Citizen’s Jury, Chapter 22).
Finally, we have chosen both a completely new set of exemplars which demonstrate signifi-
cant developments in quality since the first edition and extended the section of skills.
In editing we have actively tried to develop four important themes which we thought under-
developed in the first edition. First, we have attempted to show more fully the interrelationship
of a wide range of ideas and practices in which action research is grounded. Chapter 1, orga-
nized primarily by Patricia Gayá Wicks, introduces what we think is a strong Groundings
section by drawing on accounts provided by the Handbook Editorial Board of the range of the-
oretical and practical influences on their practice.
Second, we have attempted to contribute to the active debate about the scope and scale of
action research, which we began in the first edition (particularly with the chapters by
Gustavsen and Martin) and which has been carried forward in particular in the pages of the
journal Concepts and Transformations (now the International Journal of Action Research; see
Volume 8(1) and 8(3)). In this volume Swantz, Rahman, Gustavsen, Brown and Tandon,
Martin, Wakeford, Stringer, and Mead in their different ways address issues that arise when
action research is taken beyond the face-to-face group in an attempt to have an impact at a
regional, national or international level. While in important contrast, Heron and Lahood,
Mullett, Chowns, Chiu, Johns, McArdle and others demonstrate that if we wish to do work of
significance and to influence changes in society toward justice and democracy, we not only
need to build large-scale networks of inquiry but also to engage in transformations of con-
sciousness and behaviour at personal and interpersonal levels. While it is true that we cannot
make large-scale change on the basis of small cases, neither can we build truly effective and
liberating political networks of inquiry without developing significant capacities for critical
inquiry in the individuals and small communities that constitute them.
Third, we have recognized the importance of non-propositional, presentational forms of
knowing in action research. The theme of voice and audience is foregrounded by Fine and
Torre (Chapter 27), with particular emphasis on how we may speak out from a participative
inquiry process to a wider audience and influence a range of stakeholders; the nature of
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PREFACE XIII
presentational knowing in an extended epistemology is explored by Heron and Reason

(Chapter 24); Chambers points to how visual and tangible ways of expressing knowing can be
empowering (Chapter 20); the use of presentational forms is exemplified by Mullett (Chapter
30), Guhathakurta (Chapter 35), Kowlaski (Chapter 34); and the need to find appropriate form
in writing explored by Marshall (Chapter 48).
Fourth and finally we have addressed the question of skills and education of action
researchers. As Morten Levin argues in this volume, ‘No other role in social science demands
a broader spectrum of capacities bridging practical problem solving, reflective, and analytical
thinking than that of an action researcher’. The final section of this volume addresses some of
the personal, interpersonal, and political abilities that are demanded of an action researcher.
ACKNOWLEDGEMENTS
Our thanks must go to all those who have contributed to putting this volume together: To the
Editorial Board for helping us think through what was needed for this revised volume and sup-
porting our editorial work. To the contributors for their willingness to work closely with us
through the process of draft and re-draft, for reviewing each others’ chapters thoroughly and
creatively, for taking the comments and criticisms of their own writing seriously and respond-
ing thoughtfully. To the participants and co-researchers in action research endeavours around
the planet who have been part of the learning reflected here; a few of them are recognized in
this volume as co-authors, but of course many remain unnamed. We are grateful for the help
we have received from Kiren Shoman, Anne Summers, Katherine Haw and the editorial and
production teams at Sage London, who have been responsive and efficient at all times. And we
wish to appreciate each other and our efficient, supportive and where necessary challenging
trans-Atlantic and pretty much ‘virtual’ relationship.
As with the first edition, we hope that the production of this work has been congruent with
the action research philosophies and practices we espouse.
Peter writes:
I am enormously grateful for my friends, colleagues and students (and these roles are often
indistinguishable!) who are associated with the Centre for Action Research in Professional
Practice at the University of Bath. We do seem to have developed a genuine community of
learning and practice which has some quite extensive influences both in the theory of action
research and its practice and of which I am extremely proud. I am also grateful to the collabo-
rative relationships with action researchers and others all round the world with whom I feel
close through the curious phenomenon of the internet, and with whom I feel close connections
as we develop this work of action research together.
Thank you to my extended family, who continue to bring with their love and nurture a qual-
ity of intellectual and emotional conversation. In particular I greet my grandchildren with
delight, gratitude and enormous love: Otto, Liberty, Nathaniel and Aiden. Thank you also to
my network of friendships, some new, some forged over 60 years.
My primary concern these days is for the state of the ecology of Planet Earth and for the
challenges to her integrity coming from anthropogenic climate change, species extinction, and
degradation of eco-systems everywhere. I am shocked by the speed with which these issues of
sustainability have grown in significance over recent years and even months, as more evidence
from the scientific communities becomes available and as the human community continues to
evidence its inability to respond. Ten years ago I was concerned; now I am seriously alarmed.
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xiv PREFACE
There are many practical things we can do to lessen our impact on ecosystems, but I do not
believe we will be able to move into a sound relationship with planetary ecosystems until we
recognize that we humans are participants in the life of the planet, members of the community
of beings. I hope that the participatory ethos expressed throughout this volume plays some part
in influencing this essential shift in worldview.
Hilary writes:
Though written last, a preface is read first. It’s therefore an ideal punctuation point at which to
marvel over the Handbook and express the gratitude that arises.
My gratitude goes first to Peter. It astounds me how much we accomplish, how easily and
with how much grace and humor. When we first started out as collaborators, on the first
Handbook of Action Research, I did not understand just how unusual productive partnership
actually is. And in all these years of working with such a maestro I have also learned, in the
way one just does when learning in a context of practice, how to be a better partner and hope-
fully a better editor and a better action researcher. We have learned to create space for each
other’s contributions while also aiding each other in articulating what was sometimes inchoate.
Our commitment and conscientiousness has led to real insight and better practice for me. I hope
we still have some more innovations left to complete as a duo. Thank you Peter for being a
gifted teacher, colleague and Bodhisattva.
Thank you to George Roth, Phil Mirvis, Bill Pasmore and Eric Neilsen who were my bud-
dies in chapter writing. In holding you all as knowing so much more than I, I could ask ques-
tions I have been noodling for years. In writing I therefore could share some of the things I
have also learned with and from you. I hope our readers will find it as useful for their own prac-
tice and understanding.
Through the editorial work for the Handbooks and the Journal, the community of action
research has become a real community for me. I am simply stating a happy fact when I say that
all my friends are action researchers! Happily many of those I have met through the virtual
work of editing have also become real people for me. I especially love it when visitors from
distant communities of action research – say from Australia – arrive in Los Angeles and we get
to have lunch and discuss upcoming chapters and papers! I have truly appreciated the alacrity
of all writers in the ‘exemplars’ chapters to which I devoted most of my energies. I thank you
all for being flexible and responsive. To my task as editor, I brought my genuine interest in
learning from you. I hope I communicated that in asking those questions of your work that I
needed to have answered for my own practice, all readers would also, hopefully, benefit. I look
forward to testing that assumption in the next few years with the graduate students to whom I
assign the book in class (and who happily never seem that reluctant to share their opinions!).
Editing means getting to read what I might not otherwise have read. My own practice is that
much richer as a result. I bring improvements to my work at the University of Southern
California where we seek to engage business leaders in creating innovations in the world of sus-
tainable development so that their own companies and society can benefit. I understand that
each of us in this book is a pebble creating a ripple effect. Call me prescient, but I feel that in a
decade, hopefully less, the ripple effect will appear far beyond our community. Action research
will be more fully appreciated as an essential contribution on our way to co-creating a sustain-
able world. I therefore dedicate this work and all benefit that arises to our children (especially
my Riane and Peter’s grandchildren – all of whom have appeared since the last volume), their
children and all the children of all the species for all time.
Peter Reason, Centre for Action Research in Professional Practice
University of Bath, England
Hilary Bradbury, Center for Sustainable Cities,
University of Southern California, Los Angeles, USA
2007
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PREFACE XV
REFERENCES
Reason, P. (2004) ‘Action research and the single case: a response to Bjørn Gustavsen’, Concepts and Transformations,
8 (3): 281–94.
Reason, P. and Bradbury, H. (eds) (2006) Handbook of Action Research: Concise Paperback Edition. London: Sage.
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Contributors
Arnold Aprill, a theater artist who has worked in Chicago’s public schools for 25 years,
has a lengthy background in the arts. He founded and directed the City Lit Theater
Company, an interracial company that adapted literary works for the stage, and has taught
arts education courses at the graduate level at the School of the Art Institute of Chicago.
He is the founder of the Chicago Arts Partnership in Education (CAPE), and was a
Leadership for a Changing World award recipient sponsored by the Ford Foundation and
the Advocacy Institute in 2003. He is collaborating with the University of Chicago and the
University of Illinois at Chicago to add college students to the CAPE approach. Arnie is
motivated by two powerful imperatives: the urgent need to address the shameful inequities
in urban public education in America and the need to reclaim the arts as a potent force for
activating participative democracy.
Jørgen Bloch-Poulsen is an external lecturer at the Masters of Conflict Resolution Programme

at Copenhagen University, Denmark, and associated with Partner in Dialog, a consultancy firm
(www.dialog-mj.dk). He is a former Associate Professor in Philosophy of Science at Roskilde
University in the history of ideas. Trained as a psychoanalyst, he teaches philosophy of science
and interpersonal organizational communication at the Master of Conflict Resolution
Programme. He works as a consultant with organizational development through dialogue with,
for example, Bang & Olufsen, CSC, Danfoss, Lego, Novo, and Vestas. The action research pro-
ject deals with involvement as a dilemma in team-based organizations shared in this volume
and Associate Research Professor.
Hilary Bradbury When not editing work related to action research, Hilary Bradbury is Director
of Sustainable Business Research at the USC Center for Sustainable Cities. Her expertise is in
organizational change and transformation. Her PhD is from the Carroll School of Management
at Boston College where she focused on a learning approach to sustainability. She brings over
a dozen years’ experience in the field of sustainable enterprises as an executive educator and
action researcher. Previously she served as Associate Professor of Organizational Development
at Case Western Reserve University. She has published widely in management journals, and
conducted practice-based research funded by the National Science Foundation focused on
multi-national corporations and their pursuit of sustainable development. Having grown up in
Ireland, she now enjoys the sunshine living with her family in Los Angeles, California. Hilary
is politically active in the sustainability movement and has been elected to serve on the regional
school board.
L. David Brown is Associate Director for International Programs at the Hauser Center for
Nonprofit Organizations and Lecturer in Public Policy at the Kennedy School of Government.
Prior to coming to Harvard he was President of the Institute for Development Research, a non-
profit center for development research and consultation, and Professor of Organizational
Behavior at Boston University. His research and consulting has focused on institutional
development, particularly for civil society organizations and networks, that foster sustainable
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CONTRIBUTORS XVII
development and social transformation. He has written or edited Transnational Civil Society:
An Introduction (with Srilatha Batliwala), Practice-Research Engagement for Civil Society in
a Globalizing World, The Struggle for Accountability: NGOs, Social Movements and the World
Bank (with Jonathan Fox), and Managing Conflict at Organizational Interfaces. He has been
a Fulbright Lecturer in India and a Peace Corps community organizer in Ethiopia.
Peter Bryant Having worked on participatory development processes in South Africa for the
UK’s Department for International Development, and throughout the UK, Peter now runs the
Community Involvement Group, which specializes in participatory and deliberative processes
such as citizens’ juries and participation learning and action. He is also Vice-Chair of the World
Development Movement and was a founding member of Right 2 B Heard.
Mary Brydon-Miller is an Associate Professor of Urban Educational Leadership and Educational

Studies at the University of Cincinnati. She is a participatory action researcher who engages in
both community-based and educational action research. She co-edited the volumes Traveling
Companions: Feminism, Teaching, and Action Research (with Patricia Maguire and Alice
McIntyre), From Subjects to Subjectivities: A Handbook of Interpretive and Participatory
Methods (with Deborah Tolman), and Voices of Change: Participatory Research in the United
States and Canada (with Peter Park, Budd Hall and Ted Jackson). She serves as director of the
new interdisciplinary Action Research Center housed in the College of Education, Criminal
Justice, and Human Services at the University of Cincinnati, which also sponsored the 2006
North American Action Research Summit. She teaches courses in action research, the theoret-
ical foundations of urban educational leadership, and research ethics.
John Burgoyne is Professor of Management Learning in the Department of Management

Learning and Leadership at Lancaster University, and also at Henley Management College. He
is interested in individual and organizational learning, and the design, implementation and
evaluation of management, leadership and organizational development.
María Teresa Castillo-Burguete was born in Chiapas, Mexico, and joined the Department of
Human Ecology of Cinvestav, Mexico, in 1991. She obtained her PhD in Social Anthropology at
the Universidad Iberoamericana of Mexico City in 2002. She is currently Senior Researcher at the
Department of Human Ecology, where she teaches qualitative methods. Over the last ten years, she
has studied gender relations in community participation in Yucatan and developed participatory
research. She is co-author of a chapter in the first edition of the Handbook of Action Research.
Robert Chambers is a Research Associate in the Participation, Power and Social Change
Team at the Institute of Development Studies. His main operational and research experience
has been in East Africa and South Asia. His work has included aspects of rural development,
public administration training, seasonality, irrigation system management, agricultural research
and extension, perceptions of poverty, professionalism and participation. His books include
Rural Development: Putting the Last First (1983), Challenging the Professions (1993), Whose
Reality Counts? (1997), Participatory Workshops (2002) and Ideas for Development (2005).
He is currently working mainly on participatory methodologies, how we know, do not know,
and get it wrong in development, community-led total sanitation, and personal and institutional
learning and change.
Lai Fong Chiu is a Senior Research Fellow of the University of Leeds. She previously held
senior positions in the areas of public health and health promotion and health management in
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xviii CONTRIBUTORS
the United Kingdom National Health Service. She is committed to working to improve access
to health services among minority ethnic and low-income communities. She has recently
extended her work to migrant groups in continental Europe as an advisory member to the Task
Force of the Migrant-Friendly and Culturally Competent Healthcare Organizations of the
World Health Organization. She is also the coordinator of the Patients and Community
Empowerment Working Group of the Task Force. While tasked with producing a set of stan-
dards and guidance on patients and community empowerment for healthcare organizations
internationally, she continues to work locally with communities and health professionals in
various projects to bring about change.
Gillian Chowns has spent most of her working life in one or other of the UK’s major statutory
agencies – Social Services, Education and the NHS. A local authority social worker for many
years, specializing in children and families, she also taught in primary, secondary, sixth form
and further education settings, both in England and Africa. In 1997 she moved into the pallia-
tive care field, establishing an innovative social work post within the East Berks Macmillan
Palliative Care Team, specifically to support children whose parents were facing a life-
threatening illness. From 1999 she combined this with a post as Senior Lecturer at Oxford
Brookes University, in the School of Health and Social Care, where she teaches on the
Palliative Care degree course. More recently she completed a PhD at the University of
Southampton, researching through collaborative inquiry the pre-bereavement needs of
children. One outcome of this research has been the video ‘No – You Don’t Know How We
Feel!’ Her other research interest is in international palliative care education.
David Coghlan is a faculty member of the School of Business, Trinity College Dublin, Ireland
and is a Fellow of the College. He specializes in organization development and action research
and is active in both communities internationally. He is currently on the editorial review boards
of Action Research, Journal of Applied Behavioral Science, Systemic Practice and Action
Research, Irish Journal of Management and the OD Practitioner. His recent co-authored books
include: Changing Healthcare Organizations (Blackhall, 2003), Managers Learning in Action
(Routledge, 2004), Doing Action Research in Your Own Organization, 2nd edn (Sage, 2005) and
Organizational Change and Strategy (Routledge, 2006).
David Cooperrider is a professor of organizational behavior at the Weatherhead School of

Management at Case Western Reserve University, and Faculty Director at the Center for
Business as an Agent of World Benefit at Case. In Organizational Development (OD), David
Cooperrider developed the methodology for organizational renewal known as Appreciative
Inquiry. In the field of Corporate Social Responsibility and Sustainability, David leads the
movement towards a more sustainable future, as mainfested in many international forums and
gatherings, such as the Global Forum ‘Business as an Agent of World Benefit: Management
Knowledge Leading Positive Change’.
Andrea Cornwall is a fellow of the Institute of Development Studies at the University of

Sussex, and member of the IDS Participation, Power and Social Change team. She has written
widely on participation and participatory research and is author of Beneficiary, Consumer,
Citizen: Perspectives on Participation for Poverty Reduction (Sida Studies, 2000), and co-
editor of Realizing Rights: Transforming Approaches to Sexual and Reproductive Wellbeing
(with Alice Welbourn, Zed Books, 2002), Pathways to Participation (with Garett Pratt, IT
Publications, 2003) and Spaces for Change? The Politics of Citizen Participation in New
Democratic Arenas (with Vera Schattan Coelho, Zed Books, 2006).
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CONTRIBUTORS XIX
Federico Dickinson is a physical anthropologist with a PhD in human ecology, and he is a

founder of the Department of Human Ecology of the Merida campus of Cinvestav, in Yucatan,
Mexico. Since 1992 he has been researching the changes in the social fabric of rural commu-
nities when participatory research (PR) is applied, the social and cultural characteristics of
those members of the community who take part in PR, and what happens, in cultural and soci-
etal terms, to the PR agents – both the facilitators, who belong to the community, and the acom-
pañantes, who do not belong to the community – as the PR process develops through time.
Jennifer Dodge is a Research Associate at the Research Center for Leadership in Action at the
Robert F. Wagner Graduate School of Public Service, New York University, and a doctoral can-
didate at the Wagner School. She is an active participant in the NYC Research and Organizing
Initiative, a collaboration of organizing, research and policy groups committed to strengthen-
ing research for social change. Her interests include the policy role of nonprofit organizations,
nonprofit management, social change leadership, and anti-poverty and environmental policy.
Previously, she worked at MDRC, a policy research nonprofit, on a national employment and
community development initiative. She has published articles in journals and edited volumes
including Action Research, Public Administration Review, and Advances in Appreciative
Inquiry: Constructive Discourse and Human Organization (ed. David Cooperrider and Michel
Avital).
Chris Dymek is a scholar/practitioner who recently earned a doctorate in organization change

from Pepperdine University. She also holds an MA in Philosophy from Wayne State University,
a BA in Philosophy from the University of Michigan and a second BA in Computer Science
from Wayne State University. Chris has held managerial positions in various industries, and is
now helping to manage a major change initiative in a healthcare setting. Her industry and
scholarly work focus on IT-related change.
Michelle Fine is Distinguished Professor of Social Psychology, Women’s Studies and Urban
Education at the Graduate Center, CUNY, and has taught at CUNY since 1990. She is a
member of the Participatory Action Research (PAR) Collective at the Graduate Center and
dreams wildly about critical inquiry, social theory and the politics of social justice for youth.
With the craft of PAR, our projects seek to reveal theoretically and empirically the contours
of injustice and resistance while we challenge the very bases upon which traditional con-
ceptions of ‘expert knowledge’ sit. Recent publications include: Sexuality Education and
Desire: Still Missing After All These Years (with S. McClelland); Working Method: Social
Research and Social Injustice (with L. Weis); Off White: Essays on Race, Privilege and
Contestation (with L. Weis, L. Powell Pruitt and A. Burns); and the multiple authored
Echoes of Brown: Youth Documenting and Performing the Legacy of Brown v. Board of
Education and Changing Minds: The Impact of College in a Maximum Security Prison
(www.changingminds.ws).
Erica Gabrielle Foldy is an Assistant Professor of Public and Nonprofit Management at the
Wagner Graduate School of Public Service at New York University. She is affiliated faculty with
the Research Center for Leadership in Action, based at Wagner. She is also affiliated as a
researcher with the Center for Gender in Organizations at the Simmons School of Management
in Boston. Her research interests include identity and diversity in organizations, organizational
learning and reflective practice, and the role of leadership in individual, organizational and social
change. Prof. Foldy has published articles in a variety of journals and edited volumes, including
Public Administration Review and Journal of Applied Behavioral Science. She also co-edited,
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xx CONTRIBUTORS
with Robin Ely and Maureen Scully, the Reader in Gender, Work and Organization, published by
Blackwell. She holds a BA from Harvard College and a PhD from Boston College. She was a
Post Doctoral Fellow at Harvard Business School in 2002–3.
Victor J. Friedman, EdD, is Associate Professor of Organizational Behavior with a joint

appointment in the Behavioral Sciences and Sociology-Anthropology at the Max Stern
Academic College of Emek Yezreel. His life’s work has been to help individuals, groups, orga-
nizations, and communities learn through ‘action science’ – ongoing experimentation and criti-
cal reflection in everyday life – and he has recently co-authored a book, Demystifying
Organizational Learning. He has worked with educational, social service, and business organi-
zations to promote organizational learning, social entrepreneurship, and social inclusion. He is
a founder and co-chairperson of the Action Research Center, which promotes ‘learning partner-
ships’ between the College and local community activists for the purpose of mutual develop-
ment and promoting social change. He is a senior associate of the Action Evaluation Research
Institute and a member of the editorial board of Action Research.
Wendy Frisby is a Professor in the School of Human Kinetics in the Faculty of Education and
Chair of Women’s and Gender Studies in the Faculty of Arts at the University of British Columbia.
She conducts feminist participatory action research (FPAR) with citizens and practitioners in the
field to analyze how the social and living conditions experienced by those living in poverty, which
are often exacerbated by existing policies, programs, and structures in community sport and recre-
ation, create barriers to participation. She recently received Social Sciences and Humanities
Research Council (SSHRC) funding (2006–9) to examine participatory policy development with
Chinese immigrant women and sport/recreation policy-makers at the local, provincial, and federal
government levels. The community-based organization WOAW (Women Organizing Activities for
Women) that formed in conjunction with the research grant has received provincial and civic
awards for its work to promote accessibility to sport and recreation for low-income populations.
Ronald E. Fry is Associate Professor of Organizational Behavior at Case Western Reserve

University where he directs the Weatherhead School of Management’s new Masters Program
in Positive Organizational Development and Change. Ron was part of the group that originated
the Appreciative Inquiry approach and continues to both apply and study the applications of AI
in the field. His most recent book is Appreciative Inquiry: A Positive Approach to Building
Cooperative Capacity, with Frank Barrett. He also recently co-edited Appreciative Inquiry and
Organizational Transformation: Reports from the Field (Quorum, 2001). With Professor David
Cooperrider, he co-directs the CASE Weatherhead International Certificate Program in
Appreciative Inquiry for the Betterment of Business and Society. He is Editor and Chief of the
CASE Center for Business as Agent of Work Benefit’s global inquiry and directs the Center’s
Institute for Advances in Appreciative Inquiry. He currently oversees AI applications in a vari-
ety of systems including World Vision, Lubrizol, Roadway Express, and the US Navy.
John Gaventa is a fellow and member of the Participation, Power and Social Change team at the
Institute of Development Studies, University of Sussex, and the director of the Development
Research Centre on Citizenship, Participation and Accountability, based at IDS. He formerly was
staff member and director of the Highlander Center in Tennessee. He has written widely on issues
of participatory research, power and participation, including his books Power and Powerlessness
(1980), We Make the Road by Walking: Conversations on Education and Social Change with
Myles Horton and Paulo Freire (1990, co-edited with Brenda Bell and John Peters) and Global
Citizen Action (2001, co-edited with Michael Edwards.)
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CONTRIBUTORS XXI
Patricia Gayá Wicks is a Lecturer in Leadership Studies at the University of Exeter. Her
research draws primarily on action research practices and on participatory worldviews to
explore how individuals and communities can take effective action in the face of overwhelm-
ing circumstances, most particularly as in the case of our current ecological crisis. Her recently
completed doctoral work develops Spinoza’s notion of ‘repose’ as a way of engaging with
complex, difficult issues in a manner which continues to foster joy and energy in meeting the
challenges of these situations. Patricia completed her PhD at the Center for Action Research
and Professional Practice at the University of Bath. As a member of faculty at the Centre for
Leadership Studies, Patricia teaches on the undergraduate Management with Leadership pro-
gramme, the MA/MRes in Leadership Studies programmes, and on Continuing Professional
Development courses.
Kenneth J. Gergen is a Senior Research Professor at Swarthmore College, and the President
of the Board of the Taos Institute, a non-profit organization dedicated to the promulgation of
social constructionism in practice. Gergen has been a long-standing critic of traditional empiri-
cist methods of research, and an ardent interlocutor in the development of alternative concep-
tions and practices of inquiry. His major writings include Toward Transformation in Social
Knowledge, Realities and Relationships, The Saturated Self, and An Invitation to Social
Construction.
Mary Gergen, Professor Emerita, Psychology & Women’s Studies, Penn State University,
Delaware County, is a scholar at the intersection of feminist theory and social constructionism.
Her most recent book is Feminist Reconstructions in Psychology: Narrative, Gender and
Performance. With Kenneth Gergen, she has edited Social Construction, A Reader, and writ-
ten a primer, Social Constructionism, Entering the Dialogue. She is also a founder and Board
member of the Taos Institute, a non-profit educational organization. She has been active in pro-
moting alternative methodologies and presentational forms for many years.
Jill Grant is Assistant Professor in Social Work and Community Health at the University of
Northern British Columbia. She has a PhD in Social Work from Wilfrid Laurier University. Her
social work practice background is in community mental health practice, sexual and physical
violence, and restorative justice. She conducts community-based participatory action research
with mental health consumer/survivors, with a focus on the participation in mental health ser-
vices of those who have used services and mental health housing.
Davydd J. Greenwood is the Goldwin Smith Professor of Anthropology and Director of the
Institute for European Studies at Cornell University where he has served as a faculty member
since 1970. He has been elected a Corresponding Member of the Spanish Royal Academy of
Moral and Political Sciences. He served as the John S. Knight Professor and Director of the
Mario Einaudi Center for 10 years and was President of the Association of International
Education Administrators. He also has served as a program evaluator for many universities and
for the National Foreign Language Center. His work centers on action research, political econ-
omy, ethnic conflict, community and regional development in Spain and the USA. His current
work focuses on the impact of corporatization on higher education with a particular emphasis
on the social sciences.
Meghna Guhathakurta is currently Executive Director of Research Initiatives, Bangladesh

(RIB), an organization giving research support for poverty alleviation. RIB specializes in
community-based action research and focuses on those marginalized groups who have been
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xxii CONTRIBUTORS
neglected by mainstream developmental actors. She was Professor of International Relations

at the University of Dhaka until very recently. Dr Guhathakurta has written extensively on
gender, development, South Asian politics and migration and is currently working on a study
on access to justice for indigenous people. Her first book was the The Politics of British Aid
Policy Formation: the Case of British Aid to Bangladesh, 1972–1986 (Centre for Social
Studies, Dhaka, 1990).
Bjørn Gustavsen is senior researcher at the Work Research Institute in Oslo, research direc-
tor of the ‘Value Creation 2010’ programme, and visiting professor at the Vestfold University.
He has helped create workplace development programmes in several countries and has written
extensively on the relationship between theory and practice, workplace democracy and the use
of programmes to create development – and innovation effects.
Agneta Hansson is lecturer at the Halmstad University, School of Social and Health Sciences.
She was one of the Founders of the Centre for Working Life Research and Development and
was also, in a period, its director. Her research interests focus on action research and on prac-
tical strategies for creating equal conditions for women and men in economic life.
John Heron is currently a co-director at the South Pacific Centre for Human Inquiry in New
Zealand. He was Founder and Director of the Human Potential Research Project, University of
Surrey, UK; Assistant Director, British Postgraduate Medical Federation, University of London;
Director, International Centre for Co-operative-Inquiry, Tuscany, Italy. He is a researcher, author,
facilitator and trainer in peer self-help psychotherapy, co-operative-inquiry, educational develop-
ment, group facilitation, management development, personal and transpersonal development, pro-
fessional development in the helping professions. His books include Feeling and Personhood
(1992), Co-operative-Inquiry (1996), Sacred Science (1998), The Complete Facilitator’s Handbook
(1999), Helping the Client (2001) and Participatory Spirituality (2006).
Amparo Hofmann-Pinilla is an Associate Director for the Research Center for Leadership in
Action at the Robert F. Wagner Graduate School of Public Service at New York University,
where she oversees the Research and Documentation component of Leadership for a Changing
World. Amparo’s research interests include identity and social movements, especially among
immigrants, and social change leadership. Amparo has collaborated in a series of studies on
Leadership and new Latino communities, sponsored by the Wagner School. She also served as
a program director in community-based HIV service agencies, and directed a peer and social
service study/intervention to help persons living with HIV/AIDS adhere to their medications
at Harlem Hospital/Columbia University. Amparo has taught as an adjunct lecturer in the
Sociology Department at New York University (CUNY), Hostos Community College Social
Studies Division and the Columbia University Spanish and Portuguese Department. She
received an LLB at the Universidad Externado de Columbia in Bogota, Columbia, and an MA
Phil in Sociology at New York University.
Ian Hughes Building on professional community development experience with Indigenous

Australian communities, Ian Hughes is a Senior Lecturer in Community Health in the Faculty of
Health Sciences at the University of Sydney, where he teaches in the gerontology programme. He
has an established international reputation in action research, has taught action research in
Australia, Singapore and Cameroon and coordinates the Action and Research Open Web
(www.fhs.usyd.edu.au/arow). His current research integrates complex adaptive systems theory
with action research in community health and organizational settings, including international
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CONTRIBUTORS XXIII
graduate education, doctoral research supervision, community leadership and communication,

healthcare decision-making, and medication safety with older people. Dr Hughes is a member of
the editorial board of several international journals.
Ray Ison has been Professor of Systems at the UK Open University since January 1994 where
he was foundation Director of the Postgraduate Programme in Environmental Decision Making
and facilitated the launch of an MSc in Information Systems. He has been actively involved in
the production of new Systems Practice courses and is foundation Director of the Open Systems
Research Group with research foci on Systems Thinking and Practice, Information Systems and
Sustainable Development. His own research has involved developing and evaluating systemic,
participatory and process-based environmental decision-making, natural resource management,
organizational change and R&D methodologies. He has pioneered and developed systemic
approaches including second order R&D; systemic inquiry; soft systems methodology; systemic
action research; managing for emergence; managing complexity; information systems; concep-
tual modelling; communities of practice and participatory institutional appraisal.
LaDon James is a field organizer for the Center for Community Change in Washington, DC.
The Center provides policy and organizing expertise on a range of issue areas and works to
establish and develop community organizations across the United States to bring attention to
major national issues related to poverty and to help insure that government programs are
responsive to community needs. LaDon also serves on the Advisory Board of Make the Road
by Walking. She has been Co-chair of the Board of Directors of Community Voices Heard in
New York City. In that role she participated as a 2001 award recipient in the Leaders for a
Changing World program of the Ford Foundation and the Advocacy Institute.
Mariann Jelinek is Richard C. Kraemer Chair of Business Strategy at the Mason School of
Business at the College of William and Mary in Williamsburg, Virginia. From June 1999 until
August of 2001, she served as Director, Innovation and Organizational Change Program at the
National Science Foundation, where she directed solicitation, assessment and awards for
research projects on topics of organizational innovation. Her own research interests have cen-
tered on innovation, technology and organizations, in high technology firms and mature indus-
tries. She also investigates cognitive and organizational factors affecting innovation in a variety
of industry settings. Her most recent project centered on industry–university relations around
intellectual property. She holds a PhD from the University of California at Berkeley and a DBA
from Harvard University’s Graduate School of Business.
Taj Johns is adjunct faculty at St Mary’s College in Orinda, California. Teaching in the Art of
Leadership Masters Program, her specialty in building cross-cultural capacity and cultural
competency has been developed by providing diversity trainings, working in city government
organizing communities of diverse populations and facilitating SASHA workshops. Taj has a
strong interest in understanding the effects of internalized oppression on human development
and consequently co-founded SASHA, an acronym for Self Affirming Soul Healing Africans.
SASHA is both a group and model which helps people explore and understand the impact of
oppression in their lives. Her doctoral research is on the usefulness of the SASHA model
towards reducing the personal effects of internalized oppression.
Stephen Kemmis is Professor of Education, School of Education, Charles Sturt University,

NSW 2678, Australia. He is co-author with Wilfred Carr of Becoming Critical: Education,
Knowledge and Action Research (Falmer, 1986), and co-author (with Robin McTaggart) of the
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xxiv CONTRIBUTORS
chapter ‘Participatory Action Research: Communicative Action and the Public Sphere’ in
Norman Denzin and Yvonna Lincoln (eds) The Sage Handbook of Qualitative Research, 3rd
edn (Sage, 2005).
Rita Kowalski, a recent graduate of the MS in Positive Organizational Development and

Change (MPOD) from Case Western University’s Weatherhead School of Management, Rita is
an OD Practitioner in The Veteran Health Administration’s National Center for Organization
Development (NCOD). She was an original member of the Project Team for the Stress and
Aggression Project in the Department of Veterans Affairs and is continuing her work in action
research on a variety projects. She is also a consultant member of the Society for
Organizational Learning (SoL). Her interests are collaborative action inquiry, learning, knowl-
edge transfer and poetry.
Marianne Kristiansen is Associate Professor and Founder of the Centre of Interpersonal

Organizational Communication at the Department of Communication, Aalborg University,
Denmark (www.vaeksthuset.hum.aau.dk) and is associated with Partner in Dialog, a consult-
ing firm (www.dialog-mj.dk). Trained as a psychoanalyst and body therapist, she has done
action research with high school students on ‘quiet girls’ and social interaction, with adult
teachers on professional presence, with social workers on empowering social practice, with
managers and employees in private organizations on mentoring, dialogue, and power. At pre-
sent, she works with employees and managers on traditional and modern dilemmas in team
based organizations. She teaches and counsels Masters and PhD students in interpersonal orga-
nizational communication at Aalborg University and Copenhagen University.
Gregg Lahood is a social anthropologist and antenatal educator with research interests in the
transpersonal dimensions of birth-giving for both women and men. He has facilitated group
inquiries in collaborative ritual-making and the transpersonal dimensions of consciousness for
20 years in New Zealand, Australia and England.
Morten Levin is a Professor at the Department of Industrial Economics and Technology

Management in the Faculty of Social Sciences and Technology Management at the Norwegian
University of Science and Technology in Trondheim, Norway. He holds graduate degrees in
engineering and in sociology. Throughout his professional life, he has worked as an action
researcher with a particular focus on processes and structures of social change in the relation-
ships between technology and organization. His action research has taken place in industrial
contexts, in local communities, and in university teaching where he has developed and been in
charge of a three successive PhD programs in action research.
James D. Ludema has a PhD in Organizational Behavior, from Case Western Reserve University
and is Professor in the PhD program in Organization Development at Benedictine University. His
research focuses on appreciative inquiry, organization change, positive organizational scholar-
ship, business as an agent of world benefit, and whole system methodologies for strategic change.
His most recent book is The Appreciative Inquiry Summit: A Practitioner’s Guide for Leading
Large Group Change. He is an internationally recognized consultant and pioneer in the use of
appreciative inquiry for large-scale corporate change initiatives.
M. Brinton Lykes, PhD, is Professor of Community Cultural Psychology and Associate

Director of the Center for Human Rights and International Justice at Boston College. She has
extensive experience in community-based participatory action research at the interface of
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CONTRIBUTORS XXV
Euro-American and traditional native cultures with a particular focus on responding to and
understanding the effects of structural violence including war, poverty and gender oppression.
She continues her research with rural Maya women in Guatemala and collaborates in interdis-
ciplinary and inter-professional PAR with immigrant communities and post-deportee families
in Boston, and in a new initiative in post-Katrina New Orleans. Brinton’s feminist activism
includes work with local and international feminist and human rights NGOs.
Jenny Mackewn is an organizational consultant, trainer, psychotherapist and author. In the

business context, Jenny’s work focuses on the process of people management, organizational
change, organizational culture and sustainable development. She specializes in executive men-
toring and strategic development for leadership teams. She is particularly inspired and
informed by the perspectives of complex adaptive systems, collaborative action research and
creative approaches. She has developed a training programme of facilitation as and for action
research which she offers at the University of Bath.
Amelia Mallona, PhD, has worked as an assistant professor at the School of Human Services,
Springfield College, Manchester, NH, for the past eight years. She received her doctorate in
Developmental and Educational Psychology from Boston College in 1998. Prior to her acade-
mic career, Amelia worked for over 10 years on economic and organizing projects in low-
income communities in Nicaragua. She continues to be active in her Boston, MA, community,
volunteering with City Life/Vida Urbana, a grassroots organizing agency.
Judi Marshall is a professor of Organizational Behaviour in the School of Management,

University of Bath, UK. Judi’s main research interests have been: managerial job stress;
women in management (publications include Women Managers: Travellers in a Male World,
1984; Women Managers Moving On: Exploring Career and Life Choices, 1995; and analyses
of careers, communications and job stress); change; and self-reflective, action-oriented forms
of inquiry. Issues of representation and form in writing are long-term areas of exploration. In
1997, Judi and colleagues launched the MSc in Responsibility and Business Practice, designed
to address issues of environmental and social justice within business education. Its educational
approach is founded in principles and practices of action research. In 2005, Judi received a
European Faculty Pioneer Award from the Aspen Institute, World Resources Institute and
EABIS for championing attention to sustainability issues in business education.
Ann W. Martin is an Associate with Praxis Consulting Group and a part-time faculty member
at The Norwegian University of Science and Technology where she teaches writing and method-
ology in EDWOR, an action research doctoral programme. She has taught and facilitated
dialogue, conflict resolution, and organizational development, often engaging where there is a
need for change in a large system or a complex of systems. In 20 years as an adult educator at
Cornell University’s School of Industrial and Labor Relations, Ann learned the value of includ-
ing diverse perspectives in action for change. Ann holds an EdD in Adult Education from
Columbia University and Masters degrees from the School of Industrial and Labor Relations at
Cornell and the Harvard Graduate School of Education.
Kate Louise McArdle is a lecturer in organizational behaviour at the University of Bath,

working on undergraduate management programmes and the postgraduate programme at the
Centre for Action Research in Professional Practice. Kate’s PhD work at CARPP focused
on second-person inquiry processes with young women managers in a multi-national
organization. Ensuing interests in the variety of issues involved in the development of inquiry
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xxvi CONTRIBUTORS
practice (particularly around issues of quality, scale, facilitation practice and skill building for
change) are explored through a broad spectrum of academic and consulting work. Kate also
runs, swims, rides horses and loves being outdoors.
Geoff Mead had a 30-year career in the UK police service, holding a variety of senior man-
agement and leadership roles, and is now an independent organizational consultant working
mainly in the area of leadership development in public services. He is the founding director of
Hermes Consulting and a Visiting Research Fellow at the Centre for Action Research in
Professional Practice at the University of Bath where, in 2002, he received a PhD in Action
Research for his work on Living Inquiry. His work is increasingly focused on the role of story
and narrative in leadership and organizational development. He is also a performer, teaching
and telling traditional wonder tales to aspiring storytellers and international audiences.
Philip Mirvis is an organizational psychologist whose research and private practice concerns
large-scale organizational change and the character of the workforce and workplace. A consultant
to businesses in the USA, Europe, and Asia, he has authored eight books on his studies including
The Cynical Americans (social trends), Building the Competitive Workforce (human resource
investments), and Joining Forces (the human side of mergers). His most recent is a business trans-
formation story, To the Desert and Back. Mirvis is a fellow of the Work/Family Roundtable and
Corporate Branding Initiative, and a board member of the Foundation for Community
Encouragement. Mirvis has a BA from Yale University and a PhD in Organizational Psychology
from the University of Michigan. He has taught at Boston University, Jiao Tong University,
Shanghai, China, and the London Business School. He is currently a senior research fellow, Boston
College School of Management, Center for Corporate Citizenship.
Terry L. Mitchell has a PhD in Community Psychology from the University of Toronto. She
is a registered psychologist with a background in counseling and community practice. Her
research focus is community-based participatory action research on health equity and cancer
survivorship with women and medically underserved populations, in particular Aboriginal
peoples. Dr Mitchell is an assistant professor in the Department of Psychology at Wilfrid
Laurier University where she teaches community psychology and trains graduate students in
qualitative and participatory methods.
Jennifer Mullett is a Community Psychologist in private practice (Action Research

Consulting). Her former positions include Research Scholar in Community Based Research
supported by the Michael Smith Foundation for Health Research and Director of Research and
Evaluation for the Ministry of Health in British Columbia. Involved in several community pro-
jects, her main expertise is mentoring community workers in methods appropriate for action
research directed towards creating healthy communities for the development of families,
children and youth. She is also an Adjunct Professor in the faculty of Human and Social
Development, University of Victoria, Canada.
Bano Murtuja A Senior Associate and the Director of Vis-à-Vis Research Consultancy, Bano’s
recent work has included research relating to the mental health needs and understandings of
South Asians at a local level, BME confidence in the criminal justice system in the UK and
capacity building needs of faith-based communities. She was responsible for drawing up the
reports on ministerial meetings, ‘Tackling Extremism Together’. Bano is a Visiting Research
Associate at Newcastle University. A founding member of Right 2 B Heard, she was one of ten
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CONTRIBUTORS XXVII
commissioners on the UK’s recent power inquiry, sits on a number of advisory panels for a
diverse range of research programmes, and facilitates a Café Scientifique programme in
Blackburn.
Eric Neilsen is Professor of Organizational Behavior at the Weatherhead School of

Management, Case Western Reserve University. He received his BA degree from Princeton
University (1965) and his MA and PhD degrees from Harvard University (1970) in sociology,
and was an Assistant Professor of Organizational Behavior at the Harvard Business School. He
founded and was the first director of the masters in Organization Development and Analysis
program at Case in 1975. He is the author of Becoming an OD Practitioner and has published
articles in many books and journals, including Academy of Management Review,
Administrative Science Quarterly, Harvard Business Review, Human Relations, and the
Journal of Management Education. Professor Neilsen’s research interests are in the application
of attachment theory to organizational change and development.
Geoffrey Nelson is Professor of Psychology and member of the graduate program in

Community Psychology at Wilfrid Laurier University. Geoff served as the Senior Editor of the
Canadian Journal of Community Mental Health, and together with the Canadian Mental
Health Association/Waterloo Region Branch, he received the Harry V. McNeill Award for
Innovation in Community Mental Health from the American Psychological Foundation. He is
the author of five books and over 100 journal articles and book chapters. His research has
focused on issues related to psychiatric consumer/survivors (housing, self-help/mutual aid) and
primary prevention programs for children.
Sonia Ospina is a Professor of Public Management and Policy, and Co-Director of the Center
for Leadership Development, Dialogue and Inquiry at the Robert F. Wagner Graduate School
of Public Service at New York University, where she also serves as the Research Director of
the Research and Documentation of Leadership for a Changing World.
William Pasmore is a Partner at Mercer Delta and also serves as the global practice leader for
the organizational research group. Before joining Mercer Delta in 1997, Bill was a tenured full
professor in the Weatherhead School of Management at Case Western Reserve University,
where he taught courses in the school’s MBA, Executive MBA, PhD and Executive PhD pro-
grams. He was a visiting professor at INSEAD and Stanford and a faculty member in the exec-
utive education programs there. As a thought leader in the field of organization development,
he has published 19 books and numerous articles, including Designing Effective Organizations
(1988), Creating Strategic Change (1994), Research in Organization Change and
Development (2005), and Relationships that Enable Enterprise Change (2002). He is a fre-
quent keynote speaker and his work is recognized internationally. He has been a leading con-
sultant to executives in North America and abroad for over 30 years. He holds a BS in
Aeronautical Engineering/Industrial Management and a PhD in Administrative Sciences, both
from Purdue University.
Mike Pedler is an academic and consultant on management and leadership development. He

is Professor of Action Learning at Henley Management College and holds visiting professor-
ships at the universities of York and Lincoln. He is an Honorary Senior Research Fellow in the
Department of Management Learning at Lancaster University and a partner in the consultancy
practice Whole Systems Development.
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xxviii CONTRIBUTORS
Michel Pimbert is currently Director of the Sustainable Agriculture, Biodiversity and Livelihoods
Program at the UK-based International Institute for Environment and Development (IIED). Michel
is an agricultural ecologist by training. He previously worked at the International Crops Research
Institute for the Semi Arid Tropics (ICRISAT) in India, the Université François Rabelais de Tours
in France, and the World Wide Fund for Nature in Switzerland. His work centres on the political
ecology of natural resource and biodiversity management, sustainable agriculture, food sover-
eignty and citizenship as well as participatory action research and deliberative democratic
processes. Over the last 20 years he has published extensively in these areas, linking theory with
practice. His latest co-edited books include Social Change and Conservation, The Life Industry:
Biodiversity, People and Profits and Sharing Power: Learning by Doing in the Co-management of
Natural Resources throughout the World.
Thoralf U. Qvale is senior researcher at the Work Research Institute in Oslo and visiting
professor at the University for Technology and the Natural Sciences in Trondheim. He has exten-
sive experience as initiator and manager of workplace development projects and has written
broadly on action research, socio-technical perspectives, learning and regional development.
Md. Anisur Rahman taught economics at Dhaka and Islamabad University and coordinated
the Programme on Participation and Organization of the Rural Poor of the International Labour
Office from 1977 until 1990. He is currently associated with the Research Initiatives,
Bangladesh (RIB) in Dhaka.
Peter Reason is Professor of Action Research/Practice and Director of the Centre for Action
Research in Professional Practice in the School of Management at the University of Bath,
which has pioneered graduate education based on collaborative, experiential and action ori-
ented forms of inquiry through the Postgraduate Programme in Action Research and the MSc
in Responsibility and Business Practice. His major academic work has been to contribute to the
development of a participatory worldview and associated approaches to inquiry, and in partic-
ular to the theory and practice of co-operative inquiry. He is currently leading a large-scale
action research project exploring the introduction of potentially low carbon technology in
industry. Peter’s major concern is with the devastating and unsustainable impact of human
activities on the biosphere which, he believes, is grounded in our failure to recognize the par-
ticipatory nature of our relationship with the planet and the cosmos. This is an area in which
action research can make a major contribution.
Colleen Reid is a postdoctoral fellow with Simon Fraser University’s Faculty of Health Sciences
and the British Columbia Centre of Excellence for Women’s Health. She earned an
Interdisciplinary PhD from the University of British Columbia in 2002. Dr Reid’s postdoctoral
work is focused on better understanding and measuring the social determinants of women’s health.
She is conducting feminist participatory action research to examine the relationship between
women’s employability and health. The project is currently underway in four communities in
British Columbia and is intended to actively involve community groups and their constituents and
to generate useable findings for improving policy and practice. Over the last 10 years she has col-
laborated with groups including the Vancouver Women’s Health Collective, AIDS Vancouver, the
Positive Women’s Network, REAL Power Youth Society, Promotion Plus, and Literacy BC.
Anita M. Rees is the Associate Director of LIFETIME: Low-Income Families’ Empowerment

through Education, and a single mother of a teenage son, Alex. While on welfare, Anita
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CONTRIBUTORS XXIX
graduated from the University of California, Berkeley with a Sociology degree in 1997. Having
experienced the challenges of juggling family, school, and work responsibilities while on wel-
fare, Anita is committed to LIFETIME’s goal of helping low-income parents enroll in, con-
tinue, and successfully complete higher education and training programs. Anita received the
Ford Foundation and Advocacy Institute’s 2003 Leadership for a Changing world Award, and
serves on the board of directors for East Bay Area Local Development Corporation
(EBALDC), the California Family Resource Association (CFRA), and the Transportation and
Land Use Coalition (TALC).
Tim Rogers lectures in communication and management courses in the School of

Management at the University of South Australia. He holds degrees in both Drama and
Psychology. His recently completed PhD examined the difficulties of working in the interpro-
fessional healthcare context and the potential contribution of action science to this field. His
academic interests also include the philosophy of the social psychological sciences in general
and critical realism in particular.
George Roth is currently leading the Enterprise Change Research Program, a part of MIT’s
Lean Aerospace Initiative (LAI) program, a joint management–engineering effort transforming
aerospace companies and government. His efforts examine and develop initiatives that pro-
mote learning and improvement initiatives across multiple organizations by prioritizing
improvements in products and services within their value streams. This focus builds upon his
ongoing research in organizational culture, leadership, learning, and change. George has a
PhD in Organizational Studies, an MBA in Marketing and Finance, and a BS in Mechanical
Engineering. His hobbies include sailing, running, bicycling and skiing. He, his wife, and two
teenage daughters live in southern Maine.
Jenny W. Rudolph’s research probes the cognitive and emotional bases of Murphy’s Law in
high-stakes situations. Many of the things that can go wrong do go wrong in organizations
when people feel the social or physical stakes are high. Her current work explores diagnostic
problem-solving under time pressure, the impact of workload pressure on accidents and errors,
and the role of reflective practice and root cause analysis in organizational learning. As a
teacher, Jenny attempts to create experiential learning environments where students can
observe, analyze, and experiment with changing their habitual cognitive routines and ways of
interacting. Jenny is an Assistant Professor of Health Policy and Management at Boston
University School of Public Health. She is also on the faculty of the Center for Medical
Simulation in Cambridge, MA, where she and her colleagues have pioneered the use of reflec-
tive practice in debriefing high-fidelity medical simulations. Jenny is a graduate of Harvard
College, was a visiting scholar in system dynamics at the MIT Sloan School of Management,
and received her PhD in Management from Boston College.
Edgar H. Schein is the Sloan Fellows Professor of Management Emeritus at the MIT Sloan
School of Management, where he taught from 1956 to 2004. He has done research on career
development, process consultation and organizational culture. His work on clinical research
and organizational therapy is the primary basis for much of his writing. His recent books are
Process Consultation Revisited (Prentice-Hall, 1999), The Corporate Culture Survival Guide
(Jossey-Bass, 1999), DEC is Dead: Long Live DEC (Berrett-Kohler, 2003), Organizational
Culture and Leadership, 3rd edn (Jossey-Bass, 2004) and Career Anchors, 3rd edn (Jossey-
Bass/Pfeiffer, 2006).
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xxx CONTRIBUTORS
A.B. (Rami) Shani is Professor and Chair of the Management Area at the Orfalea College of
Business. He received his PhD in Organizational Behavior from Case Western Reserve
University in 1981 and has held visiting professorship appointments at Stockholm School of
Economics, Politecnico di Milano and Recanati Graduate School of Business Administration,
Tel Aviv University. His main research interest concerns work and organization design, orga-
nizational change and development, collaborative research methodologies, and learning in and
by organizations. His most recent co-authored books include Behavior in Organizations, 8th
edn (McGraw-Hill/Irwin, 2005), Creating Sustainable Work Systems (Routledge, 2002),
Learning by Design: Building Sustainable Organizations (Blackwell, 2003), and Collaborative
Research in Organizations: Foundations for Learning, Change, and Theoretical Development
(Sage, 2004).
Jasber Singh Deputy Director of Co-Inquiry at the PEALS Research Centre, Newcastle
University, Jasber has been involved in a range of UK-based participatory work such as the
Nanojury and Community X-change. Both projects used participatory techniques to allow
community perspectives to be articulated in relation to science-related issues, such as nan-
otechnology and climate change. A founding member of Right 2 B Heard, he has also managed
regional participatory action research at St Martins College, Lancaster, on investigating the
barriers to employment faced by ethnic minorities in Lancashire, England. At the local level,
Jasber carries out youth and community development work on several levels: as a street youth
worker in deprived housing estates, with Asian Muslim youths, and with a multi-ethnic youth
group, which has just completed a participatory video on the lives of young men in Lancaster.
Currently, Jasber is carrying out action research on the barriers faced by ethnic minorities in
accessing places of environmental beauty as part of his work on environmental justice.
Ernie Stringer After an early career as primary teacher and school principal, Ernie spent many
years as lecturer in teacher education at Curtin University of Technology in Western Australia.
From the 1980s he worked at Curtin’s Centre for Aboriginal Studies where he worked collabo-
ratively with Aboriginal staff and community people to develop a wide variety of innovative and
highly successful education and community development programmes and consultative
services. Their activities with government departments, community-based agencies, business
corporations and local governments assisted those organizations to work more effectively with
Aboriginal people. In recent years, as visiting professor at universities in New Mexico and
Texas, he has taught action research to graduate students and engaged in projects with African
American, Hispanic and other community and neighborhood groups. He is author of the texts
Action Research (Sage, 1999), Action Research in Education (Pearson, 2004), Action Research
in Health (with Bill Genat, Pearson, 2004) and Action Research in Human Services (with
Rosalie Dwyer, Pearson, 2005).
Marja Liisa Swantz is the former Director of the Institute and Director of Research in
Development Studies, University of Helsinki. She has been a Lecturer in Science of Religion and
has acted as professor in Social and Cultural Anthropology and a visiting professor in the World
Institute of Development Economics Research, in Helsinki. She is a graduate of the University of
Helsinki and Turku, Finland and received her PhD from the University of Uppsala, Sweden. Marja
Liisa has pioneered Participatory Action Research in Tanzania and has made use of it in large
research programmes in the field of Anthropology and Development Studies.
Rajesh Tandon is an internationally acclaimed leader and practitioner of participatory

research and development. He founded the Society for Participatory Research in Asia (PRIA)
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CONTRIBUTORS XXXI
23 years ago, a voluntary organization providing support to grassroots initiatives in South Asia,
and has continued to be its chief functionary since 1982. With a PhD from Case Western
Reserve University, a degree in electronic engineering IIT (Kanpur) and in management (IIM
Calcutta), Dr Tandon has specialized in social and organizational change. His contributions to
the enhancement of perspectives and capacities of many voluntary activists and organizations
revolve around issues of participatory research, advocating for people-centred development,
policy reform and networking in India, South Asia and beyond. He has advocated for a self-
reliant, autonomous and competent voluntary sector in India and abroad. He is currently pro-
moting local government bodies (panchayats and municipalities) as institutions of local
self-governance in South Asia with a special focus on women and marginalized sections.
Building alliances and partnerships among diverse sectors in societal development is another
current area of his work. Under his leadership, PRIA has innovated numerous methodologies
of participatory learning and training, participatory bottom-up micro-planning, and participa-
tory monitoring and evaluation.
Steven S. Taylor is an assistant professor of management at the Worcester Polytechnic Institute

in Worcester, Massachusetts, USA. His research focuses on organizational aesthetics and
reflective practice. The organizational aesthetics work is focused on theorizing how arts-based
modalities such as storytelling and theatrical performance within organizations function; writ-
ing plays about organizations; and inquiring into the aesthetics of everyday organizational
actions, such as beautiful interventions into small group dynamics. His work in reflective prac-
tice is based in the action science/action inquiry traditions and is focused on extending these
traditions with tools for reflection and arts-based practices. Steve’s work has been published in
journals including Action Research, Human Relations, Organization Studies, Journal of
Management Inquiry, Journal of Organizational Change Management, and Management
Communications Quarterly.
William Torbert, now Professor of Management at the Carroll School of Management at

Boston College and a founding member of its Leadership for Change executive program, has
consulted widely and served on the boards of organizations such as Harvard Pilgrim Health
Care and Trillium Asset Management (the first and largest independent social investing advi-
sor). With regard to scholarship, the 2004 Berrett-Koehler book, Action Inquiry: The Secret of
Timely and Transforming Leadership, presents his theories, cases, surveys, and lab and field
experiments in regard to developmental transformation at both the personal and organizational
levels, as well as within science itself. His numerous other books and articles include the
national Alpha Sigma Nu award-winning Managing the Corporate Dream (Dow Jones-Irwin,
1987), the Terry Award Finalist book The Power of Balance: Transforming Self, Society, and
Scientific Inquiry (Sage, 1991), and the April 2005 HBR article ‘Seven Transformations of
Leadership’, which won the worldwide Association of Executive Search Consultants Award for
Best Published Research on Leadership and Corporate Governance.
María Elena Torre is chair of Education Studies at Eugene Lang College of The New School.
Her research focuses on youth activism, urban education, and youth and community engage-
ment in participatory action research for social justice. She is a co-author of Echoes of Brown:
Youth Documenting and Performing the Legacy of Brown v. Board of Education and Changing
Minds: The Impact of College in a Maximum Security Prison, and has been published in Urban
Girls, Revisited (NYU Press, 2007), Beyond Resistance: Youth Activism and Community
Change (Routledge, 2006), Letters to the Next President: What We Can Do About the Real
Crisis in Public Education (Teachers College Press, 2004), Qualitative Research in
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xxxii CONTRIBUTORS
Psychology: Expanding Perspectives in Methodology and Design (American Psychological

Association, 2003), and in journals such as Action Research, Teachers College Record, the
Journal of Social Issues, Feminism and Psychology, and the International Journal of Critical
Psychology. She has served as a consultant for New York City and state governments, and com-
munity groups and colleges interested in establishing college-in-prison programs in facilities
such as San Quentin and Sing-Sing.
María Dolores Viga de Alva is from Tabasco, currently living in Yucatan, Mexico. She works
at the Human Ecology Department of the Center for Research and Advanced Studies at the
IPN, Mérida Unit. She has a PhD in Management Sciences from the National Polytechnic
Institute, with a research topic focused on the design of an environmental model for a biosphere
reserve in Yucatan. She was honored for her research and now this model has been applied to
other communities on the Yucatecan coast. She has a particular interest in research on Natural
resources, human well-being and environmental culture, including participatory research as a
main methodology to promote responsible environmental behavior.
Tom Wakeford, having spent time as an ecologist, geneticist and science writer, succumbed
to participatory action research while teaching at the University of East London in the mid-
1990s. He has since been involved in a diverse range of initiatives on four continents, particu-
larly focusing on areas of controversial knowledge and contested expertise. Currently Director
of Co-Inquiry at the PEALS Research Centre, Newcastle University, and a Visiting Fellow at
the International Institute for Environment and Development (IIED), his books include
Liaisons of Life, Democratising Technology and Teach Yourself Citizens’ Juries. He is on the
editorial board of Participatory Learning and Action and is a founding member of Right 2 B
Heard.
Lyle Yorks is an Associate Professor in the Department of Organization and Leadership at

Teachers College, Columbia University, where he is director of the AEGIS doctoral program
in adult education. Articles authored and co-authored by Lyle have appeared in the Academy of
Management Review, California Management Review, Adult Education Quarterly, Teachers
College Record, and other scholarly journals. Among his recent publications is a chapter on
action research methods in Research Methods in Organizations (R. Swanson and E. Holton, III
(eds), Berrett-Koehler) and Collaborative Inquiry in Practice: Action, Reflection, and Meaning
Making, co-authored with J. Bray, J. Lee, and L. Smith (Sage). His current research interests
center on action learning, collaborative inquiry, and organizational learning. He is currently
Associate Editor of Human Resource Development Review.
Danielle P. Zandee teaches in the Masters in Positive OD and Change Program (MPOD) and
other programs at Case Western Reserve University where previously she received her PhD in
Organizational Behavior. Originally from the Netherlands, she obtained ample experience in
human resources, corporate training & OD, and management development in the Royal Dutch
Shell Group and at Nyenrode University before making the shift to an academic life. Guided
by her perception that our global society is in dire need of bold social and organizational inno-
vations, she wants to make scholarly contributions with practical transformative impact.
Reason & Bradbury (2e)-3562-Introduction.qxd 9/24/2007 5:42 PM Page 1
Introduction
Action research is a family of practices of Action research can be described concep-

living inquiry that aims, in a great variety of tually – and you will find such descriptions
ways, to link practice and ideas in the service in the volume. Action research primarily
of human flourishing. It is not so much a arises, however, as people try to work
methodology as an orientation to inquiry that together to address key problems in their
seeks to create participative communities of communities or organizations – some of
inquiry in which qualities of engagement, which involve creating positive change on a
curiosity and question posing are brought to small scale and others of which affect the
bear on significant practical issues. Action lives of literally millions of people. The
research challenges much received wisdom scope and impact of action research is per-
in both academia and among social change haps best grasped through illustration from
and development practitioners, not least exemplars in this book.
because it is a practice of participation, Meghna Guhathakurta (Chapter 35)
engaging those who might otherwise be sub- describes how ‘theatre of the oppressed’ is
jects of research or recipients of interven- adapted in a Bangladeshi marginalized
tions to a greater or less extent as inquiring ‘sweeper’ community in a way that helps the
co-researchers. Action research does not start people themselves understand and reflect on
from a desire of changing others ‘out there’, issues and problems they experience – both
although it may eventually have that result, their low status in the wider community and
rather it starts from an orientation of change tensions within the community – and thereby
with others. to develop a consciousness with the poten-
Within an action research project, commu- tiality to transform. The variety of activities
nities of inquiry and action evolve and based in theatre holds up a mirror to the
address questions and issues that are signifi- people, so their experiences can be discussed
cant for those who participate as co- more openly.
researchers. Typically such communities Gillian Chowns (Chapter 39) set up a co-
engage in more or less systematic cycles of operative inquiry group with children who have
action and reflection: in action phases co- a parent dying of cancer, which both directly
researchers test practices and gather evi- helped the children understand and manage the
dence; in reflection stages they make sense stresses they experienced and also brought their
together and plan further actions. And since voices, usually ignored, to the wider commu-
these cycles of action and reflection integrate nity of palliative care practitioners.
knowing and acting, action research does not These are examples of engagement with a
have to address the ‘gap’ between knowing small community or group. They are impor-
and doing that befuddles so many change tant because through such micro-practices
efforts and ‘applied’ research. people increase their ability to make sense of
2 HANDBOOK OF ACTION RESEARCH
their world and act effectively. Of course, hypothesis that accountability to peers might
from such face-to-face work people also replace collateral as an incentive for poor
develop the ability to influence a wider borrowers to repay small loans, and helped
context. But in recent years, practitioners create the practice innovations for a micro-
have been developing ways of using action credit movement that now serves millions of
research on a much larger scale. borrowers around the world’ (Brown, 2002:
Bjørn Gustavsen and his colleagues 32). Certainly Yunus’ work has changed our
(Chapter 4) describe the development of theory of why loans are repaid and has pro-
action research in helping develop the quality foundly influenced the lending practices of
of working life in Scandinavia over the past global bodies such as The World Bank, as
40 years, work that is rooted in national much as he changed the lives of those hereto-
agreements among industry, unions, and gov- fore left out of the economy altogether, espe-
ernment. He shows how practice has devel- cially women. The Nobel committee’s
oped from individual ‘field experiments’ recognition of the work of someone actively
working intensively at one site; through engaged with complex and difficult issues is
establishing development coalitions of sev- heartening. We see this as an indication of
eral organizations engaged in shared learn- how action researchers may play a part in
ing; to a current practice of continuous constructive large scale change. The degree
widening of the circle of participating actors to which participation and partnership ethic
to build networks of inquiry and develop- was practised – or could be more so in the
ment across whole regions. future – is an important one for the whole
Ernie Stringer (Chapter 38) was invited by micro-credit ‘industry’ to grapple with as it
the government of newly liberated East Timor evolves. From an action research perspec-
to use participative action research as a means tive, the challenge to all working with large
of both formulating and implementing national scale change efforts will be in the extent to
education policy. With a new emerging gov- which we are able to respond to the challenge
ernment, very little funding and many of participation – which gets harder, not eas-
schools destroyed in the liberation struggle, ier as more people become involved. We
this project helped develop effective parent– must all sit with the question of how to
teacher associations devoted to improving engage stakeholders in a continuing process
local education, and also worked with a of participative inquiry and practical experi-
wider group of stakeholders, including the mentation which keep our original visions
Ministry of Education, to develop national and partnership ethics manifest.
policy and to develop democratic capacities. Action research has influenced and been
On an even wider scale, action research influenced by civil rights and anti-racism
projects and programmes such as these can movements, feminisms, community develop-
also be seen as part of social and political ment and so on, and can be seen as recipro-
movements for liberation and development cally contributing to the development of such
working on a national and international scale. social movements (Gustavsen, 2003a). One
As we finalize our drafts for publication, we means of doing this is to link grassroots
celebrate the award of the Nobel Peace Prize activity with the formal structures of interna-
to Mohammed Yunus and the Grameen Bank tional aid and development:
in Bangladesh. While we have yet to more Dave Brown and Rajesh Tandon (Chapter
fully understand Yunus’ work from the 15) describe how practical efforts at con-
perspective of action research, we quote from sciousness raising and empowerment of the
the work of our colleague at Harvard’s marginalized people around the world has
Hauser Center, itself an action research think attracted the attention of policy-makers in
tank, who describes Grameen as an action international institutions. They point to the
research process: ‘Yunus tested the importance of coalitions of institutions which
INTRODUCTION 3
span the ‘North–South divide’, which are action research in Victoria, Australia over
both grounded in local issues and can have 20 years, and ALARPM (Action Research,
access to policy-makers. Action Learning and Process Management)
The origins of action research are broad: also based in Australia which has been so
they lie in the work of Lewin and other social successful in sponsoring the series of World
science researchers around at the end of the Congresses of Action Research; and research
Second World War; in the liberationist perspec- centres and informal networks within universi-
tive that can be exemplified in Paulo Freire ties such as those that can be found at Aalborg,
(1970); philosophically in liberal humanism, Bath, Boston College, Case Western Reserve,
pragmatism, phenomenology, critical theory, Cornell, College of Emek Yezreel, Southern
systemic thinking and social construction; and Cross, Pepperdine Trondheim, Southern
practically in the work of scholar-practitioners California and others. Formal and informal
in many professions, notably in organization institutions such as these are key in giving
development, teaching, health promotion and support to individual reflective practice in a
nursing, and community development both in context of supportive collegial relations.
Western countries and in the majority world. Through examples such as those mentioned
None of these origins is well linked to the above, action research – which may be quite
mainstream of academic research with its con- intimate or may seek influence on a large
ventional if unsupportable notions of objectiv- scale – demonstrates an inquiry-in-action that
ity in either North America or Europe: positively shapes the lives of literally hundreds
objectivist, hypothetico-deductive research of thousands of people everyday around the
retains a dominance, and although this has been world. Indeed we might respond to the disdain-
strongly challenged by qualitative and interpre- ful attitude of mainstream social scientists to
tive approaches to research, the emphasis of the our work that action research practices have
latter has been on representation of the world changed the world in far more positive ways
rather than action within it (Greenwood and than has conventional social science. Indeed it
Levin, 2001). Nor has action research always is more useful to compare action research to the
sat easily with Marxist thinking and socialist clinical practice of physicians (and Edgar
politics, as Marja Liisa Swantz’s account shows Schein uses that term for his work, see Chapter
(Chapter 2). As a result, the family of practices 18) than to the work of conventional social sci-
called action research has inhabited the margins entists. We are intrigued that in the USA the
of academia for many years. As Argyris (2003) National Institute of Health now regularly calls
points out, the pursuit of knowledge in the for ‘participative action research’ when solicit-
service of justice and effectiveness has often ing grant proposals, and that the World Bank
been held in disrepute. Moreover, Levin and publishes a Participation Sourcebook (see
Greenwood point out, the structure and ethos of http://www.worldbank.org/wbi/sourcebook/
universities often work against the processes of sbhome.htm). And we also note the concerns
action research. So those who champion action expressed by Gaventa and Cornwall in Chapter
research often need to build institutions to nur- 11 concerning the dangers of the co-option of
ture and support themselves and the practice – participation by global institutions.
coalitions of the kind Brown and Tandon So a first description of action research is
describe; independent institutions such as that it:
PRIA (Participatory Research in Asia, New
• is a set of practices that responds to people’s
Delhi), RIB (Research Initiatives Bangladesh,
desire to act creatively in the face of practical
Dhaka); government supported institutions like and often pressing issues in their lives in organi-
the Work Research Institute in Oslo; commu- zations and communities;
nity and professional networks such as the • calls for engagement with people in collaborative
Action Research Issues Association that has relationships, opening new ‘communicative spaces’
supported community and university-based in which dialogue and development can flourish;
• draws on many ways of knowing, both in the niceties. We have found that the five dimen-
evidence that is generated in inquiry and its sions of action research, which we intro-
expression in diverse forms of presentation as we duced in the first edition of this Handbook
share learning with wider audiences;
and which are shown in Figure 1, remain a
• is values oriented, seeking to address issues of
significance concerning the flourishing of human
useful way of considering features of prac-
persons, their communities, and the wider ecol- tice that are broadly shared, while at the
ogy in which we participate; same time accepting that practice is hugely
• is a living, emergent process that cannot be pre- varied.
determined but changes and develops as those A primary purpose of action research is to
engaged deepen their understanding of the produce practical knowledge that is useful to
issues to be addressed and develop their capacity people in the everyday conduct of their lives.
as co-inquirers both individually and collectively. A wider purpose of action research is to
contribute through this practical knowledge
Definitions of action research often to the increased well-being – economic,
emphasize an empirical and logical problem- political, psychological, spiritual – of human
solving process involving cycles of action persons and communities, and to a more
and reflection, sometimes going back to equitable and sustainable relationship with
Lewin’s definition: ‘It proceeds in a spiral of the wider ecology of the planet of which we
steps, each of which is composed of a circle are an intrinsic part.
of planning, action and fact finding about the So action research is about working
results of the action’ (1946/1948: 206). toward practical outcomes, and also about
Lewin’s account of action research was of creating new forms of understanding, since
course much wider than this, emphasizing action without reflection and understanding
the importance of practical democracy and is blind, just as theory without action is
education in the practice of inquiry (for a meaningless. And more broadly, theories
recent review of Lewin’s contribution see which contribute to human emancipation, to
Bargal, 2006). Our own working definition the flourishing of community, which help us
of action research, adapted slightly from the reflect on our place within the ecology of the
one we set out in the first edition of this planet and contemplate our spiritual pur-
Handbook, remains appropriate: poses, can lead us to different ways of being
action research is a participatory process together, as well as providing important
concerned with developing practical knowing in the guidance and inspiration for practice (for a
pursuit of worthwhile human purposes. It seeks to feminist perspective would invite us to con-
bring together action and reflection, theory and sider whether an emphasis on action without
practice, in participation with others, in the pursuit
a balancing consideration of ways of being is
of practical solutions to issues of pressing concern
to people, and more generally the flourishing of rather too heroic).
individual persons and their communities. As we search for practical knowledge and
liberating ways of knowing, working with
What we want to say to all our readers is people in their everyday lives, we can also
that we see action research as a practice for see that action research is participative
the systematic development of knowing and research, and all participative research must
knowledge, but based in a rather different be action research. Human persons are
paradigm from conventional academic agents who act in the world on the basis of
research – because it has different purposes, their own sensemaking; human community
is based in different relationships, has dif- involves mutual sensemaking and collective
ferent ways of conceiving knowledge and action. Action research is only possible with,
its relation to practice. These are fundamen- for and by persons and communities, ideally
tal differences in our understanding of the involving all stakeholders both in the ques-
nature of inquiry, not simply methodological tioning and sensemaking that informs the
INTRODUCTION 5
Human
flourishing
Participation Emergent
Practical
and developmental
issues
democracy form
Knowledge-
in-action
Figure 1 Characteristics of action research
research, and in the action which is its focus. in research practice which both builds on and
And action research without its liberating takes us beyond the ‘language turn’ of recent
and emancipatory dimension is a shadow of years: the language turn drew our attention to
its full possibility and will be in danger of the way knowledge is a social construction; the
being co-opted by the status quo. action turn accepts this, and asks us to consider
Since action research starts with every- how we can act in intelligent and informed
day experience and is concerned with the ways in a socially constructed world (for a
development of living knowledge, the fuller exploration of these five dimensions see
process of inquiry can be as important as Reason and Bradbury, 2001/2006).
specific outcomes. Good action research We start from these assertions – which may
emerges over time in an evolutionary and seem contentious to some of the academic
developmental process, as individuals community, while at the same time obvious to
develop skills of inquiry and as communi- those of a more activist orientation – because
ties of inquiry develop within communities the purpose of knowledge-making is so
of practice. Action research is emancipa- rarely debated. The institutions of normal
tory, it leads not just to new practical science and academia, which have created
knowledge, but to new abilities to create such a monopoly on the knowledge-making
knowledge. In action research knowledge is process, place a primary value on pure
a living, evolving process of coming to research, the creation of knowledge unen-
know rooted in everyday experience; it is a cumbered by practical questions. In contrast,
verb rather than a noun. This means action the primary purpose of action research is not
research program is less defined in terms of to produce academic theories based on
hard and fast methods, but is, in Lyotard’s action; nor is it to produce theories about
(1979) sense, a work of art emerging in the action; nor is it to produce theoretical or
doing of it. empirical knowledge that can be applied in
These five interdependent characteristics of action; it is to liberate the human body, mind
action research emerge from our reflections on and spirit in the search for a better, freer
practice in this developing field. Together they world. We therefore suggest that in action
imply a ‘participative turn’ and an ‘action turn’ research knowledge may be defined as what
we’ve learned working in a context of action think of creating a series of events interconnected
and that is the result of the transformation of in a broader stream – which we can see as social
our experience in conversation with both movements or social capital (Gustavsen, 2003a,
2003b). So third-person strategies aim to create
self and others that allows us consistently
a wider community of inquiry involving persons
to create useful actions that leave us and our who, because they cannot be known to each
co-inquirers stronger. other face-to-face (say, in a large, geographically
dispersed corporation), have an impersonal qual-
ity. Writing and other reporting of the process
FIRST-, SECOND-, THIRD-PERSON and outcomes of inquiries can also be an impor-
RESEARCH/PRACTICE tant form of third-person inquiry.
We have found that the terms first-, second-, Chandler and Torbert (2003) have developed
and third-person research/practice have been the idea of first-, second-, and third-person
quickly adopted by many action researchers. inquiry, offering a conceptual step forward
We used the terms in the first edition of the by pointing to the temporal dimension –
Handbook (following Torbert’s original 1998 inquiry can be concerned with past, present,
formulation) as an organizing framework. and future – unlike conventional research
We continue to develop our thinking about which is entirely limited to what happened in
them and see them as a helpful way of the past. They also usefully distinguish
describing the diversity of action research between first/second/third person practice
practices (see also Reason and Torbert, 2001; and first/second/third person voice. They
Torbert and Taylor, Chapter 16). therefore describe:
• First-person action research/practice skills and 1. the subjective, first-person voice;

methods address the ability of the researcher 2. any given particular set of intersubjective,
to foster an inquiring approach to his or her second-person voices; and
own life, to act choicefully and with awareness, 3. the objectivity-seeking third-person voice.
and to assess effects in the outside world while (Chandler and Torbert, 2003: 140; this framework
acting. First-person research practice brings is extended in Chapter 16).
inquiry into more and more of our moments of
action – not as outside researchers but in the We suggest that the most compelling and
whole range of everyday activities. In our enduring kind of action research will engage
action research practice, first-person inquiry
all three strategies: first-person research
provides a foundational practice and disci-
practice is best conducted in the company
plines through which we can monitor the
impact of our behaviour (Marshall and Mead, of friends and colleagues who can provide
2005; this issue is exemplified, for example, in support and challenge; such a company may
Chapters 3 and 16). indeed evolve into a second-person collabora-
• Second-person action research/practice addresses tive inquiry process. On the other hand,
our ability to inquire face-to-face with others into attempts at third-person research which are
issues of mutual concern – for example in the not based in rigorous first-person inquiry into
service of improving our personal and professional one’s purposes and practices is open to distor-
practice both individually and separately. Second- tion through unregulated bias. Thus, to take
person inquiry starts with interpersonal dialogue just one example, Anisur Rahman (Chapter 3),
and includes the development of communities of
in discussing the sensitization of ‘animators’
inquiry and learning organizations.
to stimulate and facilitate the process of par-
• Third-person research/practice aims to extend
these relatively small scale projects to create a ticipative action research, argues that they
wider impact. As Gustavsen points out, action themselves must go through a process of
research will be of limited influence if we think (first person) self-inquiry in order to fully
only in terms of single cases, and that we need to understand how to facilitate self-inquiry and
INTRODUCTION 7
self-initiatives in others. They may benefit by research to create change on a large scale and
joining with others in (second person) collec- influence policy decisions. And for some
tive inquiry for support and challenge in action research is primarily a form of practice
developing their experiences and skills. All in the world, while for others it belongs in the
this in the service of the wider (third person) scholarly traditions of knowledge generation
purpose of human development and for hankering back to Socrates.
‘downtrodden people to create their own Our aim as editors is to honour and value all
history [and] their own science’. these different orientations. We want to insist
that good action researchers will appreciate and
draw on the range of perspectives and
A FAMILY OF APPROACHES approaches that are available to them. It upsets
us when we see action research as narrowly
We have described action research as a ‘family drawn; when, for example, we review an article
of approaches’, a family which sometimes that only sees action research as short-sighted
argues and falls out, whose members may at consulting, seems to argue that one approach is
times ignore or wish to dominate others, yet a the true form of action research, or traces action
family which sees itself as different from other research back through just one discipline
researchers, and is certainly willing to pull stream to one set of founding (usually mascu-
together in the face of criticism or hostility line) authorities. We want you to delight in and
from supposedly ‘objective’ ways of doing celebrate the sheer exuberance and diversity
research. We have come to appreciate the rich- that is available to you and be creative in how
ness and diversity of this family, and our moti- you use and develop it.
vation as editors to create communicative This of course also means there can never
spaces where the different members can come be one ‘right way’ of doing action research.
together in conversation has increased. We We have addressed this question in the first
thoroughly agree with Robert Chambers’ call edition of this Handbook and elsewhere
in Chapter 20 for an ‘eclectic pluralism (Bradbury, in press; Bradbury and Reason,
[which] means that branding, labels, owner- 2003; Reason, 2006), arguing that this diver-
ship and ego give way to sharing, borrowing, sity of action research opens up a wide range
improvisation and creativity, all these comple- of choices for the conduct of inquiry. We
mented by mutual and critical reflective learn- argue that a key dimension of quality is to be
ing and personal responsibility for good aware of one’s choices, and to make those
practice’ (p. 312). For some, action research is choices clear, transparent, articulate, to your-
primarily an individual affair through which selves, to your inquiry partners, and, when
professionals can address questions of the kind you start writing and presenting, to the wider
‘How can I improve my practice?’ For others, world. This is akin to the ‘crafting’ of
action research is strongly rooted in practices research that Kvale (1995) advocates or, fol-
of organization development and improvement lowing Lather (2001), away from ‘validity as
of business and public sector organizations. policing toward ‘incitement to dialogue’.
For many in the majority world, action Those who involve themselves in the
research is primarily a liberationist practice action research this book represents are
aiming at redressing imbalances of power and aligned around three important purposes.
restoring to ordinary people the capacities of The first purpose is to bring an action dimen-
self-reliance and ability to manage their own sion back to the overly quietist tradition of
lives – to ‘sharpen their minds’ as villagers in knowledge generation which has developed
Bangladesh describe it. For some the key ques- in the modern era. The second is to expand
tions are about how to initiate and develop the hold over knowledge held traditionally
face-to-face inquiry groups, while for others by universities and other institutes of ‘higher
the primary issues are about using action learning’. The examples of action research in
this book show how this can be done. At the CENTRAL INSIGHT OF
same time our purpose is to contribute to the PARTICIPATION: LIVING AS PART
ongoing revisioning of the Western mindset – OF THE WHOLE
to add impetus to the movement away from a
modernist worldview based on a positivist Action research is rooted in participation, which
philosophy and a value system dominated by in turn supports key values of purpose and
crude notions of economic progress, toward practice in action research efforts. As Kemmis
emerging perspectives which share a ‘post- puts it, the participative orientation is about
modern’ sentiment (in the widest sense of ‘opening communicative spaces’ (Kemmis,
that term). This Handbook offers many 2001/2006), or as Heron has it, it is a situation
grounding perspectives which contribute to in which all those involved can contribute both
this, including our own understanding of an to the thinking that informs the inquiry and to
emergent participatory worldview which we the action which is its subject (Heron, 1996).
articulate in the Introduction. This is especially clearly articulated in partici-
We address ourselves to an audience of patory action research (Fals Borda, 2001/2006)
scholar-practitioners whether inside, on the which concerns ‘self-investigation by under-
margins of, or outside academia. We clearly privileged people [which] naturally generates
want to influence academic practice. Over the action by them’in a ‘truly ‘subject–subject’rela-
past 25 years, post-positivist research has tion with the outside researchers’ (Rahman,
received a great deal of attention in graduate and Chapter 3).
professional education, as evidenced by the Most of us educated within the Western
attention to postmodernism and by develop- paradigm have inherited a broadly ‘Cartesian’
ments in qualitative research (Denzin and worldview which channels our thinking in sig-
Lincoln, 2005). Indeed the so-called ‘campus nificant ways. It tells us the world is made of
paradigm wars’ in the USA may be understood separate things. These objects of nature are
as a debate about how social science ought to be composed of inert matter, operating according
practised by inquiring into the role of the intel- to causal laws. They have no subjectivity or
lectual in a postmodern world. We wish to add intelligence, no intrinsic purpose or meaning.
to this debate by bringing to the foreground the And it tells us that mind and physical reality
many innovations in action approaches to social are separate. Humans alone have the capacity
science, to delineate the possibilities for a ‘turn for rational thought and action and for under-
to reflexive action’ (Reason and Torbert, 2001) standing and giving meaning to the world.
which offers new understandings of the rela- This split between humanity and nature, and
tionship between ideas and practice. We also the abrogation of all mind to humans, is what
want to contribute to the development of new Weber meant by the disenchantment of the
thinking about validity and quality in research, world. As Fals Borda has put it, participation
to show that good knowing rests on collabora- is one way through which we may ‘re-enchant
tive relationships, on a wide variety of ways of our plural world’.
knowing, and an understanding of value and Of course, participation is more than a
purpose, as well as more traditional forms or technique. But it is also more that an episte-
intellectual and empirical rigour. mological principle or a key tenet of political
Bringing scholarship and praxis back practice. An attitude of inquiry includes
together, thereby drawing on long cultural developing an understanding that we are
traditions, our immodest aim is to change the embodied beings part of a social and ecolog-
relationship between knowledge and practice, ical order, and radically interconnected with
to provide a model of social science for the 21st all other beings. We are not bounded individ-
century as the Academy seeks additions and uals experiencing the world in isolation. We
alternatives to its heretofore ‘ivory tower’ posi- are already participants, part-of rather than
tivist model of science, research and practice. apart-from. Writers such as Jorge Ferrer
INTRODUCTION 9
(2002) and Richard Tarnas (2006) have REFERENCES

pointed to this deeper quality of human par-
ticipation in a creative and intelligent cos- Argyris, C. (2003) ‘A life full of learning’, Organization
mos. We would follow Thomas Berry in Studies, 24 (7): 1178–92.
arguing that we will not be able to address Bargal, D. (2006) ‘Personal and intellectual influences
the ecological devastations wrought by leading to Lewin’s paradigm of action research:
humans until we fully experience the uni- towards the 60th anniversary of Lewin’s Action
verse and Earth as a community of subjects Research and Minority Problems (1946)’, Action
rather than as a collection of objects. To fully Research, 4 (4).
Bradbury, H. (2007) ‘Quality, consequence and “action-
grasp the nature of participation calls for a
ability”: what action researchers offer from the tra-
profound shift, as Senge and his colleagues
dition of pragmatism’, in R. Shanis et al. (eds),
point out: Handbook of Collaborative Research. Thousand
When we eventually grasp the wholeness of nature, Oaks, CA: Sage.
it can be shocking. In nature, as Bortoft puts it, ‘The Bradbury, H. and Reason, P. (2003) ‘Action research:
part is a place for the presencing of the whole’. This an opportunity for revitalizing research purpose
is the awareness that is stolen from us when we and practices’, Qualitative Social Work, 2 (2):
accept the machine worldview of whole assembled 173–83.
from replaceable parts. (Senge et al., 2005: 7) Brown, L.D. (ed.) (2002) Practice-Research Engagement
In a more immediately human sense, the and Civil Society in a Globalizing Society. Cambridge,
MA: Harvard University/The Hauser Center.
critical, systemic, and social constructionist
Chandler, D. and Torbert, W.R. (2003). ‘Transforming
perspectives emphasize a shift from the indi-
inquiry and action by interweaving 27 flavors of
vidual to relationships in which we all partici- action research’, Action Research, 1 (2): 133–52.
pate (Kemmis, Chapter 8; Ison, Chapter 9; Denzin, N.K. and Lincoln, Y.S. (eds) (2005) The Sage
Gergen and Gergen, Chapter 10). Thus an atti- Handbook of Qualitative Research, 3rd edn.
tude of inquiry seeks to recognize the profun- Thousand Oaks, CA: Sage.
dity of this active and increasing participation Fals Borda, O. (2001/2006) ‘Participatory (action)
with the human and more than human world. research in social theory: origins and challenges’, in
At a more immediate and practical level, P. Reason and H. Bradbury (eds), Handbook of Action
participation in inquiry means that we stop Research: Participative Inquiry and Practice. London:
working with people as ‘subjects’ (which, in Sage. pp. 27–37. Also published in P. Reason and
H. Bradbury (eds) (2006), Handbook of Action
actuality means to hold them as objects of
Research: Concise Paperback Edition. London: Sage.
our gaze) (following a linguistic twist better
pp. 27–37.
illustrated in Orwell’s prescient novel Ferrer, J.N. (2002) Revisioning Transpersonal Theory: a
1984). Instead we build relationship as co- Participatory Vision of Human Spirituality. Albany,
researchers. Researching with people means NY: SUNY Press.
that they are engaged as full persons, and the Freire, P. (1970) Pedagogy of the Oppressed. New York:
exploration is based directly on their under- Herder and Herder.
standing of their own actions and experience, Greenwood, D.J. and Levin, M. (2001) ‘Pragmatic action
rather than filtered through an outsider’s research and the struggle to transform universities
perspective. Participation is also political, into learning communities’, in P. Reason and
asserting people’s right and ability to have a H. Bradbury (eds), Handbook of Action Research.
London: Sage. pp. 103–13.
say in decisions which affect them and claim
Gustavsen, B. (2003a) ‘Action research and the problem
to generate knowledge about them. And, in
of the single case’, Concepts and Transformation,
addition to producing knowledge and action 8 (1): 93–9.
directly useful to a group of people, it can Gustavsen, B. (2003b) ‘New forms of knowledge
also empower them at a second and deeper production and the role of action research’, Action
level to see that they are capable of con- Research, 1 (2): 153–64.
structing and using their own knowledge Heron, J. (1996) Co-operative Inquiry: Research into the
(Freire, 1970; Reason, 2005). Human Condition. London: Sage.
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critical theory for action research: emancipatory of Curriculum and Pedagogy, 2 (2): 35–41.
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Handbook of Action Research: Participative Inquiry 187–203.
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Handbook of Action Research: Concise Paperback human aspiration’, in P. Reason and H. Bradbury
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Teaching, 4th edn. Washington, DC: American toward a transformational social science’, Concepts
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Transformations, 8 (3): 281–94.
Reason & Bradbury (2e)-3562-Ch-01.qxd 9/24/2007 5:24 PM Page 11
PART ONE
Groundings
INTRODUCTION TO GROUNDINGS philosophies, ideas and/or political perspec-

tives that have informed their work. And while
In this section of the Handbook we highlight to be sure their responses told us a lot about
some of the diverse personal, political, and their intellectual perspectives, it was important
theoretical perspectives that have influenced to realize how deeply these perspectives were
action research. Of course these influences integrated with their lives, their relationships,
are touched on again and again throughout and the personal and political engagements to
the volume as contributors discuss their prac- which they were committed.
tices, describe projects they have been We also realize that some of the most sig-
engaged in, and explore the skills required nificant action research has taken place over
for action research. a long timespan: it is not so much a project or
Action research nearly always starts with a a programme but a social movement which
question of the kind, ‘how can we improve has developed sometimes over decades. So
this situation?’. Action research activities are the next four chapters place different action
usually driven by personal commitments to research traditions in an historical context: In
contribute to human flourishing, and these Chapter 2 Marja Liisa Swantz gives her
commitments are informed by an intellectual account of the development of participatory
orientation that is systemic or aware of interaction research (PAR) through the perspec-
dependencies, emancipatory, critical and par- tive of her work in Africa and in Chapter 3
ticipatory. There is a wholeness about action Anisur Rahman gives a parallel account from
research practice so that knowledge is always his perspective in the International Labour
gained in and through action. As Marja Liisa Organization and in South Asia. These
Swantz expressed it to us. ‘I do not separate chapters are companion pieces to Orlando
my scientific inquiry from my life’. Fals Borda’s account of PAR in the first
This interaction of understanding and edition of this Handbook (Fals Borda,
practice is emphasized in Chapter 1. We 2001/2006). In Chapter 4 Bjørn Gustavsen
wanted to include as wide a range of ground- and his colleagues sketch out the history of
ing perspectives as possible, so we asked the action research in the workplace in
members of the Editorial Board to send us a Scandinavia since the 1950s and show from
brief outline of the most significant grounding this what they have learned about developing
12 GROUNDINGS
the scale and scope of action research to a Action Learning (Chapter 21) and again in
regional and national level. And in Chapter 5 George Roth and Hilary Bradbury’s Chapter
Hilary Bradbury and her colleagues offer an 23, in which their thoughts on how quality in
account of the relationship between action action research is developed is also grounded
research and organization development. in pragmatist thinking (see also Reason,
These accounts show the extent of the influ- 2003). Further explorations of the epistemo-
ence of action research endeavours, touching logical foundations of action research can be
the lives of so very many people worldwide. found in John Heron and Peter Reason’s
The next two chapters show how action exploration of the extended epistemology
research can be seen as located within social that underlies co-operative inquiry (Chapter
movements: Brinton Lykes and Amelia 24) and Peter Park’s chapter in the
Mallona link participatory and action research Handbook’s first edition (Park, 2001/2006).
with the broad movement for liberation/eman- The final three chapters explore contextual
cipation of oppressed peoples worldwide, issues in action research practice. Mary
showing how action research is linked to and Brydon-Miller provides readers with an
informed by perspectives such as liberation introduction to research ethics within an
theology. Colleen Reid and Wendy Frisby action research context, including a critical
write from the perspective of the feminist analysis of power and privilege. Dave Brown
movement(s) and show how these lead to the and Rajesh Tandon demonstrate the impor-
possibility of a specifically feminist participa- tance of alliances that cross the South–North
tory action research. These chapters are com- divide and link grassroots practice to the
panion pieces to Ella Bell’s chapter on race wider institutional field. Morten Levin and
and action research and Patricia Maguire’s on Davydd Greenwood provide a powerful cri-
Feminisms and action research in the first edi- tique of the Western university system and
tion of the Handbook (Bell, 2001/2006). call for a major reorganization to structuring
Having shown the importance of finding teaching and research through action
one’s grounding in practice and values, we research strategies.
next turn to theory with four chapters that link What we hope, from the selection of
action research to important intellectual trends groundings, is that potential action researchers
of our time: Ray Ison writes about systemic will realize that they are not making a dis-
thinking; Stephen Kemmis develops a power- crete ‘contribution to the field of knowledge’
ful definition of participatory action research when they undertake a piece of action
grounded in critical theory and the writings of research but are contributing to a stream of
Habermas; Ken and Mary Gergen show the action and inquiry which aims to enhance the
close affinity of action research to the linguis- flourishing of human persons, their societies,
tic turn and the constructionist perspective; and communities and organizations and the wider
John Gaventa and Andrea Cornwall build on ecology of which we are all a part. This
their earlier writing on power and knowledge, stream of activity is full of lively debate
providing also an important critique of power about choices of life and political commit-
in participatory research. ments, different intellectual perspectives and,
There are of course other intellectual per- as we shall see in later sections, practical
spectives that have informed action research, approaches to action research. There is no
some of which are touched on in Chapter 1. one clear view, so each one of us, individu-
Among the most important are humanism ally and with co-researchers, is challenged
(Rowan, 2001/2006) and the philosophy of continually to make choices, to critically
pragmatism, which is discussed by Mike examine those choices, and to make them
Pedler and John Burgoyne in the context of clear to others with whom we work.
INTRODUCTION 13
REFERENCES published in P. Reason and H. Bradbury (eds) (2006),

Handbook of Action Research: Concise Student
Bell, E.E. (2001/2006) ‘Infusing race into the discourse Edition. London: Sage. pp. 60–70.
of action research’, in P. Reason and H. Bradbury Park, P. (2001/2006) ‘Knowledge and participatory
(eds), Handbook of Action Research: Participative research’, in P. Reason and H. Bradbury (eds),
Inquiry and Practice. London: Sage. pp. 48–58. Also Handbook of Action Research: Participative Inquiry
published in P. Reason and H. Bradbury (eds) (2006), and Practice. London: Sage pp. 81–90. Also pub-
Handbook of Action Research: Concise Student lished in P. Reason and H. Bradbury (eds) (2006),
Edition. London: Sage. pp. 49–59. Handbook of Action Research: Concise Student
Fals Borda, O. (2001/2006) ‘Participatory (action) research Edition. London: Sage. pp. 83–93.
in social theory: origins and challenges’, in P. Reason Reason, P. (2003) ‘Pragmatist philosophy and action
and H. Bradbury (eds), Handbook of Action Research: research: readings and conversation with Richard
Participative Inquiry and Practice. London: Sage. Rorty’, Action Research, 1 (1): 103–23.
pp. 27–37.Also published in P. Reason and H. Bradbury Rowan, J. (2001/2006) ‘The humanistic approach to action
(eds) (2006), Handbook of Action Research: Concise research’, in P. Reason and H. Bradbury (eds), Handbook
Student Edition. London: Sage. pp. 27–37. of Action Research: Participative Inquiry and Practice.
Maguire, P. (2001/2006) ‘Uneven ground: feminisms London: Sage. pp. 114–23. Also published in P. Reason
and action research’, in P. Reason and H. Bradbury and H. Bradbury (eds) (2006), Handbook of Action
(eds), Handbook of Action Research: Participative Research: Concise Student Edition. London: Sage.
Inquiry and Practice. London: Sage. pp. 59–69. Also pp.106–16.
1
Living Inquiry: Personal, Political
and Philosophical Groundings for
Action Research Practice
Patricia Gayá Wicks, Peter Reason
and Hilary Bradbury
This chapter seeks to detail the scholarly and intellectual threads identified by members of
the action research community, and to point to further reading for those interested in pur-
suing these. It shows some of the ways in which the thoughtful integration of various theo-
retical perspectives and life experiences gives rise to well-developed personal paradigms
which both shape and explain action researchers’ being and acting in the world.
A key objective for the second edition of this What struck us as particularly significant
Handbook was to reflect the variety of ways was the degree to which our colleagues
in which action research is grounded in our underscored:
lived experience and ideas. In keeping with
the participative ethos of action research, and • the importance of practice and life experiences
inspired by the success of the first paper of and these as integrated with – and often
preceding – philosophical, political, and intellec-
the inaugural issue of the journal Action
tual underpinnings;
Research, called simply ‘Why Action • the web of relationships, events, influences, role
Research?’ (Brydon-Miller et al., 2003), we models, and experiences which underpins action
contacted members of the Handbook’s researchers’ practice (and which has done so
Editorial Board and asked them to send us a over time).
brief outline sharing the most significant per-
spectives that ground their action research The contribution this chapter seeks to make
practice. We received many thoughtful and is to detail the scholarly and intellectual
engaged responses to our request. threads identified by our colleagues and
16 GROUNDINGS
friends in the action research community, over time. These webs encompass a wide
and to point to further reading for those inter- range of influences, including personal and
ested in pursuing these. Additionally, we collegial relationships; encounters with role
hope to offer evidence of some of the ways in models; political and other significant events;
which the thoughtful integration of various spiritual disciplines; literature (fiction and non-
theoretical perspectives and life experiences fiction); activism and engagement with practi-
give rise to well-developed personal para- tioners. For example:
digms which both shape and explain action
My deepest understanding of the relevance of par-
researchers’ being and acting in the world.
ticipatory forms of inquiry for action comes from
my research experiences with practitioners and
activists, first in Colombia and then in the US. I
LIVING LIFE MATTERS have shared with them the dream of a different
world and their wisdom has contributed to trans-
forming me as much as it has helped transform
The majority of respondents place life expe- their practice and sharpen their skills to change the
riences among the primary influences that world. (Sonia Ospina)
underpin their action research. These experi- Thinking over the influences I draw on in my
ences often sit alongside, or even give rise to, daily work, it seems to me that people and experi-
ences have on balance been more important than
interest in particular philosophical and intel- ideas and theory, although the latter have been
lectual perspectives, so that both theory and important too. (Bob Dick)
practice are seen as providing grounding. For It is difficult for me to clearly distinguish ‘philo-
example our colleagues shared that, sophical and political’ influences from general
intellectual and spiritual influences as well as from
… practice was my real learning ground … (Yoland the experiences, practices, and relationships in
Wadsworth) which many of those influences are embedded.
… My philosophical self is kept in motion by my (Victor Friedman)
pragmatic and practical self, and here my educa-
tion has come from the community activists I’ve Some respondents describe a gradual and
worked with over many years. (Mary Brydon- ongoing process of developing understand-
Miller)
ing, while others talk about ‘Aha!’ moments
Conscientization and the cyclical action-reflection-
action as articulated by Paolo Freire gave ground- through which significant meaning emerges.
ing to the notion that knowing can be rooted in Orlando Fals Borda was one of the last to
critical reflection of one’s actions; Myles Horton’s respond to our request, and so was able to
practice at Highlander Center with literacy and reflect on other responses in his own reply:
voter registration in Appalachia and struggles
against racial discrimination during civil rights I tend to identify such collective examination as a
movements provided practical validity to the praxiological experiment. Theory and practice,
notions of ‘making the road while walking’. thinking-persons and life-experiences (vivencias),
(Rajesh Tandon) how they interact, fuse, and react in the search for
The most significant philosophical and political explanations to understand realities and promote
influences continue to be the living theories of social progress appear to have been a driving force
practitioner-researchers. (Jack Whitehead) for respondents. (Orlando Fals Borda)
My research, action and participation journey
has been influenced more by field and life experi-
Fals Borda’s description of different influ-
ences and the excitement and fun of epistemo-
logical puzzles than by philosophical or political ences interacting and fusing with one another
perspectives. (Robert Chambers) in the search for explanations seems particu-
larly apt. There is conscious and meaningful
Furthermore, a number of Editorial Board integration in people’s stories: integration of
members responded to our request with theory and practice; of scholarship and
detailed accounts representing their life jour- activism; and more generally, integration of
neys and describing the web of influence that numerous perspectives and life experiences
has sustained and contributed to their work into meaningful accounts, each of which
LIVING INQUIRY 17
seems to be intimately tied to the particular systemic analysts and some quantum physicists.
context, place, time, and life history of each Certainly, Bateson’s argument that the con-
person. It is evident that each person’s under- scious, purposive human mind which sees
standing and practice of action research does itself as separate from the ecological whole
not stand in isolation from other aspects of leads to ‘pathologies of epistemology’ and
their being-in-the world; instead, action parallels the concerns expressed by many
research both emerges from and contributes within the action research community (see
to a complex and panoramic view of the Reason, in press).
world in which one lives and one’s own par- The participative nature of life was
ticular place within it. Judi Marshall has approached from a variety of perspectives:
described this elsewhere as ‘living life as Yoland Wadsworth, for example, refers to the
inquiry’ (1999). interconnectedness of life with a bow to the
biological and ecological sciences:
GROUNDING OURSELVES IN THE … Perhaps the earliest truly transformative influ-

ence of all was The Web of Life – a then-new
PARTICIPATIVE, INTERDEPENDENT Australian biology textbook in 1967 for upper sec-
ECOLOGY OF LIFE ondary students – that opened my eyes at the age
of 15 to an ecological perspective. When I edited
the school magazine the following year I re-named
A number of the contributors to this chapter
it Cell and wrote a ‘systems piece’ as an Editorial
refer – in different ways and with varying on the varying meanings of ‘cell’ from biology to a
degrees of explicitness – to a participatory monk’s! And two years later in August 1970 in a
worldview underlying their work. For ex- sociology lecture I suddenly realized with a blind-
ample, Werner Fricke refers to ‘participation ing flash EVERYTHING was connected – from
humans to duckponds to women’s magazines to
as a central dimension in human life as well
mining companies. (Yoland Wadsworth)
as in nature and between humans and non
humans’ and in so doing points to the work
Reference was also made to a range of reli-
of Peter Reason (1994) and of French
gious and spiritual influences underpinned
philosopher and anthropologist Bruno Latour
by participatory understandings. Mary
(1993), and specifically his ‘parliament of
Brydon-Miller refers to the Quaker notion
things’. Furthermore, Fricke acknowledges
that ‘there is that of God in each of us, and in
the influence of the ‘philosophy of process’
all of creation’, pointing out that this is a phi-
formulated by German Marxist philosopher
losophy that Quakers share with many other
Ernst Bloch (1995), and puts forward the fol-
world religions. This perspective, although
lowing perspective:
framed in religious terms, is in line with the
Any situation, any context, any institution or struc- epistemological challenge to subject–object
ture we find ourselves in is just a historical moment and matter–consciousness dualisms articu-
within a process of permanent change. This means lated in other chapters of this Grounding
we are coming out of the past going into the section. Victor Friedman, drawing from the
future. Everything is changing and may be
changed. Humans and society are open to the Hebrew Bible and a wide variety of Jewish
future. (Werner Fricke) thinkers, identifies a central influence in the
view that ‘people are partners with God, and
In his response, Orlando Fals Borda speaks each other, in an ongoing process of cre-
of the ‘moral urge [which] undergirds (par- ation’. Along similar lines, Peter Reason
ticipatory) action research’, referring to a identifies the ‘Buddha’s teaching that attach-
participatory epistemology which he locates ment to a sense of separate self is the cause
in the work of Gregory Bateson (1972, of suffering’ as an essential perspective influ-
1979), Fritjof Capra (1982, 1996), Paul encing his work. Bill Torbert refers to the
Feyerabend (1975), and more broadly, interplay of consciousness, knowledge,
18 GROUNDINGS
practice, and consequences to which he was political needs of the times’. Meanwhile,
first introduced by the work of Russian Jack Whitehead explains that his advocacy of
writer and mystic George Ivanovitch ‘living epistemological standards of judg-
Gurdjieff (1963) and Russian mathematician, ment’ is strongly influenced by Feyerabend,
philosopher and journalist Peter D. ‘when he wrote about the meaning of
Ouspensky (1931). He explains that ‘these freedom being understood in the course of its
[authors] spoke of a secret and lost knowl- emergence through practice’. Whitehead
edge that linked the spiritual and material points to Habermas (1975), Foucault (2000),
worlds through a work of continual self- Bernstein (1983) and Winter (1989) as
observation that the aspirant must conduct focusing his attention on the importance of
within him or herself, with the help of transforming the epistemological standards
others’. The resurgence of Buddhist practice of judgement in the Academy: ‘I continue to
in the West also plays with the same sense of use [Habermas’] four criteria of social
locating the self in experience of the world, validity in reaching understanding’.
very far from discovering through intellec- For many, epistemological debates are
tual effort alone. closely linked with the social construction of
The spiritual perspectives outlined by reality perspectives articulated by Peter Berger
respondents lay emphasis on the conviction and Thomas Luckmann (1966), John Searle
that life is not a spectator sport but that par- (1995) and the ‘linguistic turn’ heralded by
ticipation is fundamental to the nature of our Ludwig Wittgenstein (1953) and Richard
being, or an ontological given, a view articu- Rorty (1970). Kenneth Gergen commends this
lated both by action researchers (Heron, stream of work for ‘demonstrating the ways in
1996; Heron and Reason, 1997; Reason and which assumptions about the real, the ratio-
Bradbury, 2001) and other contemporary nal and the good issue from relationships’.
writers (Berry, 1999; Ferrer, 2002; Tarnas, ‘Thus, we may use research not simply to
1991, 2006). These perspectives have clear reflect the past, but to create new futures’.
implications for practice and for how our col- Gergen also identifies perspectives on the
leagues mentioned above choose to live and pragmatics of language as a key influence:
act in the world. ‘shifting from a picture theory of language to
a use-based (or game) understanding of lan-
guage raises questions about the aims of
CONFRONTING THE QUESTION OF social science to develop general theory, and
HOW WE KNOW IN A POST invites a more pragmatic and dialogically
OBJECTIVIST WORLD based orientation to research’.
Along similar lines, Victor Friedman is
In addressing the epistemological questions explicit about the influence of American
of how we know what we know and what it is mathematical social scientist Herbert
that we value as knowledge, many contribu- Simon’s (1969) argument that social life is a
tors referred to the theory of scientific revo- ‘design’ process. In line with Simon’s inter-
lutions and paradigm shifts articulated by est ‘not with how things are but with how
Thomas Kuhn (1962). Similar mention was they might be’ (1969: xx), Friedman points
made of theories as changing social con- also to the elements of choice and agency in
structs as expounded by Karl Popper (1959), processes of social construction. He identi-
Paul Feyerabend (1975) and Stephen fies as a key influence the belief that ‘there is
Toulmin (1990), amongst others. Peter a link between individual theories of action,
Reason, for example, explains that he was collective theories of action, and the realities
particularly influenced by ‘the historical we create. Most important, we have choices
argument of Stephen Toulmin which places about these realities’. In doing so, Friedman
Cartesian thought as in part a response to the points to John Dewey’s (1982) pragmatism
LIVING INQUIRY 19
and ‘theory of inquiry’. The pragmatist posi- science. Kenneth Gergen, for example, notes
tion suggests that knowledge is acquired the importance of wide-ranging theoretical
through responding to a real need in life, domains which break the fact/value binary
something also identified as a key influence and demonstrate that all knowledge claims
by Morten Levin and Hilary Bradbury. are political in their implications. As a result
Hilary also specifically highlights how, for many responses were embedded within cri-
her, pragmatism rescues our appreciation of tiques of domination and marginalization,
learning from academic understanding and and referred to frameworks and traditions
instead allows us to also emphasize active that advocate critical examination of issues
experimentation. Hence what GE managers of power, identity and agency. These include
may call ‘quality improvement’ – and indeed civil rights and feminist movements; libera-
what Deming, the father of the quality move- tionist adult and trade union education; post-
ment in the USA, called ‘quality’ – is but one colonial and critical race theory; and anti-war
iteration of the action research cycle of and ecological protests as well as the student
reflection on action. democracy movement. L. David Brown, for
Stephen Kemmis’s account suggests that, instance, suggests that he was ‘more influ-
like many of the action researchers who enced in the long term by the more macro
responded to our request, he has played an perspectives than the social psychological
active role in weaving together the different tradition that [he] was steeped in as a gradu-
threads of influence with which he was pre- ate student’, and refers to the perspectives on
sented over time, resulting in a well- oppression and liberation voiced by Paulo
grounded conviction that alternative Freire (1972), Frantz Fanon (2004), Karl
epistemological standards were required: Marx (1970), William Gamson (1992)
and participatory researchers in Southern
As a young researcher in educational psychology
contexts. He mentions also the perspectives
at the University of Sydney and then as a doctoral
student at the University of Illinois at Urbana- on power, conflict and collaboration given
Champaign, the 1970s debates in history and phi- expression by such commentators as Stephen
losophy of science (Thomas Kuhn, Karl Popper, Lukes (1974), Lewis Coser (1998) and Ralf
Imre Lakatos [1986], Paul Feyerabend, Stephen Dharendorf (1959). Along similar lines,
Toulmin, Donald Campbell [1974]), especially evo-
Stephen Kemmis credits Pierre Bourdieu
lutionary epistemology, overthrew my ‘inherited’
empiricist and positivistic understanding of (2004) and Michel Foucault (2000) as key
science, alerted me to the ‘linguistic turn’ influences: ‘In different ways, [they] enabled
(Wittgenstein) and pushed me towards interpre- me to understand that structures of oppres-
tivism and historical understanding … and what sion could be described as well as
later became known as qualitative research. … I
“unmasked”.’ He continues:
began to explore dialectics through Hilary Putnam
[1975] and the Marxist tradition, including a fine Anthony Giddens [1984] helped me understand
account of dialectics offered by the now-disgraced the nature and role of agency in dialectical rela-
Mao Tse-Tung [1972]. I became convinced that a tionship with social structure – and the resistant
science was needed that properly acknowledged and transformative possibilities of agency. Alain
each person’s capacity to develop knowledge – Touraine [1983] made this even clearer in his
their own and others. (Stephen Kemmis) analysis of social movements (as disturbing and
challenging settled social orders). (Stephen
Kemmis)
CRITICAL PERSPECTIVES ON That epistemological pathologies – including

THE POLITICS OF KNOWLEDGE the notions of an objective, value-free, expert
GENERATION science – were responsible for perpetuating
and reinforcing social injustices and inequal-
Many of the contributors reported being ities is a perspective also held by Yoland
influenced by the tradition of critical social Wadsworth. She gives due credit to those
20 GROUNDINGS
influences which, during the 1980s, provided Barazangi (2004) and Colleen Reid (2004),
‘a new epistemological paradigm of engage- amongst others.
ment [which went] beyond the narrow exclu- Like so many action researchers, women
sivity of replicative and objectivist science’. and men, for whom feminism offered a new
This was made possible, she suggests, by lens through which a transformative vision
sociologists like Howard Becker (1997) and of the world could come to consciousness,
Alvin Gouldner (1976) and feminists like Hilary also mentioned the work of ‘con-
Mary O’Brien (1981). Robin McTaggart also structive feminists’ (in contrast with critical
acknowledges the influence of critical social theory feminists). These include ecofemi-
scientists such as David Held (1989), Walter nists (e.g Susan Griffin) and cultural theory
Feinberg (1975) and Henry Giroux (1983) feminists such as Riane Eisler. Eisler offers
‘for showing us that thinking interpretively a vision of culture anchored no longer in the
alone was defeatist and failed to inform dominator hierarchies of a Barbarian past
transformative practices’. but rather in the partnership principles from
The emancipatory power of critical per- the still deeper past of Minoan (Crete’s) civ-
spectives on social science is emphasized in ilization. Hilary writes that ‘while the his-
Patricia Maguire’s account of the key influ- toricity may still be contested, the language
ences which were significant to her. She and vision of partnership has been so con-
explains that it was while simultaneously structive in my thinking about action
engaging in feminist community activism research’. Moreover, given her particular
and studying feminist scholarship (including commitment to convening decision-makers
Shulamit Reinharz,1992, Renate Duelli from the business world to work collabora-
Klein, 1985, Sandra Harding, 1987, Marjorie tively in action research mode in developing
DeVault, 1991, Liz Stanley, 1992 and Ann joint innovations that contribute to a more
Oakley, 1984) that she was able to ‘see’ the sustainable society – or at the very least,
androcentrism or male-centredness of much actions that create significant pollution
early PAR work, and the conspicuous lack of reduction – the idea that we hold our eco-
attention to issues of gender dynamics, gen- logical interdependence in our DNA is very
der inequities and feminist scholarship. The empowering.
‘Aha!’ moment described by Maguire below
appears to resonate with the experience of a
number of respondents, for whom integration HOW DO WE TEACH GIVEN
of a variety of perspectives and experiences
ALL WE KNOW?
in a specific time and place brought forth
step changes in clarity and understanding:
Unsurprisingly, many respondents identified
The early critiques (1980s) of the entire develop- critical perspectives on pedagogy as a key
ment paradigm and enterprise by feminists in the influence. Frequent reference was made to
‘south’ (e.g. DAWN with Peggy Antrobus [2004] Paulo Freire’s (1972) work on the pedagogy
and Patricia Ellis [2003], and the ISIS network) cre- of the oppressed, conscientization and liber-
ated a grand ‘Aha!’ for me. There ARE other ways
to ‘see’ and make sense of the world, so make ationist adult education and to the work of
room for them at the table of meaning making. Budd Hall (1978) and Mohan Singh Mehta
(Patricia Maguire) (1974). Along similar lines, perspectives
which problematized the institutionalization
Maguire explains that she is also influenced of education and called for ‘de-schooling’ and
by the work of feminist action researchers non-formal democratic education were sin-
such as Marjorie Mbilinyi (2003), Patti Lather gled out (including the work of Herbert Kohl,
(1991, 2007), Gunilla Härnsten (2001), 1984, Neil Postman and Carl Weingartner,
Brinton Lykes (1996), Alice McIntyre (2000), 1969). Robin McTaggart, for instance,
Yoland Wadsworth (1997), Nimat Hafez explains that his interest in participatory
LIVING INQUIRY 21
action research originated from a profound In a similar vein, Patricia Maguire explains
sense of dissatisfaction with the ‘educational that alongside the feminist ‘ah-ha’ moments
research’ tradition to which he was intro- described earlier, she was also significantly
duced as an undergraduate and postgraduate affected by ‘people and place’: specifically, her
student training to be a high school science relationships with people at and through the
teacher: Center for International Education (University
of Massachusetts, Amherst) in the early 1980s,
‘Educational research’ was then really a form of where she ‘came to understand the connections
applied psychological research and suffered the among empowering education, participatory
failings of psychology as a research field at that processes, and knowledge creation in service
time, [the] preoccupation with emulating the nat- to meaningful social change’. The following
ural sciences in social inquiry. I found the general-
izations sponsored by educational psychology to
extract from Maguire’s account highlights the
have little applicability in the early days of my high important role played by personal meetings,
school science teaching career. My problems were interactions and collegial relationships in the
immediate, pedagogical and reflexive. I required development of one’s own action research
the perspective of an educator, not a psychologist, practice:
or sociologist, or philosopher, or scientist, or
teacher, or political economist, but all of them.
(Robin McTaggart) CIE was well known for promoting Freirian,
empowering, non-formal education in develop-
ment projects. Many of us there grappled with
McTaggart and Kemmis both acknowledge how to make our research more congruent with
the influence of the neo-Aristotelian perspec- the transformational possibilities of participatory
non-formal education. A steady stream of visitors
tives put forward by the likes of Joseph such as Paulo Freire, Myles Horton (Horton et al.,
Schwab (1969), which leads us to ‘see 1990), and Ira Shor (1992), and faculty members
natural science as a process of inquiry rather David Kinsey (1978) and Peter Park (1993), intro-
than the recitation of a “rhetoric of conclu- duced us to PAR. There I met Mary Brydon-Miller
sions’’’ (McTaggart) and which emphasizes and continue to be influenced by her work on
ethics in AR (see Brydon-Miller et al., in press) and
the distinction between practical reasoning linking participatory research and psychology. My
from technical thinking. For a recent thor- AR work continues to be nourished by my collegial
ough exploration of the relevance of relationship with Mary. Through CIE I was intro-
Aristotlean thought – and especially the conduced to the work of Peter Reason, Budd Hall and
cept of phrónesis – to action research, see Rajesh Tandon (1983), and later Davyyd
Greenwood (2002) – particularly Davyyd’s work to
Eikeland (2006). link AR and democratic processes. I’m inspired by
McTaggart states that his interest in action Davyyd’s commitment to teach AR democratically.
research was particularly stimulated by its (Patricia Maguire)
transformative potential, and by the attention
given to the question: How might we change Likewise, Anisur Rahman clearly articulates
things at the same time as studying them? He the ways in which pedagogical concerns
explains that while the sociological studies of were brought into relief through his engage-
Samuel Bowles and Herbert Gintis (1976), ment with marginalized community groups,
for example, affirmed his view that educa- realizations which were affirmed and rein-
tional institutions reproduced disadvantage, forced through a reading of Freire:
these approaches to research did little to sug-
gest how things might change, despite the My interaction in 1976–77 with the Bhoomi Sena
daily efforts and successes of teachers and movement in the state of Maharastra (India) by
school leaders. In stark contrast, Paulo Freire way of participatory study of the movement with
and the participatory research movement three other South Asian scholars (De Silva et al.,
1979) made me deeply aware of the need for work
‘provided fine and often courageous exam-
to promote intellectual self-capacity and self-asser-
ples of transformative research and education of the underprivileged people to guide their
tional practices and theories’. self-development. Through this interaction I zeroed
22 GROUNDINGS
in on two realizations: (1) self-reliant development clarify and refine her own commitment to
was not possible with someone else’s thinking; and linking inquiry to participation and action. In
(2) the formidable status of formal knowledge
this context, she refers to the work of Max
with its associated power had created a sense of
intellectual inferiority among the ordinary people, Weber (1958), George Herbert Mead (1934),
making them surrender to or look up to the for- Herbert Blumer (1998) and Peter Berger
mally educated for guidance to promote their lives, (1963), and speaks of these as tempered by
and they needed help and stimulation from recent post-modernist influences and, even
friendly and deeply sensitive quarters in the for-
more recently, by ‘feministas de la diferencia’
mally educated stream to recover their self-confi-
dence in their own intellectual abilities. Reading like Maria Milagros Rivera Garretas (1997).
Paulo Freire consolidated this new awareness in The phenomenological and hermeneutical
me. (Anisur Rahman) traditions propagated by Edmund Husserl
(1989), Hans-Georg Gadamer (2000), Jürgen
Habermas (1981), Paul Ricoeur (1981) and
Maurice Merleau-Ponty (1962, 2004) are
KNOWING IN THE SERVICE OF
also often referred to by the contributors to
PRACTICE this chapter. Marja Liisa Swantz, for ex-
ample, describes how an orientation towards
Practical know-how, a ‘popular science of phenomenology and hermeneutics helped
and for the people’, is identified as a key her to develop a practical appreciation of the
influence by many of our colleagues. This is forms of knowing expressed in symbol and
understood as the diverse and effective forms ritual amongst people:
of knowledge generation long-practised by
ordinary people, unencumbered by the inter- Paul Ricœur’s (1981) idea that symbol precedes
vention or so-called expertise of scientists language and rational thought and Susanne
and elites. This is closely related to the Langer’s (1979) human need for symbolization and
idea of an ‘extended’ epistemology which differentiating discursive from presentational sym-
bolism led me to the analysis of the symbols and
encompasses experiential and practical
rituals of the people I lived and worked with and
knowing. Significant credit for this perspective whose way of life I struggled to understand.
is given to Freire, and alongside him to Anthropologists Victor Turner (1986) and Mary
Orlando Fals Borda (1988), Anisur Rahman Douglas (2003) developed my ideas of symbolism
(1993; see also Fals Borda and Rahman, further. This emphasis on presentational rather
than rational symbolism was at the base of my
1991), Rajesh Tandon (1983), John Gaventa
belief that people who communicated with sym-
(1991) and Budd Hall (1978). Tandon identi- bols had knowledge and understanding of life
fies the knowledge of ordinary people as a which could broaden the concept of development
key influence in his work, one that he con- dominating people’s lives. I found support from
tinues to lean on and build from: writers such as Robert Ulin’s (2001) Understanding
Cultures, Ernst Fischer’s (1969) Art Against
Indigenous knowledge based on life and living, Ideology, Thomas Fawcett’s (1971) The Symbolic
linked to solving daily problems of survival, trans- Language of Religion, Don Ihde’s (1986)
mitted through various folk forms of music, the- Consequences of Phenomenology and William
atre, dance, poetry, drama – oral and aesthetic Barrett’s (1990) Irrational Man, amongst others: …
traditions of knowledge production, documenta- In spite of the emphasis on presentational symbol-
tion and communication; popular knowledge and ism I understood that it had to lead also to rational
wisdom, as revealed in ecological and healing tra- understanding of one’s situation and that the way
ditions and sciences, now popularized by modern to it was through mutual communication (Swantz,
markets. (Rajesh Tandon) 1970). (Marja Liisa Swantz)
Meanwhile, Sonia Ospina explains that socio- The tradition of the human potential move-
logical theories giving primacy to social inter- ment and the place of individual conscious-
action, meaning-making, language, culture, ness in influencing change in wider systems
everyday life and local knowledge served to are identified as critical influences by
LIVING INQUIRY 23
Hilary Bradbury and Yoland Wadsworth. and to the ongoing examination of patterns of
Key insights are gleaned here from C. thought, behaviour and relating.
Wright Mills’s (1963) relationship between
‘private troubles and public issues’; Charles
Hampden-Turner’s (1981) work, identified CREATING THE FUTURE: WHY OUR
by Wadsworth as ‘a psychology of being – WORK IS SIGNIFICANT
but also a methodology for becoming’; and
Abraham Maslow (1968) and other human- It will perhaps come as no surprise to readers
istic or ‘third force’ psychologists. The of this volume that a desire to contribute
humanistic perspective which advocates towards ‘a better future’ is evident in many of
that persons have the capacity to direct their the accounts offered to us. Anisur Rahman, for
own lives in ways which are life-affirming instance, is clear about the motivation and
and constructive for themselves and others vision underlying his interest and move into
in their social contexts is one which res- action research. For him, the worth of P(A)R
onates with action researchers. Indeed, is in its potential to contribute to people’s self-
identifying and strengthening such potential development and self-reliance:
could be seen as a key objective of action
research practice, as suggested by Werner My departure from traditional research and devel-
Fricke: opment thinking was spurred by the War of
Liberation of Bangladesh of 1971, when I was a
Harvard-trained economist of 38. The indepen-
The human desire and capacity for participation dence of Bangladesh with its officially declared
and self-determination is often suppressed (e.g. by socialist ideology inspired me and many others to
life-long work under poor, monotonous, unquali- think that the country could and would march for-
fied working conditions), but cannot be destroyed. ward with whatever resources it had, relying prin-
We called the employees’ participative capacity cipally on the energy and creativity of its vast
‘innovative qualifications’ (Fricke, 1983). (Werner population, however resource-poor the country
Fricke) was, without depending on external charity and
submitting its autonomy to foreign powers seek-
Friedman makes a related point when he ing to impose on other countries an ideology of
refers to the subconscious as a storehouse of pursuit of private greed and dividing the nation’s
people into an elite and non-elite class. … I
unutilized knowledge and a potent source of
[became] convinced that initiatives for people’s
healing and learning, as described, for example, self-reliant development was the way for the
by psychiatrist and hypnotherapist Milton nation to march forward with its head high …
Erickson (1985). Friedman also makes par- With this awareness I joined the ongoing intellec-
ticular reference to the work of Sigmund tual movement to experiment with Participatory
(Action) Research and to deepen its conceptual
Freud (1961), Melanie Klein (1992), Kurt
contours, as a movement to promote ‘people’s
Lewin’s (1958) ideas of ‘psychological- self-development’, seeing P(A)R not as a research
social space’, and Wilfred Bion’s (1961) and method but as an organic component of people’s
Larry Hirschhorn’s (1988) perspectives on self-development. (Anisur Rahman)
‘social defences’. The psychoanalytic tradi-
tion is also identified as a key influence by Davyyd Greenwood explains that it was
Yoland Wadsworth. She refers specifically to through his involvement in an action
Isobel Myers and Katherine Briggs’ (1987) research project that he began to more criti-
application of Jungian psychology to self and cally engage with the political and axiologi-
human understanding and to Isabel Menzies cal dimensions of knowledge generation:
Lyth’s (1988) work on social systems as a
I was ushered into action research by William
defence against anxiety. The influences
Foote Whyte (1991), who took advantage of my
delineated above speak of action researchers’ long-time anthropological research in the Basque
commitment to the development of self- Country to involve me in a project on the industrial
awareness, moment-to-moment reflexivity, cooperatives of Mondragón. In the context of that
24 GROUNDINGS
collaboration … I gained a renewed sense of the more specific guidelines in a project where scale
potential value of the social sciences to create lib- emerged as the important issue.
erating social arrangements, the power and value Against this background I found critical theory,
of democracy (even under difficult conditions), and as it stood after ‘the democratic turn’ – represented
the degree to which real social problems exceed in particular by Jürgen Habermas (1981) – to be a
the pathetically narrow confines that the academic promising point of departure. The orientation
social sciences with their Fordist models of organi- towards society, rather than ‘you and I’ or the
zation want to impose on them. (Davydd small group, was consistent with a need to reach
Greenwood) scale and the emphasis on communication was
consistent with the core tool of action research. Its
Kurt Neilsen also emphasizes the transforma- weakness was too much of a one-way traffic from
theory to practice to fit the more open and explo-
tive, value-driven potential of action research
rative use of action characterizing contemporary
practice. From Robert Jungk (1954) and Ernst action research. This gave rise to a new challenge:
Bloch (1995) he takes the perspective that how to change the relationship between theory
social imagination, dreams and utopian ideals and practice to provide more scope for action and
are living parts of culture, and that integrating experience in the development of a critical func-
tion in democratic society. To work out answers to
social imagination with practical change
this question has implied to embark on a process
‘keeps alive hope’ for the possibility of radical of action research and ‘social constructivism’ that
change. He quotes Robert Jungk’s conviction has, by now, been going on for more than two
that ‘many futures are possible’. He refers also decades. (Bjørn Gustavsen)
to the lessons learned from critical theory and
psychoanalysis, including the suggestion that
‘we all need an open and uninstrumental arena ON ‘MAKING THE ROAD WHILE
to reach awareness and to increase social WALKING’
imagination’. It is in this context that Neilsen
identifies the real worth and contribution of We conclude this chapter by drawing on
action research: ‘In action research we those accounts which, in their own ways,
organize such arenas as social movement/ consider how the integration of our life
social learning.’ experiences and grounding perspectives help
The question of how best to organize us action researchers to respond to the
appropriate and significant arenas for social question of how we should live our lives. In
learning is one that is close to Bjørn other words, given the broad philosophical
Gustavsen’s heart. Gustavsen’s work focuses orientations described above, what would
on a key challenge facing the action research effective practice look like? Many of the
tradition, that relating to the question of accounts offered to us demonstrate that the
scale. His account emphasizes the evolution- translation of philosophical, theoretical and
ary nature of action research practice, where political perspectives into practical knowing
experimentation and reflection on action and/or active engagement is considered of
give rise to new challenges and considera- utmost importance.
tions about quality and effectiveness, and A significant number of our colleagues
about how we might best position and orga- explain that they were particularly drawn to
nize ourselves so as to create better futures: role models or teachers who evidenced inte-
The problem was not action research or not, but
gration of theory and practice in their own
how to improve on the specific action research tra- lives. In talking about the various figures that
dition in which I found myself. Being strongly were influential to him, Bill Torbert identi-
involved in efforts to create more democratic fies effectiveness, integrity and the search for
forms of work organization, we faced, in my view, wisdom as key qualities. These are arguably
two major issues: One was to democratize our
own efforts to encompass many workplaces rather
the kinds of qualities which become evident
than a few experimental sites, the other was to through one’s processes and acts of living in
further develop the notion of democracy to give the world, and indeed, the influential figures
LIVING INQUIRY 25
he names are well-known for their activeness Along similar lines, Mary Brydon-Miller
and for the practical contributions of their claims to have been deeply influenced by the
life’s work: careful manner in which role models Paulo
Freire and Myles Horton appeared to
Thinking about it now, I realize that the first figure embody their espoused ideals and beliefs in
to have a major influence on me – Bill Coffin their everyday practice and being-in-the-
(1999), the Yale minister whom I first heard preach
once a year at Andover and then allied myself with world:
closely at Yale – was characteristic of the sort of
elder from whom I sought guidance over the next Thanks to Peter Park, I had the opportunity while in
15 years. An early Peace Corps training camp graduate school to get to know both Freire and
director, a central figure in Civil Rights and anti- Horton, and I can remember being struck by how
Vietnam political organizing, Coffin was at once genuine both men were in their interactions with
an intellectual, a political actor, and a spiritual others, embodying in every moment the kind of
leader. … Through Coffin, I met Paul Tillich respect and concern for others that was the central
(1952/1980), Al Lowenstein (1962), and Martin message of their written work. (Mary Brydon-Miller)
Luther King (1967). … Without ever having ver-
balized this until now, I sought guidance from the The ability to learn from and in collaboration
sort of elder whom I imagined as visionary, charis- with peers and colleagues, as well as from
matic, effective, committed to integrity, and a teachers and role models, is evidenced in
seeker of wisdom (not just knowledge). (Bill
Torbert) many of the accounts offered to us.
For instance, the ‘people and experiences’
Torbert continues to explain that he was identified as especially important by Bob
drawn to his long-time mentor, Chris Dick include powerful role models from
Argyris, for similar reasons: across his life-time, the earliest of which was
his fifth and sixth grade teacher, Murray
I first met Chris Argyris during my sophomore year Hines, who ‘ran involving and democratic
at Yale (1963), reading most of his books and classes which were very different to those I
interviewing him (as I did Coffin) … on the relation had previously been used to’. He also gives
between faculty members’ scholarship and their
day-to-day life values. … Like Coffin, Argyris due credit to Rhoda Felgate, the director of
charismatically integrated theory and practice – in the amateur theatre where he was active for a
this case through his research, teaching, and con- time in his late 20s, and whom he suggests
sulting with major institutions such as IBM and the ‘had a greater influence than I think she real-
State Department. (Bill Torbert) ized’. In particular, she is one of the many
persons whom Bob Dick identifies as having
Torbert expresses admiration not only for the
made space for him to learn on his own terms
application of theory in practice (through the
and through practical engagement and exper-
embodiment of Platonic and Socratic inquiry,
imentation:
for example), he also shows appreciation for
political action and activeness and for learn- She encouraged me to move beyond what I
ing from peers in interaction with one thought were my limits. … When I did exceed my
another. abilities and experienced failure she was there to
help me pick myself up and learn from what hap-
Bob Dick also identifies the successful
pened. (Bob Dick)
integration of theory and practice, and also of
various other dimensions, as a key quality of In addition to learning from teachers, Dick
Chris Argyris’s – and also Don Schön’s – emphasizes learning from his collaborations
work: with skilled colleagues, clients, and students.
He refers in particular to the university
I like the way they integrate the intrapersonal, the
interpersonal and the systemic – theory and prac- classes which he was responsible for teach-
tice, diagnosis and intervention, and including a ing and which, for the most part, he chose to
research methodology. (Bob Dick) run in experiential and democratic ways.
26 GROUNDINGS
I learned as much from the class members as they colleagues, students, and co-researchers are
learned from me. The tutors with whom I co-facil- never straightforward: we learn both from
itated those classes were for the most part skilled
the challenge of ‘friends willing to act as
practitioners and were also a source of learning.
(Bob Dick) enemies’ (Torbert, 1976: 169), those who
know us well enough to keep interrupting
It is significant that Dick, like a number of degenerate patterns; and of ‘friends willing
the other respondents to our request, draws to act as friends’ (Marshall and Reason,
explicit attention to moments of deep learn- 1993: 122) who will continue to love us
ing and transformation: through all the crises living life as inquiry
will throw at us.
Also important are the moments of desperation
when my repertoire is inadequate and I have to
create something on the spur of the moment.
Many of the processes I now use were originally CONCLUSIONS
devised when I felt blocked. (Bob Dick)
In this chapter, we have sought to balance

Indeed, appreciation of ‘Aha!’ moments, or
acknowledgement and appreciation of
key moments in which people come to a
various intellectual traditions and philo-
meaningful and creative integration of under-
sophical perspectives with an understanding
standings, is a key theme throughout the
that each action researcher is involved in
accounts. Robert Chambers, for instance,
developing his/her own understanding and
draws attention to the ways in which the puz-
practice in ongoing ways and in particular
zles and challenges which gripped him were
socio-historical contexts. What we have
grounded in, and became apparent through,
found in putting together this ‘bricolage’ of
life and field experiences. His response
perspectives is that action researchers them-
emphasizes the possibilities for ongoing
selves could be understood to have been
learning and transformation which emerge
acting as ‘bricoleurs’ over time, and in a
through engagement with others in field
very real sense, ‘making the road while
experiences:
walking’. Indeed, the active process of inte-
In this journey, ‘aha!’ moments have been signifi- grating and making sense of various influ-
cant: in South India, realizing how selective ences and perspectives and of developing
perceptions can be mutually reinforcing in a one’s own understanding seems to be
research team; in Ethiopia, learning that
central to many action researchers’
farmers could understand a histogram when
they said ‘You have drawn what we said’; in accounts. Most notably, responses to our
India, discovering that local people could request demonstrated both vigour and
make brilliant maps, representing their reali- rigour: these qualities are apparent in the
ties and far more detailed than ‘ours’; being robust and well-developed sense of critical
asked, when seeking to ‘hand over the stick’
engagement with a range of philosophical
to networks in the South, ‘who are you to say
that you have a stick to hand over?’ (Robert and theoretical perspectives, and also in the
Chambers) conscious development of praxis through
ongoing and active integration of life expe-
Indeed, a theme running through many of riences, grounding perspectives and com-
the responses is that it is through ongoing plex webs of influence. Individually and in
critically-engaged conversations with one community, we have critically engaged with
another and with other scholars and practi- a range of perspectives; have followed our
tioners that we can better understand both interests, instincts and questions; have
how we are moulded by, and how we also sought to make meaning from these; and
contribute to shaping, the field. The most have developed comprehensive understand-
meaningful relationships with mentors, ings capable of informing our practice.
LIVING INQUIRY 27
ACKNOWLEDGEMENT Blumer, H. (1998) Symbolic Interactionism: Perspective

and Method. Berkeley, CA: University of California
Press.
We would like to thank the following Editorial
Bourdieu, P. (2004) Distinction: a Social Critique of the
Board members for taking the time to respond
Judgment of Taste. Cambridge, MA: Harvard
so fully and energetically to our request: University Press.
L. David Brown, Mary Brydon-Miller, Robert Bowles, S. and Gintis, H. (1976) Schooling in Capitalist
Chambers, Orlando Fals Borda, Bob Dick, America: Educational Reform and the Contradictions
Werner Fricke, Victor Friedman, Kenneth of Economic Life. New York: Basic Books.
Gergen, Davydd Greenwood, Bjorn Gustavsen, Brydon-Miller, M., Greenwood, D. and Maguire, P.
Stephen Kemmis, Morten Levin, Patricia (2003) ‘Why action research?’, Action Research,
Maguire, Robin McTaggart, Kurt Nielsen, 1 (1): 9–28.
Sonia Ospina, Md. Anisur Rahman, Marja Brydon-Miller, M., Greenwood, D. and Eikeland, O. (eds)
Liisa Swantz, Rajesh Tandon, William Torbert, (in press) ‘Ethics and action research: Special issue’,
Yoland Wadsworth and Jack Whitehead. Action Research, 3 (1).
Buber, M. (2000) I and Thou. New York: Scribner Book
Company.
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2
Participatory Action Research
as Practice
Marja Liisa Swantz
This chapter describes participatory action research practice in Africa, particularly Tanzania,
drawing on the author's experience over several decades. It explores the relationship
between participatory research and national politics, the place of theory, the role of the
participant researcher, and the significance of symbols in social transformation, and it pro-
vides vignettes of the development of participatory practice in a development
context.
Participatory Action Research – PAR or beginnings of PAR. In his words, ‘As with all
P(A)R – is multidisciplinary and multiform; great things, it had no single inventor.
no one perspective can claim authority Nobody discovered it, it was the result of an
or authenticity. PAR adherents agree that it atmosphere rarefied by the clash between
breaks from the positivist and empiricist clear-cut scientific explanations and a rough
science. When Orlando Fals Borda reviewed reality.’ Referring to the changes that had
the history of P(A)R at the World Congress taken place, he pointed out that tempering of
on Participatory Convergence in Knowledge the radical orientation in the use of PAR and
in Cartagena in 1997, he found at least 32 the need for critical interpretation had
schools associated with the idea of participa- brought about an ethical dimension of
tion in social, economic and political science. The time of Marxism and its rigid
research. P(A)R had no one disciplinary or application were over and the concern was
political orientation, but its beginnings were for the reconstruction of the actual lives
closely connected with critique of mainline which ordinary people live. Two points had
social sciences and it frequently lined up shifted the emphasis. After 20 years of action
with revolutionary movements (Fals Borda, research, researchers were interested in
1998: xii). walking shoulder to shoulder with ordinary
Alfredo Molano in his opening speech at people rather than one step ahead. Second,
the same Congress referred to the multiple the researchers had stopped fighting against
32 GROUNDINGS
the state, instead, they were participating, in of a sense that ‘the license to practice the
spite of the weaknesses of the state (Molano, irrelevant has expired’ (Nash, 1981: 236).
1998: 5). After the publication of Thomas Kühn’s
These two points were guiding thoughts Structure of Scientific Revolution (1962), new
when PAR started in Tanzania in the mid- possibilities for paradigmatic change emerged
1960s and apply particularly to the initial in the social sciences and PAR was an obvious
steps of a participatory approach to research way to break the false objectivism of positivist
and researchers’ participation in people’s social science. Personally, I leaned on Gunnar
actual lives. These beginnings were different Myrdal’s (1970) critique of objectivism. I also
from the start of action research in Latin discovered that John Galtung, professor for
America. This chapter describes beginning peace research from Oslo, had after his visit to
stages of PAR in the African, mainly Cuba come on an alternative model, which he
Tanzanian, context and thus complements called non-violent social science in which the
other chapters on the development of PAR in general rule would be not to do research on
Latin America, Asia, and India in this volume people but with people (Galtung, 1975:
and in the first edition of this Handbook 273–6). However, masculine concepts still pre-
(Fals Borda, 2001/2006; Hall, 2001; Rahman, vailed also in new radical science, and there
Chapter 3). Much of the beginnings refer to was a further need for a change of paradigm in
the work of the writer, and for this reason women’s studies. In the Tanzanian context
first-person language is used. these broke through to challenge the dominat-
When describing the roots of their own ing social concepts and the ‘scientific knowl-
work, pioneers of P(A)R like Fals Borda trace edge’ that had suppressed people’s knowledge
the epistemology and theoretical groundings in general and that of women in particular.
and the theoretical paths they followed, rather
than the political or practical context. Latin
American scholars had their training in the STARTING PAR IN TANZANIA
universities of the USA and became aware of
the political implications of the moderniza- I learned participant research while
tion theories and the myth of objective immersed in village life some 50 km north of
science. The dependency theories first devel- Dar es Salaam in 1965–70. I became part of
oped in Latin America, which condemned a traditional community in which ritual and
the trickle-down and diffusion-of-innovation symbolic communication formed the base of
theories, spread quickly to centres of social social life and women were illiterate. A
science in other parts of the world in the prominent medicine man adopted me as his
1970s. The social scientists in Tanzania daughter and thus integrated me into a fam-
gained inspiration from books by Andre ily system with its responsibilities and privi-
Gunder Frank and Walter Rodney (1972) and leges. My own family shared a Swahili house
the University of Dar es Salaam soon became with a local family. In the words of a village
the hot spot of radical political theory. woman to my daughter 20 years after:
However, in Tanzania PAR did not start from
such a political theory or action as in Latin She did not come as a European. She came as one
America. It started from the practical need to of us. She was Mswahilii.1 Can you say that there
is a difference between her and me because she is
connect research to national development and a European? No, there is no difference. We see her
to avoid separating the university from prac- as one of us; exactly the same. (Tripp, 1991: 52)
tical reality and the nation’s stated political
goals, which demanded mutual commun- Even if taken for what such statements are
ication between researchers and people, in worth, they do indicate a basic condition for
political jargon, ‘peasants and workers’. PAR. Participation means identification
Participant research in action was an outcome (Swantz, 1970, 1986b).
PARTICIPATORY ACTION RESEARCH AS PRACTICE 33
Participatory approach to research had its itself. Despite the problems, the method whereby
researchers stay and work together with the local
start with university students when I was
people is the best one, as besides bringing youth of
locally employed as a Senior Research different educational levels together, it also gives
Fellow in the University of Dar es Salaam in the local people opportunities for learning from the
1972–5. The university supported students as researchers. … At the same time we learned a lot
research assistants during their long vaca- from the local people. People talk freely with people
with whom they are acquainted. (Swantz, 1976b:
tion. It enabled me to recruit students and
119–26; 1982: 117–38)
give them training in the new approach. The
departure point was educational. Tanzania In the following year women students
needed academic people who were not were engaged in a participatory study with
divorced from their background and who families having malnutrition problems. Each
would bring the wisdom and knowledge of shared life with five families, in which the
the grassroots to the academy. mother had been with a child for rehabilita-
From the start PAR aimed at making tion in a nutrition centre. The students made
research an agent of transformation in the notes on daily life, keeping sets of questions
rural community. It had to be of immediate in mind but forms out of sight. When mutual
interest to the people in the studied commu- confidence was gained the problems could be
nity, involving them in formulating the study discussed openly. Comparison with the liv-
problems and in finding solutions. In order to ing conditions of the healthy neighbours
realize the educational and motivational helped to focus on the economic and social
potential of such a study it needed to be a differentials.
common effort with villagers, elders, admin- Other female students organized literacy
istrators, educators and researchers. It took classes for women cleaners of the university
some time to have such an unconventional and the Ministry of Education in which they
approach approved by research authorities. engaged women in lively talks and writing
Research in action, later called PAR, was about their lives. The exercises encouraged
first developed with students over a three the women to be active in advancing their
year period. The first group of 12 male stu- social and educational level. One female stu-
dents studied income-earning potentials of dent worked in a cashew nut factory, which
the school leavers in five coastal villages in employed over a thousand women workers.
1973. Together with the youth they decided She experienced their work-related hazards
to start gardening, carpentry and fishing proof corrosive acid on bare hands and helped
jects. Sharing work with the village youth mobilize the women to take the poor working
was an instructive experience both for the conditions to the workers union. Some
students and the school leavers while they women students gained deeper understand-
learned to plan and implement projects, con- ing in their home region of the reasons why
sult village authorities, and make the projects women left their homes to become prosti-
viable. A Tanzanian colleague and I visited tutes in cities and on return established them-
the students and analysed the situations with selves as respectable farmers (Swantz,
them. Funds became available from a trust 1985c).
fund for purchasing equipment. The stu- Participation and action made research
dents’ attitudes towards the villagers changed contextual. The roles of the researchers and
radically, as they recorded in their reports. I the researched interchanged in the course of
quote from one: communication through which there was a
mutual development of knowledge and
Colleague, Ruth Besha and I have come to realise learning to understand people’s problems.
that this was a unique programme. While the tradi-
The students learned to question the role of
tional research methods take the people as objects
of research, ours took them as actors, in fact as the the researcher and analyse how her/his pres-
stars of the whole process. This was a revolution in ence influenced the research situation. PAR
34 GROUNDINGS
was in line with the political theory in which Jipemoyo, ‘take heart’, as Bagamoyo referred
peasants and workers were to be the builders to the beating hearts of slaves who during the
of the nation. The students’ changed attitudes slave trade were brought to the coastal town,
impressed the chief education officer of the Bagamoyo, for sale (Swantz, 1981).
university who recommended the approach The aim of research was to gain a deeper
for use in all the university departments view of people’s own concepts of develop-
when students were engaged as research ment, what assets their own cultural ways
assistants (Swantz, 1976a, 1976b). could contribute and what conflicts they
With a Swedish colleague, Jan Rudengren, caused. Seven Tanzanian and Finnish
we developed a participatory approach in an researchers of five disciplines along with
ILO-supported pilot survey.2 With some some assistants became involved with intent
organizational assistance the villagers in 46 to write doctoral theses after the four years of
villages of Bagamoyo and two other districts participatory research. Two worked with the
assessed their educational level and the Parakuyo Maasai, one with Kwere artisans,
extent of utilization of skills and natural and an ethnomusicologist with his artist wife
resources. The self-conducted survey raised lived many years in Miono village with their
active discussions in village meetings before three children, one born there, learning the
and after the survey. The results made vil- Zigua music and dance. A geographer
lagers aware of big gaps in skills and unused recorded people’s moves to new villages,
resources. In spite of statistical weaknesses drawing maps for the ward office, and an eth-
in the survey, villagers’ involvement in it and nologist befriended women of Msoga. The
their self-assessment made them aware of their project secretary engaged also in research on
development potentials. The weakness was people’s conceptions of ethnicity (Donner,
in the follow-up: the research settings seldom 1977; Hurskainen, 1984; Jerman, 1997;
allowed the researchers’ contact with local Kiyenze, 1985; Mustafa et al., 1980; Sitari,
participants to continue. The written docu- 1983; Vuorela, 1987). The researchers lived
ments benefit the academy rather than the with the people, renting village houses.
participants, who learn from the guided Seminars were arranged to give a forum for
action, analysis and reflection, which is the village historians to relate past histories,
educational component in participation people of same occupations discussed their
(Swantz, 1979). work in groups, young people entertained in
These first participatory projects prepared song and dance, and artists illustrated leaflets
the way for four years of full participatory for distribution.
action research on development and culture The government policy of concentrating
built on the contacts gained in Bagamoyo population in bigger villages was aimed at
District. The project was launched in 1975 in improving people’s access to health and edu-
co-operation between Tanzanian and Finnish cational services and at facilitating communal
researchers under the Ministry of Culture and cultivation, but it also raised many difficul-
Youth and the Academy of Finland. Issues ties. When people from scattered areas
needing research and action arose in many refused to move, force was often used. On the
areas: there were imminent problems result- other hand, the intended aim of communal
ing from the government intention of moving cultivation was never fully carried through;
people to planned villages; government offi- instead, people were told to join individually
cers had problems getting Maasai boys to cultivated plots into unified fields for easy
schools; cattle keepers were experiencing ploughing. People found ways to get around
poor relations with the authorities. The start the orders instead of openly resisting. Today,
of PAR coincided with the government pro- 30 years later, the difficulties arising from
gramme intended to foster self-reliant devel- mismanaged implementation of villagization
opment. People soon nicknamed the project belongs to the past: while some have returned
to their home plots, the benefits from village The women researchers met with Maasai
dwelling can be seen in the village-based women separately since the Maasai men could
local government system. It has facilitated the not consume meat with women present, nor
application of PRA (i.e. Participatory Rural could they yet think of sending girls to school.
Appraisal) in village planning. PAR would play a role in bringing about
However, at that time the researchers changes too, these are described below.
could mediate between people and authori- One issue arose from the government
ties. They learned people’s reasoning and assumption that the Maasai herds were grow-
helped their voices be heard when local offi- ing in size and the consequent order to
cers did not dare to bend the orders and the arrange annual sales. The Maasai initially
elected leaders would not risk their positions resisted the proposed counting of the cattle,
by expressing people’s views. For example, but after they analysed the situation with the
Msoga village in Bagamoyo District was researchers they co-operated in the count,
well situated along a river with good soil for which evidenced that the numbers were
vegetable gardens and a large maize field diminishing, not growing. The discovery put
was ploughed with a hired tractor. The arbi- a halt to the forced marketing. Many individ-
trary plan made on an office drawing board ual herds were in fact too small for support-
had located the new village a few kilometres ing a household. The researchers recorded
away along the main road. The school and the differentiation, which was taking place
dispensary had been moved there, but half of among the Maasai, dividing them into three
the people refused to move. Visiting the income groups. Only the richest had enough
village we carried a tape-recorder, which the cattle for reproducing themselves (Mustafa,
villagers at work on their gardens spotted. It 1989; Mustafa et al., 1980: vol 3, 64–87).
prompted them to record their village story in Through PAR the contacts with the veteri-
songs and in a brief written history. They narians were encouraged and after Jipemoyo
took for granted that we would take it to the the regional veterinary officer organized a
president. The tape reached President Nyerere, training seminar for the same group of
with the result that they could stay in old Maasai. They could have also taught much to
Msoga and start a fresh.3 the officer about cattle, the locations of good
Also the Parakuyo Maasai of Bagamoyo grasses for grazing, and the best spots for
District seized the opportunity through PAR to digging wells or water pools. The contrast
express their dissatisfaction at the dealings of between the Latin names of cattle diseases
the government, which in the early 1970s had that the veterinarian wrote on the blackboard
taken their grazing and watering grounds and the experience of men sitting at desks
along Ruvu river to start a state cattle farm run became evident. The men, many illiterate,
by the Chinese. The government had also listened for a while but soon took the initia-
failed to provide veterinary services, medi- tive to make the training officer listen to their
cines and training. The Maasai had been ostra- questions, such as whether their practice of
cized from colonial times because of their castration was harmful. The Maasai were
different lifestyle and dress (or lack of it). quick to learn but their opportunities for an
They decided to organize a two-day seminar encounter with the livestock officers had
with the backing of the Jipemoyo researchers been few – previously one visit to a govern-
and were ready to butcher two cows to feed ment cattle farm had given them new ideas.
the participants. They wanted to speak to the The conflict between the development
regional veterinary officer residing in the cap- policies and cultural traditions in relation to
ital and invited him to participate. When he women placed the researchers in a sensitive
didn’t initially turn up, they delayed the start situation. A woman elder approached me in a
of the seminar until he finally arrived, after Maasai craal with the problem of clitoridec-
having been reminded by phone 15 km away. tomy, which they practised but which she
36 GROUNDINGS
had doubts about. I pointed out its dangers paper. He became the General Secretary of the
and she shared our discussion with fellow International Council of Adult Education
women sitting in the moonlight. The change (ICAE) and was the main organizer of the First
of harmful customs takes place gradually World Assembly of Adult Education in Dar es
after some families break off the custom. In Salaam in 1976, during which some Latin
this, as in the schooling of girls, the Maasai American researchers visited a Jipemoyo
who had become Christians saw first the research site. As the centre for PAR networks
need for change and others followed. Today ICAE co-ordinated the Participatory Research
many girls go to school and during my recent Project (PRP) in Africa, Asia, Europe, Latin
visit I ate meat with men. America and North America. Under its aus-
Issues brought up in seminars and personal pices regional and international conferences
contacts during the four years of PAR were held in which methodologies, theory and
(1975–9) began also to change discrimina- practice of PAR were debated. The Mzumbe
tory attitudes toward the Maasai. Shared conference in Tanzania gathered representa-
research opened new perspectives and raised tives from six African countries, in which edu-
wide interest. When the Maasai Prime cational and popular theatre projects had been
Minister learned of the progress made in set- started (Kassam, 1982).
tling the conflicts between the cattle herders
and farmers, he initiated a seminar in Dar es
Salaam between his local government offi- POLITICAL GROUNDS FOR
cers and representatives of Lugoba Maasai PARTICIPATORY ACTION RESEARCH
and farmers. A Maasai woman in her blue
apparel and red beads drew attention and the Critiques of the colonial scholarship, imperi-
bureaucrats were impressed by the well- alistic history, and continuing neo-colonialist
formulated arguments of the Maasai headman. presence prepared the ground for new
The leadership of the Academy of Finland research approaches. Disinterested social
followed closely the implementation of its science was declared false. Nationalistic
first development research in Africa. The eval- spirit guided people being freed from colo-
uation seminar in Helsinki drew participants nial fetters. The experiences in the former
from 14 different countries. The evaluator of colonial states converged when students met
the research methodology was a Swiss expert in universities and research-conferences.
of PAR theory, Heinz Moser. In time five doc- Social scientists were caught with the politi-
toral theses presented in universities of Dar es cal inspiration of the new nations while they
Salaam and Helsinki and some other degrees also were critical of the national politics. In
were the academic result of the Jipemoyo Africa people supported parties and national
researchers who have become professors and governments which lined up against the colo-
development researchers. The immediate nial and neo-colonial forces, even if they dif-
results of Jipemoyo were in the communica- fered in the degree to which they trusted their
tion, analysis, action and reflection at the governments. The role of the state was dif-
research scene. PAR also had political conno- ferent in Africa from that in Latin America.
tations. It made oppressed people visible and Building a nation was seen as building a
facilitated hearing them and solving their strong state, which would take care of social
problems. It increased awareness and made needs and build a strong national economy.
power holders conscious of people’s right to In Latin America the struggle was against
speak for their own defence. the North American economic and political
Budd Hall edited an issue of the journal power over their governments and bour-
Convergence on Participatory Research in geoisie which lined up with these forces.
1975 (Hall, 1975) in which he elaborated the Action research, later PAR, related to the
basic principles of PAR, referring to my initial struggle against the oppressive governmental
force. The state became the enemy, with the which often led to oppressive treatment of
exception of countries with socialist govern- ordinary people, especially in implementing
ments. Activists such as Mexican Gustavo villagization, where it met people’s passive
Esteva resisted also the foreign developmen- resistance. In contrast, PAR built on the
tal emphasis in people’s struggle (Esteva, people’s interests.
1996). PAR was developed with and for the
oppressed groups. Similarly in Asia PAR
embraced a liberationist perspective (see FURTHER DEVELOPMENTS IN THE
Rahman, Chapter 3; Brown and Tandon, USE OF PAR
Chapter 15): people organized themselves to
resist the power of landowners or moneylen- PAR researchers found themselves in similar
ders. In such situations the resistant groups situations to which the anthropological
embraced revolutionary ideology in differing method of participant observation had earlier
ways. led researchers. The initial PAR projects had
In Tanzania, the relation of people to the similarities with Action Anthropology, which
state was different. Hardly any resistance Sol Tax initiated in 1948 with students doing
groups emerged. People rallied around the research practice in the Meskwaki Indian set-
President Julius Nyerere and his TANU tlement in Iowa, challenging the ideal of dis-
party, Tanzania National Union.4 In 1967 interested science: ‘people are not rats and
TANU had adopted the policy of ujamaa, not to be treated like them. … Community
communalism, formulated by the National research is thus justifiable only to the degree
Executive in Arusha and thus called the that the results are imminently useful to the
Arusha Declaration. The self-reliant socialist community and easily outweigh the distur-
politics, which claimed traditional roots in bance to it.’ The early action anthropologists
ujamaa, assumed that people would cultivate asked, ‘Are the researchers in the position to
communally and join in the fight against cap- know what is useful to the researched com-
italism. People’s political aspirations were to munity? Can the doctoral theses as the acad-
be given space within the one party state. The emic outcome be considered commonly
government structure provided fairly democ- researched results?’(Mertens, 2004: 34–4).
ratically elected village governments, com- PAR researchers have had to deal with such
mittees and ten house cell groups, though the problematics and place themselves as actors
National Executive Committee could influ- within the total research context. This means
ence local choices of candidates. PAR withdrawing from the action into periods of
accorded with President Nyerere’s self- reading and reflection and placing oneself in
reliant development policies in which peas- the larger picture. The problems are widely
ants and workers would be the main actors. dealt with in reflections on AR and PAR
The Marxist economic theory guided the (Ragland, 2006).
fight against capitalism, but Nyerere In early 1960s when the university was
declined to accept Marxism as the philoso- established in Tanzania, foreign natural
phy of life. As a Catholic, Marx could not and social scientists went there with the
overrule religion; further, while Nyerere built background of disinterested science. This
on tradition he disclaimed its oppression of was inappropriate in situations in which the
women. need for practical solutions was urgent. One
However, as with Latin America countries of the initial solutions led to the application
claiming to be socialist, so in Tanzania the of the participant approach to research. In
ruling elite did not always live up to the contrast with Sol Tax’s work with the
stated policies. Bureaucracy and the self- Meskwaki, the intention was not to assist
interest of officials brought about a separa- people; rather, the ‘informants’ were to become
tion between the Party elite and the people co-researchers. The research problems were
38 GROUNDINGS
identified together and research was distance the scholar from the local partners
conducted with members of the community. and context. Reference to ‘peasants’ places a
The practice could be criticized, but the prin- community into another class and emphasizes
ciples were clearly stated. It meant a com- the difference, as does ‘indigenous knowl-
mon search for interpreting the situations, edge’. Such terms separate the academics into
with the knowledge of researchers comple- another category, class or nationality.
menting the practical knowledge of the Harvard economist Stephen Marglin, in the
people. The researchers’ formulation of the book titled Dominating Knowledge, suggests
scientific problems was part of the evolving the use of the concepts episteme and techne to
ideas and the attempts to analyse them. differentiate knowledge systems of theoretical
Action researchers today might face the origin from technical or practical knowledge
same criticism as Sol Tax for ‘not producing (Marglin, 1990). His and his wife’s research
a high-quality ethnographic portrait’ team at UNU-WIDER,5 in Helsinki, of which
(Mertens, 2004: 34–4). The rich literature of I was privileged to be part, struggled to give
the social applicability of anthropology is techne knowledge the credit it deserves. In
relevant for further analysis of action another book with the telling title
research and its role in development. By and Decolonizing Knowledge, Aili Mari Tripp and
large, the anthropological methodology has I wrote an article based on PAR in fishing
not openly recognized research as a common communities of Tanzania (Swantz and Tripp,
endeavour for common goals with its infor- 1996). Through PAR conducted prior to the
mants in spite of the fact that anthropological evaluation of the foreign-sponsored training
research is a shared activity. The researcher project we discovered that artisan fishermen’s
only thanks the informants (Swantz, 1985b, knowledge, an integral part of their daily work
1986a). gained over many lifetimes, was ignored in
In PAR the researcher needs to be open to fishing officers’ technical training on the same
learn from others and to adopt a genuine shore. In the words of a graduating student of
learner’s attitude even in situations in which the Mbegani Fisheries Development Centre:
apparent ignorance tempts her to become a ‘We learn higher and higher knowledge, it has
teacher. For example, the participatory mal- nothing to do with fishermen.’ Yet 98 per cent
nutrition study was different from traditional of fish caught in the country were caught by
nutrition studies, which analyse measured artisan fishermen and women.6
portions of food consumed by malnourished Keeping the two categories of knowledge
children basing the analysis on exacting separate reduces the meaning of people’s
knowledge of the nutritional values. The use work. The cultural variables in the organiza-
of PAR drew the attention of nutritionists in tion of work determine the satisfaction and the
Finland and Norway to the significance of success of work, not only the type of knowl-
human relations in research and it resulted edge applied in work performance.
later in further participatory nutritional stud- Knowledge, which is not integrated into the
ies and seminars (Swantz, 1985c: 96–121). cultural context, is not holistic, not related to
PAR rejects science as the dominating the community and its capabilities. (Marglin,
knowledge and bases the problems on every- 1990). The technical individualistic training
day knowledge; the researcher and the models presage failure. The lack of contact
researched share their knowledge as equals. with fishermen in training fishing officers dis-
The researcher genuinely recognizes that she covered through PAR was emphasized in the
does not know the life world, wisdom or evaluation of the training in its relation to the
meaning of central symbols of life of the co- fisheries’ sector. It uplifted the status of fisher-
researchers. The term ‘informant’, which men and also the fisherwomen, who had been
anthropologists use of the local holders of identified only as buyers of the left-over fish
knowledge, and also the term ‘field study’ (Swantz and Tripp, 1996).
PAR was developed into participatory were upgraded and meetings were held
evaluation in monitoring ongoing health between health workers and traditional heal-
work as an effort to integrate participation of ers. Participatory learning was an important
the clients into evaluation. In Tanzania the tool when cholera hit the area and people had
total health sector had been evaluated in to deal with it. Research went side by side
1978–9 and a closer look at the grassroots with participatory practice and was pub-
was required. The Ministry of Health needed lished in articles and chapters in books.
information about how the health services However, the institutional continuity of par-
met women’s needs. In place of one-time ticipatory practice is difficult to maintain
assessment, a proposal was accepted to work with the change of personnel.
out continuous participatory monitoring and Participatory evaluation, PE, was also
build it into the health workers’ training done in 1982 when Finnida supported a
system. Health workers during their training group of six women to assess the effects of
could learn to work with people, look at their its projects on women in Tanzania, three
future work from the viewpoint of the studying the documents, three staying in pro-
patients and assess the quality of the service ject areas (Kivelä, 1985; Stude, 1985). PE
given together with clients. The Tanzanian assumes that the beneficiaries are the best
Ministry of Health and Finnida, the Finnish judges of the effects of the projects, conse-
Development Co-operation, supported the quently they become part of the evaluation
plan and Finnish medical doctors through process. PE carried out alongside develop-
their NGO for Social Responsibility took ment projects makes development people-
part in it over a period of ten years. The pro- centred and reaches actual beneficiaries and,
ject introduced participatory learning into the if applied, reduces the number of evaluation
health workers’ training in the medical train- missions which consider people as ‘targets’
ing institutes and integrated participatory of development. Instead of people working
action into the periods of practical learning. from their own premises, external criteria
In one- or two-week training seminars all formulated by the funding agents’ interests
the levels of health workers were learning are imposed on them (Swantz, 1985a,
through participation a shared human 1992b). Monitoring, in which the clients
approach to village health. Participants vis- could participate, was attempted in Regional
ited village homes, and some villagers were Integrated Project Support (RIPS) in south-
invited to the training venues. In group meet- ern Tanzania, to which a separate monitoring
ings participants analysed what they had department was attached. Even then the
experienced and how the health personnel people involved in the implementation did
could better meet people’s real needs. All the not always participate in the evaluation
90 training institutes were involved and a process.
participatory component was introduced into For 12 years RIPS incorporated Participatory
the syllabus for medical doctors’ training. Rural Appraisal, PRA, and also research based
Materials for participatory learning and train- on PAR into its programme. (Freling, 1998;
ing were prepared and distributed by the Swantz in Seppälä, 1998: 157–94). Robert
Ministry of Health, so that the project influ- Chambers (see Chapter 20) participated in a
enced a large number of medical workers training seminar and other PRA experts came
during the years. The researcher’s role was to from India, but the main work was carried out
analyse the process (Swantz, 1992a, 1994). A by Tanzanians, among them such experts in
follow-up was possible within participatory PRA as Mwajuma Masaiganah and M.G.
development in southern Tanzania. The chief Kajimbwa. Training in PRA methods was car-
medical officer had taken part in participa- ried out in all 11 districts and village people
tory training and he put it into practice. learned to assess their resources and needs. As
Materials available in the Ministry of Health an important outcome the approach became
40 GROUNDINGS
part of national policy to be promoted through- but the trend was moving in that direction.
out the country. Before the external support The critique of John Dewey’s pragmatism by
ended in 2005 it was declared to be a national Novack (1975) was in line with early PAR
model. Teams were to be trained in all the researchers when historical materialism
villages for assessing their potentials and for ousted pragmatism.
making village plans as the basic documents Developments in social science eventually
for rural development. To simplify the created space for the actor and everyday life.
approach the Ministry for Local and Regional In Alain Touraine’s Le retour de l’acteur
Government recommended later an approach (1984), the actor again had a role in the
in which opportunities and obstacles were analysis, but Touraine had warned against
analysed. the P(A)R proposed by Fals Borda in which
the researcher becomes committed with the
actors.7 According to Anthony Giddens the
THE PLACE OF THEORY majority of the newer or newly discovered
schools of social science veered to the sub-
In all of the PAR projects I have described the jectivist side and research subjects were seen
starting point was a practical situation. PAR as beings capable of understanding the con-
was related to the development impetus of the ditions of their actions, acting intentionally
country. The experiments of PRA became part and having reasons for what they did. The
of the theoretical debate in social sciences. ‘sociological’ direction of modern philoso-
Orlando Fals Borda was the initiator and phy involved a recovery of the everyday
President of the Research Committee on (Giddens, 1987: 52–72).
Innovative Processes in Social Change of the The culture as a broad concept was an
International Sociological Association, ISA. It essential part of everyday life and people’s
had its beginning in a controversy within the identity in Africa. Symbolic conceptualiza-
research committee on Modernisation and tion of life formed the basis for communally
Diffusion of Innovation in Varna in 1970. Fals celebrated rituals and people’s decisions
Borda gathered an international conference in were often based on visions and dreams.
Cartagena in 1977, in which the innovative Some Jipemoyo PAR researchers and asso-
P(A)R scholars from five continents debated ciates, in analysing the changing kin and
against the minority holding on to diffusion- age-grade-based societies, interpreted the
of-innovation theories. The committee met cultural phenomena in line with the prevail-
again in the Tenth World Congress of ing Marxist theories, according to which
Sociology in Mexico in 1982, in which Ulf culture was the superstructure and cultural
Himmelstrand from Uppsala, then President phenomena depended on the economy as
of the ISA, also took part as a member. He had the base. Anthropology was considered a
contributed a paper in Cartagena in 1977 of colonial discipline and not a subject in the
which Fals Borda remarked that he provided a university. A South African anthropologist,
bridge towards sceptical academicians. Their Archie Mafeje, was a vocal critic. In his
chapters in a book of the Committee spelled words, traditional African forms of society
out the diametrically opposed perspectives and religious practices were ‘forms of
(Himmelstrand, 1982). oppression and mental enslavement, which
Action Research in the context of urban should be judged as such for the benefit of
social problems in the USA stimulated ideas the present day society’ (Ranger, 1972).
for starting the experimental PAR in Other Marxist anthropologists argued that
Tanzania, but those studies did not incor- kin relations were not determined by the eco-
porate community members as active part- nomic infrastructure nor by relations of
ners in the research. The poor reputation of production (Godelier, 1973), so that it was
instrumental science shadowed pragmatism, possible to build development on interrelated
concepts of culture and economy, using a a larger concept had a role to play. Rejection
broad concept of culture to comprise all of culture as a social force is a major deter-
human activity which did not reduce culture rent still in the development of countries like
solely to dependence on economy. Material Tanzania, although there are some signs that
means were always mediated by meaning it is now gaining momentum. In formulating
making – ‘Rational production of gain is in the ujamaa socialism, President Nyerere had
one and the same motion the production of seen the significance of culture as a trajec-
symbols’ (Sahlins, 1976: 212, 215). For Paul tory of development. The scholars rejected
Ricoeur (1967) symbols preceded all inter- Nyerere’s socialism for its lack of theoretical
pretation, and for Susan Langer (1951) the grounding as they commonly reject efforts
basic human need is symbolization preced- to learn directly from different conceptual-
ing all action. Transformation of symbols izations of life. Perhaps here the way for-
indicated human capacity of symbolic ward would be Peter Reason’s contemplation
conceptualization, which could evolve to on future participation finding Bateson’s
self-shaped development (Swantz, 1986b: ability to ‘peer over the edges of different
378–82). frameworks’ a way to reflect on and choose
The political theory based on historical the premises of understanding and action
materialism eclipsed all other theoretical (Reason, 1994: 37).
approaches in the University of Dar es The women researchers in Jipemoyo
Salaam in the 1970s. In the struggle to study analysed the women’s role in peasant com-
development in relation to culture, phenome- modity production and the patriarchal rela-
nology was criticized as being bourgeois, tions of production. Whether in agricultural
concentrating on appearances. In contrast the or pastoral societies, women were subjected
materialist phenomenology transformed to men’s power; the structure of the kin-
appearances and thus was a way to transform based societies made them dependent and the
the meanings of action, production and system worked against them. Their socially
reproduction of symbolic universes from bound position, which they traditionally
subjective to objective knowledge (Mustafa, could utilize in favourable situations for their
1977, 1989: 19–20; Rigby, 1977). This theo- own benefit, deteriorated with the petty com-
rizing maintained to the end the distance modity and capitalist economies (Bryceson,
between the researchers’ rationalism and the 1980). The Marxist researchers saw the solu-
life world of the research partners. This tion in a historical materialist framework,
materialist perspective meant that no effort which to me erased women’s rich ritual
was made to fit aspects of this life world into contribution with its symbolic values and
any of the theoretical construction. Significant potential for meaningful participation in
aspects of village culture – such as the witch- knowledge creation. Participation was the
finding experts who controlled the minds of best way to learn to understand women’s
villagers; or the lame woman mganga’s views of their life situation, even if the
(healer’s) claim that she was taken up to a researchers’ final analysis of the factors
tree by a wind to find solutions to a patient’s affecting women differed from the women’s
problem – were simply ignored. own understanding.
It was hard to accept ‘class conditioned The Jipemoyo scholars found support from
consciousness’ as the motor of social devel- Habermas, who in his Theory and Practice
opment in societies in which ‘classes’ and claimed to develop the theory of society.
‘proletariat’ seemed misguided, inappropri- Historical materialism for him at that time
ate concepts. Even if one tuned in with the (1971)8 was ‘an explanation of social evolu-
idea that the domination of social and eco- tion which is so comprehensive that it
nomic forces could not be changed with embraces the interrelationships of the theory’s
gradual transformation of symbols, culture as own origins and application’ (Habermas,
42 GROUNDINGS
1974: 1). In 1977 (English version, 1984) his place for the benefit of people involved. This means
that there is in last resort no mere observer position
Theory of Communicative Action opened up
in such an encounter; there is common search for
new ways of looking at social theory. The pro- common good…. I feel justified in writing the result
letariat disappeared as the motor of revolu- of my encounter with the Mwambao Zaramo only
tionary force and resistance broke into protest because of the knowledge that in it there was … this
movements. Eventually Tanzania’s weak mutual spirit of search for health as well as truth.
(Swantz, 1970: 359–60)
economy eroded the adherence to state social-
ism, and after President Nyerere’s resignation
in 1985 the country adopted the multiparty Orlando Fals Borda called such an
system. Gradual opening to outside markets approach ‘sympathetic participation’. In
became a necessity but the structural adjust- Latin America, changing the class in itself
ment policy forced by the World Bank on the into class for itself was the principle of the
developing countries brought new pressures researcher who saw the revolutionary chal-
on the economy. lenge. The researcher could with social
Stephen Kemmis (2001/2006; also this analysis raise people’s consciousness to see
volume), leaning on Habermas’s theory of their alienation in a corrupted society and to
knowledge constitutive interests, divides AR become conscious of their role in history.9
into three groups: empirical-analytic (or pos- For Fals Borda traditional ‘sympathetic par-
itivist), hermeneutic (or interpretative) and ticipation’, in which the researcher puts
critical approaches in research theory and him/herself in the place of the researched,
practice. The context of the described cases was not enough. The researcher had to enter
of PAR does not fit solely into any one of into the process which he/she studies as a full
these categories. Different approaches were partner, getting an insider’s view yet being
combined with AR and PAR, and the politi- aware that he/she represented a different
cal undercurrent and participatory reflection class or social group. This made the
gave research critical overtones. I identify researcher face the question of political
my own approach as being hermeneutic and involvement. In Moser’s interpretation Fals
phenomenological, critical of my person in Borda’s action research bound science and
relation to partners and seeing that I have a action together, and thus in Latin America it
role in bringing into people’s consciousness meant that traditional ahistoric sociology
connecting factors for their own analysis. changed from political equilibrium to a con-
flict and social crisis model. Fals Borda was
developing a new kind of science but
remained within social science (Moser, 1978:
THE ROLE OF THE PARTICIPANT 176–9). The militant researchers would join
RESEARCHER AND THE CRITERIA the revolutionary movement and their theo-
FOR VALIDITY retical frame would be a theory of revolution.
In clarifying the role of the researcher
When I first introduced participatory research Heinz Moser wanted to give the researcher a
I rejected the conventional participant obser- definite role in PAR. In this he differed from
vation as alienating and formulated my own those who represented more politically moti-
position as the researcher: vated participation – ‘A researcher who acts
like a superior practical worker is of no use
Any scientific inquiry, which is made on the level of to the people.’ He has to trust people’s exper-
human encounter, involves the inquirer in an inter- tise in their practical work. The researcher’s
personal exchange. The inquirer has to gain the con-
fidence of the community with which she works.
role is to organize systematic reflection as a
The centres of human existence can be reached only co-worker while identifying with the aims of
if there is common trust that the encounter takes a project. True knowledge could be validated
through communication. In Moser’s view the new paradigm, he had earlier formulated
researcher should maintain his role and not theoretical foundations and criteria for valid-
become one of the researched group or com- ity of PAR. He had suggested three criteria
munity, otherwise he has no business being (Moser, 1975: 122–4). The first one was
there as an outsider (Moser, 1978: 176–9). transparency, which meant that all the parti-
The subjectivist approach was gaining cipants were able to trace the whole process
ground when the positivist grip on social of the PAR, its functions, aims and methods.
research was giving way. PAR broke off The second criteria was compatibility of the
from the rule of keeping distance as a partic- aims with the methods and means with which
ipant in a community, but it was neither they are reached. The researcher who partic-
desirable nor possible for foreign researchers ipates in research with the community cannot
to engage politically or become one with the claim the traditional researcher’s distance
community: identification did not mean and thus have a view as an independent
‘going native’, to use the anthropologists’ observer. Thirdly, the participant researcher
critical term. In Jipemoyo the researchers should be able to claim that she knows the
identified with the interests of the local situation better than does any outside
people, which gave people confidence in the observer and that she has honestly set forth
researchers and they soon forgot that the pro- all the aspects she had become aware of.
ject was supported by the government. Yet
people comprised, not only one group with
unified ideas. The researchers’ contact with ROLE OF SYMBOLS IN SOCIAL
the Maasai caused some apprehension TRANSFORMATION AND PAR
among other ethnic groups, as did also dif-
fering positions the women researchers took The domination of a symbolic conceptualiza-
on women’s issues, which were analysed in tion of life was reflected in PAR cases in
separate sessions with women. Researchers Tanzania. Ulla Vuorela, with researchers
recognized that to treat ‘the people’ as one from the University of Dar es Salaam, was
category was a gross simplification (see involved in a participatory theatre in Msoga
Gaventa and Cornwall, Chapter 11). village. She also found that storytelling was
PAR could not be validated with the con- still a living tradition and recorded a hundred
ventional scientific criteria. Practice verifies stories, relating them within their social con-
the success of action research and for the text. Stories were open-ended, inviting the
practitioner successful action suffices as cri- listeners to comment on them and debate
teria. The role of the researched community about their meaning. Many stories, such as
in proving the validity of results has not been Monster as a Husband and Rebellious Girl,
considered sufficiently. For a scientist, prac- related to women and thus to the inner
tical success verifies the usefulness, but it dynamics of the Kwere matrilineal culture,
does not fulfil the conventional scientific cri- but a story could carry a multiplicity of
teria. To serve as a proof the same research meanings. Vuorela related the image of the
cannot be repeated as such. The researchers Lost Woman to the importance of women in
deal with such complicity of life that creating human reproduction; the concern of the
similar research situations hardly would community for continuity and the threat to it
serve as criteria. reflected the external elements in a story
Heinz Moser was invited in 1980 to give (Vuorela, 1991).
the main critique of the four years of the Before Msoga village was broken up I had
Jipemoyo research, theory and practice based been introduced to changa cha mulungu, lit-
on 800 pages of writing. Considering the erally translated ‘a hut of god’, used for a
traditional criteria of validity irrelevant to the communal offering at the time of sowing and
44 GROUNDINGS
harvesting. Before harvesting the crop He appreciated also my reconstruction of

individually the home fires were extinguished cultural transformation, which meant change
and new fire fetched from the spirit hut from one symbolic system to another, instead
where men and women together celebrated of solely replacing people’s capacity for self-
the offering of the first cobs of maize. The reliant development with a materialist view
symbolic rite bound the community together. of life. Ranger saw in it a counter argument
The villagers’ eagerness to talk about their to the view that African religious beliefs con-
threatened culture was the initial incentive stitute a force opposing development, writing
for participatory action research on culture that ‘there is a counter argument – namely
and development starting from Msoga. that in the past change had been mediated
Jipemoyo researcher Bernhard Kiyenze through ritual and sanctioned by religious
discovered in his communication with the authority and that if we wish modernising
Kwere women potters the influence of bodily change on a communal basis we need to
symbols on their occupation. Pregnant understand these rhythms of innovation’
women or women with suckling babies were (Ranger, 1972: 42; see also Swantz, 1986b:
not allowed to dig clay nor take any part in 359–68).
pot-making lest the pots break and the child This can be verified by participation which
be harmed in contact with the high potency is sympathetic to the symbolic view of life.
of the woman in her state of reproduction The Bagamoyo Maasai have been turning to
(Kiyenze, 1985: 50). Woman was closely Christianity because of the vision their lai-
related to nature and the pot was a central boni, ritual leader, has had. It has led to
symbol of woman’s womb. It was used in changes in lifestyle and acceptance of educa-
teaching the young girls about the bodily tion for girls. The evidence is plentiful that
functions. The myths of the Zaramo, close symbols, dreams and visions are part of life
relatives of the Kwere, credited the discovery in Africa, but the rational North ignores it
of the domestic use of plants to the original and pretends it disappears if you do not pay
woman who taught her husband the use of attention to it (cf. Sundkler, 1960: 25–31).
them. Woman’s breast had mythical powers For a Finnish researcher Finnish national
and she could exert final power over a dis- development has served as an inspiration and
respectful son by striking her breast (Swantz, as a historical precedent for the use of PAR.
1986b: 148, 259). The revival of Finnish culture, including the
I have interpreted the dominating sym- collection of over a million verses of folk
bolic conceptualization to have great poten- poetry and inspiration drawn from it for music,
tiality for creative development, which if art and literature, laid the foundation for an
recognized would embolden people’s initia- independent Finland and Finnish as the official
tive. Stage by stage evolving ritual planning and academic language. It was crucial for the
could also serve as a model for development national self-understanding and economic
planning. Nothing is as well planned in development of the country since indepen-
Tanzania as feasts, since planning of them dence from Sweden and Russia was achieved.
has a long tradition. Development planners In Tanzania the Ministry of Culture and
should study the essentials of ritual planning. Youth placed high hopes on Jipemoyo
The significance of cultural tradition was research. It was expected to identify a signif-
recognized by Terrence Ranger, Professor of icant role for culture in national develop-
History in the University of Dar es Salaam in ment, but the time was not ripe for it. The
the 1960s. He conducted research on the tra- interest in culture is now revived when there
ditional religious movements as social move- is sufficient distance from the colonial past
ments of Africa, significant for moving and the potential for new interpretations can
African countries toward self-understanding. be spelled out.
CONCLUSION NOTES
The introduction of PAR in relation to 1 A Swahili speaking person like her from the
coastal region.
development has made possible its long time
2 The project was run by the Ministry of
application in Tanzania. PRA (Participatory Development Planning and had participation from
Action Research) shifted to PAR (participa- ministries of Education, Agriculture and Labour, the
tory rural appraisal), which Anisur Rahman Statistical Bureau and the Research Unit of the
calls ‘techniques’ and Ponna Wignaraja a Institute of Adult Education (Swantz, 1979).
3 The newly elected President Jakaya Kikwete
‘toolkit’ (see also Chambers’ discussion of
comes from Msoga. Ulla Vuorela, now professor in
PRA in Chapter 20). In the Tanzanian case it women’s studies in Helsinki University, stayed there
is important to note that the PRA in its dif- and later wrote her doctoral thesis on the women’s
ferent forms, including the Jipemoyo story, question based on Msoga (Vuorela, 1987).
and most significantly PRA, have influenced 4 Tanzania became independent in 1961, and in
1964 it united with Zanzibar, forming the United
the politics of the state in a major way. The
Republic of Tanzania. In 1977 TANU and the Zanzibar
capabilities of the villages to make their own Afro-Shirazi Party joined together and the name
plans and enabling the bureaucrats to work Chama Cha Mapinduzi (CCM, Revolutionary Party)
with the villagers are central aspects in the was adopted.
present local government reform. 5 United Nations University – World Institute of
We have witnessed the potential of the Development Economics Research, WIDER.
6 Mwajuma Masaiganah was employed by the
research approach based on participation Centre and started her PRA career in that research
and communication. Together with break- project.
ing the monopoly of privileged knowledge, 7 Quote in Himmelstrand (1982) based on
also the monopoly of bureaucratic and Touraine (1979) La Voix et la Regard. Essai de soci-
technocratic power is broken. It is crucial ologie. Paris: Fayard.
8 Theorie und Praxis was published in German in
that research is not separated from life. 1971, in English in 1974.
Knowledge gained through research needs 9 This was part of the discussion first in the African
to become part of people’s lives. PAR can- workshop in Mzumbe and then in Cartagena in
not be only participatory practice, it has to 1977, in which Fals Borda’s earlier Columbia experi-
be integrated into the way knowledge is cre- ence was criticized and he responded to it (Bryceson
and Mustafa, 1982; Fals Borda, 1977).
ated. PAR can become an accepted part of
professional training, as it already is in parts
of the world. The big question is how PAR-
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pp. 104–19. Vuorela, U. (1987) The Women’s Question and the
Swantz, M.-L. (1994) ‘Community participation in health Modes of Human Reproduction: An Analysis of a
care’, in K.S. Lankinen, S. Bergstrom, P.H. Mäkelä and Tanzanian Village. Helsinki: Finnish Anthropological
M. Peltomaa (eds), Health and Disease in Developing Society.
Countries. London: Macmillan pp. 433–41. Vuorela, U. (1991) 'From oral to written: themes of the
Swantz, M.-L. (1998) ‘Notes on research on women and lost woman in some Tanzanian narratives', in J. Gould
their strategies for sustained livelihood in southern (ed.), A Different Kind of Journey. Helsinki: Finnish
Tanzania’, in P.B.K. Seppala (ed.), The Making of Anthropological Society. pp. 65–91.
Periphery. Uppsala: Nordic Africa Institute. pp. 157–94.
Swantz, M.-L. and Tripp, A.M. (1996) ‘Development for
“big fish” or for “small fish”? A study of contrasts in
3
Some Trends in the Praxis of
Participatory Action Research
Md. Anisur Rahman
This chapter traces some trends in the praxis of PAR starting with work in Germany and
Moser's theoretical reflection on the validity of such research. It refers to Fals Borda's empha-
sis on developing an endogenous ‘science of the proletariat’ and development of the
Participatory Research Network of the International Council for Adult Education. Thereafter
it traces the development of a South Asian trend in PAR evolving into a global programme
under the International Labour Organization, in which concepts/questions like people’s liber-
ation and people power, the ‘animator’ in PAR and the validity of PAR as research have been
visited. Recent PAR work in Bangladesh is touched upon at the end.
Participatory (Action) Research – PR/PAR – people naturally generates action by them

has diverse perspectives. This chapter traces (including inaction if they so choose) to
the praxis of PAR in the last century of trends advance their own lives, so that action unites,
with which the present author has been per- organically, with research. The ‘action’ con-
sonally involved or by which he has been tent of the term PAR refers specifically to
theoretically stimulated, concluding with action by the people themselves, not exclud-
recent PAR experiments in Bangladesh with ing any action taken by outside partners in
which he is currently associated. The central such research.
thinking in this perspective is that ordinary, The philosophical root of PAR thinking is
underprivileged people will collectively traceable to the philosophy of Marx and
investigate their own reality, by themselves Engels calling the working class to create
or in partnership with friendly outsiders, take their own history, a vision they cannot logi-
action of their own to advance their lives, and cally realize without the ‘means of mental
reflect on their ongoing experience. In such production’, and not only the ‘means of
PAR, self-investigation by underprivileged material production’, under their control.
50 GROUNDINGS
Paradoxically, the formal left has shown little 1980a: 12; 1980b: 9). For more on Heinz
interest in promoting anything remotely akin Moser’s thinking on validity of PAR as
to participatory research. In recent times the research, see Marja Swantz (Chapter 2 in
concept of conscientization of Paulo Freire, this volume) wherein, interestingly, one also
also with a radical vision of social change, notices a parallel of the birth of ‘emancipa-
has inspired micro-level grassroots work tory research’ in Germany with that of par-
with oppressed groups in many parts of the ticipatory research in Tanzania, both
world with the aim of advancing their collec- emerging from an awareness, inspired by a
tive self-reflected awareness and action, new pro-people political climate, of con-
independently of the formal left. Other quar- necting research with popular practice.
ters have also been working, independently
of allegiance to Marxism or Freirianism, to
promote conscientization and self-develop- A LATIN AMERICAN TREND
ment initiatives of oppressed groups guided
by their own thinking, from a general social A Latin American trend that started in the
concern for promoting popular participation, 1970s is associated with the name of Orlando
grassroots self-reliance and broad-based Fals Borda, who gave conceptual as well as
development with a better balance in the dis- experimental leadership to PAR on that con-
tribution of social power and product. tinent. One of Fals Borda’s incisive earlier
writings on this subject was his analysis of
action research that was going on in
‘EMANCIPATORY RESEARCH’ Colombia in the 1970s (Fals Borda, 1979).
IN GERMANY This research was purportedly inspired by
the philosophy of historical materialism of
Perhaps the earliest reference to and theoret- Marx and Engels, calling for work toward
ical reflection on PAR is found in the writ- establishing a society led by the proletariat,
ings of Heinz Moser about a trend in and hence, as Fals Borda logically argued, to
Germany (Moser, 1980a,1980b). Moser be dominated in its thinking by a ‘science of
refers to growth of ‘emancipatory research’ the proletariat’ or ‘popular science’ (1979:
in Germany working for the interests of the 48) as against a science of the bourgeoisie,
people with the political change of 1969, in with the proletariat able to impose upon
which ‘participatory action research found a society its own system of interpreting reality.
certain basis’, constituting a ‘certain kind of Fals Borda observed that the Colombian
‘transition’ of the new [political] philoso- search in its action research for a ‘science of
phies into research strategies’ (Moser, the proletariat’ had remained inconclusive,
1980a: 3). Referring to field PAR work in with its action researchers in their ‘character-
Germany in this period, Moser reflects in istic impatience’ imposing on the people
particular upon the question of the validity of ‘certain general theses of historical material-
PAR as research. He argues that PAR ism as developed in other contexts and social
belongs to a different paradigm of social formations’ (1979: 49) and not derived by the
inquiry than positivist research, so that it is people from their actual conditions. Fals
not answerable to the positivists’ question of Borda called for such action research to give
validity or objectivity of the findings; the people a true sense of ownership of the
instead, PAR has its own criterion of validity inquiries so as to autonomously develop their
which is a matter of ‘dialogical argumenta- own independent analysis of the reality lived
tion’, with the ‘truth’ being a matter of con- by them, in a truly ‘subject-subject’ relation
sensus rather than of verification by any with the outside researchers (Fals–Borda,
externally determined standards (Moser, 1988: 88).
TRENDS IN THE PRAXIS OF PARTICIPATORY ACTION RESEARCH 51
PR NETWORK OF THE the people themselves. The beneficiaries of the

INTERNATIONAL COUNCIL research are the members of the community.
5. The process of participatory research can create a
FOR ADULT EDUCATION
greater awareness in the people of their own
resources and mobilize them for self-reliant
When working in Tanzania in 1970–4 for the development.
International Council for Adult Education 6. It is a more scientific method or research in that
(ICAE) based in Toronto, Canada, Budd L. the participation of the community in the
Hall was influenced profoundly by the par- research process facilitates a more accurate and
ticipatory thoughts of Julius Nyrere and other authentic analysis of social reality.
pro-people Tanzanian leaders of the time, a 7. The researcher is a committed participant and
visit by Paulo Freire to Tanzania in 1971, the learner in the process of research, i.e. a militant
‘participant research’ work of Marja Swantz rather than a detached observer. (Hall, 1997: 5)
and her Tanzanian colleagues with women
and others in the coastal region of Tanzania The Participatory Research network
(reported by Swantz in Chapter 2 in this vol- expanded throughout the late 1970s and
ume), and the First World Assembly of the 1980s and has been responsible for giving
ICAE that took place in Dar es Salaam in visibility to the above concepts and to prac-
1976 where ideas on more qualitative and tices aimed at materializing these concepts in
ethnographic approaches to adult education different parts of the world, stimulating
were presented. Back in Toronto in 1976, social movements and social policy scholars
Budd Hall with other colleagues started the and activists until today.
‘Participatory Research Project’ at the ICAE.
The Budd Hall group interacted with Fals
Borda and radical intellectuals from many A SOUTH ASIAN TREND
parts of the world who assembled to seek
new directions for research at a major confer- About the same time a particular South Asian
ence on action research at Cartagena in April trend in PAR was growing independently.
1977. Stimulated by this interaction, the This trend started with the coming together
Toronto PR group launched the International of a team of South Asian social scientists,
Network on Participatory Research in including the present writer, to jointly articu-
September 1977 with major autonomous and late the vision of an alternative paradigm of
self-directing nodes in Toronto, New Delhi, rural development with people’s collective
Dar es Salaam, the Netherlands, and self-initiatives as the core of this thinking.
Venezuela. After a preliminary articulation of their
This network presented the first defini- vision (Haque et al., 1977) the team visited
tional statement of participatory research, as the Bhoomi Sena (‘Land Army’), a political
reproduced by Budd Hall from a paper he movement for self-determination of a very
had presented in 1997: oppressed tribal people in Palghar Taluk in
Maharastra, India. This team undertook a
1. PR involves a whole range of powerless groups of study of the Bhoomi Sena movement in col-
people – the exploited, the poor, the oppressed, laboration with the leaders and cadres of the
the marginal.
movement and a number of external activists
2. It involves the full and active participation of the
helping the movement with self-reliance-
community in the entire research process.
3. The subject of the research originates in the com- promoting pedagogy (de Silva et al., 1979;
munity itself and the problem is defined, ana- Rahman, 1981a). As the study recounted, the
lyzed and solved by the community. assertive leaders and cadres of Bhoomi Sena
4. The ultimate goal is the radical transformation of looked for guidance from friendly outsiders
social reality and the improvement of the lives of ‘not for telling us what we should do’ but to
52 GROUNDINGS
‘help us think about our problems on our The Concept and Sensitization
own’ (De Silva et al., 1979: 45). This defined of the ‘Animator’
in a classic way the task of friendly external
intellectuals in promoting people’s intellec- Having interacted with Bhoomi Sena, the
tual self-thinking and, for that matter, ‘popu- above study team decided to explore whether
lar science’ as Fals Borda had conceived it. people’s autonomous initiatives could be
Among the external activists working with unleashed by methods similar to Bhoomi
Bhoomi Sena an educationist, Dutta Savle, Sena’s in a different social context, as in
helped the movement develop a method of villages in Sri Lanka from which two of the
lok chetna jagoran ‘raising people’s aware- study team members came. For this, external
ness’, coinciding with Paulo Freire’s notion ‘animators’, as the term was adopted, had to
of conscientization), through collective self- be recruited and ‘sensitized’, to work as ‘keys’
reflection and analysis. Over time, and to unlock self-thinking and self-initiatives of
with its passionate concern for popular self- the people. The conventional term ‘training’
determination, Bhoomi Sena developed a of animators was used with reservation as it
unique model of its own of decentralized was perceived that none can be ‘trained’ to
decision-making, with the centre encourag- respond creatively to dynamic field situa-
ing spontaneity of village-level organizations as the task of the animators would be,
tions, itself facilitating and coordinating their and that one could only try give to the would-
activities including organizing systematic be animators the needed sensitivity to the
periodic collective reviews of the experi- challenge of their task so that they could be
ences of people’s struggles at various levels, constantly their own judge while pursuing
thus promoting people’s praxis – action- this challenge. ‘Animation’, in fact, does not
reflection rhythm – and never dictating and cannot follow any methodology but is an
people’s action. The centre, thus, consciously art in which one can, with practice and
nourished the development of true people reflection, develop one’s skill, given the
power with the capacity of turning even necessary commitment, creativity and sensi-
against the centre itself, thus constituting tivity to the specifics and dynamics of a
‘countervailing power’ which people power given situation.
in the ultimate analysis must constitute (for It was also conceptualized that the animators
elaboration of this concept see Rahman, should themselves experience intellectual self-
1981b; 45–6, 2000: 115–17). The Bhoomi reliance so as to be motivated to pass this urge
Sena movement was so firm in its own on to the people. Operationally, this meant that
autonomy vis-à-vis any external forces that it an animator also must not be taught
rejected overtures of the Indian Communist (‘trained’) but must be taken through a
Party to join it although it considered the Party process of self-inquiry to discover how one
an ally in the overall struggle of the country’s would pursue one’s own charge of animation
oppressed against structural oppression. In to unlock people’s spirit of self-inquiry. Such
thus asserting its autonomy vis-à-vis the an experience of self-inquiry (‘first person
Communist Party, Bhoomi Sena sharply inquiry’ as discussed in Chandler and
illustrated the problematic of macro-struc- Torbert, 2003; Marshall, 2004; Wadsworth,
tural change to promote people’s (working 2001; see also Chapters 16 and 46) would
class) power to which the formal left is com- also give the would-be animators a ful-
mitted, insofar as the formal left has been filment which they might also want to pass
unable to address the task of truly releasing on to the people, for those who are ‘taught’
the energies of the people, which calls for rather than stimulated to search for them-
release of people’s spontaneity within the selves are in turn prone to ‘teaching’ others
framework of ‘centralism’ to which the for- in their charge rather than to stimulate their
mal left is wedded. self-inquiry. With this conceptualization,
‘sensitization’ of would-be animators was locations to initiate similar animation work

initiated as a process of their own collective (Tilakaratna, 1985).
self-inquiry on ways to face the challenge of
their task, followed by field action to try out
their understanding and thoughts and team- ILO’S ‘PORP’ PROGRAMME – ASIA
reviews of ongoing experiences – i.e. a
process of the animators’ own praxis. By then a global programme called Participa-
The experiment with sensitizing animators tory Organizations of the Rural Poor (PORP)
in Sri Lanka had successes in promoting self- had been started in the International Labour
reliant participatory processes of oppressed Organization directed by the present writer,
villagers who found their own paths for get- for whom participation in the study of
ting out of dependent structures once, as they Bhoomi Sena was a deeply transformative
expressed themselves, the ‘rust in our brains experience. In addition to collaborating with
is … removed’ (Tilakaratna, 1985: 8). This the Bhoomi Sena study and Sri Lankan
subsequently induced Susanta Tilakaratna to experiment, the programme initially launched
conceptualize the very term ‘animator’ as participatory research projects through
one who facilitates liberation of intellectual national action researchers in South Asia and
self-thinking of oppressed groups (Tilakaratna, in the Philippines, which developed their
1987: 23) previously given to dependence on own respective methodologies of research.
others’ thinking. One can easily see the rele- In India, a model of participatory research
vance of this concept of ‘animator’ to Fals was developed by activists working with a
Borda’s notion of the working class building tribal peasant movement in another part of
its own science, and for that matter of the Maharastra (Paranjape et al., 1984). The
implicit Marxian notion of the working class research theme was conceived as the tensions
re-appropriating the ‘means of mental and contradictions in self-reliant develop-
production’ to create their own history – ment of the movement, to be explored not
for both of which the working class may merely as research for its own sake but to
need assistance from the conventional intel- promote resolution of these contradictions.
lectual stream in a very special way, as The research methodology centred on orga-
Bhoomi Sena had also experienced and nizing a series of people’s workshops for
observed. This may be contrasted with the which the participants were first invited to
Leninist concept of ‘revolutionary intellectu- develop polar, alternative positions on a set
als’ with presumed ‘advanced consciousness’ of major issues in the question of self-
appropriating the task of intellectually lead- reliance, e.g. individual vs. collective self-
ing the working class rather than helping reliance, and participation in the wider
them recover their own intellectual poten- labour movement in issue-based joint fronts
tials, a concept that contains seeds of domi- vs. a more permanent affiliation to a larger
nation of the working class by such federation. Presentation of these polar posi-
intellectuals (Rahman, 1993c). tions and debates made the people aware of
The Sri Lankan experiment also conceptu- the contradictions and alternatives in their
alized the need for progressive withdrawal of struggle and also of the need for concrete
the external animators as a test of their suc- choices among alternative positions. On
cess in liberating the collective intellectual some of the issues thus debated, concrete
potentials of the people. The experiment was choices were made in the process of the
remarkably successful in this regard in sev- research itself, and a heightened level of
eral places, with ‘internal animators’ from awareness gained in this exercise con-
within the people taking over the task of ani- tributed to reaching a conscious or uncon-
mation of people’s groups, the external ani- scious synthesis of other contradictions
mators progressively moving on to other subsequently.
54 GROUNDINGS
PAR was taken to another dimension in a The final study incorporated the feedback
project in India in which a number of forest- received from the audience and discussed the
based people’s movements and organizations benefits from the research, saying that this
got together for joint inquiry and articulation provided an opportunity to the vanguard
on the subject of ‘forest, ecology and the group for a first comprehensive review of
oppressed’. Coordinated by The People’s their first two years of organizing effort,
Institute for Development and Training from which the strengths and weaknesses of
based in New Delhi, representatives of these their effort were identified; and that the
organizations first met in a ten-day workshop process of research enabled the settlers, par-
to identify issues for investigation and to ticularly the vanguard group, to develop their
design ways of recording people’s percep- capacity to understand immediate micro
tions. They then returned to their respective issues in relation to broader macro issues.
areas for detailed investigations. While doing
this they were also visited by members from
participating organizations from other areas. Theoretical Reflections
The data thus collected were passed on to a Meanwhile, close collaboration between
smaller research team composed of social PORP and the Latin American trend
activists in contact with these movements, had started after Fals Borda read the report
who analysed the data and interviewed those on Bhoomi Sena and saw in this movement
who had visited the various movements. On illustration of ‘the basic principles of PR’
the basis of these, the research team devel- (Fals Borda, 2001/2006: 27). At his invita-
oped a set of case studies on the experiences tion Rahman presented theoretical reflec-
of life and struggle of the people concerned, tions on PR at the World Congress on
problem-wise analyses, and an analytical Sociology in Mexico in 1982, wherein
synthesis based on all these. These were pre- he presented the ideological standpoint of
sented in a second workshop attended by all PAR, calling for ‘rethinking the meaning of
groups who had participated in the first. The “liberation”’:
final report was prepared by the research
team incorporating the deliberations of this Liberation, surely, must be opposed to all forms of
workshop (Das Gupta, 1986). domination over the masses. The dominant view
of social transformation has been preoccupied
In the Philippines, a PAR study (Women’s
with the need for changing existing, oppressive
Research Committee et al., 1984) of a structures of relations of material production. This
women settlers’ movement initiated the for- is certainly a necessary task. But – and this is the
mation of a research coordination team, with distinctive viewpoint of PAR – domination of
two members taken from the leadership of a masses by elites is rooted not only in the polariza-
tion of control over the means of material produc-
14-member ‘vanguard group’ of the women
tion but also over the means of knowledge
settlers and two from an activists’ organiza- production including, as in the former case, the
tion helping the movement. Members of the social power to determine what is valid or useful
vanguard group provided inputs into the knowledge. Irrespective of which of these two
research using minutes of weekly meetings polarizations sets off a process of domination, it
can be argued that one reinforces the other in
of the women settlers, initiating group dis-
augmenting and perpetuating this process. By
cussions with women on their life and strug- now, in most polarized societies, the gap between
gle and preparing papers on various issues those who have social power over the process of
pertaining to the movement. These inputs knowledge generation – an important form of
were woven into two dramas which were ‘capital’ inasmuch as knowledge is a form of social
power – and those who have not, have reached
staged by the women settlers. All women
dimensions no less formidable than the gap in
participants in the movement were invited to access to means of physical production. History
witness these dramas to validate the data col- shows that a convergence of the latter gap in no
lected and to synthesize their experiences. way ensures convergence of the former; on the
contrary, existence of the latter has been seen to which had become organized and had been
offset the advantages of revolutionary closures of
playing its own role in the socialist recon-
the former and has set off processes of domination
once again. (Rahman, 1985: 119) struction of the country. A research team was
formed to undertake the initial task of inves-
In this presentation Rahman also dwelt on the tigation, composed and coordinated by de
question of ‘objectivity’ and ‘validity’ of PAR Montis, one educationist, some coordinators
as research. Developing from Moser’s position of the National Programme of Adult
on this, Rahman argued that ‘objectivity’ in Education and representatives of mass orga-
research is a question of moving from individ- nizations and cooperatives. The team drafted
ual ‘subjective’ positions to collectively agreed the design of an inquiry into the history of the
positions, and standards of objectivity of community, and a survey on the current
research are set by individual research schools socio-economic characteristics of El Regadío,
as collectively agreed positions within the as well as on the ideological transformation
given school. Thus ‘objectivity’ and ‘truth’ are of the community. The draft design was pre-
not absolute questions but are questions of sented to a larger coordination committee
consensus within a particular school, and in constituted for the research, which discussed
this sense ‘truth’ is always relative and not and modified it. Members of the larger com-
absolute. Hence with systematic consensual mittee were given training in survey work.
procedures among the participants involved, While undertaking house-to-house surveys
PAR also can and does generate and validate they explained the participatory character of
‘objective truth’ as against individual and the whole exercise to members of the house-
hence ‘subjective’ truth un-validated by collec- holds, with the promise to return to them the
tive consensus (Rahman, 1985: 127–8). information obtained for their reflection and
analysis.
After the survey the results were tabulated
in workshops where other members of the
PORP IN LATIN AMERICA community also participated. The whole
community was invited thereafter to an
Soon thereafter Fals Borda initiated PORP assembly where the information obtained
participatory research exercises in Colombia, was presented on boards, and the participants
Nicaragua and Mexico. Of these three, the deliberated on the data thus presented.
Nicaragua exercise stood out both in its Finally, delegates of state institutions and
breadth and depth, and also because this was mass organizations at the municipality level
the first ever known participatory research in were invited to a meeting with the commu-
a revolutionary ‘socialist’ country. As the nity to coordinate their programmes in the
coordinator of this participatory research, light of the findings of the survey, and to
Malena de Montis had personally explained jointly seek solutions to problems. The coor-
to the author the unusual fact of people’s dination committee also planned methods for
research being initiated in socialist Nicaragua disseminating the information and knowl-
as due to the Sandinistas not having been a edge obtained through the survey, such as
party but a social movement, in which the through a pamphlet and audio-visual docu-
people were often ahead of the intellectuals mentation. For producing the pamphlet – the
who gave theoretical articulation to the move- people’s own research report – members of
ment, and there were elements within the the committee learnt to use a wooden
government (e.g. Paul Oquist, a foremost the- mimeographing machine and also diagram-
oretician in action research) committed to matic and other techniques for presenting
action research. The exercise was undertaken data, and improved their writing ability even
in El Regadío in 1983 (de Montis, 1985; though they cared only to communicate
Rahman, 1993b) with a peasant community without necessarily writing full sentences.
56 GROUNDINGS
Interestingly enough, one conclusion of ignored in regular political practice, such as art,
music, drama, sports, beliefs, myths, story-
this exercise privately communicated to the
telling and other expressions related to human
author by de Montis, was that this – i.e. par- sentiment, imagination and ludic or recre-
ticipatory research – was considered by the ational tendencies.
people researchers of El Regadío as real 4. Production and diffusion of new knowledge:
literacy for the people, while the much- … an integral part of the research process
because it is a central part of the feedback and
publicized adult education programme of
evaluative objective of PAR. It recognizes a divi-
revolutionary Nicaragua was criticized as a sion of labour among and within base groups
programme in which the people were being … [incorporating] various styles and proce-
taught! dures for systematizing new data and knowl-
edge according to the level of political
conscience and ability for understanding writ-
Useful Techniques to Promote ten, oral or visual messages by the base groups
and public in general. (Fals Borda, 1985: 94–7)
People’s Countervailing Power
In a report (Fals Borda, 1985) on the PAR As Fals Borda wrote: ‘This systematic devo-
exercises in the three Latin American coun- lution of knowledge complies with the objec-
tries taken together, Fals Borda, equating the tive set by Gramsci transforming “common”
notion of ‘people power’, as ‘countervailing sense into “good” sense or critical knowl-
powers’, as the Bhoomi Sena study had also edge’ (Fals Borda, 1985: 96).
conceptualized it, presented four techniques In a further reflection of the PR experi-
indicated by the three experiences as useful ences in the above three countries, Fals
in the establishment of people’s power: Borda reaffirmed the need for development
of people’s endogenous science, reinforcing
1. Collective research: … the use of information Rahman by arguing that
collected and systematized on a group basis, as
a source of data and objective [italics added] forms and relationships of knowledge production
knowledge of facts resulting from meetings, should have as much, or even more, value than
socio-dramas, public assemblies, committees, forms and relationships of material production. …
fact-finding trips, and so on. This collective and The elimination of exploitative patterns at the mate-
dialogical method not only produces data rial or infrastructural level of a society does not
which may be immediately corrected or veri- assure, by itself, that the general system of exploita-
fied but also provides a social validation of tion has been destroyed … it becomes necessary to
objective knowledge which cannot be eliminate also the relationship governing the pro-
achieved through other individual methods duction of knowledge, production which tends to
based on surveys or fieldwork. … give ideological support to injustice, oppression and
2. Critical recovery of history: … an effort to dis- the destructive forces which characterize the mod-
cover selectively, through collective memory, ern world. (Fals Borda, 1987: 337)
those elements of the past which have proved
useful in the defence of the interests of
exploited classes and which may be applied to
the present struggles to increase conscientisa- PORP IN AFRICA
tion. Use is thus made of oral tradition, in the
form of interviews and witness accounts by In working with PAR in Africa PORP collab-
older members of the community possessing orated with the Organization of Rural
good analytical memories; the search for con-
crete information on given periods of the past
Associations for Progress (ORAP) in
hidden in family coffers; data columns and Matabeleland, Zimbabwe, an apex organiza-
popular stories; ideological projections, impu- tion of village associations in more than 500
tation, personification and other techniques villages for promoting people’s initiatives for
designed to stimulate collective memory. … their own development with the philosophi-
3. Valuing and applying folk culture. …the recog-
nition of essential core values among the
cal guidance of Sithembiso Nyoni and her
people. …This allows account to be taken of close activist associates (Nyoni, 1991).
cultural and ethnic elements frequently ORAP, started in 1981 with participatory
research in a number of villages, is an out- European friends. The groups sought to

standing example of continuing participatory maximize the mobilization of their internal
research by way of people’s self-deliberations, resources supplemented by outside grants
action and reviews – i.e. people’s praxis – at and loans, channelling them into group
various levels from grassroots groups up to income-generating activities, collective
the apex organization. While they are being infrastructure-development activities and
assisted in various technical matters by a team health and education activities. The local
of outside experts, all the decision-making groups themselves define their programmes
powers of ORAP – by way of planning and of activities by collective discussion and
implementation of small-scale cooperative review their ongoing experiences (Egger,
activities and bigger-scale development works 1987; Swadogo and Ouedraogo, 1987).
and reviews of ongoing experiences – are
in the hands of bodies of people, from family
clusters to village groups to higher level PEOPLE’S SELF-REVIEW IN HUNGARY
people’s organizations.
Participatory research was started in six The last participatory research project
villages in the zone of Bamba-Thialene in launched by PORP was for people’s self-
Senegal in 1975 and has since then spread to reviews in Hungary during 1989–90, inviting
other areas of the country. The process communities to get together and review their
started as a spontaneous inquiry initiated in experience with ‘socialism’ and identify col-
the homes of friends on economic problems lective perspectives and tasks for the future
of the villagers, leading to the formation of a (Biro and Szuhay, 1990).
delegation to different parts of the zone to The people’s self-review exercise in the
conduct censuses on human, agricultural and village of Tök in northern Pest was revealing
livestock resources of the zone and the needs of the coercive imposition of ‘collectivism’
of the population. An educated professional on a peasant society which had created hier-
joined their search, and people of other archical structures in which the villagers had
villages also started joining the investiga- lost their previous culture of mutual sharing
tions leading to inter-village reflection of problems and concerns that had given way
sessions. Gradually village level sub- to suspicion and fear. The animators had a
committees started forming in different villages, hard task of getting the people to come
leading finally to the formation in 1977 of a together for collective inquiry and delibera-
Committee for Development Action in the tion. When finally the villagers did get
Villages of the Zone of Bamba Thialene. The together, they reconstructed the history of the
Committee initiated collective developmen- village, inviting recounting from elderly
tal actions in poultry, agriculture, animal people, and underlined the gradual erosion of
husbandry etc., with collective reflection the autonomy and identity of the village and
becoming a most important method both loss of decision-making power on matters
before launching any initiative and also for pertaining to village life as the village had
reviewing their experiences. With assistance become merged with a neighbouring larger
from PORP a major people’s self-review village to form one mega administrative unit.
exercise of their activities was undertaken in Reviewing this history, the villagers reached
1987, leading to the crystallization of impor- a consensus on the need to assert the auton-
tant lessons from their experience and con- omy and identity of Tök as an independent
solidation of future tasks (Marius, 1987). village, asserting their own historical tradi-
In Burkina Faso, the traditional ‘Naam’ tions, customs, values and social aspirations.
groups started getting transformed into In conclusion, they decided to initiate a
developmental organizations, sparked off in public campaign to achieve an independent
1976 by a group of Naam leaders and their administration of their own. Eventually this
58 GROUNDINGS
people’s self-review work got integrated into consolidated political power, and grassroots
the political process as a result of the anima- work by NGOs shifted toward a micro-credit
tor-researchers directly entering the political operation, attracted in particular by the inter-
arena where they promoted the ideas that national acclaim of and support for the
emanated from the grassroots. Grameen Bank with its de-emphasis on any
Another village, Dormand in Heaves kind of social awareness-raising work and
county in northeast Hungary where the all-out emphasis on credit as the panacea for
people’s self-review was initiated, had con- alleviating mass poverty. The country contin-
sisted mostly of day labourers on big farms ued to remain one of the poorest in the world,
and in railway and excavation works. These with the ‘microcredit programmes [not hav-
labourers had clearly benefited from cooper- ing] been very successful in including the
ativization of land in the village under com- hard core poor, who constitute about half of
munist rule. They viewed the changes after the poor in Bangladesh’ (Ahmed, 2004: 131).
1945 as very positive, with full employment Disillusionment with micro-credit as an
and secure income. While being critical of answer to mass poverty is generating interest
the abuses of power that had crept into the in the search for alternative ways of assisting
cooperative over time and desirous of the low-income groups in the country.
increasing their incomes further, their expec- Explicit PAR work started here in December
tation was higher salaries or wages, and they 2002, assisted by a newly created poverty-
did not respond to the animator’s challenge research supporting agency – Research
to them to search for their own solutions to Initiatives, Bangladesh (RIB; see website
the question of improving their livelihood www.rib-bangladesh.org). The first PAR
through enterprises of their own. exercise with RIB support was initiated in
The people’s self-review project in Hungary Belaichondi union in Dinajpur district with
also worked with a gypsy community in a set- 228 members – more than half female – of
tlement in northeast Hungary, and this stimu- economically very depressed families who
lated the community to mobilize themselves to were themselves invited to deliberate, in
campaign against social prejudices against small groups and in inter-group sessions, on
them and for better housing facilities. the causes of their poverty and to seek ways
Significantly, PORP itself was discontin- of economic advancement. Two principal ani-
ued in the ILO soon after the fall of the mators were elected for this exercise through
Berlin Wall, when the importance of keeping mutual ranking by 18 candidates for anima-
a ‘progressive front’ within the organization tors themselves after a five-day dialogical
weakened. This exemplified part of the workshop. This six-month PAR exercise had
problem of finding space for supporting PAR an electrifying effect on the personality of the
through international establishments that participants. Previously used to seeking sym-
depend on the global political climate. pathy and charity, they now transformed into
positive personalities proud of their identities
as ‘gono-gobeshoks’ (people-researchers)
‘GONOGOBESHONA’: PAR seeking self-understanding for themselves to
BANGLADESH VINTAGE advance their own lives. The exercise pro-
moted solidarity among the participants lis-
Following the country’s liberation war in tening to and offering solutions to each
1971 with an officially declared ‘socialist’ others’ problems, forming solidarity groups
ideology, a number of NGOs created in to advance their joint livelihood by various
Bangladesh after independence adopted means like collective savings and different
Paulo Freire’s pedagogy of ‘conscientiza- types of economic action, minimizing waste-
tion’ as an approach to adult education. By ful practices like gambling, and reducing
the end of 1975 reactionary forces had oppression of women (Azad, 2003).
The Belaichondi PAR exercise was without depending on outside patronage,

followed by further animation work to pro- wisdom and/or charity and with positive
mote gonogobeshona (people’s research) in social values.
the district of Nilfamari in northern One of the profoundest stories heard by the
Bangladesh starting in November 2003, led present author in one of his visits to Nilfamari
in particular by a senior animator in the was of an elderly man who used to listen as a
Belaichondi work. The work resulted in the bystander to discussions of a female gonogob-
formation within 10 months of 176 gonogobeshona group, and volunteered one day to
eshona groups of underprivileged villagers share his own reflections. He said that he was
in 15 unions – 161 female groups with 4347 stimulated by the gonogobeshona of the
members and 15 male groups with 405 women to do some gobeshona by himself on
members – who met once or twice a week as why his daughter-in-law hated him so much.
a rule to discuss mutual problems. This has Ultimately he deduced the reason to be that he
resulted in the participants initiating numer- had completely destroyed his daughter-in-
ous individual or cooperative economic law’s father by charging a large dowry on the
activities to improve their livelihoods. The occasion of his son’s marriage. The realiza-
female groups included four groups of young tion, as well as the public admission of guilt,
girls, most of them students, whose general were of profound socio-psychological signifi-
performance in school has considerably cance, suggesting that the culture of gonogob-
improved, for some dramatically so, much to eshona is generating a kind of solidarity and
the surprise of their guardians and teachers. sense of belonging to each other among its
The gonogobeshona culture in the area is participants from which this senior man had
spreading like a positive virus beyond the felt isolated and to belong to which he had
RIB-supported project, with village mothers felt a deep longing that had induced him to
spontaneously forming their own gobeshona recognize and admit in public his profound
groups to discuss better child-rearing prac- guilt at his greed.
tices; village youth forming groups to discuss RIB-assisted PAR in Bangladesh has also
among themselves as well as with their been conducted with members of the dalits, an
school/college teachers and parents how they ‘untouchable’ community in Shatkhira district
can improve their scholastic performances, in southwest Bangladesh working as tannery
giving up anti-social activities and being labour or cleaners of jungles and city wastes.
more useful members of their families; and Members of the dalit class have gotten
small children of 3 to 6 from underprivileged together in groups to discuss their problem of
families forming their own shishu (child)- social exclusion and associated poverty, have
gobeshona groups for overall self-development formed their own organization for promoting
in healthy, playful interaction with each their rights and livelihood, have organized ral-
other. This kind of spontaneous spread of the lies and representations to state officials to
culture of gonogobeshona has not been seen assert their rights and to union chairmen for
or heard of before by the present writer, who redress of oppressions upon them. From a his-
personally visited a number of these groups torical tradition of accepting their fate without
and was astonished by the eager recounting questioning, they are now asserting that the
to him of members of such various groups on ‘Creator’ has not created humans as unequal
how they have found a new meaning of life and that ‘untouchability’ must give way to
in the culture of gonogobeshona: this is giv- equality between all humans. Their struggle
ing them self-confidence and a sense of for human right remains a hard one, and only
belonging to each other amidst their poverty a small beginning has been made (Das et al.,
and transforming their despondency into a 2005).
sense of mission to face life together with Exciting PAR work with another
their own individual and collective intellect ‘untouchable’ (sweeper) community in
60 GROUNDINGS
Kushtia town in western Bangladesh, using give time for animation work without contin-
drama for conscientization, is reported sepa- ued RIB support seems to be a major con-
rately by Meghna Guhathakurta in this vol- straint in the way of sustaining the full initial
ume (see Chapter 35). Further PAR work momentum of PAR works that are being ini-
with socially excluded communities has been tiated by RIB.
launched with RIB support and is showing The question of ‘scaling up’ of PAR
encouraging response from the concerned processes in the country – a question for PAR
communities forming assertive solidarity in any country that Gustavsen, Hansson and
groups and engaging in collective delibera- Qvale in Chapter 4 in this volume have called
tions on their problems and collective actions the ‘diffusion or dissemination problem’ – is
and struggles to promote their livelihood and also rather problematic. Apart from the ques-
social status and to resist injustices and tion of continued funding of animation work,
oppression. the task is up against the formidable batting
of a host of NGOs doing ‘development deliv-
ery’ work with external resources and techni-
CONCLUSION: CASE FOR MODESTY cal expertise that naturally attracts many in
the poverty groups, limiting to that extent the
The positive experiences of Bangladesh PAR space for PAR work with its non-delivery
work are balanced by some negatives as well nature. Some NGOs have even started ‘co-
as deep questions about their future, and a opting’ PAR work with their big money, see-
few reflections in this direction are presented ing its appeal as an alternative to
by way of concluding this chapter. The effort micro-credit-type operations, and would-be
of RIB to promote PAR in Bangladesh has PAR researchers attracted more by the fund-
had failures as well, due principally to its ing than by the philosophy are not hard to
inability to always choose the right PAR find. PAR in the country is also facing strong
researcher/animator(s). Some researchers competition from PRA – Participatory Rural
have been attracted by RIB funds to present Appraisal – another action research approach
themselves as PAR-promoters without the oriented to using participatory techniques in
necessary commitment or skill, and their externally controlled research upon the
work has produced anything but PAR. Effort poverty groups that is attracting donor fund-
at sensitization of animators through ‘sensiti- ing on a rather significant scale. Adding to
zation workshops’ has ‘sensitized’ different this the watchdog eyes of government agen-
animators to different degrees, with some cies to ensure that grassroots development
working with ‘vanguardist’ tendencies and work does not take any ‘uncomfortable turn’
some dropping out. Encouragingly, in many from the point of view of the powers that be,
areas ‘internal animators’ belonging organi- and with their power to cut off the supply line
cally to the concerned communities and of foreign funding for such work on which RIB
spontaneously picking up animation work itself also depends, it will be prudent not to be
stimulated by the PAR process itself have too optimistic about the continued growth of
emerged; but they have their limitation of quality PAR work in the country to anything
time for animation work due to their need to like a significant enough scale.
do other work to make a living. The vibrancy In final conclusion, PAR is clearly a ‘radi-
of PAR processes is as a result declining in cal’ philosophy, whether PAR researchers
some places after stoppage of RIB-support show allegiance to any radical ‘ism’ or not.
for animation work, although internal moti- As a ‘macro ideology’ it is wedded to the
vation to continue the PAR praxis seems to concept of a central administration that
remain strong, and inspiring voluntary ani- respects grassroots autonomy sufficient to
mation work by internal animators is contin- preserve grassroots identity and creativity, as
uing in their spare time. The supply of Bhoomi Sena of India and the villagers of
appropriately sensitive animators able also to Tök in Hungary have asserted, so that people
can really ‘create their own history’. De Montis, Malena (1985) ‘Potential for people’s edu-
However, like the ‘dictatorship of the prole- cation in the social transformation of rural areas: The
tariat’, no blueprint for such a centre exists, case of EI Regadío (Nicaragua)’ in Fals Borda (1985)
pp. 106–109).
nor can it be articulated outside its endoge-
De Silva, G.V.S., Mehta Niranjan, Wignaraja Ponna,
nous process carrying its own dialectics with and Md. Rahman Anisur, (1979) ‘Bhoomi Sena: a strug-
it, so that the ultimate macro-outcome of the gle for People’s Power’, Development Dialogue, 2: 3–70.
process remains unsure, including the possi- Egger, Philippe (1987) L’Association Six ‘S’ – Se servir de
bility of serious distortion/cooptation, as in la saison seché en Savane et au Sahel – et les groupe-
the case of the ‘dictatorship of the prole- ment Naam: note sur quelques observations. (mimeo-
tariat’ or, for that matter, of conventional graphed). Geneva: International Labour Office.
‘democracy’ as well. With such imponder- Fals Borda, Orlando (1979) ‘Investigating reality in
ables, PAR at this stage remains no more order to transform it: the Colombian experience’,
than a search for life of the people involved, Dialectical Anthropology, 4: 33–55.
with the vision – whether of Marx or of Fals Borda, Orlando (ed.) (1985) The Challenge of
Social Change. London: Sage Publications.
particular PAR visionaries – for the down-
Fals Borda, Orlando (1987) ‘The application of partici-
trodden people to create their own history patory research in Latin America’, International
for which they need to build their own Sociology, 2(4): 329–47.
science, no more than an inspiration to prac- Fals Borda, Orlando (1988) Knowledge and People’s
tical PAR work that awaits macro-validation Power Lessons with Peasants in Nicaragua, Mexico
by history. and Colombia. New Delhi: Indian Social Institute.
Fals Borda, Orlando (2001) ‘Participatory (action) research
in social theory: origins and challenges’. in Reason and
Bradbury (2001/2006) Handbook of Action Research
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4
Action Research and the
Challenge of Scope
Bjørn Gustavsen, Agneta Hansson
and Thoralf U. Qvale
In aiming for generalities in research, the tradition is to study a case or a set of cases and
draw conclusions with reference to all cases of a similar kind. While this kind of thinking has
been strongly criticized even in descriptive-analytic research, it can be even more strongly crit-
icized in action research. If action research is seen as social constructions made jointly
between research and other actors, we cannot remove the active participation of research
after ‘the first case’ and let theory speak alone. Instead, the need is for a process of social
construction that can, in itself, encompass the challenge of reaching out in scope. This
implies network building and similar efforts that can bring a broad range of actors to share
ideas and practices. This chapter presents an example of a development of this kind, show-
ing the successive widening of action research efforts from small workplaces to substantial
regions, and the intermediate steps and challenges.
INTRODUCTION dependent upon working with specific people

in specific contexts. Often, this means working
The major advantage of action research with groups of relatively few people. The
compared to the production of ‘words alone’ groups can claim to represent other people –
is the creation of practices. While words they may, for instance, be the management of
often have a slippery relationship to reality, corporations or the leadership of NGOs – but it
forms of practices are reality. Intentions, remains that the direct relationship to and, con-
meanings, goals, values are expressed in pat- sequently, the element of direct influence from
terns of organization, behaviour and action. action research on human practices is con-
When helping to construct forms of prac- strained to the small group. Out of this there
tice, the problem is that action research is emerges a challenge: How can action research
64 GROUNDINGS
achieve scope, magnitude, or mass in its seemed to differ in important respects from
impact? The traditional answer is to create the one that had been launched in Norway.
theory with a claim to validity beyond the case, This was the case in particular in Sweden,
or cases, out of which it emerges. The assump- which was seen as critical, since this was the
tion is that others can learn from the theory and only Scandinavian country that could, at the
do likewise. time, be expected to influence broader devel-
From our experience in the action research opments in the industrialized world. In a
tradition in working life in Scandinavia, that sense the development in Sweden took off
by now spans a period of four decades and more rapidly and dramatically than in
throws much light on the diffusion problem, Norway (Sandberg, 1982) but it was, from
a core learning is that there is no direct diffu- the beginning, distributed over several initia-
sion via general theory from one or a few tives. While a series of field experiments
cases to many cases. To reach out in society along the same lines as in Norway were
it is necessary to travel a far more complex launched (Björk et al., 1972), there were also
road. Below, some of the main parts of this two other initiatives emerging. One was
road will be presented and discussed. linked to the work of a number of public
commissions that were set down to study and
promote participative democracy in the sec-
tors of working life under state ownership
THE POINT OF DEPARTURE (Karlsson, 1969), another to the Swedish
Employers Confederation where a special
In the 1960s, Norway was the seat of a series department was established to promote new
of field experiments with new forms of work forms of work organization (Agurên and
organization (Emery and Thorsrud, 1969, Edgren, 1979). These three initiatives partly
1976). Developed jointly by the Work developed in different directions, partly
Research Institute in Norway and the entered into a relationship of competition.
Tavistock Institute in the UK, the main point Extending the perspective to other countries –
was to break with highly specialized – i.e. Denmark (Agersnap, 1973), Holland
Taylorist – forms of work organization to (Van Beinum and Vliest, 1979), Germany
replace them with forms giving the workers (Fricke, 1975), the UK (Hill, 1971) and the
more autonomy in terms of decision-making USA (Duckles et al., 1977) – it was seen that
rights, possibilities for learning and for the whatever emerged in terms of initiatives
development of social relationships in the within the area represented still further dif-
workplace. Behind what Miller and Rose ferentiations compared to the original point
(2001) call ‘The Tavistock Programme’ was, of departure.
however, not only the idea of introducing
something new; the idea was, literally speak-
ing, to introduce it on a world scale (Emery
and Trist, 1973; van Ejnatten, 1993). From AN ALTERNATIVE APPROACH:
four field sites in Norway the process was LOCAL CONSTRUCTIVISM
supposed to spread to other workplaces in
Norway and to the neighbouring countries Against the background of diffusion problems
and from this platform to conquer the world. indicated above, the Norwegian research
Where was the line from Norway to the group found it necessary to reconsider how to
world broken? The first point to be noted was achieve wider impact and scope. If the enter-
that the process of diffusion within Norway prises were reluctant to join a process of diffu-
was slow (Bolweg, 1976; Gustavsen and sion of specific forms of work organization, it
Hunnius, 1981; Herbst, 1974). Second, that was reasonable to ask what forms of work
the processes emerging in other countries organization they would like to pursue.
ACTION RESEARCH AND THE CHALLENGE OF SCOPE 65
Although the question was quite obvious, Central in this context was the notion of
the issue of how to pose it was less so. One democratic dialogue and its expression in a
could imagine developing a questionnaire number of design criteria (Gustavsen, 1992,
aiming at a sample of workplace actors. This 1993, 2001, 2006; Gustavsen and Engelstad,
was found unsatisfying, first and foremost 1986.)
because work organization is a question of Research could not participate directly in
relationships: something that exists between more than a limited number of these confer-
people. To elicit adequate answers it would ences. However, through participation in the
be necessary to pose the question to work- board set up by the social partners to super-
place collectivities rather than to individuals. vise the implementation of the agreement, it
Could we, however, expect to get any mean- was possible to gain an overview of what
ingful answers at all? Experience indicated came out of them (Gustavsen, 1993). First,
that ideas about work organization are insep- there was no turn away from autonomous
arably linked to efforts to do something forms of work organization, but the impor-
about work organization. It is only when tance of giving attention to the contexts of
embarking on a process of improvement that implementation was stressed, in particular to
the issues involved become identifiable and the myriad details that have to be confronted
the choices between different patterns realis- to make a specific form of organization work
tically grounded. in a specific context. Second, in efforts to
The possibility of posing the question in diffuse new forms of work organization there
an appropriate way emerged when the social was a need to give more attention to issues of
partners, in 1982, made an agreement on process. Third, there was a need to develop a
workplace development (Gustavsen, 1985). new relationship between figure and ground.
The social partners did not, however, aim at Whereas the diffusion process was built on
promoting specific forms of organization; using the pioneer cases as figures, and new
their purpose was to make their members sites of implementation as background, the
become more conscious about the issue of conference participants generally wanted the
work organization and more oriented reverse: each workplace and enterprise, and
towards developing their own initiatives. The its problems and challenges, should be the
core measure to be introduced was the notion main issue; examples of what others had
of meetings, or conferences, where workers done should recede more into the back-
and managers in each enterprise could ground and be taken forth only when they
engage in discussions of their needs and could help provide useful points in under-
options, without being under the pressure of standing or acting within the primary context
having to accept or reject any specific form. (Engelstad and Ødegaard, 1979). This gave
This gave research the opening needed to rise to a fourth point: each unit of develop-
participate in a broad discourse on work ment had to be understood as a unique com-
organization. bination of elements. Elden (1983)
introduced the notion of ‘local theory’ in this
context. Fifth, making the process emanate
EARLY EXPERIENCE from local circumstances and actors implied
that local resources could carry much more
Throughout the 1980s, altogether about 450 of the process than what was assumed in the
conferences were organized between labour experimental period.
and management, largely in individual enter- These points provided a basis for the contin-
prises, in a few cases in networks of enter- ued work but they also reinforced the challenge
prises. Research was asked to help develop an associated with scope, or ‘critical mass’ as it
adequate conference model and came, in this was generally called at the time. If scope could
way, to influence the design of these events. not be reached when there was a belief in the
66 GROUNDINGS
power of the good example in combination local research support was introduced. Instead
with general theory, how could we hope to of letting the programme emanate from one
advance towards scope under the kind of local research centre, it was decided to support a
constructivism implicit in the points above? number of geographically distributed research
This question formed the point of departure for groups so as to make the programme as sensi-
a series of efforts, actions, considerations and tive to local-regional conditions as possible.
reconsiderations that have by now been going Whereas these two ideas can be said to
on for more than two decades. Much of the work towards differentiation, in order to
efforts have been expressed in workplace create local links the idea was introduced that
development programmes organized jointly by the basic unit of development should be four
research, the labour market parties and public organizations in co-operation not only with
institutions, for instance research and develop- research but also with each other. The main
ment councils. First out was the LOM point was that each participating organiza-
(Leadership Co-ordination and Co-operation) tion should engage in development experi-
programme in Sweden (1985–90) organized by ences together with other organizations from
the Work Environment Fund in co-operation the beginning of the process. In addition,
with the labour market parties. Second, when such groups of four were established,
Enterprise Development 2000 (1994–2000) they should function as ‘recruitment nodes’
organized by the Research Council of Norway to pull in further organisations, eventually
in co-operation with the labour market parties ending up with broader networks (Engelstad,
and Innovation Norway. Third, Value Creation 1996). Through this approach, the issue of
2010, a continuation of Enterprise Development diffusion was defined as a process of growth
2000 with the same partners. emanating from a number of local nodes.
While the participating organizations had to
carry their own costs, finance was made avail-
THE LOM PROGRAMME AND THE able to research conditional on each research
IDEA OF LOCAL GROWTH POINTS group demonstrating that the agreement was in
place with an adequate number of organiza-
While the co-operation with the labour market tions for joint development work. The support
parties in Norway made it possible to develop offered by research to the participating organi-
the notion of dialogue and local co-operation, zations was mainly focused on process: on how
there was no programme to provide a broader to organize the development work so as to
funding for research. The first initiative to pro- achieve participation from all concerned and
vide this was the LOM programme in Sweden adequate forms of interaction between them.
(Gustavsen, 1992). The labour market parties Various organizational expressions of the
had made an agreement on development par- notion of democratic dialogue – in confer-
allel to the Norwegian one (Gustavsen, 1985), ences, workplace meetings, project groups and
but in Sweden there also existed a Work similar – constituted the main tools (Gustavsen,
Environment Fund with, among other things, 1992; Naschold, 1993: esp. pp. 63–6).
the task of turning this agreement into reality With altogether 64 researchers participat-
(Oscarsson, 1997). This programme made it ing to a greater or lesser extent, distributed
possible to focus more strongly on the among about 15 different institutions, the
problem of how to combine scope with locally LOM programme was the most broadly
constructed initiatives. framed action research programme to appear
First, it was necessary to establish the in Sweden. The programme was not only
local platforms: the process of organization intended to generate specific results within
had to begin with challenges and ideas as its own time frame of five years but also –
expressed by the enterprise level actors and even more importantly – to lay the
locally. As a complement to this, the idea of ground for a long-term development of a
number of action research groups in Swedish social partners in Norway. The agreement
working life. had been a success in terms of number of
In an evaluation performed around the time users, but had led to more deep-going
of the termination of the programme, one main changes in only a modest number of organi-
conclusion was that the programme had suc- zations (Gustavsen, 1993). It was decided to
ceeded quite well in reaching out broadly in strengthen the measures associated with the
working life and in creating significant agreement using an action research approach
improvements in employee participation in and through this to develop regional growth
more than 80 per cent of the cases where spe- points. It took several years to prepare the
cific projects had actually emerged. However, ground for a programme, but in 1994
such specific projects had occurred in only Enterprise Development 2000 was launched,
about half of all the 148 organizations that in co-operation among the social partners,
made an effort to relate to the programme the Research Council of Norway and
(Naschold, 1993). The number of organiza- Innovation Norway.
tions that had used the improvements in parti- The Norwegian initiative built on experi-
cipation to develop more radical innovations in ences from the LOM programme, in particular
organization and technology were about 10 per the point that a five year programme cycle was
cent of those who had developed a project – a too short to establish and consolidate a number
seemingly meagre figure. The evaluation com- of research-enterprise combinations with the
mission saw the main reason for this in the rel- potential for growth. From the beginning, a
atively short running time of each project six-year cycle time instead of five was estab-
within the programme. lished with the promise from the social part-
The overall purpose of building geograph- ners to back a prolongation if the first cycle
ically distributed research-enterprise combi- was reasonably successful. The focus as the
nations that could form nodes or growth programme started was to ensure the establish-
points in a strategy for diffusion was achieved ment of the most viable groups of researchers
in a number of cases. Most of the research- and enterprises as was possible. Much work
enterprise combinations that were created by was put in by the programme secretariat on
the programme were, however, too fragile to this point. Altogether seven research-enterprise
survive the termination of the programme. combinations – called modules – were devel-
The exceptions largely occurred in situations oped (Gustavsen et al., 2001, and Levin, 2002,
where the development towards the forma- contain broad presentations of the programme,
tion of networks had moved relatively far its evaluation and results).
(Engelstad and Gustavsen, 1993). On the While each of the modules could show ups
other hand, although advanced results were and downs in terms of participating enter-
achieved in a few cases only, the programme prises and programme impact, the overall
demonstrated that such results could be picture was one of a steady increase in num-
reached through this kind of local-regional ber of participating enterprises. With back-
strategy with a far smaller research input per ground the labour market parties decided to
case than in field experiments. initiate a new programme – Value Creation
2010 – with a 10 year running time. In addi-
tion to continuing the developments on enter-
THE ENTERPRISE DEVELOPMENT prise and network levels, this programme
2000/THE VALUE CREATION 2010 came to place a stronger focus on the
PROGRAMMES AND THE CHALLENGE regional dimension and on some of those
OF THE LEARNING REGION issues that are often referred to as gover-
nance. To illustrate not only the overall
In 1990, it was decided to revise the agree- character of the developments initiated by
ment on workplace development between the the programme but, more specifically, the
68 GROUNDINGS
emergence of the last dimensions, we will the Process Industry and was based on meet-
turn to a sample case. ings every sixth month, site visits and informal
contacts across enterprise boundaries (Qvale,
2000). This initiative must be seen against the
THE GRENLAND CASE background of the major pressure for change
that emerged in the 1990s. Cost cutting
With seven large processing plants owned by through downsizing and outsourcing, in com-
different corporations, employing about bination with ideas like lean production and
5000 people and with an annual turnover of on-line quality management, hit the processing
about A2 billion, the Grenland area – located industry with full force. Characteristic of the
on the east coast of Southern Norway about plants joining the Forum and, consequently,
150 km south of Oslo, and with a population also of most of the Grenland plants, was a
of 100,000 – constitutes the largest concen- conscious effort to meet the new conditions
tration of processing industry in Scandinavia. without renouncing on worker participation
In the 1960s and early 1970s it was the and without laying off people against their
seat of some of the most highly profiled field will. The result was an increase in the efforts to
experiments with new forms of work organi- create – or recreate – patterns of work organi-
zation, first in a fertilizer plant (Emery and zation based on worker autonomy, in combina-
Thorsrud, 1976) and later in several other tion with plans for personnel reductions that
plants in the complex belonging to Norsk could be supported jointly by management and
Hydro, the largest industrial group in Norway. the local unions.
These experiments pioneered patterns of By 1999 it was recognized that plant level
work organization that have later become strategies were insufficient. Most of the
common in processing industry, such as inte- plants, in spite of having state of the art tech-
grated work groups with responsibility for nology, were losing money, suffering from a
the running of the plant as a whole instead of 10 year period of low rates of investments, a
the previous pattern of specialized work roles high rate of exchange for Norwegian cur-
and corresponding dividing lines between rency, low prices on the world market and
operators and foremen, process and mainte- high Norwegian wages and duties, within a
nance, production and quality, control room national regime that did not promote policies
and factory. supportive of this kind of industry. All histor-
The processes to be triggered off in the ical advantages, such as cheap energy, were
host corporation were not unlike those that gone and work organization – however
came to characterize the national scene: advanced – could not alone compensate for
much interest and discussion but also the this. Rather than continue to focus on inter-
emergence of various factors that made a nal processes within each plant, it was
broad strategy for implementation of the deemed necessary to start exploiting the pos-
ideas difficult. In a sense the ideas were kept sibilities inherent in co-operation between
pending, eventually to start gaining ground plants. This was the situation when the
again with the later emergence of new pro- Grenland group of enterprises was invited to
ductivity concepts. join the VC 2010 programme.
More or less sporadic contacts were main- The programme imposed certain require-
tained between the Work Research Institute ments on its users. The regional representa-
(WRI) and the Grenland industry, and in tives of the labour market parties were to be
1998 researchers at the WRI launched an ini- involved in a steering or advisory position
tiative that came to encompass plants from and the research aspect had to be strength-
this region, together with plants from other ened. The social partners had for a decade
parts of the country. The initiative was called worked closely together to use their joint
Forum for New Manufacturing Concepts in political influence to help develop new
regional policies for education, economic solved, at least not allowed to block the
growth and public administration. They process.
were, consequently, involved in a number The Grenland area is of modest size from
of other aspects pertaining to regional an international perspective, and to keep
development and could pull these into the the regional process moving and growing
co-operation. there is a need to transcend the boundaries
With the new configuration of actors it constituted by this area. How this is to be
was necessary to renew the co-operation done is one of the main challenges. It is not
platform. For this purpose a dialogue confer- a simple issue of, say, including the whole
ence was organized in January 2002. In addi- of the administrative region of which
tion to bringing new actors into the process, Grenland is a part. The rest of the region is
the conference came to represent a break- largely based on agriculture and tourism
through in terms of what kind of effort the and does not necessarily provide interesting
processing plant actors were willing to partners for Grenland industry. In light of
explore together. Among the new efforts the increased pressure for fruitful regional
could be found joint maintenance teams, a frameworks the Norwegian government has
joint facility for the handling of emergencies (like many other European governments)
and associated training, a joint occupational initiated a process towards merging areas to
health centre, joint specialized workshops in form larger regions. This process is in its
areas like machining, electrical engines and infancy and has so far given rise to limited
valves, and a project in regional logistics. For concrete results.
the employees and the unions to accept plant The development sketched above can be
crossing initiatives like this, they needed a linked to a set of concepts. Some of the
high degree of trust in the willingness of concepts – like local understanding, dialogue
management to pursue goals associated with and regional growth points – have roots in
the long-term growth of the plants and not the 1980s while other concepts – such as
short-term rationalization effects. those associated with regional organization
The WRI has made continuous efforts to of change – are of more recent origin. While
continue the process of expanding the scope the concepts can, from the position of today,
of the conferences, in terms of participants as be seen as pointing at different aspects of one
well as in terms of topics. Some of the new and the same reality, the fact that they have
actors represent other industrial branches, appeared over time indicates their back-
such as a network of local engineering firms. ground in a moving discourse.
Some represent new initiatives, like a bio-
logical laboratory, an initiative that to some
extent has its roots in competence from the DIALOGUE
time when all the processing plants had their
own laboratories. The core element in all activities is the notion
While the continuous widening of the cir- of dialogue as the main constructive force.
cle of participating actors makes it possible The reasons for placing dialogue in the
to pull in a continuously widening circle of centre have been spelled out in other contexts
issues and stepwise approach that can be (for instance Gustavsen, 2001/2006) and will
called a regional innovation process, the rela- be mentioned only briefly.
tionships between the ‘older’ actors are also The point of departure was practical expe-
continuously changing. One experience is rience. Even if the purpose is to conduct a
that issues that could create conflicts and field experiment it is hardly possible to avoid
lock-ins often disappear, or are cast within a conducting conversations with those con-
new framework, when new actors enter the cerned. Since this is the case one may as well
scene. In this way they are, if not always ask if all conversations are of equal value or
70 GROUNDINGS
if certain forms provide more fruitful The first practical expression of the notion
outcomes in terms of ideas and agreements of democratic dialogue was the dialogue con-
than others. ference, originally introduced as a part of the
Second, workplace development in agreement on workplace development among
Norway plays itself out against the back- the labour market parties in Norway, later fur-
ground of a specific social order where ther developed within the LOM programme in
democracy is a core element. In all democ- Sweden. Essentially, these conferences were
ratic constitutions free or open dialogue is a designed to place all participants on an equal
basic condition, expressed in principles like footing while at the same time promoting the
the freedom of speech, the right to form production of ideas and the ability to reach
associations, the right to be heard before joint action platforms. A presentation of design
authorities who are making decisions per- criteria and modes of functioning can be found
taining to the individual, and similar. in the first edition of the Handbook (see
Principles of this kind are not automatically Gustavsen, 2001/2006). Around the dialogue
applicable in a workplace context; they conferences a number of other measures
form points of orientation rather than oper- are grouped. Efforts have been made to make
ational criteria. The point in this context is other arenas adopt more or less of the same
to ground the notion of dialogue in the order dialogue criteria, to make these arenas function
of society and not in existential or psycho- in support of dialogue as well. In ED 2000 it
dynamic mechanisms. The ability to master was, for instance, seen that enterprise councils
dialogue is identical to the ability to enter and health and safety committees could be ori-
into discourses of reason and fruitfulness ented in this direction (Bakke, 2001), a devel-
with people one does not know. The reason opment that can be seen in the Grenland case
lies in the procedure, not in personal as well. Claussen (2003) describes the intro-
knowledge. duction of a new kind of shop floor encounter,
While practical and institutional concerns developed to increase the dialogue arenas
have been the main ones, the kind of action accessible to production workers, and a type of
research that forms the background for this encounter based on locating SWOT analyses
contribution has not remained uninfluenced within the framework of dialogue conferences.
by the various ‘turns’ that have come to char-
acterize much social research in general,
such as the linguistic turn, the communica- CHANGE AND HYBRIDS
tive turn, the pragmatic turn and the con-
structivist turn. None of these concepts are One recognition to emerge out of the failure of
particularly precise, and they open up for field experiments to trigger off broader change
large fields of discourse more than for the in working life was the need for understanding
identification of specific positions. However, each workplace, each organization, as a unique
they all point at the independent weight car- phenomenon (Elden, 1983). If we look at the
ried by language in the formation of human processing plants that constitute the core of the
understandings and actions and at the need to Grenland development the need for plant spe-
anchor joint action in a joint language. They cific understandings and solutions is verified.
also generally share the view that the linguis- They still, however, work together. Why is
tic tools available to a set of actors are that?
strongly linked to the practical context in At this point the notion of hybrid, as
which they exist and have to find solutions to developed by Latour (1998), can help
challenges. In this way these ‘turns’ do, in a explain the mechanism that comes into force
sense, also turn theory in a practical direction when organizations are learning from each
and make, in this way, a contribution to the other. When an organization makes an
arguments for action research. improvement, or an innovation, it generally
means to use known elements but to put them with other organizations. Such smaller
together in a new way. The trigger mecha- groups of organizations were intended to
nism in this context is often what other orga- form the basis for the formation of networks
nizations are doing. The impulses that come with a larger number of members. The
from other organizations join experiences assumption was that by utilizing existing
and impulses from one’s own organization, local-regional relationships the difficulties
and out of this a new pattern emerges. The associated with reaching new organizations
new pattern is, however, original in the sense could be reduced. To a large extent this
that it is not a replication of the patterns assumption has proven valid. On the other
exhibited by any other organization. hand, as the Grenland case demonstrates, the
A dynamic network co-operation between passage from smaller groups of organiza-
enterprises is characterized by an exchange tions to larger networks has been far from
of hybrids. Drawing upon its own experi- linear and has implied a number of new
ences as well as systematically utilizing challenges.
impulses from other enterprises, each organi- In achieving scope, the emphasis is less on
zation continuously restructures itself and, at the single conference than on the relation-
the same time, sends new impulses to the ships between conferences (Shotter and
other network members. Gustavsen, 1999). The conferences need to
When change is mainly a sequence of form a pattern with the potential for reaching
hybrids, ‘diffusion’ cannot be a linear a continuously widening circle of actors
process. In fact, diffusion is not at all pos- without losing those that are already within
sible if diffusion is taken to mean that the the network. Many of the efforts of the ongo-
same pattern is transferred from one organi- ing Value Creation 2010 programme have
zation to the next (Gustavsen, 2003). While been oriented towards this challenge. The
the recognition that linear diffusion is not programme has clearly been most successful
possible emerged quite early, and is perhaps in contexts of the Grenland type: regions
the most basic recognition to emerge out of made up of smaller communities where
the period of field experiments, it took a long people know each other and where there
time to create an alternative framework for exist social links and ties (‘social capital’).
achieving scope in the development. However, when a network is emerging it is
important that actors in other communities
can join the process, since each community
GROWTH AND RELATIONSHIPS will often be too limited to house the suffi-
cient mass of enterprises. We see, conse-
While dialogue conferences were initially quently, that in parts of the country where
organized for single organizations, they there are small communities of the relevant
have, since the mid-1980s, also been exten- type, but long distances between them – such
sively used for the purpose of creating rela- as in the northernmost parts – the network
tionships between and among organizations. formation process is generally unable to
To make each participating organization reach sustainable mass. A parallel problem –
open to co-operation with others, four orga- but for the opposite reasons – can be found in
nizations were introduced as the basic unit the big cities, in particular Oslo. The city has
of development as early as from the begin- about 60,000 enterprises and is, in this
ning of the LOM programme. Four is not a respect, rich in network potential. There are,
magic figure and in later programmes this however, few smaller local environments
issue has been more open. The point is that where social relationships can be founded
each organization from the beginning of the and there have been major problems associated
process works with some other organiza- with anchoring the Value Creation 2010
tions, to create its experiences in interplay efforts with specific actors.
72 GROUNDINGS
DISTRIBUTIVE AND LOW-INTENSITY as accustomed as possible to continuously

FORMS OF ACTION RESEARCH working with new people and to draw advan-
tages from this. It can be added, from the
Basing broad change on the use of encoun- point of view of action research, that rela-
ters like dialogue conferences means that tionships with dynamic, problem-solving
many of the actors involved are exposed to capacity do not emerge by themselves. There
the impulses from research at intervals and is, today, a vast literature on, for instance,
relatively briefly each time. It is obvious that networking in the context of discourses on
intensive contact with one single workplace clusters, innovation systems, regional devel-
over a period of time that can go on for years opment and even network society. Generally,
implies certain advantages. Research can this literature grossly underplays the con-
deal with all problems – large and small – structive efforts associated with actually cre-
hands on, and it is possible to gather detailed ating these networks, be it efforts that face
data on everything that happens. No country action research or other actors.
has so far invested the resources necessary to
combine high-intensity efforts with scope in
number of workplaces involved. All change- DEVELOPMENT CONFIGURATIONS
generating actors are facing the challenge of
how to reach out in scope with limited The need to utilize existing social relation-
resources. ships indicates that action research cannot
In principle, the answer has to be distribu- create social change on its own. Something
tive and low-intensive approaches, as far as has to be present in the context where change
possible based on mobilizing the actors con- is to take place; this something is often
cerned to themselves sustain the process. referred to as trust. What quality of relation-
When a strategy of this kind is launched it ship and how much trust need to be present
must, however, be kept up in a way that is for successful development to emerge, are
consistent with its own characteristics. If, for questions that often appear. Rather than
instance, conflicts, blockages, or other prob- make a large initial effort at mapping out the
lems appear, the core strategy must be to bring social capital existing in, say, a region, as an
new partners into the discourse rather than action research programme Value Creation
attack the problems head-on (Pålshaugen, 2010 is based on moving directly into action
2004). Conflict agendas can, in themselves, be and seeing what happens. The process is,
seen as hybrids, and by bringing in new actors however, not blind. Various mechanisms, for
there will often be a change of agenda that instance contacts with the regional represen-
makes the conflict disappear, or at least make tatives of the social partners, are brought to
the actors able to move on. In this way, con- bear on the challenge of finding a fruitful
flicts are used to broaden the circle of actors in entry point. As events unfold, new impulses
a way consistent with the basic characteristics that help refine the course emerge, while suc-
of the strategy. To freeze and dig deeply into cessful joint action in itself promotes trust. In
the conflict in the hope of solving it like a this way research-enterprise nodes have been
court of law is counterproductive. developed in all major parts of the country,
Even if conflicts do not dominate the scene although they show, as indicated above, dif-
it is important not to freeze the participation. ferent degrees of ability to grow. Among the
This point is demonstrated by the Grenland most sharply featured configurations that
case where new actors are pulled in all the have emerged so far, Grenland is one.
time, even though a group of processing Another can be found in the Rogaland-
plants constitute a permanent nucleus. The Hordaland area where as many as 10 differ-
point is not only to use each new event to ent enterprise networks have emerged in
widen the circle but to make the participants parallel (Claussen, 2003; Haga, in prep.). A
further example is constituted by the Raufoss challenge is, this notwithstanding, to create a
industrial district (Johnstad, in prep.) where process that can reach out in scope.
an old munitions factory has been converted Participative democracy is not a kind of
into about 30 new companies that have, in social order that can survive in small corners
turn, triggered off about 40 new local suppli- and lacunae in an otherwise hierarchically
ers. With about 50 owner organizations and a structured world. This has implied the step-
further 100 users, Nordvest Forum is a more wise development of networks and other
loosely structured learning network where linking structures to allow each point of
experiences from enterprise level projects are change to relate to new actors and help the
shared through direct contacts as well as new actors orient themselves towards parti-
through network events (Hanssen-Bauer, cipation as a core issue. The generalizations
2001). Some of the configurations have not possible from each separate site of experi-
attained contours of a sharpness comparable ence reach no further than the social links
to these examples, and are still in a more that surround them.
emergent phase. Nor is it true that the strat- The region thus far appears as the level of
egy pursued by the VC 2010 programme will social organization where the closeness to
necessarily be successful in all parts of the the problems needed in order to deal with
country. So far the advances at each end of work organization can be combined with the
the urbanization scale – Northern Norway need for adequate scope, or mass. This cor-
and Oslo – are modest and there is no guar- responds to a perspective emerging in stud-
antee that they will be more pronounced in ies of innovation where the current tendency
the future. is to identify the region as the most signifi-
cant level of organization (Asheim, 1996;
Cooke, in prep.). Even global actors – such
KNOWLEDGE, DIFFUSION AND as the pharmaceutical industry – today
SOCIAL MOVEMENTS locate their innovation processes in specific
regions generally characterized by a high
When the issue of work organization first density of actors with relevant knowledge
entered the scene as an issue of broad con- and experience, rather than try to link actors
cern, the road to change was defined as the across the globe in one and the same
use of spearhead projects to create and sus- process.
tain a general theory of participative organi- This does not mean that impulses cannot
zation as well as to provide telling examples travel across regional boundaries, but the
of their advantages in terms of productivity interplay between regions follow the logics
and innovation. Neither general theory nor of mutual exchange of hybrids, not the logics
spearhead projects proved, however, to have of each region subordinating itself to the
much persuasive power. Instead, it became same general truth (Ennals and Gustavsen
necessary to embark on a process of slow 1998). Insofar as patterns of action become
constructivism, beginning with local units synchronized across regional boundaries, the
where each unit was allowed to take its own most appropriate characteristic of the pattern
problems and challenges as a point of depar- to emerge is social movements (Gustavsen,
ture, but where the local actors could, when 2003), of which there are a number in play,
they had launched their own process of often in several versions. Examples can be
development, be brought to consider external the women’s movements, the movements for
cases as sources of ideas. To recognize that ecological consciousness and balance, the
the development of participation needs par- movements for peace, and even the one dealt
ticipative strategies was, however, not the with in this chapter: the movement for par-
core point; this discovery has been made many ticipative democracy. ‘To be in the move-
times, in action research and elsewhere. The ment’ means to share experience with others
74 GROUNDINGS
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become part of a system of uniform elements. regions: A condition for prosperity?’, European
How well has the movement towards par- Planning Studies, 4: 379–400.
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succeeded so far? This is a substantial topic Research in Innovation Policy. Amsterdam: John
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5
Action Research at Work:
Creating the Future Following
the Path from Lewin
H i l a r y B r a d b u r y, P h i l M i r v i s , E r i c N e i l s e n
and William Pasmore
What is the relationship between action research and organizational change and develop-
ment? In this chapter we take four intersecting perspectives on this dynamic relationship,
tracing the lineage from Kurt Lewin, whose contributions to action research and change in
the workplace began shortly after the Second World War, through socio-technical work
design, organization development programs, and appreciative inquiry, to its latest applica-
tions to sustainability and redefining the role of business in society.
Pasmore begins with a review of how change. This analysis shows how Lewinian
Lewin’s ideas informed the socio-technical distinctions between ‘task’ and ‘process’
school of work design. He shows how its activities of a group and his models of how
methods emphasized the systemic study of social fields influence behavior take on new
the workplace, took account of the values, meaning when action research is extended in
objectives, and powers of the parties its scale (‘getting the whole system in the
involved, and stressed people’s participation room’) and scope (‘to effect system-wide
in defining their situations, in choosing new change’).
options, and evaluating the results – all Lewin’s concept of Einstellung, or the
central tenets of Lewin’s formulation of perceptual disposition people bring to a
action research (c.f. Bargal, 2006). Mirvis situation, stresses the importance of ‘self-
then takes up action research as applied to knowing’ by people as they study themselves
group dynamics and collective behavior that in action. This is a point of departure for
builds on frameworks developed originally Neilsen who delves into the emotional
in the study of T-Groups and in small group attachments of people at work and shows
78 GROUNDINGS
how new forms of intervention, chiefly demonstrated that participative management

appreciative inquiry, may help people to methods, in which workers discussed
attain the sense of security and psychological changes with their supervisors, were more
safety needed to cope with massive changes effective than traditional approaches to
launched in today’s organizations. change, in which industrial engineers speci-
Finally, today we experience challenges fied the new processes workers should use.
to the natural and human environment where In his classic formulation of field theory,
work organizations and working people are Lewin (1951) held that behavior is influ-
both a partial source of and solution to what enced by its environment, the context within
threatens the human condition. The chapter which it occurs. His thinking was a chal-
concludes with Bradbury’s thoughts on the lenge to Freudian psychology, the dominant
relevance of action research to issues of paradigm at the time, which held that all
sustainability and global change. Here we behaviors could be explained by deep-seated
see how, as in Lewin’s time, researcher- aspects of the personality. Lewin’s action
activists are sharing knowledge and working research demonstrated clearly that behavior
together to face daunting societal chal- varied across time and under the influence of
lenges. And, as Lewin did before them, they different environmental forces. This theory
are joining hands with leading-edge practi- and related findings became a central tenet
tioners to apply scientifically-derived of what would be called the socio-technical
knowledge to practical problems and to pro- school as well, as it allowed for the possibil-
mote a democratic, value-full, and egalitar- ity that by changing aspects of the work-
ian social order. place, behavioral changes could be produced.
It would not be necessary to change the per-
sonalities of workers in order to produce
LEWIN’S INFLUENCE ON THE STUDY new behaviors; the potential for a wide
OF WORK range of behaviors, triggered by different
environmental stimuli, already existed in the
The story of Lewin’s influence on work individual.
begins with Alex Bevalas, one of his students
at the University of Iowa, who worked with
Alfred Marrow’s Harwood manufacturing TAVISTOCK AND THE ORIGINS OF
company to conduct action research into SOCIO-TECHNICAL SYSTEMS1
ways to enhance job performance by having
workers participate in experimental changes Eric Trist met Kurt Lewin in 1933 during
in work methods. The conditions they cre- Lewin’s visit to Cambridge, where Trist was
ated resulted in what we would call a ‘learn- a student. Trist continued his studies in the
ing organization’ today: workers were United States and began his career as an
encouraged to experiment with different applied psychologist, building on and
methods, to discuss them among themselves, extending Lewin’s thinking with colleagues
and to choose the methods which they agreed at the Tavistock Institute in London.
were most effective. Groups of workers Following the Second World War, Lewin
increased their own quotas after discovering and Trist turned their attention to matters of
and employing new methods and increased national recovery. No longer supported by
their job satisfaction as well (Marrow, 1969). military funding, Trist’s historical account of
Coch and French (1948) continued exper- the early years of the Institute (Trist and
imentation at Harwood and showed how, Murray, 1990) makes it clear that their
more broadly, participation was a prime intellectual productivity was born of need.
means to reduce resistance to change. They Trist could have joined a university faculty
ACTION RESEARCH AT WORK 79
after the war but was perhaps influenced by and dependent upon external leadership, as
Lewin in his desire to create an organization was the case in lower-productivity mines.
that would stand between academia and prac- The multi-skilled, self-directing arrange-
tice, acting as a bridge between the two rather ment made it easier for the group to adjust
than a captive of either. Tavistock would be to circumstances as they evolved, rather
dedicated to action research and, despite fail- than trying to apply a mechanical process
ures and miscalculations, persisted in advanc- to changing underground conditions.
ing its thinking through practical experiments Drawing on systems thinking, Trist pro-
in organizations involving significant and vided graphic evidence of how systems
pressing problems. must possess requisite variety in order to
One early project was an observation of adapt to changing external conditions
coal-mining practices (Trist and Bamforth, (Ashby, 1960). He was also able to demon-
1951). Coal was in short supply compared to strate that the social system and the techni-
national demand for its use in the post-war cal system of an organization operated in an
recovery of the industrial sector. New interdependent fashion.
methods, based upon advances in above- Through his ethnographic methods, Trist
ground industrial engineering (conveyor deduced that the social systems in the more
belts, Taylorism, job specialization), had productive mines were more consistent with
been applied to the mines but had not the self-image of the miners and protected
yielded the results promised. Ken Bamforth, them from the many dangers that accom-
a fellow at the Institute, knew of mines that pany work underground. In contrast, in the
used the new technology in novel ways. low performance mines, workers felt alien-
Trist was interested in coal mining practices ated from their work, trapped in a system
and, with the support of the British Coal they could not influence, and constantly
Board, began detailed studies of the differ- exposed to risks over which they had no
ences in work arrangements used in high control. The industrial engineers had failed
production and low production mines. Using to see that the work system itself made con-
painstaking ethnographic methods, Trist trol impossible; that the complex technology
began to formulate theories that would and fragmentation of work roles had led to
explain the differences in outputs he coordination needs that could not be met in
observed. Interviewing workers after hours the dark, noisy, dangerous, ever-changing
in pubs and in their homes, he pieced underground environment. No matter how
together the tenets of what would later advanced the technology, it would fail in
become socio-technical theory. practice if not mated with a social system
Briefly, the workers in the highly produc- designed to operate the technology effec-
tive, innovative mines operated more as self- tively. This principle, known as joint opti-
managing groups. Their leaders, when mization, was to become the cornerstone of
confronted with the need to employ new socio-technical systems theory:
technology, turned to them for advice on how
to implement new methods rather than fol- Inherent in the socio-technical approach is the
lowing the technical advice of industrial notion that the attainment of optimum conditions
in any one dimension does not necessarily result in
engineers who, after all, had never worked a set of conditions optimum for the system as a
underground and didn’t know the myriad whole … The optimization of the whole tends to
factors that made coal mining challenging require a less than optimum state for each sepa-
and dangerous. rate dimension. (Trist et al., 1963)
The miners informally devised systems
that allowed them to be multi-skilled and This conclusion is classically Lewinian, in
self-directing, rather than highly specialized its ‘emphasis on the total situation’ as Bargal
80 GROUNDINGS
(2006) notes whereby principles of behavior does produce less than optimal results.
are ‘always to be derived from the relation of Taking a systems perspective, Emery clari-
the concrete individual to the concrete situa- fied that the fractionation of work creates an
tion’ (Lewin, 1935: 41). inability to control the system as a whole,
rather than promoting greater control, as
assumed by designers of the system. Because
the system seldom operates perfectly, even
SOCIO-TECHNICAL SYSTEMS small problems can create large systemic
THEORY impacts. In highly fractionated work sys-
tems, the single worker is powerless to cor-
While Trist, A.K. Rice, and others were pio- rect the situation. Each person is ‘tied to the
neering Tavistock’s work in the field, Fred job’ or machine, and cannot change the tech-
Emery, who joined Tavistock in 1951, was nical system to compensate for the distur-
leading efforts to develop theory that could bance. Instead Emery proposed that the basic
explain what the group was discovering. In unit for design of socio-technical systems
‘Characteristic of Socio-Technical Systems’, must itself be a socio-technical unit and have
Emery (1959) conveyed important principles the characteristics of an open system. By
of socio-technical work design, hewn largely this, he meant a small (8–10 person) self-
from the coal mining studies and weaving managing group of workers who, among the
experiments in the group’s formative years. members of the group, possess the skills and
Drawing on open systems theory, Emery authority to control the operation of their
explored the nature of technical systems, social technology.
systems, and the work relationship structures At a larger system level, the success of each
that bring the two systems together. Emery group would depend on the linkages among the
argued that because organizations employ groups, and the logic of control (in this case,
whole persons, it is important to pay atten- self-control) behind those linkages. Three prin-
tion to human needs beyond those required ciples of design emerged from this analysis
for the routine performance of tasks dictated (Pasmore, 1988): first, that the best design for a
by the technology. His psychological require- productive system is one in which each part of
ments for individuals include: some control the system embodies the goals of the overall
over the material and processes of the task; system; second, that the parts should be self-
that the task itself be structured to induce managing to the point that they can cope with
forces on the individual toward aiding its problems by rearranging their own use of
completion; that the task have some variety resources; and third, that members that make
and opportunity for learning; and that the up the parts of the system are multi-skilled in
task be interesting and meaningful. ways that allow them to cope with anticipated
Emery’s paradigm was in violent conflict needs to rearrange themselves around problems
with the master/servant relationship that or opportunities that might arise.
characterizes many workplaces. Some man- Trist’s original coal mining studies laid the
agers have mistaken this concern for the foundation for socio-technical systems theory
influence of workers in decision-making to but were not true examples of action
be a veiled form of advocacy for commu- research, since Trist and his team were only
nism. In fact, Emery was a staunch supporter observers of naturally occurring experiments
of free market economies. His primary con- rather than collaborators in their planning
cern was with the effectiveness of work sys- and evolution. The blending of action
tems, not with who owned them. Emery also research and socio-technical systems think-
helped us to understand that the continued ing would take place in subsequent experi-
extreme fractionation of work, best repre- ments in England, India, Australia, Norway,
sented by the assembly line, can and often Sweden, the Netherlands, and the United
States, often under Trist’s first-hand guidance The underlying notion was that self-study
or inspiration, and often undertaken by his in T-groups helped to expand people’s aware-
students and followers. This, too, extends the ness of ‘taken for granted assumptions’ about
Lewinian tradition whereby a community of individual and group behavior and thereby
researchers and practitioners develop a body allowed them to make choices about their
of theory and shared sense of mission in the behavior. Indeed, some proponents likened
context of addressing, in this case, socio- labs to ‘therapy for normals’ (Weschler et al.,
technical problems. 1962).
In the 1950s and 1960s, there were varia-
tions in labs within NTL, as well as more psy-
LEWIN ON GROUP AND cho-analytically oriented programs offered
ORGANIZATION DEVELOPMENT by the Tavistock Institute and a variety of
encounter groups on the US west coast.
Kurt Lewin’s formulation of action research There were also variations in the make-up of
had applications in the workplace well beyond participants: stranger labs, family labs
its socio-technical design. Toward the end of involving supervisors and subordinates in
his career, and particularly during his associa- leaderless groups, plus laboratory education
tion with Douglas McGregor at MIT’s moved into organizations, including Union
Research Center for Group Dynamics, Lewin Carbide (Doug McGregor), Esso (Herb
became more interested in the effects of Shepherd), and the US State Department
groups on the behavior of individuals. Lewin (Marrow, Argyris, and others).
and McGregor experimented with applica- Action research concerning group dynam-
tions of action research to group dynamics in ics took a very practical turn in the decades
efforts to bring about changes in industry, edu- that followed. Richard Beckhard (1969), as
cational institutions and society. One of these an example, developed a diagnostic model
efforts, in connection with the Connecticut and protocol for team building and trainers
State Inter-Racial Commission, led to the began to promulgate frameworks, exercises,
founding of the NTL Institute, which contin- and instruments for human relations training
ues to offer training in group dynamics fol- in industry. Meanwhile, ‘process issues’ that
lowing the methods of open and honest might arise in a group were to be addressed
participative inquiry among members of with the aid of a facilitator or ‘process con-
groups developed by Lewin over 50 years sultant’. Mirvis (1988) makes the case that
ago. explorative aspects of action research ebbed
The T-Group, a form of ‘laboratory’ edu- during this period and it became primarily a
cation where individuals (typically 8–15) ‘technology’ to improve work groups.
would join together in a leaderless group,
proved an ideal medium for action research
into the psychological processes of influence FROM TEAM TO COMMUNITY
and change and, as the method developed, BUILDING
for self-study of these processes by partici-
pant-learners. Accordingly, he stressed the Interestingly, laboratory-type education has
need for ‘self-critical reconnaissance’ on the had a rebirth in recent years and draws on
part of people as they studied themselves in action research in new ways. M. Scott Peck
action. Later, as he observed participants (1987), as one example, developed a ‘com-
struggling to understand the import of their munity building’ process that has the same
own behavior in a training group, he said, unstructured form as the T-group but involves
‘One must be helped to re-examine many larger numbers of people (upwards from 50 to
cherished assumptions about oneself and 75) and draws from psycho-spiritual princi-
one’s relations to others (Lewin, 1948)’. ples to frame and interpret group development.
82 GROUNDINGS
William Isaacs (1999), in turn, drew on the Behind this view is a model of what some
work of David Bohm (1986, 1989) to propose call the ‘quantum universe’. From the study of
a group conversation framework called ‘dia- particle physics, it is believed that observation
logue’ that has some similar characteristics but of a particle influences the quantum field
applies principles of quantum mechanics to around it – meaning literally that observing
group life. In these contexts, action research affects the observed. David Bohm (1986,
methods are used to deepen the capacity of 1989), the physicist whose theories stimulated
individuals and the group-as-a-whole to underdevelopment of the dialogue process, general-
stand itself. ized the point to human communication and
Their application, however, emphasizes dif- gatherings. By simultaneously self-scanning
ferent behavior than in the T-Group days. For and inquiring within a group, in his view,
instance, drawing from the tenets of humanis- people create a connective field between
tic psychology in the 1950s and 1960s, many observer and observed. By ‘holding’ this field,
group trainers and team builders stressed the in turn, a group can ‘contain’ both energy and
importance of dealing directly with ‘here and matter, and investigate more fully what it is
now’ behavior and regarded interpersonal producing. And in uncovering this ‘tacit infra-
feedback as integral to the ‘helping’ relation- structure’ lies the possibility of creating new
ship. Indeed, to heighten self-awareness in collective dynamics.
training programs, people were encouraged to
share their reactions to others’ behavior and, in
some circles, to offer interpretations. By con- TRANSFORMING A COMPANY
trast, participants in community building or
dialogue groups are urged to self-reflect, and These ideas have informed widespread
be aware of their filtering and judgments, in experiments in developing community in
service of emptying oneself of what gets in the the workplace (Mirvis, 1997). One of the
way of truly hearing another person. The idea most interesting applications concerns the
is that by ‘observing the observer’ and ‘listen- Unilever’s Food Business, first in Holland
ing to your listening’, self-awareness of and later in Asia. The change program began
thoughts, feelings, and experiences, past and in 1995 when Tex Gunning, then president of
present, seep gently into consciousness. the business, took over the Dutch food
In turn, the notion of offering Rogerian- company in financial trouble – aging plants,
type counseling in a group – to help people quality problems, eroding margins, close to
see themselves more clearly through ques- being sold off. To effect a turnaround,
tioning or clarifying – is discouraged in dia- Gunning assembled over 10,000 pallets of
logue. Instead, the focus is on collective waste product, from various locales, into a
dynamics and interpretive comments, if massive warehouse. Buses arrived from three
offered at all, are aimed at the group-as-a- nearby factories. Managers and their cost
whole. Furthermore, the intent is not to accountants, quality experts and production
‘work through’ these dynamics by con- workers, some 1600 employees in total,
fronting them directly. Rather, the group toured aisles of spoilt material, counted the
serves as a ‘container’ – to hold differences massive loss of money, and contemplated the
and conflicts up for ongoing exploration. waste of their own time and talents. This
This keeps ‘hot’ conversation ‘cooled’ suffi- evocative ‘wake up’ call was followed by
ciently so that people can see the ‘whole’ of outbursts and resentment, then analysis and
the group mind. This facilitates development confrontation, and later acknowledgment of
of group consciousness by counteracting ten- ‘what’s what’ and first steps toward a new
dencies toward ‘splitting’ in group dynamics way forward.
whereby people identify with the ‘good part’ How to explain the dynamic? Ed Schein
of their group and reject the ‘bad part’. (1995), who was trained by Alex Bavelas,
found Lewin’s theorizing crucial in his study is a means to develop and test ‘action theories’
of attitude changes among prisoners of the about change processes in organizations.
chinese Communists during the Korean War: Every employee in the company, select man-
agers in Unilever, and various suppliers and
I found contemporary theories of attitude change contractors contributed to the findings. It
to be trivial and superficial when applied to some
of the profound changes that the prisoners had
involves, in its essence, a spiraling process of
undergone, but I found Lewin’s basic change data collection, feedback, and collective
model … to be a theoretical foundation upon problem-solving, the essence of the Lewinian
which change theory could be built solidly. The key model of action research. The company here
was to see that human change … was a profound added the elements of a reflective retreat, in
psychological dynamic process that involved
painful unlearning without loss of ego identity and
the form of a journey, and of storytelling, as
difficult relearning as one cognitively attempted to a means of transforming information into
restructure one’s thoughts, perceptions, feelings, action. A moving journey to Jordan that
and attitudes engaged leaders and employees in reflection
and storytelling was an historic event in the
The warehouse began a painful unlearning company’s timeline and carried the lessons
experience for the Dutch workers. As one forward with added emotional relevance
recalled: (Mirvis et al., 2003).
At the warehouse we were told what we were
doing was not right. We got more information. We
got to see the numbers. Quality problems. That THE SOMATIC DEVELOPMENT
was a shock for me because the people did their OF ACTION RESEARCH
best and they were never told. This factory is our
bread. If it goes bad with the factory, it goes bad
with us. Action research at the individual, group and
organizational levels has been invigorated in
The subsequent transformation of the com- recent years by more robust cognitive frame-
pany involved a unifying vision, captured in works for understanding collective problem
the slogan ‘competing for our future’. It was solving, by the development of routines for
implemented by a mix of ‘hard’ and ‘soft’ self-monitoring and self-reflection, by inter-
changes. The hard side of change involved ventions that enable and encourage the inte-
restructuring, asset sales, and staff reductions, gration of multiple stakeholder viewpoints,
along with the formation of business units and and by even further interventions of an
the introduction of profit and loss accounting organic nature that allow people to learn both
and responsibilities. On the soft side, Gunning from and through their bodies as they
created a community of over 120 leaders at encounter novel settings and challenges. Yet
every level of the company, and through a another line of innovation can be found in
series of periodic gatherings – in the forests of recent developments in the neurophysiology
the Ardennes, mountains of Scotland, and of the brain, and in particular, in new insights
deserts of Jordan – led his team through multi- into the role of emotions in decision-making
day dialogues for purposes of personal and and the importance of secure attachments
organization development. An annual learning both among individuals and between individ-
conference engaged the two thousand employ- uals and their organizations in promoting
ees in community building as well. The results: effective action research.
double-digit growth and deep and lasting While psychologists had been studying the
bonds formed within the company. interplay between cognition and emotion
The change process was documented with since long before Lewin, recent develop-
an action research methodology called a ments in neurobiology have provided a more
‘learning history’ (see Roth and Bradbury, robust basis for articulating those dynamics.
Chapter 23 in this volume). A learning history The neurobiologist Antonio Damasio, in his
84 GROUNDINGS
seminal work, Descartes’ Error (1994) stream of positive somatic markers they move
provided new evidence that emotions are inte- toward a general state of joy. Their bodily sys-
gral to human decision-making. Patients in his tems exhibit smooth equilibrium, flexibility,
studies who had suffered damage to the emo- readiness for and openness to new experi-
tional centers of their brain were shown to be ence and learning. By comparison, when an
capable, for instance, of describing multiple ongoing stream of negative somatic markers
routes from the doctor’s office to their homes is experienced, the body reacts self-protec-
and of exploring the pros and cons of each, but tively, gets ready to fight or flee, is less
were incapable of making a choice as to which flexible and less open to novel experience
route to take. Damasio theorized that human and learning. Finally, he noted that somatic
preferences are built up over time in part by the markers do not control individual behavior
accumulation of somatic markers, that is, directly. Our cognitive frameworks and rea-
changes in body states (heart rate, muscle con- soning skills can intervene, allowing us to
tractions, etc.) that accompany ongoing experi- put our urges and feelings in context, and in
ence, the memories of which are also stored in many cases to choose a more adaptive course
the brain. As the individual encounters new of action than our emotions would invite.
events that evoke memories of old ones, the act Damasio’s findings can also be combined
of doing so re-engages not only the cognitive with attachment theory (Bowlby, 1969,
memory of them but also their associated 1988) to generate important insights into
somatic markers, and the brain reads the latter human collaboration, because the generation
changes as feelings (Damasio, 2003). Somatic of positive and negative somatic markers is
markers vary in the valence of the feelings they integral to the formation of human relation-
induce. Experiences with rewarding or adap- ships as well. Attachments to primary care-
tive outcomes generate somatic markers that givers in childhood are so important from an
produce positive feelings and encourage fur- evolutionarily adaptive viewpoint that even
ther engagement in similar scenarios. Those the temporary loss of attachment can gener-
with negative outcomes generate somatic ate powerful anxieties, i.e. negative somatic
markers that produce negative feelings and markers. Consequently, children learn to
encourage fight, flight or other defensive reac- accommodate to their caregivers’ styles in
tions to similar scenarios. Thus, new events in order to maintain their attachment to them.
a person’s ongoing experience constantly Caregivers who are both sensitive and instru-
evoke somatic markers that remind the indi- mentally supportive equip their children with
vidual in the exquisite shorthand of feelings, the capacity to be both sensitive and support-
and often subconsciousnessly and far more ive to others. Those who are too wrapped up
quickly than conscious reasoning, of the qual- in their own emotional worlds to maintain
ity of his/her experience of similar events in consistent emotional sensitivity to their
the past. Those feelings in turn provide us with children induce the latter to become preoccu-
our preferences and priorities. To wit, pied with their caregivers’ emotions and lose
‘Emotions steer the decision-making process capacity to deal realistically with difficult sit-
based on the net valence of past experience’ uations on their own. Those who have sur-
(Neilsen et al., 2005: 309). vived their own upbringing by blocking their
Damasio found that not only new experi- emotions induce their children to do so as
ence but also the very process of remember- well. And those who behave destructively
ing past events or imagining new ones and erratically raise children whose own
derived from them re-engages somatic mark- capacity for attachment is driven by fear and
ers. The same parts of the brain are activated disorganization.
regardless of the source. Moreover, he While most healthy children grow up
hypothesized that, for whatever reasons, with at least some training in maintaining
when individuals experience an ongoing and enhancing secure relationships, they also
are likely to have learned to use the other community, and contributes to broad cultural
styles in dealing with less sensitive care- and organizational enfeeblement. Quite aside
givers. Moreover, there is a growing body of from these arguments, here we want to point
research to suggest that people learn to out the potency of the technique from a
use all four styles in their relationships neurobiological perspective.
with romantic partners (Bartholomew and The multi-phase process starts with the
Horowitz, 1991; West and Sheldon-Keller, selection of a positive topic, one that focuses
1994), other members of groups to which on the best of what is in the organization and
they belong (Eldad and Mikulincer, 2003; especially the best of what people have experi-
Mikulincer and Schaver, 2001), as well as enced with respect to the particular issues
with their organizations (Neilsen, 2005). being addressed. The participants involved in
Consistent with Lewin’s premise that behav- the activity then interview each other in an
ior is a product of both personality and envi- appreciative manner, helping them relive the
ronment, they may use different styles under experience in the moment and articulate the
different conditions at any of these system conditions that allowed it to occur (Discovery).
levels. Subsequent phases involve the sharing of the
The implication for action research as an interview data and the building of common
egalitarian, collective problem-solving activ- visions for the future (Dream), its use as a basis
ity rooted in interpersonally sensitive and of collaborative redesign (Design), and action
mutually supportive dialogue is that things planning to implement new organizational
will go better when those involved experi- practices that will increase the incidence of
ence secure relationships on as many levels positive experiences in the future (Destiny).
as are relevant to the activity. Conversely, From a neurobiological standpoint, the
defects in the underlying quality of their rela- potency of the technique comes from the like-
tionships in the context of an action research lihood that the appreciative interview process
activity can divert energy from collective at the beginning of the intervention cycle
thought and experimentation and turn it evokes robust streams of positive somatic
inward toward defensiveness and rigidity. markers in the minds of everyone involved
While most students of action research have (Neilsen et al., 2005). That, in turn, elicits the
yet to integrate the implications of these experience of secure attachments among par-
ideas into their theorizing, the perspective ticipants, thereby freeing their energy for
they provide lends new insights into one of mutual learning and exploration. Perhaps
the field’s more promising techniques, appre- most important, it also increases tolerance for
ciative inquiry (Neilsen, 2005) the discomfort that normally accompanies
Appreciative inquiry (see also Cooperrider any redesign effort. As noted earlier in this
and Zandee’s and Ludema and Fry’s articles chapter, new designs and their juxtaposition
in this handbook for detail) was born as a against current realities create almost
reaction to the encroaching rationalization of inevitable tensions, often calling for actions
OD technology in the 1970s and 1980s. that shift resources and reconfigure individual
Appreciative inquiry is touted as unleashing advantages and opportunities. Just as children
positive conversation and change, unseating in secure relationships with their caregivers
existing reified patterns of discourse, creat- are capable of sustaining momentary sep-
ing space for new voices and discoveries, arations and of returning to exploratory play
and expanding circles of dialogue to provide once their caregivers have returned (Ainsworth
a community of support for innovative and Bell, 1970), organizational colleagues
action. Traditional problem-solving approaches, who have secure relationships with each other
by contrast, promote deficit based thinking are more capable than their less secure coun-
that contains conversation, silences marginal terparts of holding the discomfort brought on
voices, fragments relationships, erodes by the need to re-examine old assumptions
86 GROUNDINGS
and experiment with new perspectives and others are finding opportunities to
behaviors, and of moving on more quickly to create new institutional forms that reflect
create new and more consistently satisfying deeply held values while simultaneously
organizations. serving their shareholders.
While not always acknowledged expli- For those companies seeking to do the
citly, one might argue that highly effective right thing, however, there are many obsta-
action research activities have always cles. Even after getting technology right –
attended to the need to create a positive say in the form of hybrid energy or sustain-
atmosphere and establish mutually sensitive ably harvested wood – there remains the
and supportive relationships either as a pre- even larger issue of the cultural change
lude to or concomitantly with more intellec- required inside the organization and rever-
tual activities. The more recent work reported berating through its salient stakeholders.
here provides an incentive to revisit past Many companies concerned with sustainabil-
interventions for further insights into how ity have not created the conditions for a
positive somatic markers and secure relation- sustainable culture.
ships can be produced. The insights of Lewin and the socio-tech
school, and the processes that build on them,
such as community building and appreciative
WORKING FOR THE WHOLE: inquiry, are as relevant today as in the past.
OD IN THE FUTURE In the arena of sustainability, the application
of action research to change in organizations
From its original focus on discrete teams could come to be useful for the broader
inside one organization, we see action research world. Even as technical insight about what
applied to work moving outside the organiza- is required to create sustainable enterprise in
tion to embrace the larger world that organi- a sustainable society accumulates, there has
zations affect. Newer methods engage large been too little attention to human, behavioral
numbers of people, involve gatherings of factors that support sustainable change on the
people from all parts of the world, and even massive scale required to move us from the
send people on journeys to remote parts of exploitive industrial era to the possibility of
the world, not to mention engaging them vir- sustainability. Changing behavior is rarely
tually through the web or teleconferencing. easy. Lewin located change inside a force-
This is essential as organizations and their field with positive and negative forces.
members are grappling with a broader, Launching initiatives and maintaining
global, and much more complex set of chal- momentum is a great challenge.
lenges and needs than ever before.
While spread across regions and time
zones, additional concern for broader DEVELOPING A GLOBAL
stakeholder engagement and satisfaction is COMMUNITY AT WORK
coming to be integrated with perennial con-
cerns about profit. We see the trend toward The case of Unilever is one example of a
this broader mandate, often referred to as a company trying to effect the behavior change
concern for sustainability, among diverse necessary to support sustainability. When
companies such as Dow Chemical, Honda, Tex Gunning was transferred from Holland
HP, GE, IKEA, Toyota, Unilever and Wal- to Asia, community building in Unilever
Mart, to name but a few. Naturally, some began to span the globe. Some 250 leaders
firms are rightly criticized for seeking to from Asia began to join with westerners in
avoid real change, by ‘greenwashing’ or annual learning journeys aimed at creating
buffering their business from external community in the company. These were
pressures with symbolic gestures. Yet tribal gatherings in that leaders typically
woke at dawn, dressed in local garb, exercised of their company (Mirvis and Gunning,
or meditated together, hiked from place-to- 2006). Knowledge of and exposure to human
place, ate communally, swapped stories by and environmental calamities can of itself be
the campfire, and slept alongside one another a ‘wake-up call’ and stimulus to fact-finding
in tents. In daily experiences they might meet and action. But consciousness-raising
monks or a martial arts master, talk with requires some internalization of the problem-
local children or village elders, or simply at-hand and the placing of one’s self psycho-
revel in the sounds and sights of nature. logically into the situation (Prochaska et al.,
Considerable time along the way was spent 1994).
in personal and collective reflections. On the journey to Sarawak, for instance,
The Asian leaders tried to ‘get into the the Asian leaders experienced, firsthand, the
skin’ of others. Shared storytelling was part terrible costs incurred in the clear-cutting of
of this. ‘In listening to other people’s stories, tropical rainforests. They first learned about
you hear your own story,’ remarked one the state of the natural environment through
leader. ‘Other people’s stories often clarify a talk by a director of a global natural
things in your own mind – what your past is resources group. Then, to get closer to the
and what drives you.’ Sharing such stories scene and symbolically lend a hand, the
established bonds of mutual understanding execs cleaned a nearby beach of industrial
and empathy. The leaders were urged to self- flotsam and tourist trash. A trip upriver in
reflect in group discussion, and be aware hollowed-out wooden canoes took them to
of their filtering and judgments, in service of the village of the Penan. There they met vil-
emptying oneself of what gets in the way of lagers and hunters, in tribal dress and loin-
truly hearing another person. On their jour- cloths, talked through translators to the chief,
neys, the leaders sometimes spoke in smaller, medicine man, and tribesmen, and took a
15-to-20 person groups, and sometimes as a long walk with them through their clear-cut
full community of 200 plus, all sitting in a forests. The reflections of one leader exem-
circle, with everyone given the opportunity plify the impact of this experience:
to speak, irrespective of rank or tenure. The
expectation was set to speak openly and The beauty of the nature and the majesty of the
frankly, and to deal with the ‘difficult issues’ place helped deepen our insights about our roles
that would otherwise be avoided or denied. as leaders and individuals on this earth. To be in
the jungles of Borneo helped us feel and see the
There was also space for ‘process comments’ – potential in this region, almost feel and touch the
observations about how the collective is vision. We were able to move from discovering self
operating – and periodic moments of silence to building a mental picture about the future with
so that leaders could reflect quietly on what’s a clear direction of where you want to go and
been said and what they next wanted to say. where you want to be.
The leadership community evolved to a
stage where leaders could talk about sensi- This, in turn, led to calls to incorporate sus-
tive subjects, like ‘saving face’, and confront tainability into regional strategic plans.
the assumptions and cultural values behind The next year these leaders traveled to rural
each others’ points of views. ‘Whilst there China. Here they worked side by side with
are differences in our appearance, speech and manual laborers as they swept streets, herded
food,’ said an Indian manager, ‘sharing inner buffaloes, formed cement building blocks.
most feelings and fears so openly has bonded They also led schoolchildren in play. Still
us emotionally.’ others repaired bicycles, built roads, cooked
On a collective scale, the Asian leaders’ noodles. The business leaders met villagers in
journeys were consciousness-raising experi- rural China whose income was less than US
ences, aimed at stimulating inquiry into lead- $125 per annum. ‘Seventy per cent of our 140
ers’ personal missions and the very purpose million is similar to the family of the man I
88 GROUNDINGS
met today,’ said a Pakistani, ‘while only 5 ‘This man who had lost two of his family
percent has a lifestyle similar to mine. I need members told me how God has been kind to
to respect them and to value them for who him – his neighbor had lost all of his five
they are and what they deliver to all of us.’ family members. He made me realize that
An Indonesian added: ‘I am Asian, 40 years there is such goodness in simple lives –
old, living in a country that is 80 per cent where I have never bothered to look.’
rural, but I have never planted a tree nor What did this soulful work teach the lead-
talked to rural people who buy our products ers? ‘We listened to the fears and hopes of
everyday. This is critical when we aim to the mothers, fathers, and children left behind
improve their nutrition, their health, their in this beautiful but devastated country. We
happiness, life and future.’ shed tears of pain, hope, and love,’ recalled
The third year’s meeting in India carried one leader. ‘We shed even more tears when
the consciousness-raising deeper and further. we realized that by simply sharing our spirit
There the leaders were formed into 25 small with them we made an incredible difference
groups to ‘self-study’ communities in India – not only to their lives but also to our own. It
including Mother Theresa’s hospital, the continues to surprise me how care and
Dalai Lama’s monastery, a Sikh temple, service for others helps me discover my own
cloth-spinning communes, ashrams and spir- love.’
itual centers, and so forth. Through reflec- It is far too early to tell how new con-
tions on their experience and collective sciousness and business models will evolve
dialogue, the Unilever leaders came to a new at Unilever. What is apparent is that the
vision of their business. Said one: ‘The com- Lewinian example of practical experimenta-
munities we visited reminded me of an ‘itch’ tion and continuous interaction between
that has been bugging me for the longest researchers and practitioners has informed
time, that is, to give my time and effort to a Gunning’s leadership model and sparked a
cause which is beyond myself (and even change in the way these Unilever companies
beyond my family). I have been blessed so do business.
much in this life that the least I can do is to
help my fellow men. I need to act now.’ In
turn, collective commitments were made to TRENDS IN OD FOR THE FUTURE
pursue a worthy mission that would empha-
size the healthy, nourishing aspects of food Three continuing trends in ODC scholarship
(Ayas and Mirvis, 2004). This would mean allow for the possibility that OD scholarship
dropping several current offerings in the can offer much to those concerned with
market. And it would lead to the launch of a issues of sustainability. In this way OD can
children’s nutrition campaign to bring afford- meet the largest challenge of our generation
able foods to the ‘bottom of the pyramid’. by helping to design the next industrial
In their most recent journey to Sri Lanka, revolution.
where leaders went to offer service following
• Systems thinking – working with the whole
the devastating tsunami, the sense of collec-
system
tive consciousness-raising was palpable. • Relational know-how – engaging people collec-
They spent several days cleaning up debris in tively and fully.
schools and public buildings, helping local • Generativity – defining ourselves through what
merchants to assess inventory and connect we wish to create for the future.
with suppliers, playing with children, and
talking deeply with Sri Lankans, individually Systems thinking – working with the whole
and in large gatherings. The report of a leader system. Since the 1990s, more people from
about his first encounter with a tsunami sur- more organizations have been gathering
vivor illustrates the depth of the experience: inside and across organizations in networks,
partnerships and joint ventures (Crossan and about what makes others tick and how they
Guatto, 1996). Thinking of organizing relate to their world.
through the lens of collaborative learning Still, in the competitive business culture it is
suggests a learning imperative that may difficult to ‘lower the guard’, as one Unilever
allow us to remain adaptive and innovative in leader put it. ‘The initial step of sharing per-
increasingly turbulent environments. As sonal information was difficult,’ he recalled,
much as collaboration is demanded, the aver- ‘But once you sense the value of truly connect-
age organizational member does not learn to ing, building on it seemed relatively easy.’ ‘The
develop collaboration or partnership skills important thing is to engage in the search and
along the course of the traditional Western the inquiry into each other’s cultures and mind-
education. There is, rather, a chasm between sets, and into the relationship we have,’ said
learning to play nicely together in kinder- another. ‘To achieve this, one has to be open
garten and the requisite team development with oneself, understand one’s own basic core
skills required of really understanding and values, and accept other people’s differences
working with the ‘Other’, etc. OD efforts are “as is”. This acceptance needs to be sincere and
therefore often to remediate learning. from the heart; without any prejudice, judg-
Developments in the field of ODC have ments and expectations.’
been bringing attention to how we grow Empathizing is central to what Erich Fromm
change rather than execute change in a more calls the ‘art of loving’ (1956). It too is integral
mechanistic way. For example, Weick has ren- to socialization and growth. Indeed, psycholo-
dered useful Heidegger’s idea of ‘thrownness’ gists posit that just as seeing the world through
for scholars of change (see Boland and another’s perspective helps people to grow
Callopy, 2004). The concept helps remind beyond egocentrism, so empathizing with
us that we find ourselves always, already mud- another is the antidote to human selfishness.
dling around in human systems. We cannot so Kohn (1990), among others, suggests that
easily ‘freeze and unfreeze’ these constantly empathy, more so than sympathy, is the basis
living systems quite as much or as easily as we for the ‘helping relationship’. It is this kind of
might pretend. As such we might help change relational know-how that is essential to devel-
agents think of finding opportunities for oping deep working and personal relationships
change within what is already happening as across peoples from around the world.
we keep our eye on a goal of establishing Generating the future. Recent develop-
collaborative agency. ments in positive psychology (Fredrickson,
Relational know-how – engaging people 2001; Snyder and Lopez, 2002), positive orga-
collectively and fully. The tools of large nizational scholarship (Cameron et al., 2003),
group change and community building have and appreciative inquiry (Cooperrider, 1999,
aimed at engaging at broadening and deepen- see also Chapter 12) assert that efforts to
ing people’s engagement in the change understand human interaction have been
process in organizations and society. The overly colored by ‘deficit assumptions’ about
leaders on Unilever’s journeys, for example, human nature. It would seem timely to help
use personal journaling and dialogue to ask: bring more focus to the positive emotional
‘How am I reacting to this situation? To this elements in people’s engagement and build on
person? What do my reactions tell me about people’s desire to be a partner in something
my own assumptions about life and people?’ that has meaning.
Schein (2003) calls this ‘listening to our- Putting together the idea of bringing the
selves’. At the same time, attention also turns whole system to learn together, developing
to imagining: ‘What has this person’s life deeper relationships among system members,
been like? Why do they see things the way and focusing generative images for the future,
they do?’ This is a different sort of self- a group of scholars was convened to think
listening in which the self makes inferences together about how change occurs in complex
90 GROUNDINGS
human systems. In the following we notice • support positive innovations

that the principles distilled have much in Successful change disturbs the status quo,
encourages the natural course of innovation
common with Lewin’s original formulations.
and supports the evolution of the system as a
whole.
ACTIONALIZING KNOWLEDGE:
SUPPORTING SYSTEMIC CHANGE CONCLUSION
In December 2003, a group of social scien- It has been quipped that the tradition of
tists were invited to gather for a couple of AR/OD is a collection of ‘footnotes to Lewin’
days at Case Western Reserve University. (Bradbury, 2006). Our chapter illustrates that
Co-convened by the Case/Weatherhead indeed OD efforts draw strongly – if not
Institute for Sustainable Enterprise and The always explicitly – on Lewin’s original ideas.
Natural Step, a global, sustainability NGO, Lewin had survived the Holocaust and worked
the goal was to think together about how with a commitment to offer a path away from
change happens in complex social systems. the slaughter of those deemed ‘other’. In a
The group consisted mostly of professors but field in which the relationship between know-
included representation from the World Bank, ing and doing is particularly problematized,
the UN and other ‘think tanks’. Our purpose Lewin offered a path out of the post-Cartesian
was to think together and develop a consensus split that made doing a derivative of thinking.
statement. The question considered was: He reconceived knowing and doing in a cycli-
cal relationship in which the quality of one was
How can we fundamentally change the ways in the quality of the other. Moreover, this was but
which we live and organize work together – with one move in his generally more holistic
all living beings and systems – so that future gen- approach to scholarly practice in support of
erations not only survive but thrive? participative change. From this worldview
and the many practices it bred – from socio-
Over time the conversation boiled down to a technical design to large-scale change efforts,
handful of ideas that together allow us to say: to appreciative inquiry to culture change in
In effective social change we: support of sustainability, to name just those
• address immediate needs, linking them to
that are discussed in our chapter – we see that
larger, systemic issues flourishing workplaces work with these core
Successful change connects single-issue efforts ideas: people are understood to reside within
with the web of political, cultural, economic social fields in which the role of psychological
and environmental factors. as much as physical and physiological forces
• raise awareness of how social systems sup-
port and resist change
are at play. Our default social condition veers
Successful change engages people working at more easily toward autocracy than democracy.
multiple levels – individual, organizational, There are always both opposing and support-
national, international, etc. – in experiencing ive forces that must be addressed for success-
how the status quo is maintained. ful change. Productivity and success ensue
• involve diverse people in partnering for
action
when the individual can help shape the social
Successful change is fueled by a mix of ‘un- environment. Effective action requires partici-
usual’ suspects – from those at the periphery of pation of actors beyond mere conceptualiza-
power to those closer to the center – in co- tion of action. These ideas remain important as
producing alternative futures. we create the organizations of the future.
• elevate expectations
Successful change celebrates many small victo-
Today our challenges are even bigger than a
ries, personal learning and further action, con- human holocaust – between global climate
tinually building momentum to evolve the change and continuing human warfare with
system as a whole. even smarter bombs, all life on the planet is
now threatened. OD practitioners can under- Cameron, K.S., Dutton, J.E. and Quinn, R.E. (eds)
stand that our discrete efforts are also aligned (2003) Positive Organizational Scholarship:
around a large systemic purpose. That pur- Foundations of a New Discipline. San Francisco, CA:
Berrett-Koehler.
pose is the recreation of organizations to give
Coch, L. and French, J. (1948) ‘Overcoming resistance to
life to a truly postmodern era of collaboration change’, Human Relations, 1: 512–32.
and the possibility that life may indeed flour- Cooperrider, D.L. (1999) ‘Positive image, positive action:
ish on this planet for future generations yet the affirming basis of organizing’, in S. Srivastva and
unconsidered. D.L. Cooperrider (eds), Appreciative Management
and Leadership. Euclid, OH: Williams Custom
Publishing. pp. 91–125.
NOTE Crossan, M.M, and Guatto, T. (1996) ‘Organizational
learning research profile’, Journal of Organizational
1 Readers are also directed to William Pasmore’s
Change Management, 9 (1): 107–12.
Chapter 3 in the first edition of the Handbook of Action Damasio, A. (1994) Descartes’ Error. New York: Harcourt.
Research that deals in more detail with the socio-technical Damasio, A. (2003) Looking for Spinoza. New York:
tradition. Harcourt.
Eldad, Rom and Mikulincer, Mario (2003) ‘Attachment
theory and group process: the association between
attachment style and group-related representations,
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Peck, M.S. (1987) The Different Drum: Community Weschler, I., Massarik, R. and Tannenbaum, R. (1962)
Making and Peace. New York: Simon & Schuster. ‘The self in process: a sensitivity training emphasis’,
Prochaska, J.O., Norcross, J.C. and DiClemente, C.C. in I. Weschler and E. Schein (eds), Issues in Human
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Rice, A. (1958) Productivity and Social Organization: West, M.L. and Sheldon-Keller, A.E. (1994) Patterns of
The Ahmedabad Experiment. London: Tavistock Relating: an Adult Attachment Perspective. New
Publications. York: Guilford Press.
6
Continuing the Journey:
Articulating Dimensions of Feminist
Participatory Action Research (FPAR)
Colleen Reid and Wendy Frisby
The primary aim of this chapter is to begin to articulate dimensions of feminist participatory
action research (FPAR). In developing the dimensions, we considered the following ques-
tions: What are the advantages of integrating feminist research, participatory action
research, and action research into a FPAR framework? What epistemological and method-
ological dimensions should be integrated into FPAR? What questions could those involved
in FPAR ask themselves to continually refine and advance how they go about conducting
this type of research? We begin the chapter by providing a brief overview of recent devel-
opments in feminist research. In some depth and with the aid of guiding questions, we then
articulate the dimensions of FPAR that are, in part, based on our experiences. They include:
(1) centering gender and women's experiences while challenging patriarchy; (2) accounting
for intersectionality; (3) honoring voice and difference through participatory research
processes; (4) exploring new forms of representation; (5) reflexivity; and (6) honoring many
forms of action.
With the emergence of social movements Feminist research (FR), participatory action
such as the women’s movement and the research (PAR), and action research (AR) are
peace movement, new and different forms of critical approaches that focus on democratiz-
activism have arisen (Ledwith and Asgill, ing the research process, acknowledging
2000). The ideals of social critique, emanci- lived experiences, and contributing to social
pation, and collective action that characterize justice agendas to counter prevailing ideolo-
these movements have also filtered into the gies and power relations that are deeply gen-
academy and various approaches to research. dered, classed, and racialized. FR, PAR and
94 GROUNDINGS
AR have been critical of the academy’s (Maguire, 2001/2006; Brydon-Miller and

control over knowledge generation practices Wadsworth, 2004; Greenwood, 2004; Lykes
and have struggled with straddling the and Coquillon, 2006). Feminism’s theoreti-
community/academy divide (Chrisp, 2004; cal and epistemological debates, while hon-
Lykes and Coquillon, 2006). oring the agency and lived experience of
We argue that FR, PAR and AR are three women as it is historically and culturally sit-
research traditions that share some mutual goals uated, can serve to strengthen PAR and AR’s
and ongoing dialogue could create synergies ability to understand its communities and the
between them, while addressing their respective implications of an action orientation (Reid
oversights and limitations. Traditionally, PAR et al., 2006). Likewise, participatory and
and AR researchers have seldom seen the action research, with its deliberate and long-
need to focus on how gender shapes the con- standing tradition of advocating action
struction of identities, behavior, and social towards social change, can help feminist
relations, in part, because they believed researchers move out of the academic arm-
women were included in generic terms like chair by engaging in more transformative
‘the community’ or ‘the oppressed’ (Maguire, research that better serves women’s diverse
1987). While PAR and AR are increasingly communities (Meyerson and Kolb, 2000).
engaging marginalized women, rarely are The primary aim of this chapter is to begin
feminist analyses or gender relations fully to articulate dimensions of FPAR. In devel-
considered and women’s activities are some- oping the dimensions, we considered the fol-
times trivialized, ignored, misrepresented, or lowing three questions: What are the
homogenized (Mohanty, 2003; Reinharz, advantages of integrating FR, PAR and AR
1992). FR, on the other hand, despite espous- into a FPAR framework? What epistemolog-
ing action and social change agendas, has ical and methodological dimensions should
been slower in articulating specific strategies be integrated into FPAR? What questions
that can contribute to activist agendas could those involved in FPAR ask them-
(Naples, 2003). Since feminism and women’s selves to continually refine and advance how
studies became instituted in the academy, the they go about conducting this type of
growth and development of highly theorized research? While we hope that this articulation
forms of feminism has, in some cases, dis- becomes a conversation between diverse com-
tanced feminist goals of social change from munity members, practitioners, and researchers,
marginalized groups who feminists initially we acknowledge that we write from within
set out to hear from and serve. As a result, the academy and are linking FPAR’s dimen-
‘many action-oriented feminist researchers sions to theoretical and methodological
have been frustrated by the lack of an articu- debates that at times use complex and spe-
lated framework for translating feminist cialized language. Our aim in including
insights into concrete actions aimed at ‘guiding questions’ is to make the framework
achieving social change’ (Maguire et al., more accessible and open to critique and
2004: xii). revision given the unique aspects of different
We believe that FR, PAR and AR FPAR projects.
researchers would be mutually well served if We identify ourselves as feminist partici-
they became allies. As a result, we are calling patory action researchers, located in the
for feminist participatory action research academy, who strive to conduct research
(FPAR) approaches that build on the strengths towards social justice. We share many
and overcome the limitations of these three privileges as we are both white, heterosex-
research traditions. Not only are they more ual, married mothers from middle-class
powerful as a larger and connected commu- backgrounds who are well educated, able-
nity, but epistemologically and method- bodied, and employed in Canada. At the
ologically they serve to buttress one another same time, we have shared the challenges,
CONTINUING THE JOURNEY 95
difficulties, and rewards of engaging in differences between women in largely

FPAR projects for over seven years with productive ways, although many gaps and
diverse women on low income in political, silences remain. The problem with feminist
academic, and community environments inspired PAR and AR is that theoretical
that are sometimes hostile towards this type stances are not often clearly identified, nor
of research. Before articulating the dimen- do such projects always set out to build or
sions of FPAR that are, in part, based on our extend existing feminist theory.
experiences, we provide a very brief A significant challenge for FR has been
overview of recent developments in FR to the development of methodologies for study-
frame our discussion. ing multiple forms of marginalization. Inter-
sectional theory is based on the idea that
‘different dimensions of social life cannot be
DEVELOPMENTS IN FEMINIST separated into discrete or pure strands’ (Brah
RESEARCH (FR) and Phoenix, 2004: 76). It suggests that we
need to move beyond seeing ourselves and
While there has never been a fixed view on others as single points in some specified set
gender oppression, a unified vision of women’s of dichotomies, male or female, white or
liberation, or a common approach to knowl- black, straight or gay, scholar or activist, pow-
edge production, different approaches to FR erful or powerless (McCall, 2005). Rather,
share a concern for understanding the myriad ‘we need to imagine ourselves as existing at
of ways that gender impacts women’s lives, the intersection of multiple identities, all of
conducting research that is politically and which influence one another and together
ethically accountable, and transforming shape our continually changing experience
unjust power relations. For Ramazanoglu and interactions’ (Brydon-Miller, 2004: 9).
and Holland (2002: 16), what makes the With increased calls for participatory
growing array of feminist methodologies dis- research designs, more attention is being
tinctive ‘is the extent to which they are paid to the importance of insider-outsider
shaped by feminist theories, politics, and roles and remaining reflexive about each
ethics, while being grounded in diverse other’s social positioning, how this shifts
women’s experiences’. The dramatic growth over time and possibly confounds knowledge
in feminist theoretical positions, method- generation and plans for collective action
ological stances, and research strategies is (Lykes and Coquillon, 2006; Reid, 2004a;
viewed as ‘a healthy sign of the vitality of Reinharz, 1992). Some feminist researchers
feminist studies’ (Fonow and Cook, 2005: have explored the unique challenges and
2213). Researchers are now working across opportunities of conducting research with
epistemologies and methods to theorize how women in interpersonal and relational frame-
gender intersects with race, nation, sexuality, works, with some arguing it is necessary to
class, physical ability, and other markers of create close relations, while others warn of
difference in more complex ways (McCall, the risks of building trust, rapport, and dis-
2005). Postcolonial theories, queer theories, closure with participants (Cotterill, 1992;
and critical race theories represent just a few Finch, 1993; Williams and Lykes, 2003). For
of the more recent theoretical developments example, Yoshihama and Carr (2002: 100)
that are raising new questions about how discussed the tensions around participation
gender relations are constructed, sustained, in FPAR for Hmong women in a male-
and resisted (Harding and Norberg, 2005; dominated social order, as the women became
Mohanty, 2003). Ramazanoglu and Holland vulnerable to criticism and rejection from
(2002: 19) agree that FR is challenging con- their own families and neighbors because the
ventional approaches to research, grappling topic of violence was not welcomed by the
with postmodern thought, and articulating community. This illustrates why reflexivity
96 GROUNDINGS
and developing non-colonial research prac- social policy, but FPAR argues that this can
tices are so central (Tuhiwai Smith, 2005). be enhanced through collective action with
What remains unclear is the extent to which women who are the intended beneficiaries of
FR researchers are aware of the growing action. For example, Wang, Burris and Ping
number of FPAR studies that are drawing (1996) used a photo novella methodology so
and building upon the participatory and rural Chinese women who could not read or
action tenets of PAR and AR. write could inform policy makers about their
Nonetheless, FR continues to grapple with lives and health needs. Three policy out-
who is privileged epistemologically and how comes represented action arising from this
this affects the representation of voices and study that challenged patriarchy through the
the interpretations of findings. Questions provision of daycare, midwives, and educa-
about how and who can speak for women of tion for girls.
colour, lesbians, working-class women and By naming and mapping out initial dimen-
postcolonials, for example, continue to be sions of FPAR below, we hope to encourage
pivotal in helping feminists clarify the links stronger links between FR, PAR and AR
between theory, method, and action (Fonow because there is a recognition that ‘existing
and Cook, 2005). Feminists agree that there systems of conducting and evaluating
is a need to develop a range of research research must be reframed if our scholarship
methods that address diversity and diver- is to be consistent with the values we
gence as well as commonalities in women’s espouse’ (Maguire et al., 2004: xvi).
lives (Olesen, 2005), and experimentation
with novel data collection techniques is
important (Lykes in collaboration with the
Association of Maya Ixil Women, 2001/ TRAVELING NEW VISTAS: PROPOSING
2006). Exploring different methods of repre- DIMENSIONS OF FPAR
sentation can help cut across difference to
understand the contextualities of women’s From the outset we caution that we are not
experiences of discrimination, prejudice, and calling for an idealized set of FPAR dimen-
disadvantage and how they are located in sions that are impossible to achieve. We have
their particular social, economic, political, seen researchers discount their work because
and cultural contexts (hooks, 1990; Mohanty, it did not fully engage women in all phases of
2003; Reinharz, 1992; Wolf, 1996). research, for example (Frisby et al., 2005).
Despite a commitment to action-oriented Rather, we hope to acknowledge different
research, FR have been slower to articulate types and levels of FPAR. By presenting
specific strategies that can contribute to such these highly interrelated dimensions,
agendas (Cancian, 1992; Naples, 2003). researchers may be able to reflect upon and
Possibly, those who are most marginalized evaluate FPAR projects as they are initiated,
have questioned the relevance and utility of unfold, and are either sustained, disbanded,
the Western feminist movement and feminist or partially completed. We do not present
theory and have identified with other social these dimensions definitively; rather, we
movements that are more directly action- invite others to critique, modify, connect, and
oriented. Yet Harding and Norberg (2005: 2010) extend them. We envision that each new
point out that social change has occurred due attempt can open up new possibilities for
to ‘politically engaged research on violence engaging in more reflexive, collaborative,
against women, on women’s double day of and transformative FPAR. The guiding ques-
work, and on the costs to men of maintaining tions are not meant to be asked only at the
norms of masculinity’. In these ways, femi- beginning of FPAR; they can be re-visited as
nist researchers can use their power to affect projects unfold and are evaluated.
Centering Gender and Women’s ‘religious’ and considered the prevailing

Diverse Experiences While Muslim males’ interpretations as representa-
Challenging Forms of Patriarchy tive of Islamic views on gender. Ignoring dif-
ferent constructions of patriarchy and gender
Gender and women’s experiences are central as they are historically and culturally consti-
to FPAR in several ways – in understanding tuted will make it more difficult to develop
how different forms of patriarchy create strategic coalitions across difference (Ledwith
domination and resistance, in identifying key and Asgill, 2000; Mohanty, 2003). Therefore,
issues for research, and in giving explicit we argue that focusing on women’s divergent
attention to how women and men, and those daily experiences as embedded in larger rela-
who do not identify with either of these tions of power should be a starting point in
binary gendered categories, benefit from FPAR endeavors.
action-oriented research (or not). Smith
(1992, 1997) draws attention to how social Guiding questions:
relations are embedded and embodied in
women’s everyday activities, and how ren- • What issues are of central concern to girls and
dering them visible can become a starting women participating in FPAR projects and how are
point for political action. Our own research these issues tied to their everyday experiences?
• How are experiences tied to gendered, classed,
showed how some Canadian women living in
and racialized power relations?
poverty internalized oppression and some- • What is the larger historical, cultural and political
times saw themselves as being responsible context that the study is situated within and
for their own situations. When they engaged what are the implications for the research?
in dialogue with other women through a • How will experiences with the issues identified be
FPAR process, they more fully questioned uncovered, interpreted, and collectively analyzed?
how their everyday lives were tied to patterns • How do experiences vary and what accounts for
of subordination within their families, work- this?
places, communities, and society at large, but • What forms of patriarchy exist and how do
their interpretations and plans for action dif- they shape/challenge researcher/participant
fered depending on their age, family situa- worldviews?
• Could challenges to dominant patriarchal norms
tions, ethnicity, and a number of other factors
put participants and/or researchers or others at
(Frisby et al., 2006; Reid, 2004a). risk How will we know this, and what strategies
Such an analysis involves defying ‘patriar- will be used negotiate risk?
chal truths’ that women are naturally inferior
to men and considering how women gener-
ally live in different material and social
Accounting for Intersectionality
circumstances due to gendered power rela-
tions and globalization (Hartsock, 1983; Feminists have argued that additive and inter-
Ramazanoglu and Holland, 2002). Mohanty locking conceptualizations of oppression have
(2003) argues that patriarchy and gender inadequately captured women’s experiences
should not be treated as universal constructs and that intersectional analyses can be produc-
and judged by Western standards, because tively advanced by adopting a FPAR frame-
such analyses often situate non-Western work. A first step towards grappling with the
women as inferior powerless victims who sophisticated analyses of women’s intersection-
lack agency to interpret, resist, and subvert alities is to foster and support sustained, delib-
the contexts shaping their lives in different erate, and open dialogue with research
ways. For example, Barazangi (2004) dis- participants and ourselves. While Ledwith and
cusses how some academic feminists have Asgill (2000) do not explicitly label their
dismissed Muslim women’s views as approach as FPAR, they do offer a model to
98 GROUNDINGS
help create alliances across difference based on that are committed to making diverse
respect for persons who are different, but women’s voices more audible by facilitating
whose interests in social justice are similar. their empowerment through ‘ordinary talk’
Brydon-Miller, Maguire and McIntyre (2004) (Maguire, 2001/2006). The aim is to connect
and Lykes and Coquillon (2006) provide ex- the articulated and contextualized personal
amples of studies at the interstice of FPAR, FR, with the often hidden or invisible structural
PAR, and AR that have problematized how and social institutions that define and shape
power shapes and is shaped across these inter- our lives. This can foster the development of
sections and how crucial such analyses are for strategies and programs based on real life
understanding the complexities of women’s experiences rather than theories or assump-
lives and conceptualizing meaningful possibili- tions, providing an analysis of issues based
ties for activism and social change. on a description of how women actually hope
Exploring these tensions ‘can help reveal to transcend problems encountered (Barnsley
privilege, especially when we remember that and Ellis, 1992).
the intersection is multidimensional and not However, in their poststructuralist cri-
fixed, including intersections of both subor- tique, Cooke and Kothari (2001) argue that
dination and privilege’ (Wildman and Davis, participatory approaches can impose rather
1996; cited in Brydon-Miller, 2004: 9). than alleviate entrenched power relations,
Affirming, attending to, and authorizing the especially if communities are wrongly
voice of the oppressed is dependent on our abil- assumed to be homogeneous. They argue fur-
ity to realize our own First-World researcher ther that local knowledge has been romanti-
roles as oppressors (Brabeck, 2004). Through cized through participatory approaches that
open dialogues with both our participants leave broader exclusionary processes and
and ourselves, we can begin to understand institutions unchanged. Kesby (2005) coun-
the nature of oppression, domination, and ters that while participation is infused with
exploitation as they intersect and interrelate power relations, it can be maneuvered to
with gender, race, class and other forms of challenge more domineering and destructive
advantage and disadvantage. forms of power.
Guiding questions: Power is not concentrated; nor is it a commod-

ity to be held, seized, divided, or distributed by
individuals. It is a much more decentered and
• How can intersectionality be considered and what
ubiquitous force acting everywhere because it
complexities and tensions could this create? comes from everywhere. … Neither is power
• How does intersectionality shape identities, inherently negative, limiting, or repressive;
experiences, and relationships; and how does rather it is inherently productive of actions,
this shift over time? effects, and subjects, even when most oppres-
• What non-colonial collaborative processes are in sive. (Kesby, 2005: 2040)
place to build relations and work across differ-
ences in gender, class, race, culture, sexuality, Like PAR, FPAR researchers argue for par-
ablebodiedness and other markers of difference? ticipatory strategies that involve participants
• How will intersectionality be taken into account in the design, implementation, and analysis
when deciding on research questions, collecting of the research that can be deepened through
and analyzing data, and deciding upon action collective dialogue, even though this can be
plans? fraught with conflict and challenges (Frisby
et al., 2005; Naples, 2003). Collins (1990)
Honoring Voice and Difference suggests that wisdom is derived not necessar-
Through Participatory Research ily from having lived through an Other’s
experiences, but from having engaged in an
Processes
empathetic centerless dialogue with an Other
FPAR is an approach to producing knowledge in which the power dynamics are fluid.
through democratic interactive relationships FPAR researchers hold a great responsibility
in seeking the means through which the have challenged, pushed, explored, and dis-
subaltern can find voice and can be empow- rupted boundaries that have traditionally
ered to represent her own interests (Brydon- been set up by researchers and the researched
Miller, 2004). (Edwards and Ribbens, 1998). They ‘con-
Participatory approaches include the co- tinue to seek authentic ways in which the
generation of the research questions them- subaltern may articulate her experience and
selves, but these attempts often fall short of speak on her own behalf in ways that can be
creating genuinely inclusive, safe, and unbi- heard and understood by members of the
ased spaces of relevance for people who live dominant culture’ (Brydon-Miller, 2004:
on the ‘margins’ of society. This helps to 12–13). Yet tensions are inherent in repre-
explain why FPAR is sometimes rejected by senting women’s voices and experiences
the very people whose lives it tries to explain because questions are continually raised
(Barazangi, 2004; Reinharz, 1992). Yet, the about ‘who has the authority to represent
feminist ideals of using participatory research women’s voices and to what end’, ‘what
techniques to give voice to people’s experience forms of the representation will best capture
and create change by focusing on action aimed the dynamics involved’, ‘who decides
at social transformation have not been fully whether they are credible’, and ‘do represen-
realized. According to Maguire (1987: 35), tations reinscribe rather than transcend dom-
how knowledge is created and who retains inant power relations?’. As Lather indicates
control over the knowledge generation and dis- below, it is necessary to grapple with such
semination ‘remains one of the weakest links tensions to continue to uncover counter-
in feminist research’. practices for less exploitative and more creative
ways of collecting, interpreting, and commu-
Guiding questions: nicating research findings.
• Who is and is not participating in FPAR projects, The necessary tension between the desire to know
how are they participating, and what are the and the limits of representation lets us question
consequences? the authority of the investigating subject without
paralysis, transforming conditions of impossibility
• How will the voices and experiences of women in
into possibility, where a failed account occasions
relation to broader structural conditions be heard? new kinds of positionings. Such a move is about
• How will research questions be decided upon economies of responsibility within non-innocent
and who sees them as being relevant? space, a ‘within/against’ location. (Lather, 2001:
• What opportunities will women have to partici- 204)
pate in all phases of research?
• Could participation put too much of a burden on Diaries and journals; dialogic and interactive
some participants and how will we know and interview formats; participatory workshops;
account for this? poetry, photography, film and art; practices
• Is attention being given to barriers to participa- such as co-writing are just some examples of
tion (e.g. childcare, transportation, language, ‘counter-practices’ being explored in FPAR
inscribed gender roles)?
projects (Brabeck, 2004; Frisby et al., 2005;
• What sources of conflict, power imbalances, and
silences are emerging and how will these be
Lather, 2001; McIntyre and Lykes, 2004;
anticipated and dealt with? Reid, 2004a; Wang et al., 1996; Williams and
Lykes, 2003; also see Fine and Torre (Chapter
27), Chui (Chapter 34), and Chowns (Chapter
Exploring New Forms of 39) in this volume). Yet, ‘we must trouble any
claims to accurate representation to raise new
Representation
possibilities for knowing and for what is
A related FPAR dimension is exploring new knowable’ (Fonow and Cook, 2005: 2222),
ways of representing data by testing the and we cannot assume that women will want
boundaries of prescribed ways of conducting to collaborate and co-construct representa-
research (Hertz, 1996). FPAR researchers tions of their lives (Brueggemann, 1996: 19).
100 GROUNDINGS
While such representations will always be way researchers engage in self criticism and
shifting, partial, and contested, working consciously write themselves into the text
with women to explore the advantages and (Brabeck, 2004; Lykes and Coquillon, 2006).
risks of alternative ways of co-producing At its core, reflexivity is about reflecting on
knowledge is a key consideration in any power, a researcher’s power to perceive, inter-
FPAR project. pret, and communicate about their research
participants (Frisby, 2006; Frisby et al., 2005;
Guiding questions: Reid, 2004a, 2004b).
Feminist action researchers, with their
• What forms of representation of subaltern and explicit commitment to participatory research
other voices are being explored? processes and meaningful engagement with
• Who has authority over representation and how research participants, question deeply their
was this determined? power and positions in the research process.
• How will data be collected, interpreted, ana-
Thus feminist action researchers are placed at
lyzed, and communicated?
• What advantages and challenges are posed
the edges between public knowledge and pri-
through this exploration? vate lived experiences. This ‘liminal’ position
• How might these new forms be received or not only applies to the research process and
resisted in the community, the policy arena, and product, but also concerns researchers person-
in the academy? ally in their own lived experiences (Reid,
• How are forms of representation connected to 2004a). Fine (1994) refers to the liminal posi-
action plans? tion as the ‘hyphen.’ When we opt to engage in
social struggles with those who have been
exploited and subjugated we work the hyphen,
Reflexivity
revealing more about ourselves, and far more
Considering the previous FPAR dimensions about oppression and discrimination. By work-
implicates the role of researchers whether they ing the hyphen, researchers probe how we are
are from within the academy or not. It is in relation to Others, understanding that we are
widely agreed that reflexivity is a principle of all multiple in those relations.
good FR practice, but what it means and how Questioning ‘chosen silences’ as control
it can be achieved is more difficult to pin down mechanisms is central in FPAR (Chataway,
(Coleman and Rippin, 2000; Edwards and 1997). Paradoxically, efforts at working reflex-
Ribbens, 1998; Fonow and Cook, 1991; Hertz, ively may in fact perpetuate silences and thwart
1996; Lather, 1991; Reay, 1996; Rose, 2001). feminist efforts at the authentic representation
Generally, reflexivity means attempting to of both ourselves and our research participants
make explicit the power relations and the exer- (Reid, 2004a). As women and men engaged in
cise of power in the research process. It research for social change, it has been much
involves critical reflection on a number of lev- harder to recognize the times that we have our-
els: the identification of power relationships selves held power over others and possibly
and their effects in the research process; the used our power in disempowering ways. As
ethical judgments that frame the research and white middle-class and educated researchers,
mark the limits of shared values and political for instance, it is essential for us to engage in
interests; and accountability for the knowledge self-education about our own privilege and to
that is produced (Ramazanoglu and Holland, co-create conditions for anti-racist work in
2002: 118–19). Feminist action researchers are order to be able to engage in more equitable
expected to be transparent and attentive to the dialogue with participants of colour.
methodological, epistemological, and political FPAR researchers require a great deal of
influences, contradictions, and complexities in humility, patience, and reflexive dialogue
all stages of research (Ristock and Pennell, between themselves and their participants so
1996). Reflexivity has also come to mean the they can learn from their failures and partial
successes (Williams and Lykes, 2003). By desired is based on one’s social, economic,
working through the struggles of developing and political situations and it can occur at both
relationships, FPAR researchers can learn the individual and collective levels (Reid
significance of tolerance, acceptance, and et al., in press). People with problems figure
humility in the development of reciprocal rela- out what to do by first finding out the causes
tionships (McIntyre and Lykes, 2004). Maguire and then acting on insight (Park, 2001/2006).
(2004) refers to this as ‘shared vulnerability’, a Reinharz (1992) contends that the act of
willingness to examine deeply held beliefs and obtaining knowledge creates the potential for
to try new ways of thinking about gender, sex- change, because the paucity of research about
ism, racism, heteronormativity, and oppres- women accentuates and perpetuates their
sion to explore new ways of being FPAR powerlessness, even though they have agency.
researchers. From this perspective, the begin- It is through action that we learn how the world
ning of the journey begins from within works, what we can do, and who we are – we
(Maguire, 2004). FPAR researchers are in a learn with heart and mind – and this is how we
position to develop truly reflexive texts that can become aware and emancipated. Action is
leave both the author and the reader vulnerable, an integral part of reflexive knowledge, and
so they must think carefully about the intended can be conceptualized as speaking, or attempt-
and unintended consequences of their research ing to speak, to validate oneself and one’s
(Reid, 2004a). Yet with the importance of being experiences and understandings in and of the
self-critical we cannot just ‘write ourselves into world (Gordon, 2001/2006). However, in
the text’; we must also write ourselves into some FPAR studies it is not always clear what
action and activism and use our self-reflections action was taken, by whom, what effect the
to generate actions of self-discovery within the action had, and how all of this was interpreted
research process (Reid et al., in press). This can by different participants over time and space.
become a resource to account for power imbal- Above all, we want to prevent situations
ances while also facilitating and possibly trans- where it is privileged researchers who benefit
forming them. most by publishing the work.
Intersectional theory suggests that agency,
Guiding questions: or taking action, is complex and that women
consent to, resist, and reshape social relations
• What are the intended and possible unintended of power within a complex matrix of domina-
consequences of the research? tion and subordination. Although FPAR no
• What are the power relations within and sur- longer seeks single consciousness-raising
rounding the project and what steps are being events that will inspire all women to action,
taken to level imbalances and mobilize power?
they increasingly recognize that examining
• What ethical issues are framing the research and
its representation?
and enacting action is a fruitful avenue for
• Who owns the research, how will it be produced, theory and praxis (Fonow and Cook, 2005).
communicated, and acted upon? Fraser and Naples (2004) suggest that strad-
• How are the researchers accounting for their dling the more conceptual feminist world with
own social location and insider/outsider status? the action-oriented AR world, while being
• What emotions and struggles are being encoun- unified in similar visions and goals, can be
tered in building relationships? simultaneously theoretical and engaged:
We all know of the theoretical work that, however

Honoring Many Forms of Action brilliant, is so abstract and disengaged that it surren-
ders the capacity to illuminate political practice. But
FPAR projects need to seek clarity about the
the reverse is equally problematic; when scholarship
emancipatory goals for their research while is too immediately political, too myopically focused
articulating how they understand action, on practical application, it loses the capacity to pose
which is a dynamic process. What actions are questions about the big picture. The trick, of course,
102 GROUNDINGS
is to keep both concerns simultaneously in view – implications for their work, and incorporat-
but in such a way that avoids subordinating one to ing feminist voices and visions (Maguire,
the other, and so preserves the integrity of each.
2004). Indeed, the most reasonable response
(Fraser and Naples, 2004: 1106–7).
to overcoming marginalization is to form
Another critical consideration is whether alliances with others concerned with social
individual and local actions eventually link change and democratization (Greenwood,
up to a larger social change agenda. What 2004).
this should look like and what steps could be In this chapter we argued that there are
taken to accomplish this are seldom clear. numerous advantages of integrating FR,
PAR, and AR into a FPAR framework. We
Guiding questions: proposed six initial dimensions with guiding
questions, and invite further dialogue, cri-
• What are the emancipatory goals associated with tique, and refinement. While we remain pas-
the project and how are these being decided upon? sionate about FPAR and believe that it holds
• What forms of action/in-action were being taken many promises, we also recognize that it is
before the project began? not a panacea as it is fraught with tensions,
• What different forms of action are (or could be) challenges, ambiguities, and contradictions.
taken and by whom? The greatest lesson we have learned in our
• What forms of action were unrealized but may own research and from reading about others
be taken in the future? is the importance of living in places of
• Who is benefiting (or not) from the actions being
mutual growth and discomfort, taking action,
taken?
• Are the actions contradictory or being resisted or
and not becoming paralyzed while grappling
too risky/difficult to implement and what are the with important questions (Brydon-Miller and
implications of this? Wadsworth, 2004). Inevitably, the researcher
• Do the actions contribute to a larger social can never ‘get it right’ and we share Chrisp’s
change agenda, and what steps could be taken challenge that:
to accomplish this, if desired?
My hope is that maybe I will get it more right than
the last time. … The tensions require constant
deconstructing, complexities explored and
CONCLUSION acknowledged openly, and dilemmas made trans-
parent. Along with the search for new or uniquely
reworked knowledges, there is an urgent need for
As FPAR researchers we draw strength in a courageous search for and utilization of new
continuing the journey towards linking FR, research processes. (Chrisp, 2004: 92).
PAR and AR. These research traditions com-
plement one another as approaches that are It is impossible to rid ourselves of the legacy
liberating, transformative, and that can, if we of discrimination that shapes every aspect of
act with care and honesty, contribute to new our culture, and we can never truly resolve the
ways of relating, new ways of constructing issues of power and privilege that continue to
knowledge, new ways of confronting privi- affect our interactions with others. However,
lege, new criteria for what is valued in we can hope to remain vigilant, humble, and
society, and new directions for implementing open to instruction (Brydon-Miller, 2004). In
research processes that lead to social justice this process, as FPAR researchers we can per-
(McIntyre, 2000). Maguire (2004) contends haps contribute to the long-term goal of social
that it remains impossible for PAR and AR to change – indeed, ‘the long haul struggle to
be transformative approaches to knowledge create a world in which the full range of
creation until more is learnt about feminism, human characteristics, resources, experiences,
with all its diversity. This involves critically and dreams are available to all of our children’
examining their own multiple identities and (Maguire, 2001/2006: 66).
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106 GROUNDINGS
7
Towards Transformational
Liberation: Participatory and
Action Research and Praxis
M. Brinton Lykes and Amelia Mallona1
This chapter discusses the liberatory and transformational potential of participatory and action
research. We begin by situating participatory and action research within its historical roots in the
majority world. We describe some of the contemporary social realities facing a growing number
of people, particularly the ever-increasing poverty and violent conflicts that shape life for many
in the global community. We argue that the transformational and liberatory goals of participa-
tory and action research offer resources for engaging with communities in challenging these
structural inequalities. Drawing upon the theoretical contributions of liberation theology, we
suggest that a preferential option for the poor and a politically contextualized psychology are
critical to renew participatory and action research to more fully realize the radical changes envi-
sioned by its founders. We conclude with a discussion of the challenges, possibilities, and con-
tradictions facing those seeking to engage in transformational liberatory research within a
globalized world, particularly those of us working within or from the base of university systems
of power and privilege.
During the past 30 years participatory action organizations, public sector and grassroots
research, action research, and participatory organizations and local, regional, national,
research have developed from marginalized and international policy arenas (see Reason
efforts on the part of community residents and and Bradbury, 2001, among others, for a
activists, social scientists, development work- review of the depth and breadth of action
ers, educators, and social movement activists research and its contemporary reach). Yet,
and analysts to ‘legitimate’ fields of inquiry despite these processes of institutionalization
and instruction in major research universities, and growth, social inequalities and structural,
development circles, non-profits, international that is, gendered, racialized, sexual, and
TOWARDS TRANSFORMATIONAL LIBERATION 107
economic oppressions and their intersectionali- SOCIALLY SITUATING OURSELVES:

ties,2 which participatory and action researchers PARTICIPATORY AND ACTION
seek to challenge and transform, are evermore RESEARCH IN SOCIO-HISTORICAL
entrenched. This has not, of course, been a CONTEXT
linear process of unchecked oppression and
success of power-elites but rather a complex As Euro- and Latin American women of dif-
history of resistance – sometimes in the form fering ages, social statuses, and economic
of armed rebellion – and further repression as backgrounds, we have engaged social change
well as of technological shifts that have created and participatory action research projects in a
global opportunities contributing to capital for- range of community-based and educational
mations wherein multi- and trans-national cor- contexts. We have grown increasingly
porate structures have annual profits that alarmed by social realities that define life in
outstrip the GDP of many countries in the the 21st century for the majority of the
majority world.3 It is within this latter context, world’s population, including ‘growing
that is, the majority world, that some of us, transnational inequalities’ (Farmer, 2005:
including the authors of this chapter, have 18). Evidence of these inequalities are found
embraced participatory action research as in, among many others, alarming child death
vivencia. rates from malnutrition and lack of immu-
In this chapter we explore the liberatory nization (2 million each year according to
and transformational potential of participa- UNICEF, 2005) as well as deaths from treat-
tory and action research within the context of able diseases (e.g., tuberculosis, malaria and
our life-work or proyecto vital [life project] as AIDS), these despite the availability of med-
we strive to rearticulate our preferential ical knowledge and technology (see, e.g.,
option for the poor within global communi- Farmer, 2005). Social indicators from the
ties of the 21st century. Specifically, we sug- WHO, UNICEF, UNHCR, and other interna-
gest that a preferential option for the poor and tional bodies offer testimony to the effects of
a politically contextualized psychology are crit- colonialism, patriarchy and global capitalist
ical to developing participatory and action formations wherein the economic, social,
research that more fully realizes the radical political and cultural rights of a majority of
changes envisioned by their founders. We begin the world’s population are denied, excluding
by situating participatory and action research them from access to that which supports
within its historical roots in the majority world well-being (Prilleltensky and Nelson, 2002).
and refer to select social and revolutionary
movements (in Latin America and the United
States) that deeply inform our understanding Contemporary global realities and
of oppression and liberation and situate the
the socio-historical context.
challenges facing us today. We draw on the
theoretical contributions of liberation theol- Processes of globalization are key contribu-
ogy to situate the challenges facing contem- tors to some of these alarming social indices,
porary participatory and action research. We and have a profound influence on how we
turn to liberation psychology to explore the understand the possibilities for transforma-
individual–collective dialectic of liberation tional liberatory participatory and action
and transformation. We conclude with a dis- research today. We understand globalization
cussion of the challenges, possibilities, and as a complex set of economic, social, and polit-
contradictions facing those who seek to ical processes related to increased economic
engage in transformational liberatory partici- trade and international financial independence;
patory and action research within a globalized the proliferation of rapid communication tech-
world, particularly those of us working within nologies; the development of international
university systems of power and privilege. judicial and political bodies; the increased
108 GROUNDINGS
movement of populations across borders; and The Internet in particular offers the
increased cross-cultural influences, particularly possibility of greater access to knowledge
that of industrialized Western nations on globally. This poses particular challenges for
cultures throughout the world (see, e.g., participatory and action researchers who
Friedman, 2000; Kitching, 2001). Among the have been committed to challenging hege-
conflicting legacies and potentials globalization monic knowledge systems and recognizing
offers for transformational liberatory participa- multiple ‘ways of knowing’ (Belenky et al.,
tory and action research are, on the one hand, 1986). Moreover, particular forms of con-
that shifting populations, power structures, and temporary knowledge may circulate more
nation–citizen relationships create new spaces easily through cyberspace than the ‘vernacu-
for advocacy, and rapid communications tech- lar’; Stahler-Sholk (2001) criticizes the
nologies can link organizers across the globe. Internet’s potential as a space in which to
On the other hand, the economic gap between democratize knowledge, noting that it ‘does
rich and poor is growing, and increased global not necessarily ensure democratic equality of
communication both deeply constrains and access for all viewpoints’ (p. 513).
facilitates local processes. In addition, the Internet and other forms of
The increasing interconnectedness of global communication disseminate a particu-
persons and spheres geographically removed lar set of cultural symbols and practices,
from one another is an aspect of globalization affecting individual identity and social sub-
that has influenced the way that people think jectivity. Psychologist Jeffrey Jensen (2002)
about the relationship between the state and suggests that many people in the world today
society, as the traditional nation-state now develop what he calls ‘a bicultural identity’, in
coexists with the concept of global civil which ‘part of their identity is rooted in their
society (Stahler-Sholk, 2001) and has created local culture while another part stems from an
new transnational organizations and actors awareness of their relation to the global culture’
(Smith and Johnston, 2002). Political scientist (p. 777, emphasis in original). Although not all
Richard Stahler-Sholk (2001) observed that: peoples are equally influenced by globaliza-
tion, due to differing access to technologies and
the increasing concentrations of capital and new different lifestyles, this ‘global identity’ is an
inequalities [on a global scale] tend to reinforce a additional force to be engaged in participatory
transnational stratification of classes, changing the
processes of conscientization and transfor-
way power is contested, e.g. in Latin America. …
As economic activity is integrated at a higher level mative change.
on a global scale, the locale of decision-making
power becomes further removed from the social
subjects, creating something like the ‘democracy Defining transformational
deficit’. (p. 505)
liberation from within the
socio-historical context
Alternatively, social movement organizations
are increasingly non-nation-based with mem- Movements for liberation and struggles for
bership drawn from ‘dispersed geographical transformation have deeply informed participa-
locations, encouraging the extensive use of tory and action research throughout their
new forms of communications technology history, which has, in turn, imbued discourses
which enable simultaneous action in diverse generated in a wide range of social and revolu-
places’ (Eschle, 2001: 68). Rapid modern com- tionary movements with multiple meanings. In
munications technologies have contributed to the academy, scholars have sought to distin-
international organizing and advocacy efforts guish liberation from transformation, defining
as diverse as, for example, the Zapatistas in each construct in terms of its user’s ontologi-
Mexico (Stahler-Sholk, 2001) and the United cal and epistemological framework (see, for
States-based International Campaign to Ban example, Gottlieb and La Belle, 1990). Early
Landmines (1998–2005). practitioner-theorists of participatory and
action research and critical pedagogy, including of poverty, oppression and violence, a
Paolo Freire (1970), Mohammed Anisur ‘meta-narrative pluralistic socialism’ (Fals
Rahman (1985/1983), and Orlando Fals Borda, 2001/2006). Drawing upon this work,
Borda (1979; Fals Borda and Rahman, 1991), we distinguish liberation, transformation, and
embraced both liberation and transformation, transformational liberation in the following
to emphasize the need for and commitment manner. Liberation, as influenced by Freire’s
to radical change as a prerequisite for build- ‘states of being’, is understood as partial free-
ing more just societies. dom from oppressive social, economic, and/or
In their analysis of Freire’s discourse, political conditions, whereas transformation is
Gottlieb and LaBelle (1990) suggest that conceived of as a process of individual and/or
Freire conceived of liberation as well as collective change made through conscientiza-
oppression as ‘states of being’. Rahman (1991, tion and praxis. Transformational liberation
see also this volume), however, makes refer- represents a process through which a shift in
ence to the social context when he talks about consciousness is attained through recognizing
transformation. In explaining the lack of suc- individual and collective potential and praxis.
cess of revolutionary movements he described Specific oppressions are dismantled within a
the vanguard’s failure to foster participatory deeply contextualized historical moment and
egalitarian processes that valued the base’s at least partial justice is attained, a process
knowledge and praxis, and questioned whether that is reflective of the ideal state of ‘full human-
sufficient weight was placed on social trans- ity’ described by Freire. In what follows we
formation in people’s revolutionary struggles explore the potential of participatory and
for liberation. He thus implied that liberation action research in the struggles for transforma-
and transformation have different meanings, tional liberation.
but that the processes and outcomes must be
interdependent for radical change to be real-
ized in the other and in the collectivity. Despite PARTICIPATORY AND ACTION
this focus on structural transformation as a pre- RESEARCH: RADICAL
condition for freedom, Rahman (1990) HUMANISM AND STRUCTURAL
remained convinced that the ‘liberation of the TRANSFORMATION
mind is the primary task, both before and after
structural change’ (p. 313). Participatory and action research was con-
In the 1960s and 1970s in Latin America, ceived within the majority world in the 1970s
liberation was associated with taking control and 1980s to systematize and amplify local
over the state through armed struggles (Fals knowledge, transforming it into social
Borda, 2001/2006). Thus liberation and trans- activist movements that contested the power
formation, although understood as two sepa- of elites and struggled for greater socio-
rate realities, were interrelated and both were economic justice, often through collabora-
necessary preconditions for freedom from tion with external agents of change who were
oppression and freedom towards a ‘full frequently based in universities. Participatory
humanity’. Gaventa and Cornwall (2001/2006), and action research and the broad-based
however, suggest that the meanings of libera- social movements of the time were ‘walking
tion and transformation emergent in the early a long road together’ and, in the best of
years of participatory and action research have circumstances, contributed to self- and social
changed in recent decades. Rather than armed consciousness among social actors who
struggle or contesting ‘power over’, contem- constructed participatory and transformative
porary participatory and action researchers grassroots movements towards social trans-
draw on Foucauldian constructions of multiple formation. Participatory and action research
discourses of power, referring to liberation as were thus situated as a resource at the inter-
the creation of an alternative political, social face of radical humanism and structural
and economic model which implies a redress transformation.
110 GROUNDINGS
Critical consciousness as radical greater socio-economic justice (Fals Borda,

humanism 1979). In many ways participatory and action
research reflect one of multiple responses
Writing about participatory and action research through which academic researchers sought to
in the late 1960s and 1970s, Indian and Latin liberate their analytic and critical skills from a
American educators and social change advo- sterile search for ‘knowledge for knowledge’s
cates acknowledged the centrality of Paolo sake’ and engage with the majority populations
Freire’s praxis of critical consciousness, that is, in their struggles for radical social change. In
conscientização [conscientization], for their the United States, the 1960s, 1970s, and 1980s
work. Conscientization is ‘a process of critical were characterized by a wide range of civil
self-inquiry and self-learning and of thereby rights protests and non-violent and sometimes
developing the confidence and capability to violent actions with varying effects on dominant
find answers to questions on one’s own’ power systems. In Latin America during the
(Rahman, 2004: 18, emphasis added). same period massive protests were frequently
Despite an early emphasis on the commu- met by repression and the installation of military
nity’s self-initiative, educators and commu- dictatorships which sometimes gave rise to
nity activists situated themselves as catalysts, armed conflict. Mass-based urban and rural
generating participatory processes that guerrilla movements such as the Nicaraguan
tapped into and engaged local knowledge Sandinista movement (FSLN), the
producers to facilitate their developing their Salvadoran Frente Farabundo Martí para la
own emancipatory practices. Rahman (1985/ Liberación Nacional (FMLN), and the Union
1983, see also this volume) argued that Revolucionario Nacional de Guatemala
people need to develop ‘their own endoge- (URNG) among others challenged repressive
nous process of consciousness raising and state-sponsored violence in struggles for eco-
knowledge generation’ and the ‘social power nomic rights and a redistribution of power in
to determine what is valid or useful knowl- countries throughout Central and South
edge’ (p. 119). Through their own social America.
processes people establish their own collec- These efforts were framed and re-framed
tives and their own verification systems, within wider geo-political and ideological
thereby establishing themselves as ‘fully sci- struggles and much has been written, by those
entific’. Rahman (1990) characterized the within and outside of these struggles, of their
particular contribution of participatory and relative successes and failures. Participatory
action research to transformational processes and action research with survivors of these
as the engagement of people in a process of armed struggles have contributed to critical
‘creative development’ (p. 313), thus align- analyses of these movements. Despite their
ing himself with Freire’s emphasis on per- contributions many of these political organiza-
sonal transformation or what we are tions and armed guerrilla groups were led by a
describing here as radical humanism. vanguard whose vertical structures of power
failed to prepare the base for embracing its
Radical structural change own power.4 In contrast, movements for per-
sonal transformation, including, for example,
Although participatory and action research second wave feminism in the United States
emphasized micro-level, community-based (Rosen, 2000), often achieved goals of con-
change strategies, many early theorists sciousness raising yet failed to interrogate
argued, on the one hand, that micro-level material constraints and power structures, thus
change needed to be situated within an analy- failing to guarantee basic human needs to
sis of macro-level social inequalities, and wider communities of women in whose name
further that participatory and action research these struggles were frequently waged.
were fundamentally concerned with trans- Irrespective of the specific outcomes of these
forming macro-level power relations towards admittedly widely differing struggles for
change, contemporary transformative dis- century. These theologians urged middle-

course and praxis wrestles with and is chal- class and privileged Christians, their brothers
lenged by this legacy. and sisters, to make a ‘preferential option for
the poor’, that is, to align themselves with the
interests of those most marginalized from
INDIVIDUAL CONSCIOUSNESS, power (see, e.g., Boff and Boff, 1986;
STRUCTURAL OPPRESSION, AND Gutiérrez, 1973/1988). This is not only an
ideological commitment but rather, as amply
COLLECTIVE CHANGE
discussed by Gutiérrez (1984/2003), a call to
Paolo Freire’s pedagogy was a critical live among and enter into the life struggles
resource for facilitating local people’s and the spiritual knowledge constructed
appropriation of their indigenous knowledge through journeying at the margins.
systems as they assumed their positions
within struggles to transform their environ- Dialectics of oppression and
ments. His adult literacy programs were a liberation
critical step in majority world community-
based organizing to move from a culture of Latin America, Asia and Africa thus witnessed
silence, fatalism, and resignation to a deep the development of small grassroots efforts
questioning of old values and the creative for social change wherein outside catalysts,
development of new forms of social organi- including religious workers, participatory and
zation. A parallel ideological force that has action researchers and development workers,
informed many community-based struggles accompanied local communities working to
for transformation during the 1960s and improve their quality of life. Mary Ann
1970s and that continues to inform current Hinsdale, Helen Lewis, and Maxine Waller’s
discourses was liberation theology. work with communities in Appalachia (1995)
offers a concrete example of participatory
research deeply informed by liberation theol-
Liberation theology and praxis ogy and a gender analysis within the US con-
text. Despite this example, often missing from
According to Philip Berryman (1987), libera- these early efforts was a critical analysis of, on
tion theologians sought to interpret Christian the one hand, the complex interface of colo-
faith ‘through the poor’s suffering, their nialism, racism and gender oppression, and,
struggle and hope’. Leonardo Boff and on the other, an understanding of the ways in
Clodovis Boff (1986) date the emergence of which the oppressed, often people of color,
this theological discourse and praxis to early indigenous peoples, and women, had internal-
efforts of Latin American Catholic and ized the images of themselves held by the
Protestant clergy and laity to re-read Biblical white male dominant culture (see, e.g. Cone,
texts through the lens of the majority popula- 1970; Fanon, 1967, 1968; Martín-Baró, 1994;
tion’s experiences of marginalization and Moane, 1999; Ruether, 1983, among others).
exclusion. Many of these religious workers As importantly, infusing these analyses into
lived and worked among the poor, many of participatory and action research can correct
whom had begun to organize against the for what Bell (2001) has described as the
scandalous effects of development. They absence of race and what Maguire (2001/2006),
were informed by critical sociology and Cornwall (1996, 2001, 2003), Crawley (1998)
Marxism which provided lenses through and Lykes and Coquillon (2006) have found to
which to analyze traditional hierarchies of be a problematic positioning of gender. They
power and the rampant development of cen- have documented how ‘[f]or many involved
ters of economic power within the Northern in participatory research or action, gender is a
hemisphere that increasingly marginalized footnote, rather than a place from which to
those at the periphery in the early to mid-20th begin the analysis’ (Crawley, 1998: 25).
112 GROUNDINGS
Liberating psychology for liberatory well as the discourse of dominant white

praxis societies, and infiltrated the unconscious of
blacks, intruding through dreams and
Liberation psychiatrists and psychologists expressing themselves in phobias, symptoms
clarify the complex dialectic of the intra- and or neuroses. He demonstrated how one effect
interpersonal and structural processes that of the trauma caused by the institutionalized
facilitate and constrain the potential for self violence of colonialism was blacks’ profound
and social transformation among majority experiences of depersonalization in repressive
populations. Basque-Salvadoran social psy- colonial cultures. Fanon thus identified the
chologist Ignacio Martín-Baró (1994) processes that constrained blacks’ capacity to
posited that a psychology that could explain grasp the mechanisms of oppression within
and contribute to transforming the marginal- themselves and in their surrounding realities,
ization and impoverishment of the majority adding a critical dimension to Freire’s theory
population should include: (1) a focus on the of conscientization and education for trans-
liberation of the collectivity as well as per- formation by facilitating our understanding
sonal liberation; (2) a new epistemology of the ways in which a group could thwart its
wherein the truth of the popular majority is own potential for liberation.
not to be found, but created, that is, wherein Parallels can be seen between Fanon’s
truth is constructed ‘from below’; and, (3) a and Martín-Baró’s work and that of African
new praxis, wherein we place ourselves within American and black psychologists who also
the research-action process alongside the dom- draw heavily on black liberation theology
inated or oppressed. This articulation of a ‘lib- and on Africanist religious traditions (see,
eration psychology’ rooted at least in part in among others, Gordon, 1973; Ajani ya
Freire’s pedagogy (1970) and in liberation Azibo, 1994). A commonality among these
theology (Gutiérrez, 1973/1988) shifted the is the shift of psychologists’ attention to the
focus of psychological research and practice systemic or structural dimensions of the
from the isolated autonomous individual to a identified problem or concern, rather than
contextualized, historical agent-in-commu- its more typical focal point, that is, the
nity. For example, in one of his many essays, individual victim abstracted from a multi-
Martín-Baró deploys the critical analytic tool layered social, historical and cultural context.
of de-ideologization to deconstruct the fatal- They stress further the need to de-ideologize
ism of the Central American peasant. His reality, that is, to peel off the layers of dis-
analysis of the repressive labor practices of course that naturalize violence and struc-
global capital contributes to a critical under- tural poverty, reducing the oppressed to an
standing of the peasant’s practices of resis- object who possesses ‘problems’ (including
tance, all too frequently obscured by neuroses and psychoses) and ‘traits’ (e.g.,
situating him as primarily or exclusively fatalistic), and negating the complex subjec-
‘oppressed’ and by a psychologization of his tivity and sociality of these historical
‘personality traits’ (Martín-Baró, 1994, see agents.
especially Chapter 12, pp. 198–220).
Psychiatrist Frantz Fanon (1967, 1968),
living and working in his native Martinique, DEVELOPMENT: LIBERATORY
in France, and in Algiers, resituated human DISCOURSE AND THE POLITICS
psychology within sociopolitical and histori- OF CHANGE
cal forces, demonstrating that human neuro-
sis was rooted in specific historical and As argued above, the 1960s and 1970s
political consequences of colonization, not in were characterized by mass-, community-,
intrapsychic dynamics (Bulhan, 1985). He and issue-based social movements and
argued that derogatory images of blackness armed struggles for social change. These
were constitutive of the social structures as were most frequently met by repressive
counterinsurgencies and the installation of Transformation, which focus on local commu-

dictatorships, frequently funded by the United nities’ indigenous knowledge and rely heavily
States and Europe, often in the name of on Freire’s pedagogical decoding practices.
‘National Security’ and/or as a defense against Many economic development, humanitar-
the spread of communism. The latter half of ian aid, and crisis intervention workers
the 20th century saw selective shifts in strat- engage significant numbers of people in
egy, characterized by, on the one hand, mass small local projects while the majority of the
genocide and gross violations of human world’s resources continue to be controlled
rights, and, on the other, an interest in using by a handful of people (UNDP, 2006). A vast
human rights discourse to protect civil and literature has emerged documenting and
political rights within developing and estab- evaluating individual development projects
lished democracies. As the number of armed and the ways in which they have or have not
struggles and mass-based movements for contributed to social change (see Institute for
social change receded and the neoliberal pro- Development Studies (www.ids.ac.uk),
ject took hold in the developing democracies, among others). Despite local contributions
the majority population was met by a civilian there is little evidence that the cumulative
army of international development workers. effect has either redressed social inequalities
International funds were available to local or reduced structural violence. Critical analy-
communities, particularly in rural areas of ses of these community-based efforts further
Latin America, India, and Africa. The dra- interrogate an essentialized discourse of ‘the
matic growth of non-governmental organiza- poor’ and ‘women’ (see below) as well as the
tions in these areas in the latter half of the universality of democratic participation
20th century, among other indicators, sug- (Cooke and Kothari, 2001), questioning the
gests that the presence and influence of discursive practices of liberation and trans-
development programs shifted dramatically formation within these applied settings.
in this period. Minimally these critiques assert that the
Much participatory and action research meanings of liberation and transformation in
within the context of local communities in the the late 20th and early 21st centuries are not
majority world has been carried out as part of those of the mid 20th century and challenge
community economic or participatory develop- development workers to re-situate their work
ment processes. Participatory and action in radical praxis (Hickey and Mohan, 2005).
research strategies, such as participatory rural In the following we explore the challenges
appraisal (PRA) and farmer participatory facing those seeking to interrogate current
research (FPR), as well as people-centered praxis towards transformational liberatory
development movements (see, e.g., Korten, participatory and action research.
1990, cited in Roodt, 1996), have been impor-
tantly constitutive of community development
efforts over many years (see Chambers, THE MORE THINGS CHANGE, THE
Chapter 20 in this volume). In Latin America MORE THEY STAY THE SAME:
the work has been and continues to be strongly WHITHER PARTICIPATORY AND
influenced by Paulo Freire’s critical pedagogy ACTION RESEARCH?
and his theories of conscientization and
empowerment. Similar approaches that assume As suggested above, critical pedagogy
that knowledge generates power and that (Freire) and liberation theologies (Berryman,
people’s knowledge is central to social change Boff, Gutiérrez, Ruether, Cone) and libera-
emerged in Asia (Fals Borda and Rahman, tion psychologies (Martín-Baró, Watts and
1991) and in Africa (see Hope and Timmel, Serrano-García, Moane) emerged within rel-
1984–2000). An example is Anne Hope and atively similar historical moments character-
Sally Timmel’s (1984–2000) 4-volume series ized by widespread social upheavals
of popular education resources, Training for including armed struggle and broad-based
114 GROUNDINGS
non-violent social movements. Although and transformative praxis while benefiting

differing not only in the professional lenses from an academy that sustains oppression
through which they analyzed their work and social inequality.
among the marginalized and the social con-
texts in which they emerged, the initiatives Amelia
sought to develop solidarity between the edu-
cated, professional elite and poor and margin- I have found teaching participatory action
alized populations of the majority world. In research and social change challenging, even
each context the challenge was to move among a constituency and within an institu-
beyond the professional responsibility to pro- tion that provides fertile terrain. In the
vide charity through a welfare system or state School of Human Services at Springfield
(in the Northern Hemisphere) or economic College, we require facilitation of a commu-
development (in the Southern Hemisphere), to nity project across three consecutive terms to
a transformational praxis (see Hope and provide students with practical experiences
Timmel, 1984–2000, for further discussion). in addressing social issues. Although the
Through theory and praxis participatory and course is directly designed to promote per-
action researchers as well as liberation theolo- sonal and collective transformation, I found,
gians and psychologists sought to demonstrate to my surprise that it is one of the most anx-
how the oppressed could be producers of iety producing courses for students and more
knowledge and creators of a new reality. difficult to teach (see also Shirley, in
Stackpool-Moore et al., 2006: 30). Each stu-
Contemporary trends: Reflections dent’s readiness to commit to a community
process differs greatly. Moreover, students have
on participatory and action
a variety of experiences, knowledge and skills
research in the academy
in guiding a participatory process. Also some
Despite these roots in a discourse of libera- students have a profound internalization of the
tion and transformation, participatory and ‘banking’ model of education, overvaluing a
action research, and even liberation psychol- rational way of knowing and operating due to a
ogy and theology, are increasingly taught and sense of hopelessness around solving systemic
applied within institutional settings (e.g., social problems. In addition, traditional criteria
schools, hospitals, industry, etc.) or within for grading non-traditional courses present pro-
international and humanitarian aid contexts found contradictions for me as an instructor and
in the service of welfare and/or development. are a major source of anxiety for students. For
Moreover, as our own experiences teaching example, how does one grade a ‘failed’ project
participatory and action research in the acad- in which a student’s own process of transfor-
emy suggest, these shifts create new contra- mation has been significant?
dictions and challenges. Amelia lived and Upon reflection on these experiences, I
worked in Nicaragua prior to completing her recognized the importance of scaffolding the
PhD in the United States and entering a US- teaching-learning process (see Stackpool-
based university that serves primarily first Moore et al., 2006). I have added a prelimi-
generation college students of color. Brinton nary step of asking students to reflect on
has divided her time over the past 30 years issues that affect them personally and then to
between community-based participatory action contextualize the issue within a broader per-
research in war zones of rural Guatemala, spective. I have found that it is easier to
Northern Ireland, and urban South Africa or engage a student in action toward social
among peoples of color in urban Boston and change when it relates to an issue in which he
teaching in a Boston-based elite private or she is invested. One student, a mother who
Catholic university. We describe briefly was concerned about her teenage children,
some of the contradictions experienced by successfully engaged in a project to prevent
those of us who seek to engage a liberatory teenagers from entering gangs. For her, a
very personal concern grew to a deeper under- confront students today and to creatively
standing of the social and structural causes explore how participatory and action research
underlying that ‘problem’. The challenge for as vivencia can contribute, at least in some
all of us is then to go beyond small local pro- partial way, to their critical self-understand-
jects to a systemic approach which recognizes ings and to their potential future embrace of
the global context and connections. this praxis. We are challenged by these practi-
cal limitations as we seek to extend the praxis
Brinton of liberation and transformation from the base
of the university and we discuss below
Participatory Action Research is an ‘elective’ some of the structural contradictions that
in Boston College’s Lynch School of shape these concrete experiences.
Education, although it regularly attracts a
diverse group of students within and beyond
the school. Through an ongoing partnership The power of the professorate
with a Boston-based NGO, Cooperative
Economics for Women, and my ongoing col- In a 1985 article Anisur Rahman suggested
laborations in Guatemala, seminar participants that despite its successes at inverting the
have opportunities for deep engagement in assumption that knowledge can only be pro-
nationally or internationally-based local com- duced within the academy, participatory and
munities. In these contexts students are chal- action research failed to invert a second set
lenged to interrogate their power and privilege of assumptions fundamental to its praxis,
reflexively and to risk ‘just enough trust’ to leaving intellectuals in their positions as con-
develop relationships and facilitate participa- sumers of material production rather than
tory work in the borderlands between US- followers of change generated by those most
based university power and privilege and directly affected by it. Clarifying their rela-
urban neighborhoods in the United States or tions to power and powerlessness elucidates
rural communities in war-torn countries char- some of the challenges faced by university
acterized by violence and economic uncer- professors who seek to accompany those
tainty. Class and race-based tensions often marginalized from power whose interests
emerge as the insider–outsider dichotomy is differ significantly from their own.
challenged by students from an upper middle Recent critical reflections on Freire’s work
class background seeking to work with ‘the suggest that his pedagogical praxis was
poor’ and students of color seeking to work directed primarily to a group of ‘liberated
within their own identity-based communities pedagogues’ who would carry out liberatory
and within and across social classes. educational projects with the oppressed
There is a growing diversity among those rather than to the oppressed themselves
who enroll in this course including, for (Bowers and Apffel-Marglin, 2005). Esteva,
example, ‘interested bystanders’. Moreover, Stuchul and Prakash (2005) argue, for
graduate students today encounter multiple example, that Freire’s failure to critique edu-
practical challenges including ‘balancing fam- cation itself created another layer of ideologi-
ily, work, and school’, ‘completing a disserta- cal obfuscation of indigenous people’s
tion’, or ‘building a resumé’. The creature knowledge or, the ‘vernacular’. His work thus
comforts of middle class or upper middle class negated the people’s developing understand-
academic privilege often swamp initial enthu- ing that the initiative and the struggle for a
siasm for this work. Juggling the demands of transformational liberation must come ‘from
a university system and the rhythms of rural within themselves rather than from external
Guatemala or urban Boston is also challeng- agents of change’ (Esteva et al., 2005; 24)
ing for learners and teachers. I am constantly and reaffirmed the importance of accessing
challenged to respect the multiple practical educational credentials outside of the com-
burdens and differing personal realities that munity in order to succeed. Both criticisms
116 GROUNDINGS
challenge the sources of liberation within face ‘the disjunction between an accommo-
Freire’s work and importantly resituate and dation to a social system that has benefited us
re-characterize transformational change. personally and a critical confrontation with
Eduardo and Bonnie Duran’s (1995) that system’ (1994: 46). For him this meant
Native American Postcolonial Psychology not that psychologists should abandon their
echoes these considerations, recognizing the profession but rather that they should put
centrality of the soul and psyche, of myths themselves and the profession at the service
and dreams for generating transformative of the ‘poor and oppressed majorities in their
praxis, thereby affirming worldviews that effort to emerge into history, in their struggle
differ fundamentally from those of Euro- to constitute themselves as a new people in a
American societies. These critiques and affir- new land’ (p. 46). Burton and Kagan (2005)
mations dislocate the professional, that is, the caution that liberatory discourse is all too fre-
catalyst, animator, or researcher, reaffirming quently limited to critique and debate, and
the transformational possibilities of indigenous rarely takes the next step towards creative
systems of knowledge and people’s powers as engagement in articulating transformed
knowledge constructors and protagonists of social systems and structures. Moreover,
their own transformation. It challenges those they caution that although it may serve to
of us within the academy that are committed uncover abuse and exploitation, all too often
to transformational liberation to interrogate the root causes of these social problems are
not only our positionality in the collaborative unexamined and the problems return.
participatory and action research processes in Recently, Rahman (2004) urged grassroots
which we are engaging, but also the basic activists to ‘dispense altogether with the term
assumptions of our theory and practice. ‘poor’ and with talk of ‘poverty alleviation’’
(p. 18), arguing that efforts to solve the
‘problem of poverty’ create de facto relations
DISCUSSION of dependency within the current global rela-
tions of capital. In contrast he proposed
We conclude with some cautious responses seven principles that should guide grassroots
drawing heavily on our personal journeys activism, urging those who would develop
within and among Central American, South solidarity to press for a ‘pragmatic collec-
African, Northern Irish, and urban United tivism’ wherein people ‘retain the surplus
Statesian communities and recognizing chal- that they produce themselves’ and develop
lenges facing us in the 21st century. power over the market as laborers, con-
sumers, and producers. He embraces the lan-
Preferential option for the poor guage of empowerment and democratic
participation, through which the ‘subaltern,
As professionals, particularly those of us sit- underprivileged, oppressed’ contribute to the
uated within university communities, we are ‘articulation of an ideological vision of a
challenged to interrogate our personal and more humane world’ (p. 16). Through this he
professional constructions of reality and de- seeks adequate discourse and praxis towards
ideologize our disciplines (Martín-Baró, transformative liberation for these difficult
1994). Rod Watts and Irma Serrano-García and challenging times.
(2003) argued that: ‘Any hope for the forma- Elina Vuola (2002) and Simone Lindorfer
tion of alliances across the divide of oppres- (2006) raise similar critiques about the ten-
sion requires that the beneficiaries of dency of liberation theology to ‘essential-
privilege first critically analyze their status ize’ the poor and feminist theology to
and attend to their own sociopolitical devel- ‘essentialize’ women. Drawing on experi-
opment’ (p. 76). Ignacio Martín-Baró chal- ences in Latin America (Vuola) and
lenged Central American psychologists to Northern Uganda (Lindorfer), they urge a
discussion of praxis among liberation psy- the creation of knowledge from below,
chologists and theologians, one that more knowledge that energizes social movements
adequately responds to the lived experi- (see, among others, Hale, 2007). Many of us
ences of poor women and children. In order also continue to sustain ourselves through
to realize the preferential option for the teaching and learning in mainstream institu-
poor, women’s particular vulnerabilities tions. Within those contexts we participate
related to poverty, that is, specifically, within the global community at numbers of
reproductive health (for Vuola) and vio- levels. We utilize the ‘global identity’
lence against women (for Lindorfer), must described briefly above as a resource for cre-
be recognized and addressed. ating a global sense of community, identify-
Liberation theology and psychology and ing common concerns and common issues,
participatory and action research envision the and articulating global actions that could lead
possibility of transformational liberation. to global solutions. Through a renewed
Work at their interface allows us to imagine commitment to the transformation of individ-
radical change in both our material relations ual and collective consciousness we seek to
of power and powerlessness as well as in our creatively explore the meanings of a ‘new
individual and collective consciousness of humanity’ for all. For example, as university
oppression and liberation. Participatory and professors we organize forums to dialogue
action researchers committed to praxis that about the specific ways in which participatory
moves towards transformational liberation and action researchers can ‘transgress’ institu-
are, little by little, creating some cross-race tional political correctness, voicing the ethical
and cross-class gendered social spaces and moral commitments that enable us to stand
wherein protagonists engage in critically in opposition to structural poverty and violence.
analyzing the interlocking systems of We create daily possibilities for influencing
oppression that constrain and facilitate our institutions that support the status quo (e.g.,
sociality (e.g., Fine, 2006; Fine et al., 2001 universities, hospitals, human services organi-
2004). Those of us with access to university zations) in ways that more fully reflect a radi-
privilege and power are forging some rela- cal commitment to transformational processes
tionships of ‘just enough trust’ through as equal partners with marginalized communi-
which we continually strive to deepen our ties of the majority world.
understanding of the root causes of social ill- Yet, we recognize the limits and partiality
nesses and collectively engage in problem- of each of these efforts and the deep struc-
posing alongside communities historically tural inequalities and gross violations of
marginalized from power and resources. human rights that daily challenge the global
Through creative collaborations some of us majority. We have argued that the preferential
are engaging in dialogical encounters with option for the poor and liberation psychology
ourselves and others from differing racial, contribute importantly to participatory and
cultural, sexual, and social class statuses action research towards a liberatory transfor-
towards developing solutions that we hope mative praxis. Yet we are still ‘making the
will transform material relations and enable road as we go’, ever aware of the contradic-
us not only to enact but to sustain new ways tions described above and that transforma-
of being and doing. tional liberation is a process to be engaged
In order to contribute to redressing power in, not an endpoint or outcome that we have
imbalances in global communities of the 21st achieved. Working within the privileged US-
century we research activists are also seeking based university context positions and situ-
to participate in contemporary social move- ates our praxis, facilitating yet constraining
ments. As importantly we support commu- our preferential option for the poor and thus
nity-, immigrant- and labor-based centers, our engagement in grassroots activists’ strug-
among others, that serve as forums to promote gles for radical social change.
118 GROUNDINGS
NOTES Bulhan, H.A. (1985) Frantz Fanon and the Psychology

of Oppression. New York and London: Plenum Press.
1 The authors thank Erzulie Coquillon for her Burton, M. and Kagan, C. (2005) ‘Liberation social psy-
extensive contributions to this chapter and John chology: learning from Latin America’, Journal of
Gaventa, Roderick Watts, and Simone Lindorfer for Community and Applied Social Psychology, 15:
insightful and thorough reviews of an earlier draft of 63–78.
this chapter. Despite these important contributions, Cooke, B. and Kothari, U. (eds) (2001) Participation:
the authors are fully responsible for the final chapter. the New Tyranny? London and New York: Zed
2 ‘Intersectionalities’ refers to recent writings by Books.
postcolonial theorists, particularly women, who write
Cone, J.H. (1970) A Black Theology of Liberation.
at the intersection of race, gender and class analysis
Philadelphia: Lippincott.
and position themselves critically vis-à-vis these struc-
tures of oppression. Cornwall, A. (1996) ‘Towards participatory practice:
3 Rather than the terms Third World or developing participatory rural appraisal (PRA) and the participatory
world, we use the term majority world to refer to process’, in K. de Koning and M. Martin (eds),
countries outside the US and European orbit and to Participatory Research in Health: Issues and
peoples of color within that orbit. These countries Experiences. Johannesburg: Zed Books. pp. 95–107.
and these groups encompass a majority of the Cornwall, A. (2001) Making a Difference? Gender and
world’s population and occupy a majority of the Participatory Development. (IDS Discussion Paper
earth’s land surface or geographical space. 378). Institute For Development Studies Discussion
4 A well known exception reflected in participa-
Paper. Available at http://www.ids.ac.uk/ids/book-
tory and action and community based research is the
shop/dp/dp/dp378.pdf
experience at El Rigadío in Nicaragua in 1983 (see
Rahman, Chapter 3 in this volume). The project took Cornwall, A. (2003) ‘Whose Voices? Whose Choices?
place at a moment during the early years of the Reflections on Gender and Participatory Development’,
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was still organizing as a movement. Crawley, H. (1998) ‘Living up to the empowerment
claim? The potential of PRA’, in I. Guijt and M.K.
Shah (eds), The Myth of Community: Gender Issues
in Participatory Development. London: Intermediate
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8
Critical Theory and Participatory
Action Research
Stephen Kemmis1
This chapter presents a set of arguments about action research drawing connections to
aspects of the view of critical theory associated with the Frankfurt School, particularly the
work of Jürgen Habermas. It draws together a succession of ideas about action research and
the study of practice that lead me to a new overall view of critical participatory action
research, synthesizing them in a new definition of critical participatory action research – or
perhaps as a new thesis about what it is.
In this chapter, I present a set of arguments In what follows, I draw together a succes-
about action research drawing connections to sion of ideas about action research and the
aspects of the view of critical theory associ- study of practice that have led me to a new
ated with the Frankfurt School (Jay, 1973; overall view of critical participatory action
Wiggershaus, 1994), particularly the work of research, synthesizing them in a new defini-
Jürgen Habermas. In my chapter in the first tion of critical participatory action research –
edition of this Handbook, I described ways in or perhaps as a new thesis about what it is. The
which developments in Habermas’s theoriz- discussion draws attention to specific prob-
ing were refracted in my changing views of lems and issues which I believe to be crucial
action research. In our chapter for the third in understanding the nature of action research.
edition of the Sage Handbook of Qualitative
Research (Kemmis and McTaggart, 2005),
Robin McTaggart and I reflected again on PRELIMINARY CONSIDERATIONS
how our views of action research had been
changed by our reading of Habermasian crit- Kemmis and McTaggart (1988) defined
ical theory. action research as:
122 GROUNDINGS
a form of collective self-reflective enquiry understanding and unforced consensus

undertaken by participants in social situations in
about what to do.
order to improve the rationality and justice of their
own social or educational practices, as well as their Moreover, Habermas has made a strong
understanding of these practices and the situa- case against ‘praxis philosophy’ – the philos-
tions in which these practices are carried out. (p. 1; ophy that, since Hegel and Marx, has sup-
emphases added) posed that a state (or other social ‘totality’)
as a self-regulating macro-subject, could,
This definition emphasized that the research through its own self-reflection, achieve a
should be undertaken by participants in grasp of reality that would allow it to steer
social practices following Kurt Lewin’s itself differently or transform itself in a
(1952) views of action research as involving coherent way out of unsatisfactory condi-
participants collectively in researching their tions, irrationality or contradiction. In Truth
own situations, stemming from his findings and Justification (2003c), Habermas argues
about the role of group decision in securing against ‘praxis philosophy’, and in favour of
participant commitment to social change. It a pluralism that he believes has replaced the
emphasized self-reflection in the light of kind of ‘collectivism’ that propelled commu-
Lawrence Stenhouse’s (1975) notion of the nism in the 20th century.
teacher as researcher, Donald Schön’s Habermas’s (1984, 1987a) analysis of
(1983, 1987, 1991) views of the reflective social life in late modernity shows that no
practitioner, and also Jürgen Habermas’s social structures of government or civil
(1972) views about the interests that shaped society can any longer claim to be fully inte-
the generation of knowledge (knowledge- grated as ‘wholes’ or ‘whole systems’.
constitutive interests) through different Instead of these totalities, we have only orga-
kinds of natural and social sciences – techni- nizations and institutions and groups inter-
cal, practical and emancipatory interests. acting and contesting with one another.
Recent thinking about action research Although he is a constitutionalist who
gives increasing emphasis to the social. believes that democratic societies can oper-
Some views of action research focus on ate as if they were social wholes through
practitioners as individuals and on a naïve basic law and a constitution, he recognizes
opposition of the individual and the group that, in practice, there is no single steering
(construed as an aggregate of individuals) centre that in fact has decisive and unitary
within a general view which Habermas steering power in contemporary Western
(1987b, 1992) characterized as ‘the philoso- democracies. Against praxis philosophy, he
phy of the subject’. This is the view that thus proposes (especially 1987b, 1996) a dis-
truth is the kind of category that can be course theory which recognizes the existence
applied to propositions apprehended in con- of various kinds of open ‘public spheres’ or
sciousness by knowing subjects – a matter ‘communicative spaces’ in which individuals
on which advocates of the opposing per- and groups thematize and explore issues and
spectives of positivism (and its philosophi- crises, not from the perspective of whole sys-
cal successors) and interpretivism agree. tems (either people or states or other social
Habermas (1984, 1987a, 1987b) showed totalities as ‘systems’) but in terms of public
how ‘the philosophy of the subject’ can no discussions aimed at greater understanding
longer be sustained, and proposed instead a and transformations of social life at the
‘post-metaphysical’ philosophy in which moments and places where specific crises
‘truth’ becomes manifest only in attempts occur. In particular, he has been interested in
at ‘truth-telling’, that is, through explo- the ‘boundary crises’ that arise at the points
ration of the validity of propositions in com- where social systems (organizations, institu-
municative action in which participants tions, states and their structures and func-
aim at intersubjective agreement, mutual tions) collide with the lifeworlds (the forms
CRITICAL THEORY AND PARTICIPATORY ACTION RESEARCH 123
of interpersonal, social life of real people and practices, understandings and situations.
groups) which give meaning, solidarity and While the term ‘practice’ is ubiquitous, dif-
identity to those who inhabit them. ferent theorists of practice understand prac-
These arguments pose challenges to action tice in very different ways (Kemmis, 2005,
research. They deprive action research of a forthcoming a). Kemmis and McTaggart
simple understanding of itself as (a) trans- (2000) showed how practice is variously
forming individuals as self-regulating persons understood from either an ‘objective’ (exter-
and (b) transforming institutions, organiza- nal, outsider, observer, other) perspective or
tions or states as self-regulating social from a ‘subjective’ (internal, insider, partici-
‘macro-subjects’. To be regarded as a ratio- pant, self) perspective – or dialectically in
nal enterprise, then, action research must find terms of both. To understand practice ‘subjec-
a way to work not just on the self-realization tively’ is to focus on the person/s involved, as
of persons or the realization of more rational they see things; to understand it ‘objectively’
and coherent organizations, but in the inter- is usually to focus on practice as others see it;
stices between people and organizations, and to understand practice dialectically is to
across the boundaries between lifeworlds attempt to understand practice in terms of the
and systems. It must work in the conversa- mutual-constitution, tensions and connections
tions and communications of participants between the outside/inside and observer/par-
about crises and difficulties confronted by ticipant perspectives. Similarly, practice is
social systems and the lifeworlds in which variously understood from the perspective of
people find meaning, solidarity and signifi- the individual (often a psychological perspec-
cance. It must become a process of facilitat- tive) or the perspective of the social (usually
ing public discourse in public spheres. To do a sociological or systems-theoretic perspec-
this it must be rather different from what it tive) – or, occasionally, a dialectical perspec-
has been. tive connecting both. Critical participatory
Critical participatory action research, as I action research aims at gaining a dialectical
conceptualize it here, is a particular form of perspective on practice in both dimensions
action research that aims to respond to these together (from outside and inside perspec-
challenges. In the sections that follow, I pre- tives on individual participants and the social
sent a number of arguments that suggest the construction of their practice).
form that critical participatory action research According to Carr and Kemmis (1986):
must take. The final part of the chapter synthe-
sizes discussions presented in each preceding ‘Practice’ in its commonsense meaning, is usually
section, culminating in a new definition of crit- understood to refer to habitual or customary action.
But it also means ‘the exercise of an act’, referring
ical participatory action research. back to its origins in the Greek notion of praxis,
meaning ‘informed, committed action’. The action
researcher distinguishes between practice as habit-
ual and customary, on the one hand, and the
1 PARTICIPATORY AND COLLECTIVE informed, committed action of praxis, on the other.
One way to describe the general aim … of educa-
RESEARCH TO ACHIEVE EFFECTIVE-
tional action research would be to say that [it is]
HISTORICAL CONSCIOUSNESS IN interested in a critical revival of practice which can
AND OF PRACTICE AS PRAXIS transform it into praxis, bringing it under considered
critical control, and enlivening it with a commitment
to educational and social values. (p. 190)
Studying Practice/Praxis
The Kemmis and McTaggart definition of A special issue of the journal Pedagogy,
action research (cited earlier) emphasized Culture and Society (vol. 13, 2005) was
three foci for observation and possible devoted to exploring neo-Aristotelian views of
transformation through action research: praxis, and its distinction from techné (or
124 GROUNDINGS
technical, instrumental, means–ends, ‘making’ by individuals but also by those with whom
action). Contributors argued that the technical they interact, changing practice/praxis also
understanding of practice has now become so requires extra-individual changes – that is,
widespread as to deprive practitioners of a full changes in cultural-discursive, social, and
understanding of the moral basis of their work, material-economic dimensions in which
and of the traditions that have informed what it practice/praxis is constituted (Kemmis,
means to ‘do’ a practice or to ‘be’ a practitioner, 2005, forthcoming a). The transformation of
especially the practitioner of a profession. To practice/praxis is therefore necessarily a
highlight the tensions and connections between social process, and, since changes are likely
these different perspectives, I use the term to have different consequences in terms of
‘practice/praxis’ to remind the reader that we the self-interests of the different individuals
are almost always concerned with practices as and groups involved, the transformation of
they are seen from the external (‘objective’) practice/praxis is also, inevitably, a political
perspective of the observer as well as the inter- process.
nal (‘subjective’) perspective of the practitioner
engaging in praxis. Understanding and Interpretation:
Towards Effective-Historical
Research that is Participatory – Consciousness
Individual and Collective
Since the dawn of modern social science,
Participation
researchers have confronted the problem
In action research and in the social and edu- of how to understand the Other – whether a
cational sciences generally, we are normally person, an object of art or social life
concerned not solely with practices as the (Outhwaite, 1975). The case is even more
behaviour or intentional action of individu- difficult when a participant in practice/
als, but also with the ways those practices are praxis aims to understand her- or himself as
socially-constructed and ‘held in place’ by both a subject and an object. Such a person
cultural-discursive, social and material- can ‘understand’ themselves and their situa-
economic fields that precede and shape the tion only from within their own conceptual
conduct of practice/praxis. resources, their own language and dis-
If, as Carr and Kemmis (1986: 191) sug- courses, their own familiar ways of seeing.
gest, ‘action research … cannot be other than Moreover, participants’ interpretive cate-
research into one’s own practice’, it also fol- gories are not theirs alone. Their ideas are gen-
lows that if practice/praxis is collectively erally the products of long histories and
constructed, then practices must be under- traditions of usage, carrying meanings that
stood not solely from the perspectives of the existed long before they came to use the ideas
individuals involved, but also in terms of to understand their particular practice/praxis
the collective understandings and collective situation. So, too, particular practice/praxis
effects of those involved and affected by the situations are always pre-formed in local and
practice. Thus, action research must take into wider histories. Thus, the person wishing to
account the perspectives of the range of understand their own practice/praxis clearly
people involved or affected, or, preferably, must also attempt to understand the prejudices
involve them collectively in the research or perspectives built into their own ways of
process. Since its inception, action research understanding – a task which may seem
has been understood as a process in which impossible. At one time, positivist science
participants can be or become researchers hoped to break free of misunderstandings
(see, for example, Lewin, 1952). by developing a transcendent ‘objective’
Furthermore, since changing or transform- perspective – a hope that proved unattainable.
ing practice/praxis requires not only changes By contrast, the perspective of interpretive
science and history has sought ways to loosen political life. As we shall see, Habermas’s
the bonds of misunderstanding through the (1984, 1987a) Theory of Communicative
hermeneutical approach (hermeneutics being, Action and other writings provide resources
historically, the interpretation of religious for this task.
texts, but now applied to the interpretation of
works of art, cultures and people). The con-
temporary classic account of hermeneutics is 2 RESEARCH FOR CRITICAL
Hans-Georg Gadamer’s (1975) book Truth (SELF-) REFLECTION
and Method.2 Gadamer rejects the notion that
interpretation can be understood as a ‘method’ Critical
by analogy with ‘scientific method’. He
explores the nature of interpretation in a vari- Max Horkheimer (1972), one of the founders
ety of contexts, with particular reference to the of the Frankfurt School of critical theory,
problem of interpretation faced by the histo- described critical theory as a form of theoriz-
rian who aims to understand a tradition while ing motivated by a deep concern to overcome
also being a product of that tradition. In par- social injustice and the establishment of
ticular, Gadamer describes the historian’s (self) more just social conditions for all people. He
consciousness of how history is effective in her contrasted critical theory and ‘traditional
or his own historicality, actively influencing theory’, by which he meant positivistic
her or his interpretations (via ‘prejudices’ or science which aims to build scientific knowl-
taken-for-granted assumptions) – a state of edge progressively by accumulating empiri-
intense historical self-awareness that Gadamer cal knowledge of the world, taking for
calls ‘effective-historical consciousness’ granted a distinction between facts and
(pp. 267–9). values. Critical theory, he said, ‘has no spe-
Action research must similarly conceptu- cific influence on its side, except concern for
alize ‘understanding’ in a sophisticated way, the abolition of social injustice. … Its own
not assuming that ‘understanding’ is a nature … turns it towards a changing of
simple, unmediated process of grasping history and the establishment of justice’
something in consciousness. It means also (pp. 242–3).
that we must think of interpretation as a The notion of ‘critique’ in critical theory
process of interpreting ourselves as well as means exploring ‘existing conditions’ (Marx,
the object we are trying to interpret. And per- 1967) to find how particular perspectives,
haps, taking a lead from Habermas (1989a; social structures or practices may be irra-
Holub, 1991), we might also conclude that it tional, unjust, alienating or inhumane. More
is possible to explore the linkages between than this, it means finding how perspectives,
language, labour and domination to discover social structures and practices are interlinked
some ways in which our language and in ways that cause them to produce such con-
thought are bound by ideology, shaping our sequences. The classical case was Marx’s
ways of seeing and ‘not seeing’. We might (1867/1887) analysis of class relationships
thus hope for a view of action research that under capitalism.
includes not only a Gadamerian hermeneu- In critical participatory action research,
tics (effective-historical consciousness) but participants aim to be ‘critical’ in this way,
something more – the possibility of interro- trying to find how particular perspectives,
gating the range and limits of our language social structures and practices ‘conspire’ to
and thought by observing not only how they produce untoward effects, with the aim of
have been shaped by history, in usage, but finding ways to change things so these con-
also in the service of particular kinds of inter- sequences can be avoided. Being critical in
ests that can be read in the structures and this sense means acting negatively against
consequences of particular kinds of work and identified irrationality, injustice and suffering,
126 GROUNDINGS
rather than positively for some predeter- ‘fields’. On the side of the individual, habitus
mined view of what is to count as rational or is the set of dispositions or capabilities for
just or good for humankind. action of the individual actor, like the disposi-
tions and capabilities necessary to play foot-
The ‘Self’ and Extra-Individual ball well. On the side of the cultural, social
and economic, fields are the cultural, social and
Features of Practice/Praxis
economic arrangements that pre-construct and
Critical participatory action researchers prefigure (Schatzki, 2002: 210ff.) fields of
understand the notion of the ‘self’ differently action for the actors who enter them. The
from conceptions of the self in some other notion of fields draws attention to arrange-
views of action research, for example, the ments that generally precede and prefigure
notion of ‘self’ that appears in Schön’s (1983, any practice; for example, a school and its
1987, 1991) notion of the ‘self-reflective prac- resources, curricula and pedagogical practices
titioner’. First, on the basis of the argument all precede and prefigure the day-to-day
about the individual and the collective in enactment of the practice of education in the
action research, the ‘self’ may now be read school, having ‘a life of their own’, as it were.
not as a singular and isolated individual, but As Kemmis (2005, forthcoming a) argues,
as implying a plurality, a sociality that has transforming practices therefore requires not
shaped it as a ‘self’. only changing the knowledge (or habitus) of
Second, critical participatory action research practitioners and others who participate in a
understands the self as constructed through practice, but also changing these fields (and
developmental-historical, cultural-discursive, other extra-individual features of practice).
social and material-economic interactions Changing extra-individual features of practice
between people. As Habermas (1992: 26) can be difficult because cultures and dis-
remarks, following George Herbert Mead: ‘no courses, social connections and solidarities,
individuation is possible without socialization, and material-economic arrangements exist
and no socialization is possible without indi- between and beyond the individuals whose
vidualization’. Processes of individuation and particular actions enact, but do not by them-
socialization do not end at some point when a selves constitute, practices.
person becomes adult, but continue to shape In critical participatory action research,
individuals and social relationships in all set- the ‘self’ must thus be understood as a situ-
tings. Thus, critical participatory action research ated and located self. Each self is formed
is as much interested in changing the ways through a particular and unique developmen-
participants in an educational or social setting tal history; it is constructed in a particular
interact as it is in the changes within each cultural-discursive history; it is located in a
individual. particular and unique set of social connec-
Third, critical participatory action tions and solidarities; and it sits within a par-
researchers take seriously the claim that both ticular history of material and economic
practices and the understandings of practice exchanges in the world. ‘Subjectivity’ and
that action research aims to develop are ‘identity’ likewise must thus be viewed as
formed in cultural-discursive, social and fluid and dynamic, and as continually re-
material-economic fields that are extra- constructed in cultural-discursive, social and
individual (Kemmis, forthcoming a) – fields material-economic dimensions of interac-
that exist in social spaces beyond particular tion. ‘Subjectivity’ and ‘identity’ are not to
individuals, even though the action of individ- be understood as fixed attributes of persons.
uals may be necessary to (re-) constitute prac- Understanding the self as situated and
tices. Bourdieu (1977, 1990, 1998; Bourdieu located in this way gives greater force to
and Wacquant, 1992) speaks of the formation Gadamer’s notion of effective-historical
of social practices in terms of ‘habitus’ and understanding. It becomes clear that the
situations, settings, conditions and circum- understanding and unforced consensus about
stances of practices cannot be adequately what to do. It is the kind of communication
understood without also appreciating how that occurs when people turn aside from
practitioners understand them – and how strategic action (getting something done) to
the practitioner’s interpretive categories ask ‘what are we doing?’ In these cases, they
are located in history, culture, discourses, may explore the four validity claims sug-
social networks, material and economic gested in Habermas’s theory of communica-
exchanges. This view also gives more force tive competence:
to Habermas’s objection against Gadamer
that understanding does not occur in some • is it comprehensible (do we understand one
pure form of language that transcends indi- another)?
viduals. Understandings and the languages • is it true (in the sense of accurate)?
and discourses in which they are expressed • is it truthfully (sincerely) stated?
are themselves already galvanized by rela- • is it morally right and appropriate?
tions of work and power, and they are the
vehicles of work and power relations (as also As they work together to explore their
amply evidenced in the work of Foucault, practices, understandings and situations, par-
e.g. 1970, 1972, 1977, 1979, 1990). ticipants in a critical participatory action
Habermas (1974: 29) warns of dangers of research ‘project’ are interlocutors who open
solitary self-reflection: communicative space in which they encounter
one another in a slightly unusual and slightly
The self-reflection of a lone subject … requires a
formal way – that is, with a shared commit-
quite paradoxical achievement: one part of the self
must be split off from the other part in such a ment to communicative action. It is only
manner that the subject can be in a position to ‘slightly’ unusual because people and groups
render aid to itself. … [Furthermore], in the act of frequently do interrupt themselves to explore
self-reflection the subject can deceive itself. questions of meaning, truth, truthfulness and
moral rightness together. And only ‘slightly’
He thus argues that the organization of enlight-
formal because the participants are usually
enment is best understood as a social process,
aware in such circumstances that their dis-
drawing on the critical capacities of groups,
cussions are moving to a meta-level at which
not just as an individual process drawing out
these formal features of their communication
new understandings in individuals. Together,
and understandings are the objects of their
people offer one another collective critical
collective reflection.
capacity to arrive at insights into the nature and
Placing the notion of ‘opening commu-
consequences of their practices, their under-
nicative space’ at the heart of a view of criti-
standings, and the situations, settings, circum-
cal participatory action research is to
stances and conditions of practice. As we shall
emphazise the inclusive, collective, transfor-
see, critical participatory action research opens
mative nature of its aims – aims which serve
communicative spaces that permit and foster
and transcend the self-interests of individual
such collective reflection.
participants. It is also to suggest that critical
participatory action researchers undertake
3 RESEARCH THAT OPENS research into their own practices not just to
COMMUNICATIVE SPACE ‘perfect’ or improve themselves as individu-
als, but also in the interests of acting rightly
in terms of the historical consequences of
Communicative Action
their action.
Habermas (1984, 1987a, 1987b) describes In Truth and Justification, Habermas
communicative action as action oriented (2003c) gives an updated account of his view
towards intersubjective agreement, mutual of communicative action, including the kind of
128 GROUNDINGS
communicative action we find in everyday life wider community of potential participants

and in wider public spheres of argument about who could engage in the discussion.
contemporary issues, including new insights This taking-into-account of the perspec-
about the presuppositions of argumentation: tives and interests of others – what Habermas
describes as ‘decentring’ (p. 109) and imply-
… the rational acceptability of validity claims is ulti- ing ‘egalitarian universalism’ (p. 107) – is at
mately based only on reasons that stand up to
the heart of moral discourses about what it is
objections under certain exacting conditions of
communication. If the process of argumentation is right to do in any particular situation. It also
to live up to its meaning, communication in the describes the kinds of discussions that occur
form of rational discourse must, if possible, allow in many critical participatory action research
all relevant information and explanations to be initiatives.
brought up and weighed so that the stance parti-
cipants take can be intrinsically motivated solely by
the revisionary power of free-floating reasons.
However, if this is the intuitive meaning that we From Subjectivity to
associate with argumentation in general, then we Intersubjectivity
also know that a practice may not seriously count
as argumentation unless it meets certain prag- The communicative space opened by com-
matic presuppositions. municative action, and by participatory
The four most important presuppositions are (a) action research undertaken as a kind of
publicity and inclusiveness: no one who could
process of communicative action, is an inter-
make a relevant contribution with regard to a con-
troversial validity claim must be excluded; (b) equal subjective space that exists between and
rights to engage in communication: everyone must beyond individual participants. Habermas
have the same opportunity to speak to the matter (2003a) describes the linguistic grounding of
at hand; (c) exclusion of deception and illusion: intersubjectivity:
participants have to mean what they say; and (d)
absence of coercion: communication must be free
of restrictions that prevent the better argument As historical and social beings we find ourselves
from being raised or from determining the out- always already in a linguistically structured life-
come of the discussion. Presuppositions (a), (b) and world. In the forms of communication through
(d) subject one’s behaviour in argumentation to which we reach an understanding with one
the rules of an egalitarian universalism. With another about something in the world and about
regard to moral-practical issues, it follows from ourselves, we encounter a transcending power.
these rules that the interests and value-orientations Language is not a kind of private property. No
of every affected person are equally taken into one possesses exclusive rights over the common
consideration. And since the participants in practi- medium of the communicative practices we must
cal discourses are simultaneously the ones who are intersubjectively share. No single participant can
affected, presupposition (c) – which in theoretical- control the structure, or even the course, of
empirical disputes requires only a sincere and processes of reaching understanding and self-
unconstrained weighing of the arguments – takes understanding. How speakers and hearers make
on the further significance that one remain criti- use of their communicative freedom to take yes-
cally alert to self-deception as well as hermeneuti- or no-positions is not a matter of their subjective
cally open and sensitive to how others understand discretion. For they are free only in virtue of
themselves and the world. (pp. 106–7; emphases the binding force of the justifiable claims they
in original) raise towards one another. The logos of language
embodies the power of the intersubjective,
which precedes and grounds the subjectivity of
Habermas then outlines (pp. 108–9) the speakers.
universalizing capacity of argument as it The logos of language escapes our control, and
appeals to wider and wider frameworks of yet we are the ones, the subjects capable of speech
and action, who reach an understanding with one
justification, basing the search for justifica-
another in this medium. It remains ‘our’ language.
tion and truth on a ‘decentred’ perspective The unconditionedness of truth and freedom is a
that each participant gains as she or he necessary presupposition of our practices, but
becomes more sensitive to the views and beyond the constituents of ‘our’ form of life they
perspectives of others, and by appealing to a lack any ontological guarantee. (pp. 10–11)
The intersubjective is not somehow ‘above’ replaces the idea that truth is something
individual understandings or self-understand- apprehended in the consciousness of an indi-
ings. The intersubjective exists in the commu- vidual. Breaking with this tradition, in
nicative space in which speakers and hearers Habermas’s view, is the key to escaping
encounter one another – in speech and writ- some of the dead ends that both ‘objectivist’
ing. The agreements they reach do not negate and ‘subjectivist’ philosophy and science has
their individual subjectivity. been led into. He breaks with ‘the philosophy
In terms of justification, such ‘truth’ as we of the subject’ by arguing that it is in the
can ever find will be in communication, and space of the intersubjective – the lifeworlds
we will find it only through communicative we inhabit, and in which we encounter one
action – searching with one another for inter- another as persons – that the possibility of
subjective agreement, mutual understanding truth and moral rightness resides, not in the
and consensus about what to do. Our ordi- consciousness of individuals participating in
nary conversations are never universal in the the discussion – although each individually
sense that they are all-inclusive; they never has the communicative power to take ‘yes’ or
entirely escape the time and space in which ‘no’ positions with regard to the substance of
they occur; and they frequently run aground arguments as they unfold.
in misperceptions, misunderstandings, dis- Each of us inhabits a variety of lifeworlds,
agreements or conflict. When they do run and the social world contains an indetermi-
aground, all we can do is to pause until we nate variety of lifeworlds – very different
are able to re-engage with one another on the ways of life in different places. In
basis of civility and reciprocal recognition of Habermas’s social theory and philosophy, the
one another as persons worthy of respect. lifeworld is not only to be understood as a
Nor will our conversations be completely ‘real’ social space inhabited by particular
coherent, fully argued and complete. The people; it is also to be understood as a court
topics, themes and circumstances of our of appeal (my phrase, not Habermas’s) in
communicative action will forever be chang- which validity claims can be tested through
ing, leaving all our agreements incomplete argument or conversation. This is a convivial
and partial – halting steps and limited and human view of truth and justification
achievements on a path towards an unattain- that does not depend on appeal to a transcen-
able complete agreement, complete under- dental perspective (such as an omniscient
standing, and perfect consensus about what God) to make a statement true.
to do. Frail and fallible though it may be, all Table 8.1 outlines the key elements and
we have, and all we will ever have, is the universal structures of the lifeworld identi-
conversation (Kemmis, forthcoming b). fied by Habermas. It should be noted that he
This, then, is to take a fallibilist view of indicates that particular lifeworlds are
truth – a view that recognizes that current diverse, characterized by multiplicity and
and new understandings are always open to diffusion, and that different lifeworlds over-
revision in the light of as-yet-undiscovered lap and interweave. The universal structures,
knowledge or understandings – and a view however, give a clear idea of what is meant
that truth must always be justified discur- by the concept of ‘the lifeworld’.
sively – through argument. The quality of the In the Theory of Communicative Action
argument, and the ways people participate in (1984, 1987a), Habermas distinguishes com-
it, is what gives life to being ‘critical’. municative action from strategic action
(action oriented towards successfully achiev-
ing known outcomes by relevant means). In
Lifeworld and System
highly differentiated, complex societies,
In Habermas’s theory of communicative strategic action is usually guided by func-
action, the ‘domain’ of intersubjectivity tional reason. Functional reason is expressed
130 GROUNDINGS
Table 8.1 Components of lifeworlds

Culture Society Person
Reproduced via cultural Reproduced via social integration Reproduced via socialization
reproduction which connects newly which connects newly arising which connects newly arising
arising situations to existing conditions situations to existing conditions situations to existing conditions in
in the semantic dimension. in the dimension of social space. the dimension of historical time.
Cultural reproduction secures Social integration coordinates action Socialization secures the acquisition
continuity of tradition and via legitimately ordered social of generalized capacities for action
coherency of knowledge. relationships and lends constancy for future generations and takes care
to the identity of groups. of harmonizing individual life histories
and collective life forms.
Cultural reproduction renews Social integration renews legitimately Socialization renews capacities for
interpretative schemata susceptible ordered social relationships interaction (‘personal identities’).
of consensus (‘valid knowledge’). (‘solidarities’).
in a language of goals and means, and, in the of the lifeworld. In his view, concerns about
context of administrative systems, often in a social integration, and maintenance of social
language of roles, organizational functions order have become more insistent, pervasive
and rules. The Theory of Communicative and dominant with increasing social com-
Action provides a critique of functional plexity, especially the increasing complexity
reason, arguing that communicative action of social life from the perspective of social
offers a way out of being trapped in func- systems. Moreover, more and more of the
tional reason characteristic of the administra- work of coordinating systems has been
tive systems that govern so much of ‘handed over’ to the steering media of money
contemporary life. Under contemporary and administrative power as bases for
social conditions, many different kinds of sys- exchange between social subsystems. While
tems have become ‘relatively autonomous’ – this helps reduce the complexity of practical
that is, driven by their own local demands, questions (because they are increasingly han-
and freed from their anchors in valid knowl- dled as questions about monetary exchange
edge (claims to truth), social solidarities and administrative regulation, dealt with by
(morality and claims to justice), and individ- functional reason and rational-purposive
ual understandings and capacities (authentic- action), this transfer also permits further
ity). This autonomy means that systems increases in the complexity of system rela-
become uncoupled from the lifeworlds that tionships and coordination, to a crisis point –
initially grounded them. Once uncoupled, the point where a variety of kinds of crises
systems thinking and functionality can then begin to manifest themselves in the life-
colonize lifeworld relationships, creating worlds of participants (Habermas, 1987a:
rationalized models of right action that are 143). Under these conditions, the smooth
inappropriate for relationships between reproduction of lifeworlds can no longer be
people wherever these should properly be guaranteed because participants experience
based on valid knowledge, solidarity and per- their lifeworld connections with others as
sonal capacities – as, for example, in relation- fragmented and overburdened. Under such
ships among members of a community of conditions, the regulation of social systems is
practice (like a profession), or in social wel- increasingly difficult to manage, since the
fare settings where people should be treated lifeworld anchoring necessary for system
with recognition and respect. operation is no longer secure.
Habermas identifies a number of patholo- Critical participatory action research, work-
gies in contemporary Western societies that ing across the boundaries of lifeworlds and sys-
are a consequence of the uncoupling of tems, creates opportunities to explore these
system and lifeworld and the rationalization boundary-crises by opening communicative
space among participants and others rules and the functional imperatives of the
involved in and affected by their actions. organization as a system directed towards
attaining particular objectives. More gener-
ally, communicative spaces are to be found at
Public Discourse in Public Spheres the margins of institutions, blurring bound-
It is not easy to establish the social and dis- aries and connecting with other public
cursive conditions under which people can spheres. Conversations within these commu-
equally, openly and fearlessly ask and nicative spaces presuppose communicative
answer questions, and conduct themselves freedom. They frequently arise in response to
civilly towards reaching intersubjective agree- legitimation-deficits – in response to circum-
ment, mutual understanding and consensus stances, policies or decisions which lack
about what to do Kemmis (forthcoming b). legitimacy in the eyes of those involved.
In practice, argumentation is frequently sub- Legitimation-deficits are frequently the
ject to distortion, deadline pressures and central themes which give rise to social
practical constraints on ‘really’ understand- movements, becoming the foci for sustained
ing one another’s points of view. These lim- practical and critical discussions about the
its and interruptions are not fatal, however, nature and consequences of possible courses
they are just aporias or gaps to be explored of action by those involved. And the out-
in other discussions – the openings for new comes of these discussions may be to influ-
conversations. What holds a group together ence an organization not directly but
is members’ tacit or explicit agreement to indirectly, by ‘laying siege to the formally-
continue the conversation. Intersubjective organized political system by encircling it
agreement, mutual understanding and mutual with reasons without, however, attempting to
consensus are always situated and provi- overthrow or replace it’ (Baynes, 1995: 217).
sional. Action research initiatives can be Habermas (1996) observes that communica-
understood as fora designed to open commu- tive action in such groups builds solidarity
nicative space so emerging agreements and among participants, in turn giving them a
disagreements, understandings and decisions sense of communicative power and lending
can be problematized and explored openly legitimacy to their emerging agreements,
(Habermas, 1987b, 1996; Kemmis and understandings and decisions – as a counter
McTaggart, 2005). to the legitimation crisis which may have
In Chapter 8 of Between Facts and Norms, provoked the formation of a particular public
Habermas (1996; see also 1992, Lecture XI) sphere.
explores this kind of communication in terms Critical participatory action research ini-
of public discourse in public spheres (see tiatives open communicative space beyond
also Kemmis and McTaggart, 2005). The the sphere of immediate participants in a pro-
kind of public discourse he has in mind is ject or group. Very likely, their discussions
communicative action, the kind of public will connect to a wider public sphere to
spheres he has in mind are communicative which participants must ultimately refer in
spaces constituted by participants themselves justifying their views, foreshadowing a uni-
for dialogue in which there is voluntary par- versal public sphere which no actual conver-
ticipation; in which speakers have or take sation really reaches.
communicative freedom; and in which par-
ticipants aim to be inclusive (both socially
and in the language they use in addressing 4 RESEARCH TO TRANSFORM
each other). Such communicative spaces REALITY
may be created within an organization, but
only by temporarily suspending, literally ‘for If praxis is right conduct in response to a par-
argument’s sake’, the hierarchical roles and ticular situation at a particular time, informed
132 GROUNDINGS
by the agent’s knowledge and by recourse to Truth and Justification (2003c), he returns to
relevant theory and traditions, then the fruits questions about the nature of truth he last
of praxis are to be evaluated in history, in addressed intensively in the 1970s, espe-
terms of its consequences, in hindsight. cially in Knowledge and Human Interests
Action researchers are not passive about (1972). He revises some of those old argu-
action as it unfolds, intervening only after- ments, building on developments in analytic
wards to revise or reconstruct plans that have philosophy and developments in pragma-
gone awry; on the contrary, they intervene tism, again through debates with key con-
deliberately and actively in individual and temporary theorists in these fields.
collective practice/praxis with the intention Habermas has lived the role of the philoso-
of acting in ways likely to make things better pher as public intellectual he describes in Truth
than before. and Justification. On the one hand, he has
In this sense, action research investigates contributed to various kinds of philosophical
reality in order to transform it, as Orlando debates with other leading thinkers of his
Fals Borda (1979) put it and, equally, as times – for example,
Kemmis and McTaggart (2000) put it, action
research also transforms reality in order to • with Gadamer about interpretation (in Theory
investigate it. Critical participatory action and Practice, 1974, and Knowledge and Human
research is a form of exploratory action that Interests, 1972),
takes communicative action into social prac- • with the systems theorist Niklas Luhmann about
tice, using social practice as a source of new the extent to which human society can be under-
stood in terms of systems (in Legitimation Crisis,
understandings (Kemmis and Brennan
1975, and in other works, including The Theory of
Kemmis, 2003). It aims to ‘write the history Communicative Action, 1984, 1987a),
of the future’ by acting deliberately to inter- • with various poststructuralists and postmod-
pret and learn from what happens. It aims to ernists (Derrida, Bataille, Foucault, Lyotard and
‘feed’ future reflection by collecting evi- others) about whether the thinking made pos-
dence about action as it unfolds, and about its sible in modernity is now obsolete and whether
unfolding historical consequences. their criticisms of modernity and rationality are
Much of Habermas’s writing since The warranted (in The Philosophical Discourse of
Theory of Communicative Action has been Modernity, 1987b),
devoted to exploring contemporary problems • with the liberal theorist of justice John Rawls
and crises to re-think the world as a basis for about the nature of justice and the constitutional
state (in Between Facts and Norms, 1996, The
doing things differently – transforming
Inclusion of the Other, 1998, and The
things. In Between Facts and Norms (1996), Postnational Constellation, 2001), and
for example, he investigates theories of law • with various interlocutors in the ‘domestic dis-
to clarify what basic law constitutions must putes’ within post-Marxist thought and critical
contain to preserve human and civil rights. In theory (for example, in the Axel Honneth et al.
Religion and Rationality (2002), he takes up edited volume Interventions in the Unfinished
themes about religion raised by his account Project of Modernity, 1992).
of religious belief and communities in The
Theory of Communicative Action. He dis- On the other hand, through books and
cusses communities of faith – and whether or essays (often in the German press), he has
not the idea of God can be replaced by inter- continued to make interventions in the public
subjectivity in the form of the logos of lan- political arena, commenting on such matters
guage. In The Future of Human Nature as German self-understandings of the National
(2003a), he explores the moral and ethical Socialist (Nazi) period (for example, in The
questions posed by genetic modification of New Conservatism: Cultural Criticism and
embryos, with profound implications for the the Historian’s Debate, 1989b), on European
self-understanding of our species. And in and international legal and constitutional
issues and structures (for example in The • changing cultural and discursive conditions that
Inclusion of the Other, 1998), and in discus- threaten our understanding of ourselves, others
sions of terrorism after 11 September 2001, in and the world;
Philosophy in a Time of Terror (2003b, with • changing social conditions that threaten solidari-
Jacques Derrida, edited and introduced by ties and the legitimacy of established orders; or
• changing material-economic conditions that
Giovanna Borradori).
threaten the well-being and sustenance of
These interventions show that Habermas
people, families and larger social groups.
models the critical intention of critical
theory – with an emancipatory and transfor-
Careful, critical and continuously self-critical
mative intention both in relation to ideas and
interventions like those of critical participa-
in relation to states of affairs in the world –
tory action research create sites in which crit-
whether modernity itself or more specific
ical capacities are exercised and expressed.
crises of national identity, international rela-
They can be launching-pads for wise and
tions, or religious fundamentalism and ter-
prudent social action on themes, problems
rorism. In terms of scale, these are grand
and issues of contemporary concern. They
interventions in contemporary issues.
offer ways of investigating existing condi-
Most critical participatory action research
tions and exploring possible futures.
initiatives have a more modest scope.
Interventions like those in Indigenous educa-
tion of the Yolngu people of Australia’s
Northern Territory (Kemmis and McTaggart, 5 RESEARCH WITH A
2000) had immediate goals of improving PRACTICAL AIM
Aboriginal education in their communities,
but also connected with much wider issues Critical participatory action research occurs
like issues of Indigenous rights and gover- with the practical aim of phronesis – the
nance, post-colonial issues, and cross- commitment to acting wisely and prudently
cultural communication and education. The in the particular circumstances of a practical
initiative addressed boundary-crises emer- situation. It follows that participants in criti-
ging at the point of collision between the life- cal participatory action research deliberate
worlds of the Yolngu and systems that had differently about the situation in which they
colonized their country (government, admin- find themselves than they would if they
istration, education, welfare, and of busi- regarded the situation as calling only for
ness). It also explored the collisions between technical reasoning about the most effica-
the different lifeworlds of the Yolngu and the cious, effective and efficient means to
non-Indigenous teachers, administrators and achieve known and accepted ends or goals.
others who had come to their country – Practical reason treats both ends and
involving different kinds of resources of means as problematic. It is the form of reason
culture, society and identity. Such initiatives employed whenever people have to act in a
aim to make the lived realities of people less complex situation, in the knowledge that
irrational (in the dimension of culture, dis- their action and its consequences will be
course and rationality), less unjust (in the judged in terms of complex and sometimes
dimension of society, justice, legitimacy and conflicting values. It is at its most evident in
solidarity), and less inhumane (in the dimen- situations described as ‘tragic’ – where actors
sion of identity and personal capacity). are forced to choose between conflicting sets
People already intervene through action of values (such as the classic moral dilemma
research in many contemporary crises like of the parent forced by poverty to choose
those that occur at the boundaries between between respect for property and care for a
systems and lifeworlds, when identities, life- family when deciding whether or not to steal
worlds and forms of life are threatened by food).
134 GROUNDINGS
Research that aims to support and practical reason, critical-emancipatory

strengthen practical reason is necessarily reasoning reaches beyond them. It manifests
addressed to actors as agents – people who itself in attitudes of collaborative reflection,
must act, who must confront practical ques- theorizing and social action directed towards
tions and make decisions about what to do. It emancipatory reconstruction of the setting
addresses these actors as persons – knowing (in terms of the personal and the political, the
subjects – who might make wiser and more local and the global).
prudent decisions given a richer understand- Critical participatory action researchers
ing of the situations in which they find them- are committed to ‘a communicative form of
selves. Unlike a science aiming to support and life’; they are committed to exploring and
inform technical reason, a ‘practical science’ discussing issues relevant to the circum-
aims not to achieve control of a situation but stances of their own lives. It is in their first-
to educate actors or practitioners in ways that person roles as participants, together with
will help them to understand the nature and others as equal subjects, that they must reach
consequences of their actions more fully, and intersubjective agreements, mutual under-
to assist them in weighing what should be standings and uncoerced consensus about
done. Practical reason furnishes agents with what to do. They aspire ‘to consider in each
better ways of thinking about action in the case all relevant points of view impartially
particular situations they confront, but its prin- and to take all interests equally into account’
cipal aim is to create better, more moral (Habermas, 2003c: 290).
actions. Praxis is not a way of thinking about It is here, to borrow the final words of
action, but a particular kind of action – Truth and Justification, that people in the end
morally-informed, wise, prudent, and oriented can and do find one another as persons, and
by reference to guiding traditions of thought thus as subjects who, like oneself, deserve
and action, theory and practice. respect:
Critical participatory action research is
Given that different directions in life are existen-
‘practical’ in the sense that it aims at the pro- tially irreconcilable, it is always difficult for two
duction of the good for individual persons parties whose identities have been shaped in dif-
and for humankind by aiming for right con- ferent ways of life and traditions to reach agree-
duct, the best one can do under the circum- ment – be it at the international level between
different cultures or between different subcultural
stances, knowing one will be judged by
collectivities within one and the same state. Here,
history. Action researchers document their it is all the more helpful to remember that an
actions because they expect to be judged by agreement on binding norms (ensuring reciprocal
history and in terms of the historical conse- rights and duties) does not require the mutual
quences of their action. appreciation for one another’s cultural achieve-
ments and life styles, but instead depends solely on
acknowledging that every person is of equal value
precisely as a person. (p. 292)
6 RESEARCH WITH
EMANCIPATORY AIMS The emancipatory impulse arises and finds
expression in the light of this insight about
In critical reasoning about practice, the preciousness and indissoluble uniqueness
researchers adopt a dialectical stance with of each human life. It arises in critical parti-
respect to the ‘objective’ and ‘subjective’ and cipatory action research when people seek to
individual and social aspects of a setting. release themselves and others from con-
They treat others involved in the setting as straints that narrow their lives and produce
co-participants who can work together col- untoward consequences. It arises when
laboratively to change the ways in which people confront social structures and prac-
they constitute it through their practice. tices that are unjust in the sense that they
While including elements of technical and cause or support domination (the constraint
on self-determination) and oppression (the that aspires to a better history than the
constraint on self-expression and self- history we face if things go on as they are. It
development; Young, 1990). The emancipa- is the eternal other of human suffering –
tory impulse springs from the eternal hope hope.
that things might be otherwise – more ratio-
nal (in the sense of reasonable), more legiti-
mate, more caring, and less apt to produce A NEW DEFINITION OF CRITICAL
differential consequences of suffering and PARTICIPATORY ACTION RESEARCH
dissatisfaction.
This, in the end, is what makes critical par- The arguments and perspectives presented in
ticipatory action research ‘critical’ in the the preceding sections lead me to propose the
terms in which Horkheimer (cited earlier) following as a new (though long) definition
described critical theory. This is what moti- of critical participatory action research – or a
vates the commitment of critical participa- thesis about its nature. The numbers in this
tory action researchers to cultural-discursive, definition refer to the chapter’s preceding
social and material-economic transformation sections.
as well as the transformation of the lives and Critical participatory action research
circumstances of individual people, and of
oppressed groups. 1. is research undertaken collectively by partici-
Thus, critical participatory action research – pants in a social practice to achieve historical
and forms of ‘engaged research’ like it – self-consciousness (or ‘effective-historical con-
often occurs in the context of social move- sciousness’ aimed both at historical conscious-
ments (Touraine, 1981; Habermas, 1987a: ness of an historical object and of the
391–6; 1992: 364–5; 1996: 373–84) in which historicality of the person interpreting it) in and
there is a widening consciousness that cur- of their practice as praxis – that is, as morally-
informed, committed action, oriented by tradi-
rent social structures or practices are produc-
tion, that responds wisely to the needs,
ing untoward consequences; that they are circumstances and particulars of a practical situ-
illegitimate; that they exclude, dominate or ation – not only by each as an individual but
oppress particular groups; or that they cause especially through collective deliberation aimed
suffering or dissatisfaction. Under such cir- at collective self-understanding
cumstances, people do in fact undertake 2. as a process in which they reflect critically and
exploratory action to find other ways of self-critically on
thinking, relating to one another, and doing
things that might have other, less unsatisfac- • their praxis as individual and collective par-
tory consequences. They often do so against ticipants in the practice (action that may per-
seemingly overwhelming odds, often in haps turn out to be untoward in terms of its
small and cautious ways, taking heart from effects or longer-term consequences),
• their historically-formed and intersubjec-
the understandings they reach with their fel-
tively-shared understandings of the practice
lows, the solidarity of working together, and (that may perhaps turn out to be ideologi-
the rewards of making a difference even if cally or otherwise distorted), and
the achievements seem small and local. Out • the historically-formed cultural-discursive,
of such small steps, larger movements some- social and material-economic fields that con-
times grow. These small steps make people stitute the conditions of their practice and
feel ‘alive’ in a universalistic sense – making the situations and settings in which their
them feel connected to the circumstances of practice is conducted (conditions, situations
all people everywhere: alive to history, alive and settings that may perhaps turn out to be
in history, and alive in making history – their destructive)
own and others’. This is the emancipatory 3. by opening communicative space – that is, space
face of an ‘effective-historical consciousness’ for collective reflection and self-reflection
136 GROUNDINGS
through communicative action aimed at inter- • unproductive (materially-economically unsus-

subjective agreement, mutual understanding tainable), or
and unforced consensus about what to do – in • the unjustifiable causes of suffering or dis-
which participants can strive together, subjec- satisfaction for particular persons or groups
tively and intersubjectively, to reach shared • and of enhancing participants’ capacity for
insights into and decisions about what to do in collective historical action, often in the con-
relation to the nature and historical formation of text of social movements.
their practice in terms of
• how their practice has evolved over time in

its intertwined (and sometimes contradictory NOTES
or contested) cultural-discursive, social,
material-economic and personal dimen- 1 I am grateful to Barbara Conlan and Roslin
sions and Brennan Kemmis for editorial work that significantly
• themes and issues that arise as common improved this chapter. The faults that remain are my
concerns as a consequence of the tensions responsibility.
and interconnections within and between 2 Gadamer’s argument against ‘method’ in the
their shared lifeworlds (that provide content human and social sciences is elaborated in Joseph
Dunne’s (1993) Back to the Rough Ground, a mas-
and resources constituted in the shared
terful and scholarly exploration of praxis and its
logos of language and shared background endangerment in contemporary times.
assumptions in the cultural dimension, soli-
darities in the social dimension, and compe-
tences and capacities in the personal
dimension), on the one hand, and, on the REFERENCES
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138 GROUNDINGS
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Schön, Donald A. (1983) The Reflective Practitioner: Young, Iris Marion (1990) Justice and the Politics of
How Professionals Think in Action. New York: Basic Difference. Princeton, NJ: Princeton University Press.
Books.
9
Systems Thinking and Practice for
Action Research
Ray Ison
This chapter offers some grounding in systems thinking and practice for doing action
research. There are different traditions within systems thinking and practice which, if appre-
ciated, can become part of the repertoire for practice by action researchers. After exploring
some of these lineages the differences between systemic and systematic thinking and prac-
tice are elucidated – these are the two adjectives that come from the word 'system', but they
describe quite different understandings and practices. These differences are associated with
epistemological awareness and distinguishing systemic action research from action research.
Finally, some advantages for action research practice from engaging with systems thinking
and practice are discussed.
My primary purpose in this chapter is to within systems thinking and practice, just as
introduce, albeit briefly, some of the different in other domains of practice, there are differ-
traditions within systems thinking and prac- ent traditions, which are perpetuated through
tice and to explore what action research (AR) lineages.
practitioners may find useful by engaging After exploring some of these lineages I
with these traditions. elucidate how systemic and systematic think-
The history of systems thinking and prac- ing and practice are different – these are the
tice can be explained in many different ways. two adjectives that come from the word
Anyone can be a systems thinker and practi- ‘system’ but they describe quite different
tioner, but the narratives that are told are gen- understandings and practices. These differ-
erally about those with recognized expertise. ences are associated with epistemological
My perspective is that many well-known sys- awareness, which is required, I claim, for
tems thinkers had particular experiences moving effectively between systemic and
which led them to devote their lives to their systematic thinking and practice. I ground
particular forms of systems practice. So, this claim in my own experience of doing AR
140 GROUNDINGS
which has led me to distinguish systemic percolation etc. Through this sort of systemic
action research from action research. logic water availability for plant growth can ulti-
Finally, I suggest some advantages I, and mately be linked to the milk production of graz-
ing animals and such things as profit and other
others in the systems traditions, have found
human motivations. Sometimes an awareness of
useful for AR from engaging with systems connectivity is described in the language of
thinking and practice. chains, as in ‘the food chain’, and sometimes as
networks, as in the ‘web of life’. Other phrases
include ‘joined up’, ‘linked’, ‘holistic’, ‘whole sys-
SYSTEMS TRADITIONS AND tems’, ‘complex adaptive systems’ etc;
(ii) counterintuitive effects, such as realizing that
LINEAGES
floods can represent times when you need to
be even more careful about conserving water,
Scene Setting as exemplified by the shortages of drinking
The word ‘system’ comes from the Greek water in the New Orleans floods that followed
verb synhistanai, meaning ‘to stand together’ hurricane Katrina in 2005; and
(the word ‘epistemology’ has the same root). (iii) unintended consequences. Unintended conse-
quences are not always knowable in advance
A system is a perceived whole whose ele-
but thinking about things systemically can
ments are ‘interconnected’. Someone who often minimize them. They may arise because
pays particular attention to interconnections feedback processes (i.e. positive and negative
is said to be systemic (e.g. a systemic family feedback) are not appreciated (Table 9.1). For
therapist is someone who considers the inter- example the designers of England’s motorways
connections amongst the whole family; the did not plan for what is now experienced on a
emerging discipline of Earth Systems daily basis – congestion, traffic jams, emis-
Science is concerned with the interconnec- sions, etc. These unintended consequences are
tions between the geological and biological a result of the gaps in thinking that went into
features of the Earth). On the other hand, if I designing and building new motorways as part
follow a recipe in a step-by step manner then of a broader ‘transport system’.
I am being systematic. Medical students in
courses on anatomy often take a systematic As I intimated earlier, many people either
approach to their study of the human body – implicitly or explicitly refer to things that are
the hand, leg, internal organs etc. – but at the interconnected (exhibit connectivity – Table
end of their study they may have very little 9.1) when they use the word ‘system’. A com-
understanding of the body as a whole mon example is the use of ‘transport system’ or
because the whole is different to the sum of ‘computer system’ in everyday speech. As well
the parts, i.e. the whole has emergent proper- as a set of interconnected ‘things’ (elements), a
ties (Table 9.1). Later I explain how starting off ‘system’ can also be seen as a way of thinking
systemically to attempt to change or improve about the connections (relationships) between
situations of complexity and uncertainty things – hence a process. A constraint to think-
means being both systemic and systematic. ing about ‘system’ as an entity and a process is
Many, but not all, people have some form caused by the word ‘system’ being a noun – a
of systemic awareness, even though they noun implies something you can see, touch or
may be unaware of the intellectual history of discover, but in contemporary systems think-
systems thinking and practice as a field of ing more attention is paid to the process of
practical and academic concern. Systemic ‘formulating’ a system as depicted in Figure
awareness comes from understanding: 9.1. This figure shows someone who has
formulated or distinguished a system of inter-
(i) ‘cycles’, such as the cycle between life and
est in a situation, i.e. a process. In the process
death, various nutrient cycles and the water
cycle – the connections between rainfall, plant a boundary judgement is made which
growth, evaporation, flooding, run-off, distinguishes a system of interest from an
Table 9.1 Definitions of some generalized systems concepts likely to be experienced when encountering a system practitioner
or for co-option into your own action research projects
Concept Definition
Boundary The borders of the system, determined by the observer(s), which define where control action can be taken: a particular area of responsibility to achieve system purposes
Communication (i) First-order communication is based on simple feedback (as in a thermostat) but should not be confused with human communication, which has
a biological basis
(ii) Second-order communication is understood from a theory of cognition which encompasses language, emotion, perception and behaviour. Amongst human beings
this gives rise to new properties in the communicating partners who each have different experiential histories
Connectivity Logical dependence between components or elements (including sub-systems) within a system
Reason & Bradbury (2e)-3562-Ch-09.qxd
Difficulty A situation considered as a bounded and well defined problem where it is assumed that it is clear who is involved and what would constitute a solution within a
given time frame
Emergent properties Properties which are revealed at a particular level of organization and which are not possessed by constituent sub-systems. Thus these properties emerge from an
assembly of sub-systems
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Environment That which is outside the system boundary and which affects and is affected by the behaviour of the system; alternatively the ‘context’ for a system of interest
Feedback A form of interconnection, present in a wide range of systems. Feedback may be negative (compensatory or balancing) or positive (exaggerating or reinforcing)
Hierarchy Layered structure; the location of a particular system within a continuum of levels of organization. This means that any system is at the same time a sub-system of
5:29 PM
some wider system and is itself a wider system to its sub-systems
Measure of performance The criteria against which the system is judged to have achieved its purpose. Data collected according to measures of performance are used to modify the
interactions within the system
Mess A mess is a set of conditions that produces dissatisfaction. It can be conceptualized as a system of problems or opportunities; a problem or an opportunity is an
Page 141
ultimate element abstracted from a mess
Monitoring and control Data collected and decisions taken in relation to measures of performance are monitored and controlled action is taken through some avenue of management
Networks An elaboration of the concept of hierarchy which avoids the human projection of ‘above’ and ‘below’ and recognizes an assemblage of entities in relationship, e.g.
organisms in an ecosystem
Perspective A way of experiencing which is shaped by our unique personal and social histories, where experiencing is a cognitive act
(Continued)
Table 9.1 (Continued)
Concept Definition
Purpose What the system does or exists for; the raison d’être which in terms of a model developed by people is to achieve the particular transformation
that has been defined
Resources Elements which are available within the system boundary and which enable the transformation to occur
System An integrated whole whose essential properties arise from the relationships between its parts; from the Greek synhistanai, meaning ‘to place together’
System of interest The product of distinguishing a system in a situation, in relation to an articulated purpose, in which an individual or a group has an interest (a stake); a constructed or
formulated system, of interest to one or more people, used in a process of inquiry; a term suggested to avoid confusion with the everyday use of the word ‘system’
Systemic thinking The understanding of a phenomenon within the context of a larger whole; to understand things systemically literally means to put them into
9/24/2007
a context, to establish the nature of their relationships
Systematic thinking Thinking which is connected with parts of a whole but in a linear, step-by-step manner
Tradition Literally, a network of pre-understandings or prejudices from which we think and act; how we make sense of our world
5:29 PM
Transformation Changes, modelled as an interconnected set of activities which convert an input to an output which may leave the system (a ‘product’) or become
an input to another transformation
Trap A way of thinking which is inappropriate for the situation or issue being explored
Page 142
Worldview That view of the world which enables each observer to attribute meaning to what is observed (sometimes the German word Weltanschauung is
used synonymously)
(Source: adapted from Wilson, 1984; Capra, 1996; and Pearson and Ison, 1997)
SYSTEMS THINKING AND PRACTICE FOR ACTION RESEARCH 143
A distinction made
by someone
Environment
System of
Interest
Sub-system Boundary
Key elements that result from systems thinking.
Figure 9.1 Key elements of systems practice as a process which result from systems thinking
within situations experienced as complex
environment. It follows that because we each I now provide a brief overview of the
have different perspectives and interests (histo- history of systems thinking and practice which
ries) then it is likely that we will make differ- gives rise to the traditions of understanding
ent boundary judgements in the same situation, out of which systemists think and act. This
i.e. my education system will be different to account is by no means comprehensive and
yours because we see different elements, con- reflects my own perspective on this history.
nections and boundary. Contemporary systems
practice is concerned with overcoming the lim-
itations of the everyday use of the word HISTORY AND OUR TRADITIONS OF
‘system’ as well as seeing the process of for- UNDERSTANDING
mulating systems of interest as a form of prac-
tice that facilitates changes in understanding, Some historical accounts of systems lineages
practice and situations. start with the concerns of organismic biolo-
Systems thinking embraces a wide range gists who felt that the reductionist thinking
of concepts which most systems lineages and practice of other biologists was losing
have as a common grounding (Table 9.1). sight of phenomena associated with whole
Thus, like other academic areas, ‘systems’ organisms (von Bertalanffy, 1968 [1940]).
has its own language, as shown in Table 9.1. Organismic or systemic biologists were
At this point it is worth noting that I have amongst those who contributed to the inter-
already used the word ‘system’ in a number disciplinary project described as ‘general
of different ways: (i) the everyday sense systems theory’ (GST; von Bertalanffy, 1968
when we refer to the ‘problem with the [1940]). Interestingly, ‘systemic biology’ is
system’; (ii) a ‘system’ of interest which is currently enjoying a resurgence (O’Malley
the product of a process of formulating or and Dupré, 2005). Other historical accounts
constructing by someone (Figure 9.1); (iii) start earlier – with Smuts’ (1926) notion of
the academic area of study called ‘systems’ practical holism – or even earlier with process
and (iv) a systems approach – practice or thinkers such as Heraclitus who is reputed to
thinking which encompasses both systemic have said: ‘You cannot step into the same
and systematic thinking and action. river twice, for fresh waters are ever flowing
Physiology Economics
Mathematics Management
Boulding cybermetics Critical
Cannon
Rapoport systems
Hegel Philosophy
Bertalanffy Critical systems
d
heuristics
son
Parsons
Biology General Systems
Floo
Sociology
Espejo
Beer
ich
Buckley
Jack
Miller, Garard Theory Systemic
Ulr
inquiry
ty
Applied
rsi
systems
e
d
niv
Mathematics Family therapy Systems
U
lan
Anthropology
ck
failure
en
Von Foerster
e
Physiology
Op
Ch
Ashby Weiner
Mead Second-order Information
Shannon ell
cybermetics Stow systems
Bateson
Information First-order -H arper
theory cybermetics Control Pask Maturana Wood Spedding
Weaver Systems
theory Bawden
Systems agriculture
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Experimental approaches Buckley

McCulloch Social
epistemology
Vickers
systems
Computing Engineering Ack
Biology of RA off Management
cognition ND
sciences
Prigogine
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Co
rp ‘Soft OR’
Complexity Churchman Systems
Ar
Beer
analysis
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Forres
sciences
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Operations
Senge
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Ashby research hö Management
ter, Me
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learning
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Ackoff
adows
Ma
cy
Ca
System
pra
dynamics
Systems sciences: ‘Whole earth’
interdisciplinary movements S.D.
Science Systemic
studies complexity
Figure 9.2 A model of different influences that have shaped contemporary systems approaches
in upon you.’ Figure 9.2 gives an account of The next two clusters (Figure 9.2) are
some of the influences that have given rise to associated with cybernetics, from the Greek
contemporary systems approaches. Other meaning ‘helmsman’ or ‘steersman’. The
historical accounts can be found in term was coined to deal with concerns about
Checkland (1981), Flood (1999, 2001/2006), feedback as exemplified by the person at the
Francois (1997), Jackson (2000) or on helm responding to wind and currents so as
Principia Cybernetica (2006). to stay on course. A key image of first-order
In Figure 9.2 I identify five formative clus- cybernetics is that of the thermostat-con-
ters that give rise to contemporary systems trolled radiator – when temperatures deviate
approaches. It is not possible to describe all from the optimum, feedback processes adjust
these influences nor approaches in detail. the heat to maintain the desired temperature.
Some of the motivation for the ‘GST project’ Major concerns of cyberneticians were that
in interdisciplinary synthesis can be explained of communication and control (Table 9.1). As
by the realization in many disciplines that they outlined by Fell and Russell (2000), the first-
were grappling with similar phenomena. This order cybernetic ‘idea of communication as
project had its apotheosis in the interdiscipli- the transmission of unambiguous signals
nary Macy conferences in the 1940s and 1950s which are codes for information has been
which did much to trigger new insights of a found wanting in many respects. Heinz von
systems and cybernetic nature and subse- Foerster, reflecting on the reports he edited
quently a wide range of theoretical and practi- for the Macy Conferences that were so influ-
cal developments (see Heims, 1991). So, ential in developing communication theory
although GST, as an intellectual project, has in the 1950s, said it was an unfortunate lin-
not been sustained it has nonetheless left a rich guistic error to use the word ‘information’
legacy (Capra, 1996). instead of ‘signal’ because the misleading
For example, Checkland (1981: 152) estab- ‘idea of ‘information transfer’ has held up
lishes a connection with Kurt Lewin’s view of progress in this field (Capra, 1996). In the
‘the limitations of studying complex real latest theories the biological basis of the lan-
social events in a laboratory, the artificiality of guage we use has become a central theme’
splitting out single behavioural elements from (see first- and second-order communication
an integrated system’ (see also Foster, 1972). in Table 9.1).
Checkland goes on to say: ‘this outlook obvi- Fell and Russell (2000: 34) go on to
ously denotes a systems thinker, though describe the emergence of second-order
Lewin did not overtly identify himself as cybernetics in the following terms: ‘second-
such’ (p. 152). A central idea in Lewin’s order cybernetics is a theory of the observer
milieu was that psychological phenomena rather than what is being observed. Heinz
should be regarded as existing in a ‘field’: ‘as von Foerster’s phrase, “the cybernetics of
part of a system of coexisting and mutually cybernetics” was apparently first used by
interdependent factors having certain proper- him in the early 1960s as the title of Margaret
ties as a system that are deducible from Mead’s opening speech at the first meeting of
knowledge of isolated elements of the system’ the American Cybernetics Society when she
(Deutsch and Krauss, 1965, quoted in Sofer, had not provided written notes for the
1972). Whilst Lewin may not have overtly Proceedings (van der Vijver, 1997)’.
described himself as a systems thinker, he was The move from first- to second-order
nonetheless a member of the Macy confer- cybernetics is a substantial philosophical and
ences ‘core group’. He attended the first two epistemological jump as it returns to the core
conferences but died in 1947, shortly before cybernetic concept of ‘circularity’, or recur-
the third conference, and his influence was sion, by recognizing that observers bring forth
lost to the group (especially his knowledge of their worlds (Maturana and Poerkson, 2004;
Gestalt psychology).1 Von Foerster and Poerkson, 2004). Von
146 GROUNDINGS
Foerster (1992), following Wittgenstein, put especially in science studies. These include
the differences in the following terms: ‘Am I the rise of discourses and understandings
apart from the universe? That is, whenever I about the ‘risk’ and ‘networked’ society
look am I looking through a peephole upon an (Beck, 1992; Castells, 2004), and associated
unfolding universe [the first-order tradition]. globalization which has raised awareness of
Or: Am I part of the universe? That is, when- situations characterized by connectedness,
ever I act, I am changing myself and the uni- complexity, uncertainty, conflict, multiple
verse as well [the second-order tradition]’ perspectives and multiple stakeholdings
(p. 15). He goes on to say that ‘Whenever I (SLIM, 2004a). It can be argued that this is
reflect upon these two alternatives, I am sur- the reformulation and transformation of an
prised again and again by the depth of the earlier discourse about the nature of situa-
abyss that separates the two fundamentally tions that Ackoff (1974) described as
different worlds that can be created by such a ‘messes’ rather than ‘difficulties’ (Table 9.1),
choice: Either to see myself as a citizen of an Shön (1995) as the ‘real-life swamp’ rather
independent universe, whose regularities, than the ‘high-ground of technical rationality’,
rules and customs I may eventually discover, and Rittel and Webber (1973) as ‘wicked’ and
or to see myself as the participant in a con- ‘tame’ problems. A tame problem is one
spiracy whose customs, rules and regulations where all the parties involved can agree what
we are now inventing’ (p. 15). It is worth mak- the problem is ahead of the analysis and
ing the point that understandings from second- which does not change during the analysis.
order cybernetics have been influential in In contrast, a wicked problem is ill-defined.
fields as diverse as family therapy and envi- Nobody agrees about what, exactly, the
ronmental management. Some authors equate problem is. Schön, Ackoff and Rittel all had
a second order cybernetic tradition with radi- professional backgrounds in planning so it is
cal constructivism, although not all agree. not surprising that they encountered the same
Operations research (OR) is another phenomena even if they chose to describe
source of influence on contemporary systems them differently.
thinking and practice. OR flourished after the An example of such a situation from my
Second World War based on the success of own work is that of water catchments; a
practitioners in studying and managing com- ‘catchment’ (or watershed) has been histori-
plex logistic problems. As a disciplinary field cally regarded as a description of a biophys-
it has continued to evolve in ways that are ical entity, but today there are few
mirrored in the systems community. catchments which do not have mixed forms
A recent set of influences have come from of human activity (urban development, farm-
the so-called complexity sciences (Figure 9.2), ing, extraction, mining etc.) interacting with bio-
which is a lively arena of competing and con- physical or ecosystem functions. Catchments
tested discourses. As has occurred between the could thus be said to be socially constructed.
different systems lineages, there are competing On a global basis there is a shortage of water
claims within the complexity field for institu- in relation to human-derived demands and
tional capital (e.g. many different academic often the quality of water available is no
societies have been formed with little relation- longer fit for purpose. In such situations
ship to each other), contested explanations more scientific knowledge can increase,
and extensive epistemological confusion rather than ameliorate, complexity and
(Schlindwein and Ison, 2005). However, some uncertainty, yet there is also a need to ‘man-
are drawing on both traditions to forge exciting age’ catchments. This is the type of situation
new forms of praxis (e.g. McKenzie, 2006). where systems thinking and practice and AR
Other recent developments draw on inter- come together most fruitfully (SLIM,
disciplinary movements in the sciences, 2004a).
Table 9.2 The ‘hard’ and ‘soft’ traditions of systems thinking compared
The hard systems thinking tradition The soft systems thinking tradition
oriented to goal seeking oriented to learning
assumes the world contains systems that can be engineered assumes the world is problematical but can be explored by
using system models
assumes system models to be models of the world assumes system models to be intellectual constructs
(ontologies) (epistemologies)
talks the language of ‘problem’ and ‘solutions’ talks the language of ‘issues’ and ‘accommodations’
Advantages Advantages
allows the use of powerful techniques is available to all stakeholders including professional
practitioners; keeps in touch with the human content of
problem situations
Disadvantages Disadvantages
may lose touch with aspects beyond the logic of does not produce the final answers;
the problem situation accepts that inquiry is never-ending
(Adapted from Checkland, 1985)
IMPLICATIONS FOR ACTION focus on particular key systemic concerns,

RESEARCHERS e.g. patterns of influence and the dynamics of
stocks and flows in systems dynamics; criti-
Developments in systems thinking and prac- cal theory and Habermasian understandings
tice have gone on in parallel – sometimes in critical systems approaches; phenomenol-
with mutual influences, sometimes in ogy and interpretivism in applied ‘soft sys-
isolation – with other academic trends such tems’, to name but a few. Those within each
as the emergence of discourse theory or approach have generally evolved their own
post-structuralism or concerns with reflexiv- forms of praxis. Engagement with the differ-
ity, to name but a few. This should not pose ent systems traditions also requires an ability
problems for action researchers, rather it to make epistemological distinctions – to be
should offer more choices for practice. epistemologically aware. I explain why this
Awareness of the different systems tradi- is important in the next section.
tions, the praxes that have evolved, their
constituent concepts (e.g. Table 9.1) and the
techniques, tools and methods that are used SYSTEMIC AND SYSTEMATIC
are all available for an action researcher to THINKING AND ACTION
enhance their own repertoire.
One of the key concepts in systems is that Exploring the Systemic/Systematic
of levels or layered structure (Table 9.1); this Distinction
concept illuminates an important aspect of
systems practice, the conscious movement When Checkland and his co-workers, begin-
between different levels of abstraction. In the ning in the late 1960s, reacted against the
next section I explore how it is possible, with thinking then prevalent in systems engineer-
awareness, to move between the systemic ing and operations research (two lineages
and systematic. depicted in Figure 9.2), and coined the terms
Not all the systems approaches depicted in ‘hard’ and ‘soft’ systems (Table 9.2), the case
Figure 9.2 have been influenced by the dis- for epistemological awareness within sys-
tinctions I have made; each has tended to tems began to be made apparent.
148 GROUNDINGS
Systems practitioners, such as Checkland, characteristics that distinguish between

found the thinking associated with goal- systemic and systematic thinking and action.
oriented behaviour to be unhelpful when deal- The construction of Table 9.3 may suggest
ing with messes and this resulted in a move that the systemic and systematic are either/or
away from goal-oriented thinking towards choices. Historically, for many, they appear to
thinking in terms of learning, i.e. the purpose have been. However, the capacity to practise
of formulating a system of interest as depicted both systemically and systematically gives
in Figure 9.1 moves from naming, describing rise to more choices if one is able to act with
or discovering systems to orchestrating a awareness. Awareness requires attempting to
process of learning which can lead to changes know the traditions of understanding out of
in understandings and practices. The episte- which we think and act, including the extent
mological shift was from seeing systems as of our epistemological awareness. I also refer
‘real world entities’ to models or devices to this as the ‘as if’ attitude, e.g. the choice can
employed in a process of action learning or be made to act ‘as if’ it were possible to be
research, i.e. the primary skill shifted to one of ‘objective’ or to see ‘systems’ as real. Such
being able to build and use systemic models as awareness allows questions like: What will I
epistemological devices to facilitate learning learn about this situation if I regard it as a
and change based on accommodations system to do X or Y? Or if you are a biologist,
between different interests. ‘Hard’ systems asking: How might I understand this organism
approaches had typically been used within the if I choose to understand it as a system?
lineage of ‘systems engineering’ which when Adopting an ‘as if’ approach means that one is
it came to building bridges was fine, but when always aware of the observer who gives rise to
these people turned their attention to social the distinctions that are made and the respon-
issues it was not so easy to engineer new sibility we each have in this regard. The sys-
‘social systems’ – in fact it proved dangerous temic and systematic distinctions can be
to do so, with significant unintended conse- linked to the different traditions in systems –
quences (a recent example is the attempt by the systematic is akin to the first-order cyber-
the New Labour government in the UK to netic tradition and the systemic builds on
‘engineer’ performance based on targets). second-order traditions (Figure 9.2). Being
In our work at the Open University, driven able to work within both the systemic and sys-
by the need to develop effective pedagogy for tematic traditions is only possible with episte-
educating the systems practitioner, we have mological awareness.
rejected the hard/soft distinction because we My systemic and systematic distinctions
experience it as perpetuating an unhelpful extend the conclusions of Dent and Umpleby
dualism – a self negating either/or. This is (1998) in their analysis of the underlying
manifest, particularly among technology and assumptions of systems and cybernetic tradi-
engineering students, as ‘hard approaches’ tions; they regard ‘systems and cybernetics’
(often quantitative) being perceived as more as a collective worldview in which one strand
rigorous than ‘soft’. Instead we employ the is emerging with major assumptions about
adjectives that arise from the word system: constructivism, mutual causation and holism
systemic thinking, thinking in terms of wholes and a traditional worldview comprising major
and systematic thinking, linear, step-by-step assumptions of objectivism, linear causation
thinking, as described earlier. Likewise, it is and reductionism.
possible to recognize systemic practice and
systematic practice. Together these comprise a
duality – a whole rather than an unhelpful EPISTEMOLOGICAL AWARENESS
dualism (the Chinese symbol for yin and yang
is a depiction of a duality – together they make Epistemology is the study of how we come
a whole). Table 9.3 summarizes some of the to know; within second-order cybernetics
Table 9.3 A summary of the characteristics that distinguish the epistemological basis of systemic thinking and action and
systematic thinking and action
Systemic thinking Some implications for AR Some implications for AR
Properties of the whole differ and are said to emerge from their The whole can be understood by considering just It is helpful to surface understandings about causality
parts, e.g. the wetness of water cannot be understood in terms the parts through linear cause–effect mechanisms. amongst participants in AR projects – using multiple cause
of hydrogen and oxygen. diagramming is one way to do this; a choice can be made to
see AR as a process of managing for emergence or to meet
predetermined goals.
Boundaries of systems are determined by the perspectives of Systems exist as concrete entities; there is a Awareness and choice are key concerns; awareness of the
those who participate in formulating them. The result is a correspondence between the description and the limitations of the everyday use of the word ‘system’ can help
system of interest. described phenomenon. practice, especially surfacing boundary judgements.
Individuals hold partial perspectives of the whole; when Perspective is not important. Has implications for who participates in AR and how different
combined, these provide multiple partial perspectives. perspectives are managed in the process of AR.
Systems are characterized by feedback – may be negative, i.e. Analysis is linear. Draws attention to the dynamics in a situation and how these
compensatory or balancing; or positive, i.e. exaggerating or may be understood differently by different participants. Need
reinforcing. to avoid confusion between the (now) everyday notion of
9/24/2007
feedback and how it is understood cybernetically (Table 9.1)

Systems cannot be understood by analysis of the component A situation can be understood by step-by-step For AR both have their place – it is useful to be aware of
parts. The properties of the parts are not intrinsic properties, but analysis followed by evaluation and repetition of when and why it might be useful to begin, or act,
can be understood only within the context of the larger whole the original analysis. systemically or systematically; starting off systemically will
5:29 PM
through studying the interconnections. usually take you to a different place than starting off
systematically.
Concentrates on basic principles of organization. Concentrates on basic building blocks. Involves shifting between process thinking and thinking in
terms of objects or entities e.g. how do objects arise? What
Page 149
are relationships between entities?

Systems are nested within other systems – they are There is a foundation on which the parts can Involve different ways of thinking about relationships.
multi-layered and interconnect to form networks. be understood.
Contextual. Analytical. Lead to different starting points and processes.
Concerned with process. Concerned with entities and properties. Both are relevant to AR.
The properties of the whole system are destroyed when the The system can be reconstructed after studying the May have implications for project managing in AR or how a
system is dissected, either physically or theoretically, into components. study is set up.
isolated elements.
(Continued)
Systemic thinking Some implications for AR Some implications for AR
The espoused role and the action of the decision-maker is very The espoused role of the decision-maker is that of In systemic action the AR role is that of participant-
much part of an interacting ecology of systems. How the participant-observer. In practice, however, the conceptualizer or co-conceptualizer; in systematic AR concern
researcher perceives the situation is critical to the system being decision-maker claims to be objective and thus remains is primarily with understanding the action of others.
studied. 'outside' the system being studied.
Ethics are perceived as being multi-levelled as are the levels, of Ethics and values are not addressed as a central theme. It is not possible to reconcile ‘objectivity’ with ethicality and
systems themselves. What might be good at one level might be They are not integrated into the change process; the responsibility in the doing of AR – they belong to different
bad at another. Responsibility replaces objectivity in whole- researcher takes an objective stance. traditions (not to be confused with doing some things
systems ethics. systematically within a systemic framing).
9/24/2007
It is the interaction of the practitioner and a system of interest The system being studied is seen as distinct from its It is possible to think of all AR projects ‘as if’ they were
with its context (its environment) that is the main focus of environment. It may be spoken of in open-system systems to do ….; this would be a systemic approach
exploration and change. terms but intervention is performed as though it were a whereas a systematic position might see an AR project ‘as a’
closed system. system.
5:29 PM
Perception and action are based on experience of the world, Perception and action are based on a belief in a 'real An awareness of epistemology is important to carry in AR
especially on the experience of patterns that connect entities world', a world of discrete entities that have meaning practice.
and the meaning generated by viewing events in their contexts. in and of themselves.
Page 150
There is an attempt to stand back and explore the traditions of Traditions of understanding may not be questioned The AR practitioner is part of the situation and calls for a
understanding in which the practitioner is immersed. although the method of analysis may be evaluated. reflexive attitude
(Adapted from Ison and Russell, 2000)

knowledge is not something we have but have the language to speak about it. A key
arises in social relations such that all know- component of AR projects is often some form
ing is doing. From this perspective episte- of experiential learning – the Kolb (1983)
mology is something practical that is part of learning cycle is often held up as an exemplar
daily life. It is known (Perry, 1981; Salner, of an action research approach – but rarely is
1986) that personal change in epistemic ‘experience’ understood in theoretical terms.
assumptions is absolutely essential to any Within the second-order tradition, experience
major breakthroughs in decision-making arises in the act of making a distinction. Thus,
based on understanding and applying sys- another way of describing a tradition is as our
tems theories to practical problems. If, as experiential history. To do this requires lan-
Salner has found, many people are not able to guage – if we did not ‘live in’ language we
fully grasp relatively simple systemic con- would simply exist in a continuous present, not
cepts (such as non-linear processes, or self- ‘having experiences’. Because of language we
reflexive structures), they will not be able to are able to reflect on what is happening, or in
rethink organizational dynamics in terms of other words we create an object of what is hap-
‘managing’ complexity without substantial pening and name it ‘experience’ (Helme, 2002;
alteration in the worldviews (their ‘applied’ Maturana and Varela, 1987; Meynell, 2003,
epistemology). 2005; Von Foerster, 1984).
Salner (1986), drawing on earlier work by
Perry (1970, 1981) and Kitchener (1983),
describes the prevailing theory on epistemic
learning as involving the deliberate breaking USING THE SYSTEMIC/SYSTEMATIC
down and restructuring of mental models that DISTINCTIONS IN ACTION RESEARCH
support worldviews. She acknowledges that
this is not easy. Prigogine provides an addi- The example I use is a project working with
tional lens on this theory in his discussion of stakeholders in the semi-arid pastoral zone of
‘dissipative structures’ (Prigogine and New South Wales, Australia (Ison and
Stengers, 1994). This theory provides a Russell, 2000). We used our understanding of
model of the dynamics of epistemic learning: systems thinking and systemic action research
each learner goes through a period of chaos, (AR based in the systemic understandings
confusion and being overwhelmed by com- depicted in Table 9.3) to develop an approach
plexity before new conceptual information to doing R&D (research and development)
brings about a spontaneous restructuring of relevant to the context of the lives of pastoral-
mental models at a higher level of complex- ists in semi-arid Australia. Our experience
ity, thereby allowing a learner to understand had been that many action researchers, whilst
concepts that were formally opaque. The espousing a systemic epistemology, often in
shifts in understanding that concern these practice privileged a systematic epistemology
authors require circumstances in which there without awareness that that was what they
is genuine openness to the situation rather were doing, i.e. in practice they wished to
than a commitment to the conservation of a conserve the notion of a fixed reality and the
theory, explanation or epistemological posi- possibility of being objective (Table 9.3).
tion (e.g. objectivity) which is abstracted An outcome of our project was the design
from the situation. Above all else it requires of a process to enable pastoralists to pursue
awareness that we each have an epistemol- their own R&D activities – as opposed to
ogy (or possibly multiple epistemologies). having someone else’s R&D outcomes
Tensions and conflicts that arise in AR prac- imposed on them. Our design was built
tice can often be attributed to differences in around the notion that, given the right expe-
epistemology, although this cause may not be riences, people’s enthusiasms for action
acknowledged or practitioners may not even could be triggered in such a way that those
152 GROUNDINGS
with similar enthusiasms might work enactment of the four stages requires aware-
together. We understood enthusiasm as: ness of the systemic/systematic distinctions
• a biological driving force (enthusiasm comes
in action, i.e. as practice unfolds – they are
from the Greek meaning ‘the god within’. Our not just abstracted descriptions of traditions.
use of ‘god’ in this context has no connection Our experience is that this is not easy as our
with organized religion – our position was to early patterning predisposes us to take
question the commonly held notion that ‘infor- responsibility for someone else (tell them
mation’ comes from outside ourselves rather what to do), to resort to an assumption about
than from within in response to non-specific trig- a fixed reality and to forget that my world is
gers from the environment); always different from your world. We never
• an emotion, which when present led to purpose- have a common experience because even
ful action; though we may have the same processes of
• a theoretical notion;
perceiving and conceptualizing it is biologi-
• a methodology – a way to orchestrate purpose-
ful action.
cally impossible to have a shared experience –
all we have in common is language (in its
We spent a lot of time designing a process broadest sense) with which to communicate
that we thought had a chance to trigger about our experience.
people’s enthusiasms. Our process did in fact From my perspective systems thinking
enable people’s enthusiasms to be surfaced and practice are a means to orchestrate a par-
and led to several years of R&D activity on ticular type of conversation where conversa-
the part of some pastoralists, supported by tion, from the Latin, con versare, means to
ourselves but never determined by us (see ‘turn together’ as in a dance. To engage, or
Dignam and Major, 2000, for an account by not, with systems thinking and practice is a
the pastoralists of what they did). The choice we can make.
process we designed did not lead to R&D
actions (purposeful activity) in any cause and
effect way, rather the purposeful activity SOME ADVANTAGES FROM
taken was an emergent property of people’s ENGAGING WITH SYSTEMS
participation in the systemic, experiential THINKING AND PRACTICE FOR AR
learning process that we had designed. Our
work has led to a four-stage model for doing Many action researchers, including Kurt
systemic action research grounded in Lewin, have been influenced by systems
second-order cybernetic understandings thinking, but what is not always clear is the
(Figure 9.2). In summary these were: extent to which this is done purposefully –
with awareness of the different theoretical
(i) Stage 1: Bringing the system of interest into and practical lineages depicted in Figure 9.2.
existence (i.e., naming the system of interest); I have already suggested that engaging with
(ii) Stage 2: Evaluating the effectiveness of the systems offers a set of conceptual tools
system of interest as a vehicle to elicit useful which can be used to good effect in AR (e.g.
understanding (and acceptance) of the social
Table 9.1). There are other potential advan-
and cultural context;
(iii) Stage 3: Generation of a joint decision-making
tages for AR practitioners. Firstly, systemic
process (a ‘problem-determined system of inter- understandings enable reflections on the
est’) involving all key stakeholders; nature of research practice, including AR
(iv) Stage 4: Evaluating the effectiveness of the deci- practice itself. This, I suggest, can be under-
sions made (i.e., how has the action taken been stood by exploring purpose (Table 9.1).
judged by stakeholders?). Secondly, there is a rich literature of how dif-
ferent systems approaches or methodologies,
The way we went about designing the including systems tools and techniques, have
process (i.e of doing each stage) is described been employed within AR projects to bring
in detail in Russell and Ison (2000). The about practical benefits for those involved (e.g.
Research themes
Real
problem
situation
declared
F,M leads to
(A)
Reflection Findings
Action based on
F,M,A
Figure 9.3 The cycle of action research based on a declared framework of ideas (F) and
methodology (M) and area of application (A) and articulated research themes
(Source: Holwell, 2004, following Checkland and Holwell 1998)
Checkland and Poulter, 2006). I explore some boundaries; the work was done over a four-
of these potential benefits in this final section. year period and followed a three-part purpose-
ful but emergent design (Checkland and
Holwell, 1998b).
Researching in Action Research
Within the Checkland and Holwell lineage
The distinctions between what constitutes they emphasize that the research process must:
research (within the phrase systemic action
research or action research) and how it might (i) be recoverable by interested outsiders – ‘the set of
be differentiated from ‘inquiry’ or ‘managing’ ideas and the process in which they are used
is, I suggest, contested.2 AR has been a concern methodologically must be stated, because these
within the ‘applied systems’lineage (Figure 9.2) are the means by which researchers and others
make sense of the research’ (Holwell, 2004: 355);
for over 30 years (Checkland and Holwell,
(ii) involve the researcher’s interests embodied in
1998a); within this lineage Holwell (2004) themes which are not necessarily derived from a
proposes three concepts that constitute action specific context. ‘Rather, they are the longer
research as legitimate research: recoverability, term, broader set of questions, puzzles, and top-
iteration, and the purposeful articulation of ics that motivate the researcher [and] such
research themes (Figure 9.3). She exemplifies research interests are rarely confined to one-off
her claims with a description of ‘a program of situations’ (Holwell, 2004: 355) (I assume here
action research with the prime research objec- they might also claim that themes can arise
tive of understanding the … nature of the con- through a process of co-research or ‘researching
tracting relationship [within the UK National with’ – see McClintock, Ison and Armson (2003) –
Health Service] with a view to defining how it and thus can be emergent as well);
(iii) involve iteration, which is a key feature of rigor,
could be improved’ (p. 5). The project was
something more complex than repetitions of a
‘complex in execution, including several pro- cycle through stages ‘if thought of in relation to
jects overlapping in time’ covering work from a set of themes explored over time through sev-
different bodies of knowledge, and was under- eral different organizational contexts’ (Holwell,
taken by a seven-member multidisciplinary 2004: 356); and
team with different intellectual traditions. The (iv) involve the ‘articulation of an epistemology in
issues explored crossed many organizational terms of which what will count as knowledge
154 GROUNDINGS
from the research will be expressed’ (Checkland influence but my purpose was to do more rele-
and Holwell, 1998b: 9). They further claim that vant big ‘R’ research – for which I sought and
the ‘literature has so far shown an inadequate successfully gained funding (Potts and Ison,
appreciation of the need for a declared episte-
1987). It was during subsequent work on the
mology and hence a recoverable research
process’ (p. 20). Likewise Russell (1986) claimed
CARR (Community Approaches to Rangelands
that what was lacking in almost all research Research) project, as reported in Ison and
calling itself action research was an adequate Russell (2000), that my own epistemological
and thus useful epistemology. awareness shifted – something that I claim is
necessary for the shift from action to systemic
What is at issue here are the differences action research (Table 9.3). My experience is
between what I have called big ‘R’ (a particular that such a shift has an emotional basis; thus the
form of purposeful human activity) and researcher can be seen as both chorographer
little ‘r’ research (something that is part of daily (one versed in the systemic description of situ-
life, as is learning or adopting a ‘researching or ations) and choreographer (one practised in the
inquiring’ attitude) although the boundaries are design of dance arrangements) of the emotions
not always clear. Take recoverability. How in (Russell and Ison, 2005).
practice is this achieved? The most common As acknowledged in the distinctions
form is to write an account of what has hap- between participatory action research and
pened, ensuring that certain elements of prac- action science (Agyris and Schön, 1991; Dash,
tice and outcome, including evidence, are 1997) and first, second and third person
described (e.g. FMA in Figure 9.3). But writing inquiry (Reason, 2001), there is a need to be
is itself a form of purposeful practice, done well clear as to who takes responsibility for bring-
or not well as the case may be, which is always ing forth a researching system. Any account of
abstracted from the situation – it is always a big ‘R’ research needs to ask the question. who
reflection on action and is never the same as the is the researcher at this moment in this con-
actual doing. Of course recoverability could be text? Is it me, us or them? Answers to this
achieved by other means – by participation (i.e. question determine what is ethical practice,
apprenticeship and the evolution of ‘craft’ bounding, for example, what is mine from
knowledge) or through narrative, which may or what is ours and what is yours (e.g. Bell, 1998;
may not be writing. It seems to me the key aspi- Helme, 2002; SLIM, 2004b).
ration of recoverability is to create the circum-
stances where an explanation is accepted (by
Being Purposeful
yourself or someone else) and as such to pro-
vide evidence of taking responsibility for the Within systems traditions two forms of behav-
explanations we offer. It has a ‘could I follow a iour in relation to purpose are distinguished.
similar path when I encounter a similar situa- One is purposeful behaviour, which
tion’ quality about it. The alternative, as Von Checkland (1981) describes as behaviour
Foerster (1992) puts it, is to avoid responsibil- that is willed – there is thus some sense of
ity and claim correspondence with some exter- voluntary action. The other is purposive
nal or transcendental reality. For me the core behaviour – behaviour to which someone can
concerns for AR practice are: (i) awareness; (ii) attribute purpose. Following the logic of the
emotioning; and (iii) purposefulness. purposeful and purposive distinctions, sys-
In my own case I came to action research tems that can be seen to have an imposed
through my awareness that my traditional disci- purpose that they seek to achieve are called
pline-based research was not addressing what I purposive systems and those that can be seen
perceived to be the ‘real issues’ – in terms ele- to articulate their own purpose(s) as well as
gantly described by Shön (1995), I had a crisis seek them are purposeful systems. One of the
of relevance and rejected the high ground of key features attributed to purposeful systems is
technical rationality for the swamp of real-life that the people in them can pursue the same
issues. Warmington (1980) was a major initial purpose, sometimes called a what, in different
environments by pursuing different behav- or achieving something and the manner of its
iours, sometimes called a how. Note that I have execution, such as drawing a diagram in a
deliberately not used the term goals, because prescribed manner. An example of technique
of the current propensity to see goals as quite in this sense might be drawing a systems map
narrowly defined objectives. Certainly this to a specified set of conventions.
was the way they were interpreted in the sys- Several authors and practitioners have
tems engineering tradition of the 1950s and emphasized the significance of the term
1960s and in the traditional OR paradigm methodologies rather than methods in relation
(Figure 9.2; Table 9.2). My understanding of to systems. A method is used as a given, much
purposefulness is not a commitment to a deter- like following a recipe in a recipe book,
ministic form of rationalism because I recog- whereas a methodology can be adapted by a
nize that in our daily living we do what we do particular user in a participatory situation.
and then, in reflection, make claims for what There is a danger in treating methodologies as
was done.3 Being rational is a particular emo- reified entities – things in the world – rather
tional predisposition; in doing big ‘R’ research than as a practice that arises from what is done
it makes sense to me to act as if sustained ratio- in a given situation. A methodology in these
nality were possible. As I outlined earlier, an as terms is both the result of and the process of
if attitude signals epistemological awareness, a inquiry where neither theory nor practice take
taking of responsibility, and is a means to precedence (Checkland, 1985). For me, a
avoid unhelpful dualisms. methodology involves the conscious braiding
So another feature of systemic action of theory and practice in a given context (Ison
research is the extent to which there is some and Russell, 2000). A systems practitioner,
purposeful engagement with the history of aware of a range of systems distinctions (con-
systems thinking. If a system is conceptual- cepts) and having a toolbox of techniques at
ized as a result of the purposeful behaviour their disposal (e.g. drawing a systems map)
of a group of interested observers, it can be as well as systems methods designed by
said to emerge out of the conversations and others, is able to judge what is appropriate for
actions of those involved. It is these conver- a given context in terms of managing a
sations that produce the purpose and hence process (Table 9.4). In Table 9.4 I list a range
the conceptualization of the system. What it is of diagramming tools which are introduced to
and what its measures of performance are will systems students in OU courses as a means of
be determined by the stakeholders involved. engaging with complex situations. We have
This process has many of the characteristics found these effective components of a systems
attributed to self-organizing systems; its practitioner’s set of ‘tools’; they can be used
enactment can, in reflection, usefully be con- equally effective in AR.
sidered as a ‘learning system’ (Blackmore, Behind all systems methods there has gen-
2005). erally been a champion, a promoter aided by
Being aware of purpose and being able to countless co-workers, students, etc. To para-
ask about and articulate purposes can be a phrase the French sociologist of technology,
powerful process in AR. Bruno Latour: we are never confronted with
a systems method, but with a gamut of
weaker and stronger associations; thus
Using Systems Tools, Techniques understanding what a method is, is the same
task as understanding who the people are.
and Methods in AR
This is the logic that underpins Figure 9.2.
Within systems practice, a tool is usually A method, like any social technology,
something abstract, such as a diagram, used depends on many people working with it,
in carrying out a pursuit, effecting a purpose, developing and refining it, using it, taking it
or facilitating an activity. Technique is con- up, recommending it, and above all finding it
cerned with both the skill and ability of doing useful. But not all technologies that succeed
156 GROUNDINGS
Table 9.4 Some forms of systems diagramming taught to Open University systems students
for engaging with situations of complexity and the systems concepts associated with each
(see Table 9.1)
Diagram type Purpose Systems concepts employed or revealed
Systems map To make a snapshot of elements in • Boundary judgements

a situation at a given moment • Levels – system, sub-system, supra-system
• Environment
• Elements and their relationships
Influence To explore patterns of influence in • Connectivity via influence

a situation; precursor to dynamic • System dynamics
modelling
Multiple cause Explore understandings of • Worldview about causality

causality in a situation • Positive and negative feedback
Rich pictures Unstructured picture of a situation • Systemic complexity

• Reveals mental models and metaphors
• Can reveal emotional and political elements
of situation
Control model To explore how control may • Feedback

operate in a situation • Control action
• Purpose
• Measures of performance
are the best – it depends on who builds the explain in reference to the history of systems
better networks, particularly of practitioners. thinking (purposive behaviour). From this per-
As you experience the use of a particular spective what is accepted (or not accepted) as
systems method and strive to make it a systems practice arises in social relations as
methodology, it is important to reflect on it part of the praxis of daily living. With this
critically – to judge it against criteria mean- explanation someone who at first knew little
ingful to you but above all to judge it in rela- of the history but had experiences of systems
tion to your practice of it. It will be your practice, appreciative inquiry, participatory
experience of using an approach in a situa- action research, collaborative inquiry etc. as
tion to which it fits that matters. having many similarities could, through
inquiry which linked with the histories, or lin-
eages, begin to make finer distinctions of the
CONCLUSION sort that practitioners from each of these tradi-
tions had embodied. That is, I can recognize
I have outlined some of the lineages which that in their doings different practitioners are
give rise to different forms of systems practice bringing forth different traditions of under-
and what I consider to be involved in being standing. In recognizing systems practice it
systemic or systematic in relation to AR. For would be usual that some engagement with,
me, what we judge to be systems practice and use of, the concepts listed in Tables 9.1,
arises in social relations as part of daily life, 9.2 or 9.3 would be experienced.
but only when a connection has been made
with the history of systems thinking as
depicted in (but not restricted to) Figure 9.2. In NOTES
practical terms systems practice can arise
when we reflect on our own actions and make 1 Magnus Ramage kindly drew my attention to a
personal claims (purposeful behaviour) or nice anecdote from a conversation between
when others observe actions that they would Margaret Mead and Gregory Bateson (both Macy
attendees), suggesting that Lewin’s initial participa- Checkland, P.B. and Holwell, S. (1998b) Information,
tion but early death was directly responsible for the Systems and Information Systems. Chichester: Wiley.
introduction of ‘feedback’ into popular vocabulary in Checkland, P.B. and Poulter, J. (2006) Learning for
its rather loose sense – http://www.oikos.org/forgod. Action : a Short Definitive Account of Soft Systems
htm. Lewin is also sometimes described as a teacher
Methodology and Its Use for Practitioners, Teachers
of Chris Argyris (e.g. by Umpleby and Dent, 1999),
but Lewin simply taught an undergraduate module
and Students. Chichester: John Wiley & Sons.
that Argyris attended along with lots of others. Dash, D.P. (1997) ‘Problems of action research – as I
2 As evidence of this I cite the animated discus- see it.’ Working Paper No. 14, Lincoln School of
sions within a forum run by Peter Reason and Fritjof Management, University of Lincolnshire and
Capra at the 2005 UK Systems Society Conference in Humberside.
Oxford. Dent, E.B. and Umpleby, S. (1998) ‘Underlying assump-
3 For example, I would claim that intention arises tions of several traditions in systems theory and
in reflection and is not an a priori condition. cybernetics’, Cybernetics and Systems, 29: 513–18.
Dignam, D. and Major, P. (2000) ‘The grazier’s story’, in
R.L. Ison and D.B. Russell (eds), Agricultural Extension
and Rural Development: Breaking Out of Traditions.
ACKNOWLEDGMENT
Cambridge: Cambridge University Press.
Fell, L. and Russell, D.B. (2000) ‘The human quest for
Figure 9.3 reprinted with permisson. understanding and agreement’, in R.L. Ison and
D.B. Russell (eds), Agricultural Extension and Rural
Development: Breaking out of Traditions.
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10
Social Construction and
Research as Action
Kenneth J. Gergen and Mary M. Gergen
This chapter treats the significant relationship between the emergence of social construction-
ist ideas in the social sciences and the concomitant flowering of action research. After out-
lining major features of constructionist thought, attention is given to the dialogic relations
between these ideas and action research developments. Strong convergences are found in
the emphasis on research as political action, replacing methodological individualism with a
collaborative epistemology, moving from a vision of research as mapping to one of world
making, and the priority of pragmatics in evaluating research outcomes over vindicating
theory. Additionally, the ways in which constructionist ideas can prove catalytic in the future
development of action research is described. Special attention is given to advocacy as con-
flict, collaboration across plural worlds, and the challenge of accumulating knowledge.
Long isolated and largely ignored within the movement? In our view, one major answer
behavioral sciences, action oriented research lies in the broader intellectual currents
has become a major alternative to positivist sweeping the academy over recent decades.
conceptions and practices of research. Broad and longstanding agreements on such
Excitement now abounds as researchers from issues as truth, objectivity, rationality, values,
across numerous domains collect and com- and progress have everywhere been thrust
municate about their practices and potentials into question. Strands of such questioning are
in action research. Yet, how are we to indexed in many ways: post-foundational,
account for this upward thrusting trajectory, post-enlightenment, post-structural, and
the development of research forms, educa- post-modern among them. For many scholars
tional programs, journals, conferences, and the significant strands have become intercon-
handbooks? What has shifted in the world of nected under the rubric of social construc-
social science to bring about such an energetic tion. In effect, the growth of action oriented
160 GROUNDINGS
research is simultaneous with the emergence work has largely been eclipsed by more
of a social constructionist view of knowl- recent scholarly developments. One may
edge. This is not to say that all action ori- locate the primary stimulants to the more
ented researchers are steeped in recent development of social constructionist
constructionist theory, nor do all construc- thought in at least three, quite independent
tionist scholars engage in action research. movements. In effect, the convergence of
However, there is a vital and significant kin- these movements provides the basis for
ship across these domains. social constructionist inquiry today.
In the present chapter we wish to focus on The first movement may be viewed as crit-
this nexus between constructionist theory and ical, and refers to the mounting ideological
action research, to explore and clarify the critique of all authoritative accounts of the
dimensions of this affinity. In doing so action world, including those of empirical science.
researchers will find a rich body of thought Such critique can be traced at least to the
adding both dimension and vitality to their Frankfurt School, but today is more fully
endeavors. At the same time, there are certain embodied in the work of Foucault, and associ-
lines of constructionist thought that may pro- ated movements within feminist, black, gay
voke reflection on current action practices. In and lesbian, and anti-psychiatry enclaves. The
illuminating these latter areas of tension we second significant movement, the literary/
hope to facilitate the kinds of dialogue out of rhetorical, originates in the fields of literary
which new developments in both practice and theory and rhetorical study. In both cases,
theory can emerge. In effect, we wish both to inquiry demonstrates the extent to which sci-
celebrate the affinities and mine the tensions entific theories, explanations and descriptions
in the service of strengthening these related of the world are not so much dependent upon
efforts. In order to achieve these ends it is first the world in itself as on discursive conven-
important to sketch the contours of constructions. Traditions of language use construct
tionist thought. what we take to be the world. The third con-
text of ferment, the social, may be traced to
the collective scholarship in the history of
science, the sociology of knowledge, and
SOCIAL CONSTRUCTION: DIALOGIC social studies of science. Here the major focus
CONVERGENCES is on the social processes giving rise to knowl-
edge, both scientific and otherwise.
The phrase, social construction, typically Our aim here is not to review the emer-
refers to a tradition of scholarship that traces gence of these three movements. There are
the origin of knowledge, meaning, or under- numerous and detailed sources already avail-
standing to human relationships. The term able to the reader (see, for example, Gergen,
constructivism is sometimes used inter- 1994, 1999; Hacking, 1999). Rather, in what
changeably, but most scholarship associated follows we shall briefly outline a number of
with constructivism views processes inherent the most widely shared agreements to
in the individual mind, as opposed to human emerge from these various histories. To be
relationships, as the origin of people’s con- sure, there is active disagreement both within
structions of the world. Although one may and between participants in these various tra-
trace certain roots of social constructionism ditions. However, there are at least four
to Vico, Nietzsche, and Dewey, scholars major lines of argument that tend to link
often view Berger and Luckmann’s, The Social these traditions and to furnish the major
Construction of Reality (1966) as the landmark bonds among those who identity with social
volume. Yet, because of its alliance with phe- constructionism. This discussion will prepare
nomenology (mind as opposed to social dis- the way for a treatment of contemporary
course), and its lack of political critique, this issues and developments in action research.
SOCIAL CONSTRUCTION AND RESEARCH AS ACTION 161
The Social Origins of Knowledge generating pragmatic or instrumental truths

find constructionist arguments quite conge-
Perhaps the most generative idea emerging nial. Thus, for example, both would agree
from the constructionist dialogues is that that while Western medical science does suc-
what we take to be knowledge of the world ceed in generating what might commonly be
and self finds its origins in human relation- called ‘cures’ for that which is termed ‘ill-
ships. What we take to be true as opposed ness’, these advances are dependent upon
to false, objective as opposed to subjective, culturally and historically specific construc-
scientific as opposed to mythological, rational tions of what constitutes an impairment,
as opposed to irrational, moral as opposed health and illness, life and death, the bound-
to immoral is brought into being through his- aries of the body, the nature of pain, and so
torically and culturally situated social on. When these assumptions are treated as
processes. This view stands in dramatic con- universal – true for all cultures and times –
trast to two of the most important intellectual alternative conceptions are undermined and
and cultural traditions of the West. First is the destroyed. To understand death, for example,
tradition of the individual knower, the ratio- as merely the termination of biological func-
nal, self-directing, morally centered and tioning would be an enormous impoverish-
knowledgeable agent of action. Within the ment of human existence. If a nourishing life
constructionist dialogues we find that it is not is of value, there is much to be said of those
the individual mind in which knowledge, who believe in reincarnation, the Christian
reason, emotion and morality reside, but in dogma of ‘a life hereafter’, or the Japanese,
relationships. Mexican, or African tribal views of living
The communal view of knowledge also ancestor spirits. The constructionist does not
represents a major challenge to the presump- abandon medical science but attempts to
tion of Truth, or the possibility that the understand it as a cultural tradition – one
accounts of scientists, or any other group, among many.
reveal or approach the objective truth about
what is the case. In effect, propose the con-
structionists, no one arrangement of words is
The Centrality of Language
necessarily more objective or accurate in its
depiction of the world than any other. To be Central to the constructionist account of the
sure, accuracy may be achieved within a given social origins of knowledge is a concern with
community or tradition – according to its rules language. If accounts of the world are not
and practices. Physics and chemistry generate demanded by what there is, then the tradi-
useful truths from within their communal tra- tional view of language as a mapping device
ditions, just as psychologists, sociologists, and ceases to compel. Rather, a Wittgensteinian
priests do from within theirs. But from these view of language is invited, in which mean-
often competing traditions there is no means ing is understood as a derivative of language
by which one can locate a transcendent truth, use within relationships. And, given that
a ‘truly true’. Any attempt to establish the games of language are essentially conducted
superior account would itself be the product of in a rule-like fashion, accounts of the world
a given community of agreement. are governed in significant degree by conven-
These arguments have provoked antago- tions of language use. Empirical research
nistic reactions among scientific communi- could not reveal, for example, that ‘motives are
ties. There remain substantial numbers in the oblong’. The utterance is grammatically cor-
scientific community, including the social rect, but there is no way one could empirically
sciences, that still cling to a vision of science verify or falsify such a proposition. Rather,
as generating ‘Truth beyond community’. In while it is perfectly satisfactory to speak of
contrast, scientists who see themselves as motives as varying in intensity or content,
162 GROUNDINGS
discursive conventions for constructing represent and sustain the values of that com-
motivation in the 21st century do not happen munity. In establishing ‘what is the case’, the
to include the adjective ‘oblong’. In this research community also places value on
sense, all that may intelligibly be said about their particular metatheory of knowledge,
mental events is essentially derived from a constructions of the world, and practices of
linguist forestructure. research. When others embrace such knowl-
Social constructionists also tend to accept edge they wittingly or unwittingly extend the
Wittgenstein’s (1953) view of language reach of these values.
games as embedded within broader ‘forms of Thus, for example, the scientist may use
life’. Thus, for example, the language con- the most rigorous methods of testing emo-
ventions for communicating about human tional intelligence, and amass tomes of data
motivation are linked to certain activities, that indicate differences in such capacities.
objects and settings. For the empirical However, the presumptions that there is
researcher there may be ‘assessment devices’ something called ‘emotional intelligence’,
for motivation (e.g. questionnaires, thematic that a series of question and answer games
analysis of discourse, controlled observa- reveal this capacity, and that some people are
tions of behavior), and statistical technolo- superior to others in this regard, are all spe-
gies to assess differences between groups. cific to a given tradition or paradigm. Such
Given broad agreement within a field of concepts and measures are not required by
study about ‘the way the game is played’, ‘the way the world is’. Most importantly, to
conclusions can be reached about the nature accept the paradigm and extend its implica-
of human motivation. As constructionists tions into organizational practices may be
also suggest, playing by the rules of a given injurious to those people classified as inferior
community is enormously important to sus- by its standards.
taining these relationships. Not only does This line of reasoning has had enormous
conformity to the rules affirm the reality, repercussions in the academic community
rationality and values of the research com- and beyond. This is so especially for scholars
munity, but the very raison d’etre of the pro- and practitioners concerned with social
fession itself is sustained. To abandon the injustice, oppression, and the marginalization
discourse would render the accompanying of minority groups in society. Drawing suste-
practices unintelligible. Without conventions nance in particular from Foucault’s (1979,
of construction, action loses value. 1980) power/knowledge formulations, a
strong critical movement has emerged across
The Politics of Knowledge the social sciences, a movement that gives
expression to the discontent and resistance
As indicated above, social constructionism is shared within the broad spectrum of minori-
closely allied with a pragmatic conception of ties. In what sense, it is often asked, do the
knowledge. That is, traditional issues of truth taken for granted realities of the scientist sus-
and objectivity are replaced by concerns with tain ideologies inimical to a particular group
that which research brings forth. It is not (e.g. women, people of color, gays and les-
whether an account is true from a god’s eye bians, the working class, environmentalists,
view that matters, but rather the implications communalists, the colonized) or to human
for cultural life that follow from taking any well-being more generally? Traditional
truth claim seriously. This concern with con- research methods have also fallen prey to
sequences essentially eradicates the long- such critique. For example, experimental
standing distinction between fact and value, research is taken to task not only for its
between is and ought. The forms of life manipulative character, but its obliteration of
within any knowledge-making community the concept of human agency.
From Self to Relationship a fundamental distinction between self and

other is established, the social world is con-
As discussed earlier, the constructionist dia- stituted by differences. The individual stands
logues shift attention from the individual as an isolated entity, essentially alone and
actor to coordinated relationships. The drama alienated. Further, there is a common prizing
here is substantial. On the broadest level, of autonomy – of becoming a ‘self made
constructionism represents an unsettling of man’ who ‘does it my way’. To be dependent
the longstanding Western investment in the is a sign of weakness and incapacity. To con-
individual actor. One of the major outcomes struct a world of separation in this way is
of Enlightenment thought was its privileging also to court distrust; one can never be cer-
of the reasoning powers of the individual. It tain of the other’s motives. And given dis-
is the individual’s capacities for reason and trust, it becomes reasonable to ‘take care of
observation that should be valued, cultivated, number one’. Self gain becomes an unques-
and given power of expression in society. It tionable motive, both within the sciences
is the individual who is responsible for (such as economics and social psychology)
his/her actions, and serves as the fundamen- and the culture at large. In this context, loy-
tal atom of society. Such presumptions con- alty, commitment, and community are all
tinue into the present, as represented, for thrown into question, as all may potentially
example, by concerns within both scholarly interfere with ‘self-realization’. Such are the
and professional circles with bringing about views that now circulate widely though the
optimal states of cognition, emotion, motiva- culture (see, for example, Bellah et al., 1985;
tion, self-esteem, and the like. Yet, as the Lasch, 1979). One may not wish to abandon
constructionist proposes, all that we take to the tradition of individual selves, but con-
be rational and real emerge from a process of structionism invites exploration into creative
coordination. These are not possessions of alternatives.
the individual, but of people acting together. The most obvious alternative to the indi-
In the same way, neither the distinction vidualist account of human action is derived
between ‘me’ and ‘you’ nor the vocabulary of from constructionist metatheory itself. As the
individual minds is required by ‘the way metatheory suggests, relationships may be
things are’. It is not individuals who come viewed as the fundamental source of all intel-
together to create relationships, but relation- ligibility, including the intelligibility of all
ships that are responsible for the very con- action in society. Thus, theorists from many
ception of the individual. The constructionist different perspectives attempt to articulate a
dialogues thus serve to undermine three hun- vision of a relational self. For example, as
dred years of accumulated belief, along with psychoanalytic theory has shifted toward
the instantiation of these beliefs in the major ‘object relations’, therapists have become
institutions of society. increasingly concerned with the complex
That the conception of individual selves is relations between transference and counter-
constructed is not in itself a criticism. Many transference (see, for example, Mitchell,
would agree that precious traditions of 1995). No longer is it possible to view the
democracy, public education, and protection therapist as providing ‘evenly hovering
under the law draw their rationale from the attention’, for the therapist’s psychological
individualist tradition. However, to recog- functioning cannot be extricated from that of
nize the historical and cultural contingency the client. From a separate quarter, many
of individualist beliefs does open the door to developmental theorists and educators are
reflection. In particular, as many critics see elaborating on the implications of Vygotsky’s
it, there is a substantial dark side to con- early view that everything within the mind is
structing a world of individual agents. When a reflection of the surrounding social sphere
164 GROUNDINGS
(Wertsch, 1985). From this perspective there positioned to explore convergences and
are no strictly independent thought processes, constructive tensions in relationship to action
as all such processes are fashioned within oriented research. Let us first consider
particular cultural settings. Stimulated by these the affinities uniting these endeavors. Here
developments, cultural psychologists now constructionist theory functions as a rich
explore forms of thought and emotion indige- resource for sustaining and expanding action
nous to particular peoples (Bruner, 1990; Cole, research endeavors. In turn, such endeavors
1996). Discursively oriented psychologists add represent illuminating instantiations of much
further dimension to relational theory by relo- that constructionist theory advocates. Let us
cating so-called ‘mental phenomena’ within consider, then, four significant convergences
patterns of discursive exchange. For ex- between social constructionist theory and
ample, rather than viewing thought, memory, practices of action research:
attitudes, or repression as processes ‘in the
head’ of the single individual, they are recon-
stituted as relational phenomena. Theory and Research as Political Action
research have come to articulate reason as a Action researchers have viewed themselves
form of rhetoric, memory as communal, atti- as politically engaged since the very incep-
tudes as positions within an argument, and tion of such endeavors. As Peter Reason and
emotion as performance within relationship Hilary Bradbury (2001: 2) define it,
(see, for example, Billig, 1996; Middleton
and Brown, 2005). A primary purpose of action research is to produce
practical knowledge that is useful to people in the
These four themes – centering on the
everyday conduct of their lives. A wider purpose of
social construction of the real and the good, action research is to contribute through this prac-
the pivotal function of language in creating tical knowledge to the increased well-being – eco-
intelligible worlds, the political and prag- nomic, political, psychological, spiritual – of
matic nature of discourse, and the signifi- human persons and communities, and to a more
equitable and sustainable relationship with the
cance of relational process as opposed to
wider ecology of the planet of which we are an
individual minds – have rippled across the intrinsic part.
academic disciplines and throughout many
domains of human practice. To be sure, there In part, it is just such engagement that ini-
has been substantial controversy, and the tially served to marginalize action research
interested reader may wish to explore the from positivist social science. Positivists are
various critiques and their rejoinders (see, for traditionally committed to a view of scien-
example, Nagel, 1997; Parker, 1998). However, tific neutrality; facts are held to be separate
such ideas also possess enormous potential. from values, and the latter are a threat to
They have the capacity to reduce orders of valid and objective research outcomes.
oppression, broaden the dialogues of human However, constructionist arguments demon-
interchange, sharpen sensitivity to the limits strate the fallacious character of this tradi-
of our traditions, and to incite the collaboration. Regardless of the researcher’s attempt to
tive creation of more viable futures. Such is remain distanced from ideology and politics,
the case in action research as it is in the all research is essentially a contribution to
global context. domains of meaning. And because domains of
meaning are constitutive of forms of life, they
will inevitably favor certain actions over
CONSTRUCTION/ACTION others. Thus, in their selection of topics for
CONJUNCTIONS study (e.g. aggression, attachment, attitude
change), and the naming of subjects’ actions
With this sketch of major contours of con- (e.g. ‘prejudice’, ‘biased judgment’, ‘con-
structionist thought in place, we are now fomity’), researchers enter for good or ill the
public arena of meaning. Further, in the dis- them. However, in our view such impositions
tance they maintain between themselves and of value are not characteristic of most action
their research subjects, the state of ignorance researchers. Rather, their research illustrates
in which the subject is placed, and the use of values in action, but they do not thereby pre-
experimental manipulation as a means scribe or advocate universality based on their
toward knowledge, the positivist researcher activities. In this sense, much action research
serves as a cultural model for ‘obtaining reporting is more like storytelling than ser-
knowledge’. monizing. It says to the audience ‘here is my
In this context one may view with admira- story of the good’, as opposed to ‘I proclaim
tion the politically engaged posture of the the universal good’.
action researcher. Here political, moral and
ideological issues are not treated as irrelevant Collaboration: Beyond Individualism
or suppressed. Rather, they often provide a
vital source of motivation for the research. A second major way in which action prac-
For example, the Highlander Research and tices have been cut away from traditional
Education Center in New Market, Tennessee positive research is in their positioning of the
(www.highlandercenter.org) is a resource researcher. Positivist methods of inquiry are
center that has provided research assistance wedded to an individualist vision of the
to citizens wanting to understand their envi- world, in which each individual is essentially
ronments and to influence public policy deci- allotted ‘a mind’, and the activities of this
sions. The center has provided skills to help inner region largely determine behavior.
in fighting against chemical companies that Thus the researcher, who embodies rigorous
were creating toxic waste dumps on their processes of reason and observation, sets out to
land, and to educate the public on the effects study the less than rigorous mental processes
of chemical wastes on public health. of the research subject. The scientist emerges
In addition to active engagement in value from the experimental process with ‘knowl-
relevant research, the action researcher also edge’, whereas the subjects of research
has the advantage of authenticity. First, for remain in relative ignorance. Ultimately a
the sophisticated reader, traditional positivist hierarchy emerges in which a ‘knowledge
research seems disingenuous. Researchers class’ is granted authority over issues per-
couch their findings in value neutral or real- taining to human behavior. The claims of
ist terms, thus suggesting their purely objec- mental health professionals to superior
tive status while suppressing the underlying knowledge of ‘pathology’, and the resulting
value agenda. As Lewis (2001) has rightfully classification system (DSM), rights to insur-
commented, ‘deference to the experts allows ance payments, and support from the phar-
science to be used to buttress political power maceutical industry are but one case in point.
and to disempower ordinary people’ (p. 361). In sharp contrast to this individualist ori-
In contrast, action researchers are generally entation to research, action inquiry has from
quite transparent regarding their valued its very inception laid stress on processes of
forms of life. For example, Ella Edmonson collaboration. Heron and Reason (2001/2006)
Bell (2001/2006) openly proclaims that she specifically emphasize action research as a
is attempting to ‘find better solutions for ‘practice of co-operative inquiry’, a domain
closing the gaps between humankind’ (p. 56). of practice that researches ‘with people rather
One senses a significant degree of personal than on people’. As many believe, the
presence in the work of action researchers. emphasis on collaborating with one’s ‘sub-
One may counter that this very willingness jects’ has altered the fundamental under-
to reveal their value investments may repel standing of the nature of social research (cf.
many readers, especially those who do not Bopp and Bopp, 1998; Esteva and Prakash,
wish to have others impose their values upon 1998; Pyrch and Castillo, 2001).
166 GROUNDINGS
This shift from an individualist to a collec- theory development. For example, the prac-
tivist orientation to research is in full har- tices of appreciative inquiry (Cooperrider
mony with the constructionist account of et al., 2000, 2003 – see http://appreciativein-
knowledge formation. As outlined earlier, quiry.cwru.edu/intro/conference.cfm) and
constructionism recognizes the community the work of the Public Conversations Project
as opposed to the individual as the funda- (www.publicconversations.org) have been
mental source of intelligibility, and thus the enormously useful to us in developing a
origin of all that stands as rational or true. theory of transformative dialogue (Gergen
Action researchers extend the implications of et al., 2004).
this view in three ways. First, they do not
work in separation from others, but with them.
Their efforts are fundamentally collaborative. From Mapping to World Making
They recognize the essential condition of inter-
dependence for the success of their work. In the traditional positivist program, the
Second, they do not sustain the traditional sep- attempt by researchers is to move toward
aration of communities between the profes- increasingly accurate accounts of the world.
sional community and those they study. As many experimentalists see it, their chal-
Rather than creating barriers of incompre- lenge is to ‘carve nature at the joint’. Yet, for
hension, they conjoin community and profes- the constructionist, this orientation is deeply
sional interests, intelligibility and outcomes. problematic. First, the presumption that lan-
Finally, in their suturing these otherwise iso- guage can map the world of human behavior
lated communities, action researchers also is conceptually fallacious. As we have seen,
undermine the incipient creation of knowledge language is essentially an instrumental
hierarchies. Researchers and those with whom device enabling groups of people to engage
they work share whatever they can bring in the in successful coordination. Within any par-
way of knowledge to the initiative at hand. ticular group, language may be employed
Different forms of knowing may be useful in referentially (and thus as a map), but outside
different ways, thus favoring a pluralist and the network of shared understanding the lan-
instrumentalist view of knowledge. guage is empty. Second, the very concept of
This emphasis on collaboration brings science as a mapping enterprise establishes
forth a further synergy between construction- an unfortunate relationship between scien-
ism and action endeavors: constructionist tists and their ‘objects of study’. Essentially
theory lends itself to an ontology in which the scientific role is that of mastery of its
relationship precedes the individual. To objects. When the object is laid fully bare,
counter the problematic and pervasive ideol- and all its features are subject to control,
ogy of individualism, constructionism invites knowledge is achieved. Not only is such an
the development of relational theory (see image degrading to those under study, but the
Gergen, 1999). At the current juncture, the results lend themselves to their exploitation
development of relational theory is still in by the powerful. Finally, in the case of the
chrysalis form. However, it is at just this social sciences, the very forms of study and
point that action research offers itself as a the articulation of outcomes enters into the
both an instantiation and stimulus to theory cultural world as incitement to meaning. To
development. Many action research endeavors carry out research in the positivist tradition
offer concrete illustrations of outcomes alters the very territory – or forms of cultural
that cannot be separated from mutually con- life – that one attempts to map (Gergen,
stituting relationships. Typically, processes 1992). For experts to declare the existence of
of interdependence take precedence over attention deficit disorder, for example, is to
individual decision-making. At the same time, create a culture of the ill.
action research provides to the theorist a rich These constructionist critiques of tradi-
range of material for stimulating further tional positivism provide impetus for a robust
program of action research. At the outset, theory. In this sense, research results are not
action researchers tend to eschew the so very important in themselves, but rather as
metaphor of the map. Their purpose is not to they may vindicate or challenge particular
test whether one set of words (hypotheses) is theoretical assumptions.
a more accurate map of the world than While constructionist critique of the map-
another. They also abandon the positivist ping strategy undergirding this project has
assumption of the cultural world as a stable already been discussed, it is important at this
territory; rather, for action researchers the juncture to underscore the general failure of
presumption of social change is foremost such research to contribute significantly to
in focus. It is not the task of the action society (Gustavsen, 1998). This is so in two
researcher to describe the world as it is, but to major ways. First, because research findings
realize visions of what the world can become. are valued only as they speak to theory, such
In Tanzania, for example, action research was findings may be trivial in any other context.
introduced over 30 years ago. Yet, until it was Experimental methods are typically remote
fully accepted by the social science depart- from everyday life, stripped of cultural sig-
ments of the universities, which were nificance. Similarly, behavioral measures
enmeshed in Western empirical practices, the (e.g. pressing buttons, pushing levers,
results of communal change projects were answering response restrained question-
‘disappointing’. Slowly participatory action naires, judging obscure stimuli) have little
research was accepted, and with the participa- meaning outside the community of scientists.
tion of the local population change projects Second, the existence of abstract theory has
began to flourish. Eventually the highest lev- no practical utility in itself. Abstract terms do
els of governmental agencies were trained in not in themselves specify the particulars to
action research methods; well understood which they apply. Thus, no application is
was the need not to ‘master an object of possible until derivations are made, and there
study’ but to join with people in creating new is no validity to the derivations outside a
futures (Swantz et al., 2001/2006). community of agreement.
In this context, action research provides a
refreshing and highly productive alternative.
From Theoretical to Practical Action research commences with problems
or challenges in the world of everyday life.
Priority
While there may be strong theoretical fore-
In the positivist tradition, the ultimate goal of structures in place, the ultimate attempt is to
science is the development of general theory. generate change in existing conditions of
Most hypothesis-testing research currently life. Whether it be changing environmental
seeks to validate small-scale models of policy, shifting practices in a local hospital,
sweeping scope (e.g. models of decision- changing evaluation processes in a school, or
making, inter-group relations, mate selec- discovering new community resources, the
tion, attitude change). Ultimately the attempt purpose of the research is very clearly to
is to integrate disparate models into a singu- improve the lot of the people participating in
lar or ‘unified’ theory of human behavior. the research and their surrounding commu-
These aspirations were most evident in the nity. Whether theoretical insights may be
behaviorist era, sometimes viewed as ‘the drawn from such work or not remains a ques-
age of theory’ (Koch, 1963). The ‘cognitive tion. We shall return to this issue shortly.
movement’ is typically viewed as the succes-
sor to behaviorism in terms of a general
theory, with integrative attempts now seek- CONSTRUCTIONISM AS CATALYST
ing to incorporate both neurological and evo-
lutionary theory. The major point, however, Overall, constructionist theory lends rich and
is that all research is placed in the service of extensive support to movements toward
168 GROUNDINGS
action research. In doing so it highlights sig- In this context, it is useful to reflect on the
nificant strengths and potentials. At the same potentials of various forms of action
time, constructionist ideas are also signifi- research. Rather than joining the cause that
cant in their catalytic value. They enable seems so obviously right, consideration
researchers to stand outside the realities cre- might usefully be given to forms of inquiry
ated within the research endeavors them- that more fully recognize the existence of
selves, and to consider ways in which they conflicting goods. For example, the Public
may be altered or enriched. It is in this con- Conversations Project in the Boston area has
text that we wish to reflect on certain prac- based much of its conversational work on the
tices of action research, with an eye toward presence of participants with opposing view-
generating productive dialogue and new points. In the paradigmatic case, opponents
futures. Three issues will be focal: on the heated topic of abortion rights con-
fronted each other. Efforts were made to gen-
erate a context of mutual trust, and to allow
Advocacy as Conflict
participants to speak both about what lay at
Very often action research emerges in the the ‘heart of the matter’ to them, along with
context of oppression and injustice. Out of their ambivalence. The result was not a
value convictions researchers offer them- reduction of difference, but a substantial
selves to groups whose cause they wish to defusing of the animosity.
champion. Governmental agencies oppress
or ignore their citizenry; public utilities are Collaboration in Plural Worlds
not fairly distributed; corporate interests
dominate over local health and welfare con- Closely related to this initial concern with the
cerns; aid and other resources are diverted to intertwining of advocacy and conflict is the
intermediaries and never reach their rightful issue of affirming and sustaining realities.
recipients – all of which are worthy issues to When a researcher enters a group or organi-
address. While such commitment provides a zation, he or she is also entering a domain of
source of personal nourishment seldom the real. And, to participate in this world the
available in the world of positivist research, researcher will almost necessarily be
there is important reason for reflection. There required to affirm this particular account of
is a strong tendency in such research for the the real. A failure to do so would function as
creation of a divide between the ‘good’ (sup- a token of bad faith. To embrace the local
ported by the researcher) and the ‘evil’ that is ontology maximizes the potential for coordi-
set against those the researcher supports. nated action. At the same time, construction-
This is not to demean the values of the ist arguments warn against the constraining
researcher or those whose interests are repre- and blinding potentials of commitment to
sented in the endeavor. However, it is first any given reality. The question arises, then,
important to recognize that hierarchies of as to what extent an action researcher can
good and evil are divisive, and second that function as a polyvocal agent. Under what
they are multi-hued. The construction of conditions, and with what practices, can the
local realities is typically accompanied by a researcher help alternative voices to be
way of life suffused with a sense of the good. heard, enable movement across the borders
Thus, regardless of the obvious good of the of meaning, or introduce new worlds?
causes we champion, those who are trampled Effective examples of such work include the
by our success will suffer from the advance collaborative conferences designed by Bjorn
of evil. In effect, we might replace the nour- Gustavsen and his colleagues (Gustavsen,
ishing but divisive myth of good vs. evil with 2001/2006) in Scandinavia. Here conferences
a vision of conflicting goods. are designed to improve the quality of life in
large regions. The conferences include repre- coherent advancement over time. For
sentatives from widely varied groups – example, it is useful to view action research
business, government, voluntary, religious, as a form of practical art. Employing this
and more. The major emphasis is on sharing metaphor we can appreciate the way in
in the diversity of views and concerns that which, like various arts and crafts, each prac-
each person brings to the event. By carefully tice makes a contribution to a range of future
listening to one another and sharing in some possibilities. Various schools of art con-
common experiences, they develop relation- tribute to ways of using perspective, color,
ships that facilitate new activities into the collage, and so on to enrich the aesthetic
future. In a similar manner, the practice of experience. In a parallel manner, action
Appreciative Inquiry emphasizes the signifi- research practices chart the many ways in
cance of sharing realities for organizational which people can work together to create
change. It is particularly useful, as well, change (see also, Whyte, 1982).
when there is a high degree of conflict within However, we see additional possibilities
the organization. Rather than focusing on for rendering such accumulation effective. It
failures, the appreciative process involves all would be useful, for one, if researchers
the participants in a search for a commonly would acknowledge the ways in which they
valued future (Watkins and Mohr, 2001). have drawn from preceding practices in order
to bring forth change in any given circum-
stance. Virtually no research practice origi-
The Question of Accumulating nates within itself; virtually all depend on a
process of bricolage, that is, the piecing
Knowledge
together of various, disparate modes of doing
Let us finally consider a critique of action research. By acknowledging these sources,
research often voiced within circles of posi- not only do we begin to see continuity, but
tivist research. Even if one accepts the view we credit the process of collaboration that is
of science as a social construction, it is said, so central to action research itself. There is
it is possible within a positivist paradigm to also much to be gained by a scholarship of
make advances in knowledge. With contin- synthesis. We may usefully review various
ued hypothesis-testing research, one can paradigms of action research to locate pos-
make increasingly better predictions of cer- sibly transcendent communalities. It is in this
tain restricted kinds of behavior (e.g. the vein that we have begun to assay various
effects of various drugs on performance). In practices of transformative dialogue, with
contrast, it is said, action research is not the purpose of establishing a vocabulary of
cumulative. The field is composed of insular practices (Gergen et al., 2004). By delineat-
initiatives that seldom speak to each other. ing such a vocabulary, the hope is to encour-
One doesn’t contribute to an accumulation of age practitioners to draw from it those
knowledge through action research but, resources most promising for the unique
much like the domain of art, simply paints positions they confront.
another in an expanding array of pictures. Action researchers, themselves, have
On behalf of the action researcher, the con- begun to appreciate the importance of shar-
structionist first challenges the narrow concep- ing the narratives of various projects with
tion of science presumed in such critique. one another. The published journals, Action
As reasoned above, prediction and control Research and Educational Action Research,
are highly limited criteria of scientific utility. along with the on-line journals, Action Research
More interestingly, however, constructionist International (www.scu.edu.au/schools/gcm/
arguments challenge the action researcher to ar/ari/arihome.html), The Ontario Action
consider the potentials of such research for Researcher (www.nipissingu.ca/oar), and
170 GROUNDINGS
ARexpeditions (http://arexpeditions.mon- Gergen, M.M., Gergen, K.J. and Barrett, F. (2004)

tana.edu/docs/about.html), are excellent exam- ‘Appreciative inquiry as dialogue: generative and trans-
ples of how research can be shared across formative’, in D. Cooperrider and M. Avital (eds),
Advances in Appreciative Inquiry, Vol. 1. Bristol:
international boundaries. The present hand-
Elsevier Science Ltd. pp. 3–27.
book, and its predecessor (Reason and Gustavsen, B. (1998) ‘From experiments to network
Bradbury, 2001), are also effective vehicles building: trends in the use of research for reconstruct-
of sharing that allow practitioners of all vari- ing working life’, Human Relations, 51: 431–48.
eties to gain wisdom from the stories handed Gustavsen, B. (2001/2006) ‘Theory and practice: The
from one practitioner to another. mediating discourse’, in P. Reason and H. Bradbury
(eds), Handbook of Action Research: Participative
Inquiry and Practice. London: Sage. pp. 17–26. Also
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Bell, E.E. (2001/2006) ‘Influsing race into the US dis- Edition. London: Sage. pp. 17–26.
course on action research’, in P. Reason and H. Hacking, I. (1999) The Social Construction of What?
Bradbury (eds), Handbook of Action Research: Cambridge, MA: Harvard University Press.
Participative Inquiry and Practice. London: Sage. Heron, J. and Reason, P. (2001/2006) ‘The practice of
pp. 48–58.Also published in P. Reason and H. Bradbury co-operative inquiry: research “with” rather than
(eds) (2006), Handbook of Action Research: Concise “on” people’, in P. Reason and H. Bradbury (eds),
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(1985) Habits of the Heart. Berkeley: University of lished in P. Reason and H. Bradbury (eds) (2006),
California Press. Handbook of Action Research: Concise Student
Berger, P. and Luckmann, T. (1966) The Social Edition. London: Sage. pp. 144–54.
Construction of Reality. New York: Doubleday/ Koch, S. (1963) ‘Epilogue’, in S. Koch (ed.), Psychology:
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Billig, M. (1996) Arguing and Thinking, 2nd edn. Lasch, C. (1979) The Culture of Narcissism. New York:
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Bruner, J. (1990) Acts of Meaning. Cambridge, MA: Education Center’, in P. Reason and H. Bradbury
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172 GROUNDINGS
11
Power and Knowledge
John Gaventa and Andrea Cornwall1
Participatory research has long held within it implicit notions of the relationships between
power and knowledge. Advocates of participatory action research have focused their critique
of conventional research strategies on structural relationships of power and the ways
through which they are maintained by monopolies of knowledge, arguing that participatory
knowledge strategies can challenge deep-rooted power inequities. Other action research tra-
ditions have focused more on issues of power and knowledge within organizations, while
others still have highlighted the power relations between individuals, especially those involv-
ing professionals and those with whom they work. This chapter explores the relationship of
power and knowledge. It begins by exploring some of the ways in which power is concep-
tualized, drawing upon the work of Lukes, Foucault and others. It then turns to considering
the ways in which differing traditions of participatory research seek to transform power rela-
tions by challenging conventional processes of knowledge production. Finally, the chapter
reflects on contemporary uses of participatory modes of knowledge generation and on
lessons that are emerging from attempts to promote more inclusive participation in order to
address embedded social and economic inequities.
Participatory research has long held within it and knowledge within organizations, while
implicit notions of the relationships between others still have highlighted the power rela-
power and knowledge. Advocates of participations between individuals, especially those
tory action research have focused their critique involving professionals and those with whom
of conventional research strategies on structural they work.
relationships of power and the ways through Power and knowledge are inextricably inter-
which they are maintained by monopolies of twined. A starting point for situating our analy-
knowledge, arguing that participatory knowl- sis of power and knowledge in participatory
edge strategies can challenge deep-rooted research is to map out some of the different
power inequities. Other action research tradi- ways in which power is conceptualized and
tions have focused more on issues of power their implications for research. We then turn
POWER AND KNOWLEDGE 173
to considering the ways in which participatory understanding the dynamics of power in the
research seeks to transform power relations by participatory research process.
challenging conventional processes of knowl- Lukes begins his argument by challenging
edge production. We reflect on contemporary the traditional view in which power is under-
uses of participatory modes of knowledge stood as a relationship of ‘A over B’: that is,
generation and on lessons that are emerging power is the ability of A (the relatively pow-
from attempts to promote more inclusive par- erful person or agency) to get B (the rela-
ticipation in order to address embedded tively powerless person or agency) to do
social and economic inequities. what B might not otherwise do (Dahl, 1969).
In this approach, power is understood as a
product of conflicts between actors to deter-
mine who wins and who loses on key, clearly
CONCEPTUALIZING POWER recognized issues, in a relatively open system
in which there are established decision-
Earlier understandings of power in participa- making arenas. If certain voices are absent in
tory research tended to dichotomize the notion: the debate, their non-participation is inter-
‘they’ (structures, organizations, experts) had preted as their own apathy or inefficacy, not
power; ‘we’ (the oppressed, grassroots, margin- as a process of exclusion from the political
alized) did not. Participatory research was a process.
means of closing the gap, of remedying the Within this first dimension of power,
power inequities through processes of knowl- knowledge or research may be conceived as
edge production, which strengthened voice, resources to be mobilized to influence public
organization and action (see, for example, Fals debates. Practically, with this view, approaches
Borda and Rahman, 1991; Gaventa, 1993; to policy influence, knowledge and action
Hall, 1992a; Tandon, 1982/2005; Lykes and relate largely to countering expertise with
Mallona, Chapter 7 in this volume). Power, in other expertise. The assumption is that ‘bet-
these analyses, was often represented as if it ter’ (objective, rational, highly credible)
were an attribute that some had and others knowledge will have greater influence.
lacked, something that could be won or lost. In Expertise often takes the form of policy
recent years, as participatory research has come analysis or advocacy, both of which involve
to be used by a diversity of actors and for speaking ‘for’ others, based not on lived
an equally diverse variety of purposes, under- experience of a given problem, but on a study
standings of the relationship of knowledge and of it that claims to be ‘objective’. Little atten-
power in the participatory research process tion is paid in this view to whose voices or
have had to become more sophisticated, taking whose knowledge are represented in the
into account the complexity and contingency of decision-making process, nor on how forms
power relations. of power affect the ways in which certain
Among the many theorists of power whose problems come to be framed.
work has influenced the fields of social and This pluralist vision of an open society, in
political science, two stand out as the most which power is exercised through informed
influential: Lukes and Foucault. In what fol- debate amongst competing interests, contin-
lows, we take as our starting point the three ues to affect many of our understandings of
dimensions of power elaborated by Lukes how power affects policy. However, this
(1974, 2005) and built upon by Gaventa view has been widely challenged. Political
(1980) in his analysis of quiescence and scientists such as Bachrach and Baratz
rebellion in rural Appalachia. We go on to (1970) put forward a second understanding
explore the relational view of power emer- of power. They argued that the hidden face of
ging from the work of Foucault (1977, 1979) power was not about who won and who lost
and his followers, and its implications for on key issues, but was also about keeping
174 GROUNDINGS
issues and actors from getting to the table in recognized grievances. This approach was
the first place. Drawing upon the work of then challenged by others such as Steven
Schattschneider, they argued that political orga- Lukes who suggested that perhaps ‘the most
nizations ‘develop a mobilization of bias ... in effective and insidious use of power is to pre-
favor of the exploitation of certain kinds of vent such conflict from arising in the first
conflict and the suppression of others. ... place’ (1974: 24). The powerful may do so
Some issues are organized into politics while not only by influencing who acts upon recog-
others are organized out’ (Schattschneider, nized grievances, but also through influenc-
1960: 71). The study of politics, Bachrach ing consciousness and awareness of such
and Baratz argued, must focus ‘both on who grievances in the first place.
gets what, when and how and who gets left In this approach, the control of knowledge
out and how’ (1970: 105). as a way of influencing consciousness is criti-
In this view knowledge, and the processes cal to the exercise of power. Knowledge mech-
of its production, contribute very strongly to anisms such as socialization, education, media,
the mobilization of bias. Scientific rules are secrecy, information control, and the shaping
used to declare the knowledge of some of political beliefs and ideologies all become
groups more valid than others, e.g. ‘experts’ important to the understanding of power and
over ‘lay people’, etc. Asymmetries and how it operates. Power begins to resemble
inequalities in research funding mean that Gramscian notions of ‘hegemony’ (Entwistle,
certain issues and certain groups receive 1979) or Freirean ideas (1981) of the ways in
more attention than others; clearly estab- which knowledge is internalized to develop a
lished ‘methods’ or rules of the game can be ‘culture of silence’ of the oppressed.
used to allow some voices to enter the Countering power inequities involves
process and to discredit the legitimacy of using and producing knowledge in a way that
others. Even where previously excluded affects popular awareness and consciousness
actors do enter the policy process, they may of the issues and power relations which
be required to mimic the language and affect the lives of the powerless, a purpose
knowledge of the powerful, in order to begin that has often been put forward by advocates
to be heard. of participatory research. Here the discussion
From the second dimensional view, empow- of research and knowledge involves strate-
erment through knowledge means not only gies of awareness building, liberating educa-
challenging expertise with expertise, but it tion, promotion of a critical consciousness,
means expanding who participates in the overcoming internalized oppressions, and
knowledge production process in the first developing indigenous or popular knowl-
place. It involves a concern with mobilization, edge. There are countless examples of how
or action, to overcome the prevailing mobiliza- the transformation of consciousness has con-
tion of bias (see Gaventa, 1993, 1999). When tributed to social mobilization, be they in the
the process is opened to include new voices, civil rights, women’s, environmental or other
and new perspectives, the assumption is that movements. And, there are a number of intel-
policy deliberations will be more democratic, lectual traditions which may contribute to
and less skewed by the resources and knowl- our understanding in this area. For instance,
edge of the more powerful. social movement theory recognizes the
While the second dimension of power con- importance of consciousness by raising such
tributed to our understanding of the ways in issues as the development of collective iden-
which power operates to prevent grievances tity, and of the constructions of meaning and
from entering the political arenas, it still of culture in galvanizing citizen action
maintained the idea that the exercise of (Morris, 1984; Mueller, 1992). Feminist
power must involve conflict between the theory has long dealt with issues of the
powerful and the powerless over clearly ‘internalization of powerlessness’, leading to
a silencing of voices and an acceptance of the some cases, power is seen as growing from
status quo, as well as how awareness building within oneself, not something which is
can be used as the basis for empowerment and limited by others. This ‘power within’ is
social change (Kabeer, 1994; VeneKlasen and shaped by one’s identity and self-conception
Miller, 2002). Building on the work of Paulo of agency, as well as by ‘the Other’ (Kabeer,
Freire, work in education explores the impor- 1994; Nelson and Wright, 1995; Rowlands,
tance of ‘learning for transformation’, and 1995; VeneKlasen and Miller, 2002).
puts forth various methods for doing so All three dimensions of power focus on
(Taylor and Fransman, 2004). the repressive side of power, and conceptual-
In each of these three approaches, there ize power as a resource that individuals gain,
are implicit or more explicit conceptions of hold and wield. Building on work by
knowledge, and how it relates to power, as Foucault, others have argued that power is
well as to strategies of empowerment. In the inherent in all social relations, and have
first view, knowledge is a resource, used and explored its more productive and positive
mobilized to inform decision-making on key aspects. In this view, power becomes ‘a mul-
public issues – issues of who produces tiplicity of force relations’ (Foucault, 1979:
knowledge, or its impact on the awareness 92) that constitute social relationships; it
and capacity of the powerless, are less exists only through action and is immanent in
important. In the second view, the powerful all spheres, rather than being exerted by one
use control over the production of knowledge individual or group over another. For
as a way of setting the public agenda, and for Foucault, power works through discourses,
including or excluding certain voices and institutions and practices that are productive
participants in action upon it. In response, of power effects, framing the boundaries of
mobilization of the relatively powerless to possibility that govern action. Knowledge is
act upon their grievances and to participate in power: ‘power and knowledge directly imply
public affairs becomes the strategy – one one another ... there is no power relation
in which action research is an important tool. without the correlative constitution of a field
In the third dimension, the emphasis is more of knowledge, nor any knowledge that does
upon the ways in which production of know- not presuppose and constitute at the same
ledge shapes consciousness of the agenda in time power relations’ (1977: 27).
the first place, and participation in knowl- Foucault’s analysis of the micro-practices
edge production becomes a method for build- of power shows how the effects of power/
ing greater awareness and more authentic knowledge create particular kinds of sub-
self-consciousness of one’s issues and capa- jects, who are subjugated through ‘regimes
cities for action. of truth’ that provide a means of policing the
boundaries around the categories that knowl-
Beyond the Three Dimensional View edge defines. Foucault focuses on how
power creates its subjects through the archi-
While over the years this three dimensional tecture of institutions, through the construc-
framework has provided a useful way of tion and reproduction of social mores and
understanding power and knowledge in through the disciplining of the body itself.
research, it has also been critiqued from a By placing the power effects of knowledge
number of differing perspectives. For some, at the heart of his analysis, Foucault opens up
the approach is limited in its understanding a perspective on power that has often been
of power as a ‘power over’ relationship – misinterpreted as unduly negative. Rather,
whereas for activism and organizing, the by showing how power/knowledge produces
power to act and to act in concert with others and sustains inequalities, Foucault affirms
(‘power to’ and ‘power with’) is fundamental ‘the right ... to rediscover what one is and all
to transformational social change. And, in that one can be’ (1979: 145).
176 GROUNDINGS
Work by Hayward draws on Foucault to one’s life, to broaden those boundaries does
argue for ‘de-facing power’ by reconceptualiz- not always mean to de-limit those of others.
ing it as ‘a network of social boundaries that In this sense power may have a synergistic
constrain and enable action for all actors’ element, such that action by some enables
(1998: 2). She argues that freedom is the capa- more action by others. Challenging the
city to act on these boundaries ‘to participate boundaries of the possible may in some cases
effectively in shaping the boundaries that mean that those with relatively less power
define for them the field of what is possible’ working collaboratively with others have
(1998: 12). This has a number of important more, while in other cases it may direct con-
implications for thinking about power and flict between the relatively powerful and the
knowledge in participatory research. First, relatively powerless.
it shifts the analysis of power only from
resources that ‘A’ holds or uses to include other
broader ways in which spheres of action and KNOWLEDGE AS POWER
possibility are delimited. If power is shaped by
discourse, then questions of how discourses If, in this expanded view, freedom ‘is the
are formed, and how they shape the fields of capacity to participate effectively in shaping
action, become critical for changing and the social limits that define what is possible’
affecting power relations. From the perspec- (Hayward, 1998: 21), then we can also more
tive of participatory research, this is a crucial clearly situate knowledge as one resource in
insight as the process of participatory research the power field. Knowledge, as much as any
can in itself become a space in which dominant resource, determines definitions of what is
discourses are challenged and reframed, shift- conceived as important, as possible, for and
ing the horizons of the possible. by whom. Through access to knowledge, and
Since this approach recognizes that power participation in its production, use and dis-
is part of all social relationships, in so far as semination, actors can affect the boundaries
power affects the field of what is possible, and indeed the conceptualization of the pos-
then power affects both the relatively power- sible. In some situations, the asymmetrical
ful and the relatively powerless. From this control of knowledge productions of ‘others’
perspective, power involves ‘any relation- can severely limit the possibilities which can
ship involving two or more actors positioned be either imagined or acted upon; in other sit-
such that one can act within or upon power’s uations, agency in the process of knowledge
mechanisms to shape the field of action of production, or co–production with others,
the other’ (Hayward, 1998: 15). Power can can extend these boundaries.
exist in the micro-politics of the relationship Throughout the literature on participatory
of the researcher to the researched, as well as action research, we find various theories and
in broader social and political relationships; approaches which to some degree or another
power affects actors at every level of organi- are premised upon the claim that democratic
zational and institutional relationships, not participation in knowledge production can
just those who are excluded or at the bottom enable otherwise marginalized people to exer-
of such relationships. cise greater voice and agency, and work to
Finally, this broader approach to power transform social and power relations in the
includes the more positive aspects through process (e.g. Hall, 1992a; Tandon, 1982/2005;
which power enables action, as well as how Fals-Borda and Rahman, 1991; Rahman,
it delimits it. Power in this sense may not be Chapter 3 in this volume; Swantz, Chapter 2
a zero-sum relationship, in which for (B) to in this volume). However, there are great
acquire power may mean the necessity of (A) variations within the ‘schools’ and traditions
giving up some of it. Rather, if power is the of participatory research as to how transfor-
capacity to act upon boundaries that affect mational social change occurs.
Below we illustrate and explore some action against ‘power over’ relations implies
commonalities and differences in these conflict in which the power of the dominant
approaches, drawing especially (but not classes is challenged, as the relatively power-
exclusively) from the approaches which have less begin to develop their new awareness of
influenced our thinking the most. These are their reality, and to act for themselves
those associated with the Freirean tradition (Selener, 1997: 23).
of ‘participatory action research’, and those While in this earlier view of PAR power is
associated with the work around PRA (par- located in broad social and political relations,
ticipatory rural appraisal or participatory later work by Chambers, more often associated
reflection and action) and PLA (participatory with PRA, puts more emphasis on domination
learning and action), an approach which has in personal and interpersonal terms. Starting
spread very quickly in the 1990s with an with a focus on ‘hierarchies of power and
enormous impact on development thinking weakness, of dominance and subordination’
and practice.2 (1997: 58), Chambers outlines two categories:
‘uppers’, who occupy positions of dominance,
and ‘lowers’, who reside in positions of subor-
THE NATURE AND LOCATIONS dination or weakness. In his account of
OF POWER ‘uppers’ and ‘lowers’, power is less fixed in
persons than in the positions they inhabit vis-à-
For those early writers on participatory vis others: people can occupy more than one
action research (PAR), power is understood position as ‘upper’, and may occupy both
as a relationship of domination in which the ‘upper’ and ‘lower’ positions depending on
control of knowledge and its production was context. This relational portrayal of power rela-
as important as material and other social relations mirrors Foucault’s view of power as
tions. As Rahman put it many years ago: residing not in individuals but in the posi-
tions that they occupy and the ways in which
The dominant view of social transformation has discourses make these positions available to
been preoccupied with the need for changing the them.
oppressive structures of relations in material pro- Chambers describes the ways in which the
duction – certainly a necessary task. But, and this
taken for granted practices associated with the
the distinctive viewpoint of PAR (Participatory
Action-Research), domination of masses by elites is professions – what he calls ‘normal profession-
rooted not only in the polarization of control over alism’ (Chambers, 1997) – create and reproduce
means of material production, but also over the power relations. By circumscribing the bound-
means of knowledge production, including control aries of what is knowable and treating other
over the social power to determine what is useful
forms of knowledge as if they were mere igno-
knowledge. Irrespective of which of these two
polarizations set off a process of domination, one rance, Chambers argues, professionals produce
reinforces the other in augmenting and perpetuat- and reproduce hierarchies of knowledge and
ing this process. (1991: 14) power that place them in the position of agents
who know better, and to whom decisions over
The knowledge that affects people’s lives is action, and action itself, should fall. His
seen as being in the hands of a ‘monopoly’ of description of the ways in which professionals
expert knowledge producers, who exercise impose their ‘realities’ on ‘lowers’, with power
power over others through their expertise effects that obliterate or devalue the knowledge
(Hall, 1992a; Tandon, 1982/2005). The and experience of ‘lowers’, resonates with
role of participatory action research is to Foucault’s (1977) account of the ways in which
enable people to empower themselves ‘regimes of truth’ are sustained through dis-
through the construction of their own knowl- courses, institutions and practices.
edge, in a process of action and reflection, or Departing from a ‘power over’ perspec-
‘conscientization’, to use Freire’s term. Such tive, PRA is characterized as a means
178 GROUNDINGS
through which a zero-sum conceptualization of these levels and approaches. ‘One might
of power can be transcended: ‘lowers’ speak, say that PAR serves the community, co-
analyze and act, in concert with each other operative-inquiry the group, and action inquiry
and with newly sympathetic and enabling the individual practitioner. But this is clearly
professionals who have become aware of the a gross oversimplification, because each of
power effects of their positions as ‘uppers’. the triad is fully dependent on the others’
Through analysis and action, ‘lowers’ are (Reason, 1994: 336). If freedom, as defined
able to lay claim to their own distinctive ver- earlier, is the capacity to address the bound-
sions and visions, acquiring the ‘power to’ aries of possibility which are drawn in multi-
and ‘power within’ that restores their agency ple ways and relationships, then surely the
as active subjects. By listening and learning, multiple levels of change are each important.
‘uppers’ shed the mantle of dominance:
From planning, issuing orders, transferring tech- POWER AND THE NATURE OF
nology and supervising, they shift to convening,
facilitating, searching for what people need and
KNOWLEDGE
supporting. From being teachers they become
facilitators of learning. They seek out the poorer While differing approaches to action
and weaker, bring them together, and enable research may have differing understandings
them to conduct their own appraisal and analysis, of the location of power, they all share an
and take their own action. The dominant uppers
‘hand over the stick’, sit down, listen, and them- epistemological critique about the ways in
selves learn. (Chambers, 1995: 34) which power is embedded and reinforced in
the dominant (i.e. positivist) knowledge pro-
While offering an optimistic view of the pos- duction system. The critique here is several-
sibilities of individual change, this view has fold. First, there is the argument that the
also been critiqued for failing to analyse positivist method itself distorts reality, by
broader sources of oppression (e.g. Crawley, distancing those who study reality (the
1998) and also for being subject to misuse expert) from those who experience it through
and abuse in a way that re-enforces the status their own lived subjectivity. Second is the argu-
quo (Cooke and Kothari, 2001). At the same ment that traditional methods of research –
time, those involved with PAR have also especially surveys and questionnaires – may
been critiqued for offering a broad analysis reinforce passivity of powerless groups
of social power relations, without clear start- through making them the objects of another’s
ing points for change at the micro and per- inquiry, rather than subjects of their own.
sonal level. (Many of those involved in Moreover, empirical, quantitative forms of
organizational action research might also knowing may reduce the complexity of
emphasize an intermediate level, which human experience in a way that denies its
examines power in the organization and very meaning, or which reinforces the status
group, as a mediating level between individ- quo by focusing on what is, rather than on
ual power and broader social relationships.) historical processes of change. Third is the
Part of the difference in views here is critique that in so far as ‘legitimate’ knowl-
found in the level of analysis. Rather than edge lies largely within the hands of privi-
thinking about these approaches as necessar- leged experts, dominant knowledge obscures
ily competing, it is perhaps more useful to or under-privileges other forms of knowing,
think of them of as complementary, each and the voices of other knowers.
with a differing starting point in addressing Against this epistemological critique, partic-
mutually re-enforcing levels of power. In his ipatory action research attempts to put forth a
comparative work on PAR, ‘co-operative- different form of knowledge. On the one hand,
inquiry’ and ‘action inquiry’, Reason also such research argues that those who are directly
points to the necessary inter-linkages of each affected by the research problem at hand must
participate in the research process, thus Knowledge

democratizing or recovering the power of
experts. Second, participatory action research
recognizes that knowledge is socially con-
Participation
structed and embedded, and therefore research
approaches ‘which allow for social, group or Action Consciousness
collective analysis of life experiences of
power and knowledge are most appropriate’ Figure 11.1 Dimensions of participatory
(Hall, 1992b: 22). research
Third, participatory action research recog-
nizes differing ways of knowing, multiple
potential sources and forms of knowledge. As is it in participatory research that is potentially
can be seen in various essays in this volume transformatory of power relations?
(e.g. Heron and Reason (Chapter 24), In our earlier analysis of three approaches
Guhathakurta (Chapter 35), Fine and Torre to power, we saw that each carried with it a
(Chapter 27)), practitioners stress that feeling distinctive approach to knowledge, and how
and action are as important as cognition and it affects power relations. Participatory
rationality in the knowledge creation process. research makes claims to challenging power
While participatory research often starts with relations in each of its dimensions through
the importance of indigenous or popular addressing the need for:
knowledge (Selener, 1997: 25), such knowl-
edge is deepened through a dialectical process • knowledge – as a resource which affects
of people acting, with others, upon reality in decisions;
order both to change and understand it. • action – which looks at who is involved in the
Resonating with the feminist critique of production of such knowledge; and
objectivity (see Harding, 1986; Reid and • consciousness – which looks at how the produc-
Frisby, Chapter 6 in this volume), writing on tion of knowledge changes the awareness or
participatory research emphasizes the impor- worldview of those involved.
tance of listening to and for different ver-
sions and voices. ‘Truths’ become products However, much of the literature, and indeed
of a process in which people come together the practical politics of participatory research
to share experiences through a dynamic and struggles to reconfigure power relations
process of action, reflection and collective and enhance agency, tend to emphasize one
investigation. At the same time, they remain or the other of the above approaches. To do
firmly rooted in participants’ own conceptual so, as we shall discuss below, is limiting, for
worlds and in the interactions between them. it fails to understand how each dimension of
change is in fact related to the other, as
Figure 11.1 illustrates.
KNOWLEDGE, SOCIAL CHANGE AND
EMPOWERMENT
Participatory research as an
alternative form of knowledge
While there is thus a certain amount of com-
monality in the various approaches in terms Undeniably one of the most important contri-
of their critique of positivist knowledge, and butions of participatory action research to
the liberating possibilities of a different empowerment and social change is in fact in
approach to knowledge production, there are the knowledge dimension. Through a more
important differences across views as to what open and democratic process new categories
about participatory research actually con- of knowledge, based on local realities, are
tributes to the process of change. That is, what framed and given voice. As Nelson and Wright
180 GROUNDINGS
suggest, based on an analysis of PRA and Pratt, 2003). In the general focus on the
approaches, the change process here involves ‘community’, an emphasis on consensus
becomes pervasive. Yet consensus can all too
an ability to recognize the expertise of local farm- easily masquerade as common vision and
ers as against that of professional experts; to find purpose, blotting out difference and with it
more empowering ways of communicating with
local experts; and to develop decision-making pro-
the possibility of more pluralist and equitable
cedures which respond to ideas from below, rather solutions (Mouffe, 1992). By reifying local
than imposing policies and projects from above. knowledge and treating it as singular
(1995: 57) (Cornwall et al., 1993), the possibility that
what is expressed as ‘their knowledge’ may
Similarly, Chambers (1997) argues for the simply replicate dominant discourses, rather
importance of participatory processes as a than challenge them, is rarely acknowledged.
way of bringing into view poor people’s real- Little attention is generally given to the posi-
ities as a basis for action and decision- tionality of those who participate, and what
making in development, rather than those of this might mean in terms of the versions they
the ‘uppers’ or development experts. A num- present. Great care must be taken not to
ber of case studies of participatory research replace one set of dominant voices with
have clearly demonstrated how involving another – all in the name of participation.
new participants in the research process Moreover, even where differing people
brings forth new insights, priorities and defi- and groups are involved, there is the question
nitions of problems and issues to be of the extent to which the voices are authen-
addressed in the change process (see, for tic. As we know from the work by Freire
example, case studies in Park et. al., 1993, and (1970), Scott (1986, 1990) and others on
others in this volume). Based on this view, for consciousness, relatively powerless groups
instance, the development field has seen a rapid may simply speak in a way that ‘echoes’ the
expansion and acceptance of participatory voices of the powerful, either as a conscious
methods to gather the ‘voices of the poor’ in way of appearing to comply with the more
the policy process, be it related to ‘poverty’, powerful parties wishes, or as a result of the
the environment or livelihoods (see, for exam- internalization of dominant views and values
ple, Brock and McGee, 2002; Chambers, (hooks, 1994). In either case, participatory
Chapter 20 in this volume). research implies the necessity for further
The importance of using participatory investigation of reality, in order to change it,
methods to surface more democratic and not simply to reflect the reality of the
inclusive forms of knowledge, as a basis of moment. Treating situated representations as
decision-making, cannot be denied. At the if they were empirical facts maintains the
same time, by itself, this approach to using dislocation of knowledge from the agents
participatory research to reconfigure the and contexts of its production in a way that
boundaries of knowledge raises a number of is, in fact, still characteristic of positivism.
challenges. The dangers of using participatory
First, there is the danger that knowledge processes in ways that gloss over differences
which is at first blush perceived to be more amongst those who participate, or to mirror
‘participatory’, because it came from ‘the dominant knowledge in the name of chal-
community’ or the ‘people’ rather than lenging it, are not without consequence. To
the professional researcher, may in fact serve the extent that participatory processes can be
to disguise or minimize other axes of differ- seen to have taken place, and that the rela-
ence (see critiques by Maguire 1987, 1996, tively powerless have had the opportunity to
on PAR; Guijt and Shah, 1998, on PRA; see voice their grievances and priorities in what
also Brock and McGee, 2002; Cooke and is portrayed as an otherwise open system,
Kothari, 2001; Cornwall, 2003; Cornwall then the danger will be that existing power
relations may simply be reinforced, without action-reflection-action over time (Rahman,

leading to substantive change in policies or 1991). It is through such a process that the
structures which perpetuate the problems nature of action can be deepened, moving
being addressed. In this sense, participation from practical problem-solving to more
without a change in power relations may fundamental social transformation (Hall,
simply reinforce the status quo, adding to the 1981: 12). The ultimate goal of research in
mobilization of bias the claim to a more this perspective is not simply to communi-
‘democratic’ face. The illusion of inclusion cate new voices or categories, but
means not only that what emerges is treated
the radical transformation of social reality and
as if it represents what ‘the people’ really
improvement in the lives of the people involved. …
want, but also that it gains a moral authority Solutions are viewed as processes through which
that becomes hard to challenge or question.3 subjects become social actors, participating, by
means of grassroots mobilizations, in actions
intended to transform society. (Selener, 1997:
19–21)
Participatory Research as
Popular Action
Participatory Research as
For this reason, to fulfil its liberating poten-
Awareness Building
tial, participatory research must also address
the second aspect of power, through encour- Just as expressing voice through consultation
aging mobilization and action over time in a may risk the expression of voice-as-echo, so
way that reinforces the alternative forms and too action itself may represent blind action,
categories of knowledge which might have rather than action which is informed by self-
been produced. conscious awareness and analysis of one’s
Though the action component of the partici- own reality. For this reason, the third key ele-
patory action research process is developed in ment of participatory action research sees
all schools, it has particular prominence from research as a process of reflection, learning
the work of Lewin, and those organizational and development of critical consciousness.
action researchers who have followed in his Just as PRA has put a great deal of attention
tradition. Action research focuses first on on the ‘knowledge’ bit of the equation, and
problem-solving, and more secondarily on the action research on the action component,
knowledge generated from the process. The PAR, which grew from pedagogical work
emphasis of the process is not knowledge for of Freire and other adult educators, placed
knowledge’s sake but knowledge which will perhaps the greatest emphasis on the value
lead to improvement, usually for the action of the social learning that can occur by
researcher taken to mean in terms of organi- oppressed groups through the investigation
zational improvement, or for the solution for process.
practical problems. Here again, however, it is important to rec-
At the same time, while knowledge is not ognize that reflection itself is embedded in
for its own sake, neither is action; rather the praxis, not separate from it. Through action
process is an iterative one. Through action, upon reality, and analyses of that learning,
knowledge is created, and analyses of that awareness of the nature of problems, and
knowledge may lead to new forms of action. the sources of oppression, may also change.
By involving people in gathering of informa- For this reason, participatory research which
tion, knowledge production itself may becomes only ‘consultation’ with excluded
become a form of mobilization; new solu- groups at one point in time is limited, for
tions or actions are identified, tested, and it prevents the possibility that investigation
then tried again. Thus, in action research, and action over time may lead to a change in
knowledge must be embedded in cycles of the knowledge of people themselves, and
182 GROUNDINGS
therefore a change in understanding of one’s in some quarters. In our chapter in the earlier
own interests and priorities. Not only must edition of this Handbook, we wrote: ‘rather
production of alternative knowledge be com- than being used only at the micro level, it
plemented by action upon it, but the partici- [participatory research] has been scaled up
pants in the knowledge process must equally and incorporated in projects or programs
find spaces for self-critical investigation and working at regional, national or even global
analysis of their own reality, in order to gain levels. Rather than being used by social move-
more authentic knowledge as a basis for ments of marginalized groups, its rhetoric and
action or representation to others. Such criti- practice have been adopted by large and
cal self-learning is important not only for the powerful institutions, including govern-
weak and powerless, but also for the more ments, development agencies, universities
powerful actors who may themselves be and multinationals.’ In that earlier chapter we
trapped in received versions of their own sit- gave several examples of this, ranging from
uation. For this reason, we need to under- the World Banks’s large scale ‘Consultations
stand both the ‘pedagogy of the oppressed’ with the Poor’ exercise, which purported
(Freire, 1970) and the ‘pedagogy of the to use participatory research methods to gain
oppressor’, and the relation between the two. views from poor people about their priorities
The important point is to recognize that and concerns (Nayaran et al., 2000), to
the approaches are synergistic pieces of the national level participatory poverty exercises
same puzzle. From this perspective, what is (Robb, 1999), to local level exercises in
empowering about participatory research is democratic consultation and participation.
the extent to which it is able to link the three Towards the end of that essay we began to
approaches, to create more democratic forms explore these challenges: What happens
of knowledge, through action and mobiliza- when participatory methods are employed by
tion of groups of people to act on their own powerful institutions? Whose voices are
affairs, in a way that also involves their own raised and whose are heard? We suggested
critical reflection and learning. that there was a divergence of positions
amongst proponents of participatory research –
those who feared that the scaling up and
FROM MARGINS TO MAINSTREAM? incorporation of participatory approaches
POWER AND KNOWLEDGE IN ‘NEW’ into policy processes would lead to serious
POLICY SPACES misuse and abuse, and those who thought
that they could contribute to new opportuni-
Much of the past literature on participatory ties for change, especially for previously
research focused the use of these methodolo- excluded groups. (See related discussion on
gies with or on behalf of relatively marginal- the scope of participatory research by Martin
ized groups at the local level. Participatory (Chapter 26) and by Gustavsen et al.,
action research was often associated with (Chapter 4) this volume.)
social movements, participatory rural appraisal Some six years later, we close this essay
with local planning and development pro- by re-visiting these questions and exploring
jects, and action research with organizational whether and how recent trends alter the
change. As we have seen, the links between relationships of power and knowledge as
knowledge, power and empowerment are outlined in the earlier part of this chapter.
complex and difficult, even at these micro From where we sit, especially as researchers
levels. working on issues of participation of rela-
Over the last decade, practitioners of par- tively powerless and excluded groups in a
ticipatory research have faced new chal- development context, there have been some
lenges as gradually participatory research important shifts in the political terrain, which
moved from margins to mainstream, at least in turn shape how knowledge, action and
awareness-building strategies associated weaken the state. On the other hand, in many
with participatory research are taken up, and ‘mature democracies’ concern over the
how they can be used to shape and expand emerging democratic deficits – declining
‘the boundaries of the possible’. rates of traditional forms of political partici-
First, around the world – including in our pation, failing government performance and
field – there has been an erosion of faith in growing mistrust by ordinary citizens of
‘expertise’ to solve pressing problems and political institutions – have contributed to a
issues. Whether because of the failure of search for new approaches and ‘spaces’ for
science adequately to predict or control risk democratic engagement, in part perhaps to
(Beck, 1992), or because of a growing accep- re-establish democratic legitimacy (Gaventa,
tance of differing ways of knowing, the 2006).
‘monopoly’ that positivist approaches to Whether resulting from the political pro-
knowledge had on defining problems in the ject of creating more inclusive and participa-
public arena – against which early participatory forms of democracy or from the project
tory action research raised its critique – has of simply making governments appear more
to some extent been altered. As relates to the responsive to shore up their own legitimacy,
policy field, distinctions between expert and these new ‘democratic spaces’ have also
public knowledge to some extent have bro- opened up opportunities for a variety of
ken down (Fisher, 2000), and there is often participatory methods to be brought into
increased recognition of the importance of the governance process. In places like the
different forms of knowledge – both profes- Philippines, Indonesia, and India, tools of
sional and lay – as they inform the policy participatory appraisal have been used in
process. In the area of poverty, for instance, thousands of villages for participatory plan-
poverty policy is no longer only the province ning (Estrella and Iszatt, 2004; LogoLink,
of economists, as there has been growing 2002) and for developing large scale
acceptance of the value of more participatory approaches to service delivery such as in the
and qualitative ways in which poverty is areas of sanitation (Kar and Pasteur, 2005).
understood (Brock and McGee, 2002). In other countries, most notably Brazil, but
Similarly, in the area of the environment, now spread to many countries of North and
there is growing acceptance of the impor- South, participatory approaches are being
tance of ‘experiential expertise’, and of used in budget processes, as well as in forms
methods like citizen juries, stakeholder con- of citizen monitoring of government expen-
sultations and the like in policy deliberations. diture, with the effects in some cases of
The broad trend towards pluralization of increasing levels of accountability and re-
knowledge has been paralleled by another trend direction of public services to lower-income
towards the opening up of new institutional communities (LogoLink, 2004).
spaces for democratic participation – and Paralleling shifting understandings of
thus potentially the expansion of opportuni- science and knowledge and the opening of
ties for people to contribute their knowledge spaces for participation and consultation has
to public debate. The stimuli for this expan- also been the emergence of thinking about
sion of the ‘participatory sphere’ (Cornwall the role of ‘deliberation’ in policy processes,
and Schattan Coelho, 2006) are many and especially in the northern or Western democ-
often contradictory. On the one hand, in racies. The concept of ‘deliberation’ – in
many emerging democratic countries they which, ideally, different stakeholders with
are associated with a new wave of democra- different forms of knowledge deliberate to
tization and decentralization, sometimes dri- arrive at decisions which neither party would
ven by popular demands and struggle, other reach on their own – has added its own inno-
times from the neo-liberal agendas of inter- vations to the field of participatory research,
national agencies, seeking to roll back and ranging from citizens’ juries (see Wakeford
184 GROUNDINGS
et al., Chapter 22 in this volume), to ways of as tokens or manipulated by the powers that
deliberative polling and forms of empowered be. As this work makes clear, access to new
stakeholder consultation or even ‘empowered, spaces does not automatically imply greater
participatory governance’ (Fung and Wright, presence or influence of new voices within
2003). Deliberation places emphasis not only them, as ‘old’ power also surrounds and fills
on the mobilization of differing actors and such spaces. Despite new rhetoric of deliber-
forms of knowledge into policy processes, but ation or inclusion, ‘old ways’ learnt in con-
also on how their knowledge is shared, the texts like committees and public meetings
micro-politics of speech and communication, tend to prevail. Public officials may be
and possibilities of creating new knowledge unused to having to explain bureaucratic pro-
through consensus and debate. cedures to citizens, or to conveying technical
The growing legitimacy of different forms matters in plain language. Some may be
of knowledge, the expansion of the ‘partici- unwilling to do so. Forms of argument and
patory sphere’ and the turn towards delibera- language which populate the spaces may
tion in some policy-making processes have serve to silence the voices or ways of speak-
all had a huge impact on the ways and oppor- ing of some groups while enabling those of
tunities through which knowledge links to others. Those with greater experience of and
policy-making. But we must also ask, how access to the language of the state and its
do these trends affect the relationship of bureaucracies are more able to use these
knowledge and power? Have the growing spaces to press their demands. For instance,
legitimacy and scaling up of participation retired teachers, community leaders, and
and participatory forms of research led to NGO staff members may be able to take up
more equitable power relations, especially invitations to participate and use them effec-
those affecting previously excluded groups? tively, while more marginalized groups may
We cannot make this assumption that the enter the spaces for deliberation but still be
greater legitimacy of participatory research silenced within them by how the meeting is
has produced the kinds of transformational conducted, or by their own internalized sense
change that is often claimed for it. Power, as of powerlessness (as in the third dimension)
we have argued earlier, is inherent in all social which the new ‘pluralism’ in policy arenas
or political relations. If we use the various has not changed.
dimensions of power outlined earlier as our On the other hand, in certain situations,
lens, than there is little in the new terrain that such forms of ‘invited participation’ have
implies a diminishing of the relationship of created opportunities for people who may
power and knowledge in maintaining forms of never otherwise have engaged in deliberation
exclusion, domination and inequality. On the over public policy to get involved, learn and
other hand, the changing context may imply grow, e.g. to contribute to awareness build-
the need for new strategies through which the ing through the process of engagement. In
knowledge, action and awareness-building Brazil, for instance, participatory budgeting
purposes of participatory research come to has stimulated the creation of new social
interact. actors, as citizens come together with friends
Simply creating new spaces for participa- and neighbours to figure out their neighbour-
tion, or new arenas for diverse knowledges to hoods’ needs and register themselves as asso-
be shared, does not by itself change social ciations in order to participate. Over time,
inequities and relations of power, but in some inequalities in mastery of technical language
cases may simply make them more visible. and voice between women and men have,
As contributors to Cornwall and Schattan Baocchi (2001) argues, diminished as these
Coelho (2004, 2006) show, marginalized ‘schools of democracy’ teach all who enter
groups may enter these spaces but find them- them new skills and competencies. In some
selves without voice within them, co-opted parts of the country, citizens from the poorest
and most marginalized groups, often with serving to create procedures and processes in
minimal education, have come to take up which some groups feel more comfortable and
positions as chairs of participatory policy adept to engage than do others (see, for ex-
councils and representatives of their neigh- ample, the study of a national-level Canadian
bourhoods (Cornwall et al., 2006). In this deliberative process that brought into sharp
sense, the awareness-building goals linked to relief the contrast between styles of delibera-
participatory research emerge from engage- tion of ‘Western’ and aboriginal peoples;
ment in new institutional arenas, not neces- Kahane and Von Lieres, 2006).
sarily outside of them. Marginalized groups The institutionalization of participation
may need their own spaces in which they can therefore does not negate the need for mobi-
develop arguments and confidence, and learn lization and action outside the ‘new democ-
what it takes to participate effectively in ratic spaces’, both to continue to challenge
these arenas (Agarwal, 1997; Kohn, 2000). the barriers that prevent certain issues for
While institutionalized forms of participa- arising as well as to mobilize the knowledge
tion may shift our focus to whose voices and voices of those who are excluded from
count within new policy spaces, we must them. Yet, in practical terms, the nature of the
remember that the second dimension of mobilization often changes. On the one hand,
power – which affects whose voices and citizens may mobilize around their ‘experi-
which issues enter such spaces at all – still ential expertise’ (Leach and Scoones, 2006,
has not gone away. In the development field, building on Collins and Evans, 2002, and
for instance, the discourses and policies of Epstein, 1996), to challenge dominant under-
international donors affect what is legitimate standings of science, such as in movements
for public debate in invited spaces for parti- around occupational disease or against bio-
cipation, and what is still to be dealt with prospecting of plants. In other cases they
behind closed doors. Perhaps no better ex- may use forms of ‘citizen science’ to validate
ample exists than the rapid growth of Poverty and call attention to their claims, a strategy
Reduction Strategy Papers for highly long used in participatory research methods
indebted countries, which mandated a (see, for instance, Merrifield, 1993). On the
process of consultation and participation other hand, the pluralization of knowledge
with and by those living in poverty in devel- and the greater contentiousness of science
oping national poverty alleviation plans. even amongst scientists themselves also
Initially met with enthusiasm by many civil means that popular movements can mobilize
society organizations as an opportunity to enrol the support of accredited experts,
around which to mobilize, increasingly the and form alliances with them, as has been
optimism has dampened as it became clear done very effectively by HIV/Aids activists
that certain significant causes of poverty were in the USA (Epstein, 1996) or in South
still off the public agenda, especially those Africa (Robins, 2005). The need to be effec-
involving macro-economic, trade and indus- tive ‘at the decision-making table’ also
trial policy (Rowden and Irama, 2004). In means that citizen activists quickly learn the
other cases the process has been more subtle, language and idiom of the experts them-
but still involved shaping certain understand- selves, sometimes at the expense of having
ings and voices of poverty into the policy their social and political energies drawn
process while excluding others. In such situ- away from mobilization in their own spaces,
ations, some have argued, participation risks through protests or building movements of
legitimating the status quo, re-enforcing their own constituencies (Mahmud, 2005).
structural inequities with a more ‘participa- The net effect of these strategies is that
tory face’ (Brock et al., 2004). Others have ‘boundaries between citizens and expert
examined the cultural biases which concepts become more fluid and hybrids emerge’,
and practice of deliberation carry with them, calling into question old dichotomies and
186 GROUNDINGS
strategies which simply pit popular and the need to go beyond participatory research
expert knowledge against one another (Leach as a strategy for voice and participation but
and Scoones, 2006: 11). also as one for ‘cognitive justice’ which
The opening of new political spaces there- affirms ‘the right of different systems of
fore brings to the fore questions of how to knowledge to exist as a part of dialogue’
build alliances not only across forms of (Visvanathan, 2005). How such cognitive
knowledge, but also between social move- justice can be achieved, and what participa-
ments working outside of the arenas of tory research strategies are needed in the new
power, and experts and activists who are context remain the enduring questions.
working on the inside. In turn, such alliance
formation raises critical questions about
who speaks for whom, with whose knowl- NOTES
edge and with what accountability. Difficult
enough at local level, such challenges of 1 Our thanks to Kate Hamilton and Mel Speight
knowledge representation become all the for research assistance for the original version of this
more complex as we move from local to article. Thanks also to Kate McArdle and Peter
global arenas. In response, we see the emer- Reason for their comments on this version.
2 PRA evolved through innovation and application
gence of new intermediary networks, associ-
in the south in the late 1980s and early 1990s, influ-
ations, and international NGOs, increasingly enced by Rapid Rural Appraisal (RRA), applied
referred to as global civil society, which anthropology, participatory action research, feminist
attempt to bring citizen voices into global research and agro-ecosystems analysis (Chambers,
debates, such as negotiations on trade, envi- 1992; Guijt and Shah, 1998). Core methodological
principles include iterative, group-based learning and
ronmental or agricultural standards. Yet who
analysis, the use of visualization methods to broaden
represents whom in such processes, and how the inclusiveness of the process and enable people to
the knowledge and voices of professional represent their knowledge using their own categories
advocates in many global decision-making and concepts, and an explicit concern with the qual-
arenas are accountable to local actors, ity of interaction, including a stress on personal
values, attitudes and behaviour (see Chambers,
increasingly becomes an issue, as illustrated
Chapter 20 in this volume).
by the slogan of southern-based NGOs – ‘not 3 For examples of the dynamics of this in practice,
about us without us’ – in challenging the see critiques by Brock and McGee (2002) and Brock,
right of their northern counterparts to speak McGee and Gaventa (2004).
on their behalf in the Make Poverty History
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190 GROUNDINGS
12
Appreciable Worlds,
Inspired Inquiry
D a n i e l l e P. Z a n d e e a n d D a v i d L . C o o p e r r i d e r
Twenty years after its introduction, appreciative inquiry is well-known as a strength-based

collaborative approach for the study and change of organizational and societal realities. It is
now commonly equated with a ‘positive bias’ in scholarship which is itself both welcomed
and critiqued. This chapter’s intent is to go beyond an understanding of appreciation as a
focus on the positive with a return to the original call to appreciative inquiry as an invitation
to re-awaken a ‘spirit of inquiry’ – a sense of wonder, curiosity, and surprise – in our pursuits
of knowledge creation about the social world.
Appreciative inquiry celebrates the power of presented appreciative inquiry as a genera-

our imaginative mind. As a form of action tive approach to research into organizational
research in pursuit of knowledge creation for life. This theoretical writing was a reflection
social innovation, it invites us to be daring in on concrete organization development expe-
our explorations and articulations of alterna- rience (Ludema and Fry, Chapter 19 in this
tive possibilities for our shared and orga- volume) sparked by the question of how such
nized existence. At its best, appreciative inquiry can become a creative process of col-
inquiry becomes like art in enabling partici- laborative theorizing that leads to knowledge
pants to see anew and to bring something deemed relevant for the transformation of the
fresh into the world – something that inspires practice in which it is grounded. The con-
thoughts and actions that truly help generate tours of appreciative inquiry as laid out in
individual, organizational, communal, and this ground-breaking piece have been suc-
global ‘flourishing’ (Reason and Bradbury, cessfully translated into a well known and
2001: 1). globally utilized strength-based methodol-
Two decades have passed since Cooperrider ogy for organizational and societal change
and Srivastva (1987) first conceptualized and and have informed the research perspective
APPRECIABLE WORLDS, INSPIRED INQUIRY 191
and agenda of many scholars (Cameron et al., inquiry is to study that which gives life to a
2003; Cooperrider and Avital, 2004). Indeed – human system. As such it challenges us to
especially in recent years with the rise of posi- find value and possibility in the full spectrum
tive psychology (Linley et al., 2006; Seligman of human experiences and to overcome ten-
and Csikszentmihalyi, 2000) and positive dencies toward reductionist thinking in
organizational scholarship (Bernstein, 2003; either/or (positive/negative) dichotomies.
Cameron and Caza, 2004) – a focus on what Like other action research approaches,
is now commonly known as the ‘positive’ appreciative inquiry invites the researcher to
side of organizing has gained tremendously wholeheartedly engage with the complex,
in popularity and recognition. messy, and emergent nature of organizational
This positive stance is presented as an and societal life. Such engagement asks for
effort to counterbalance the perceived pre- questions and methods that enable innova-
dominance of a deficit discourse as mani- tive research into the practice of a particular
fested in a focus on problem-solving, human group in a specific time and place. It asks, in
pathology, and negative organizational per- other words, for an intuitive approach to
formance. This counterbalancing act, whilst inquiry rather than a mechanical use of avail-
providing a compelling antithesis, has able techniques. An important premise of
evoked some noteworthy critiques. Fineman appreciative inquiry is that high quality
(2006), for instance, takes issue with how a inquiry depends on the presence of all parti-
privileging of ‘positiveness’ leads to a ‘sep- cipants in full voice. Such inquiry has the
aration thesis’ that artificially distinguishes potential to challenge and transform, rather
between so-called positive and negative than maintain, the current state of affairs,
acts, experiences, and emotions. He states including who has the right to speak and act.
that ‘in exclusively favoring positive narra- All of this, of course, is much easier said than
tives, appreciative inquiry fails to value the done, and the current critique of appreciative
opportunities for positive change that are inquiry makes that apparent.
possible from negative experiences, such as Indeed, our understanding of inquiry in the
embarrassing events, periods of anger, anxi- appreciative/inquiry equation remains
ety, fear, or shame’ (2006: 275). His con- limited. As Cooperrider and Avital (2004:
cerns are shared by Barge and Oliver (2003), xii) note: ‘While many are intrigued with
who in addition caution not to equate the the AI positive bias – toward the good, the
spirit of appreciation in conversation with better, the exceptional, and the possible – it is
technique through an excessive reliance on the power of inquiry we must learn more
structuring devices such as the ‘4-D model’ about and underscore.’ In this chapter we
and the asking of ‘unconditional positive explore the dynamics of inspired inquiry into
questions’ (pp. 127–8). A third important appreciable worlds in order to enrich current
concern is that an overly positive bias may notions of what such inquiry might entail.
inadvertently obscure and maintain existing What does it mean to take an appreciative
power differences by silencing or stigmatiz- stance in inquiry? This first question leads
ing critical voices, and by providing elites us to revisit the original call to appreciative
with a new tool for manipulation and control inquiry and especially its stated objective of
(Barge and Oliver, 2003: 129; Fineman, being a form of inquiry with high ‘generative
2006: 281). capacity’ (Cooperrider and Srivastva, 1987;
These critical reflections call into question Gergen, 1978). We then continue with a
the meaning of appreciation in inquiry and close look at five dimensions of appreciative
the qualities that make inquiry a generative inquiry in order to renew our comprehension
force that cherishes imaginative perceptions of inquiry that is both inspired and generative.
and co-constructions of novel organizational In our discussion of these dimensions we com-
realities. The basic intention of appreciative bine theoretical and practical perspectives by
192 GROUNDINGS
highlighting conceptual underpinnings as ‘creative significance to society’ (Cooperrider

well as concrete examples of appreciative and Srivastva, 1987: 160). It is based on the
inquiry practice. We conclude this chapter premise that knowledge can enlighten and
with the proposition that ‘mystical pragma- empower those who strive to change the envi-
tism’ is perhaps the guiding value of appre- ronment in which they work and live. Thus it
ciative inquiry, and an invitation to engage in invites the researcher to develop and enable
this form of action research as spirited approaches to knowledge creation and usage
inquiry where together we discover and real- that are liberating and ‘promote egalitarian dia-
ize the noblest, most beautiful and meaning- logue leading to social system effectiveness
ful possibilities for human existence on this and integrity’ (p. 159).
planet. Appreciative inquiry is purposely not
value free. As human inquiry with transfor-
mative and emancipatory intent, it ‘invites,
TAKING AN APPRECIATIVE encourages, and requires that students of
STANCE IN INQUIRY social life rigorously exercise their theoreti-
cal imagination in the service of their vision
The original call to appreciative inquiry asked of the good’ (Cooperrider and Srivastva, 1987:
researchers to become scholarly activists who 140), and to join others in their visions of world
set out to help create a better world through a betterment. Beyond a well-published bias
process ‘that affirms our symbolic capacities of towards the positive, appreciative inquiry is
imagination and mind as well as our social guided by a ‘reverence for life’ (Schweitzer,
capacity for conscious choice and cultural 1969). According to Cooperrider and Avital
evolution’ (Cooperrider and Srivastva, 1987: (2004: xiv) ‘AI is perhaps best talked about as
159). Appreciative inquiry itself was an imagi- a way of living with, being with, and directly
native conception of action research intended participating in the core of a human system in
for ‘discovering, understanding, and fostering a way that compels each one of us to inquire
innovations in social-organizational arrange- into the deeper life-generating essentials and
ments and processes’ (p. 159). It was an answer potentials of social existence.’ In its most funda-
to Gergen’s daring invitation (1978, 1994a, mental understanding, ‘appreciation’ means a
1994b, 1999) to heighten the ‘generative capa- valuing (in terms of discovery, description and
city’ of social science research, which can be explanation) of that – however small – which
summarized as the ability to challenge the gives life to a human system (Cooperrider
status quo in organizational and social life, to and Srivastva, 1987: 160). This central focus
create a sense of possibility, and to thereby on what gives, promotes, and sustains life in
open up new repertoires for thought and action. human groups, organizations, and the larger
Gergen’s notion of generative theorizing is rad- world is directly related to Erikson’s (1950,
ical in its focus on generating new reality – on 1964) notion of generativity as ‘the concern
being a catalyst for social transformation – by in establishing and guiding the next genera-
‘telling it as it might become’ rather than tion’ (1950: 267). As guiding values, both
‘telling it like it is’ (Gergen and Thatchenkery, appreciation and generativity inform inquiry
1996: 370). As a process of generative theoriz- as a nurturing of life into the future.
ing, appreciative inquiry combines research In their first articulation of appreciative
and action, inquiry and intervention, by creat- inquiry, Cooperrider and Srivastva (1987: 159)
ing knowledge that enables the participants in made the assertion that the generative capacity
this creation to engage in (almost) simultaneous of action research will advance when ‘the dis-
practical experimentation and implementation cipline decides to expand its universe of
of transformative ideas. exploration, seeks to discover new questions,
Appreciative inquiry is grounded in the and rekindles a fresh perception of the extra
belief that theory can be and should be of ordinary in everyday organizational life’.
One pathway toward such expansive the assertion that we can train our ‘appreciative
explorations, creative questions, and fresh eye’ to ‘see the ordinary magic, beauty and
perspectives, is the employment of alterna- real possibility in organizational life’. Since
tive metaphors (Gergen, 1994a). Where that statement many have developed ways to
‘many commonly accepted explanations for heighten appreciation in inquiry and have
human action are tied to prevailing encouraged others to engage in similar
metaphors within the culture’ (1994a: 143), experimentation. We recognize five distinct
new metaphors may free neglected ways of dimensions of an appreciative stance in
seeing and thinking. Trying to escape the limits inquiry that together give the contours of
of problem-solving as a dominant mode of what Grudin (1990) might call an ‘ethos of
knowing, Cooperrider and Srivastva (1987) inspiration’, an interrelated practice of being,
proposed to balance what they saw as the pre- thinking, and acting that can elevate the gen-
vailing notion of ‘organizing as a problem to be erative capacity of our work. In what follows
solved’, with the root metaphor of ‘organizing we give groundings to and concrete examples
as a miracle, or mystery, to be embraced’. from appreciative inquiry and other action
This metaphorical shift expands the terrain of research practices for each of the dimensions.
inquiry from one defined by the issues at We also point to the practice elaborated in
hand, to one that has no limits other than in Ludema and Fry (see Chapter 19).
our willingness to hold the marvel of life and
our capacity to imagine desired futures. But
how are we to engage in such inquiry? How ILLUMINATING THE MIRACLE
do we overcome our habitual and sometimes OF LIFE
pessimistic assumptions of reality in order to
open ourselves to a more naïve learning The starting point of appreciative inquiry lies
stance implied by mystery? in its wish to hold and reveal the miracle of
The original call to appreciative inquiry life. This first and fundamental dimension
was more than an invitation to embrace an asks that we appreciate life as mysterious. In
activist agenda of social innovation through the academic and organizational context
knowledge creation, life-centric guiding from which we write, this is a somewhat
values, and an underlying metaphor of life as unusual request since modern society has
miracle. It was also a call to re-awaken a worked hard to move into the opposite
‘spirit of inquiry’ that allows us to respond direction by transforming magic into science
with a sense of ‘awe, curiosity, veneration, (Koestler, 1964: 261) in efforts to solve
surprise, delight, amazement, and wonder’ mystery and banish uncertainty. The wish for a
(Cooperrider, 1996: 5) in our study of appre- re-enchantment of our world is expressed in the
ciable worlds. Such responses are important appreciative inquiry literature through discus-
in propelling and sustaining generative sions about wonder and childlike openness in
processes of inspired and creative theorizing inquiry (Cooperrider, 1990, 1996; Cooperrider
(Zandee, 2004). In the next section of this and Barrett, 2002; Cooperrider and Srivastva,
chapter, we discuss how a spirit of inquiry is 1987). These discussions give illustrations of
nourished in a close-knit relationship wondrous experiences of scientists and
between appreciation and inquiry. explore the metaphor of ‘inquiry as art’ to
give compelling images of a more perceptive
sensitivity to the mysterious realm.
GENERATIVE DIMENSIONS Nissley (2004) notices these frequent
OF APPRECIATIVE INQUIRY references to the ‘art of’ appreciative inquiry,
and moves beyond metaphor in his study
In the conclusion of their seminal paper, of how ‘practitioners actually engage organi-
Cooperrider and Srivastva (1987: 165) made zations in the artful creation of positive
194 GROUNDINGS
anticipatory imagery’ (p. 284). He makes Ludema and Fry (Chapter 19) point out
connections with the emerging field of that appreciative inquiry practice commonly
‘aesthetic discourse’ (Strati, 1999) that is starts with the (re)framing of topics for
concerned with a more intuitive, sensuous – inquiry. Deliberate shifts in topic definition
rather than a logico-rational – understanding liberate participants out of ingrained patterns
of organizational life (p. 7). Indeed, our capa- of thinking and acting and spark their curios-
city to appreciate life as mysterious and to ity in a journey of discovery toward new, and
hold and express its delicate, ambiguous, and otherwise possibly unconceivable, action
ineffable qualities may be heightened if we strategies (Barrett and Cooperrider, 1990).
develop more artful approaches to inquiry.
An example of ‘appreciative inquiry as a
process of creative inquiry that permits us to ENVISIONING NEW POSSIBILITIES
move beyond words alone’ (Nissley, 2004:
286) is the use of artful creations such as Appreciative inquiry takes guidance from the
drawings, poems, and songs during the so constructionist notion that ‘words create
called ‘dream phase’ to express latent images worlds’ in asserting that ‘the artful creation of
of ideal futures. Such creations are forms of positive imagery on a collective basis may
‘presentational knowledge’ (Heron and well be the most prolific activity that individu-
Reason, 2001/2006; Reason, 1993) that act als and organizations can engage in if their aim
as a ‘mediate for discovering and communi- is to help bring to fruition a positive and
cating shared meaning’ (Nissley, 2004: 286). humanly significant future’ (Cooperrider,
1990: 93). With this hopeful assertion, appre-
ciative inquiry takes an ‘affirmative post-
QUESTIONING TAKEN FOR modern’ stance which ‘includes more
GRANTED REALITIES optimistic efforts to construct new construals of
identity, knowledge, and community as alter-
The questioning and interruption of taken for natives to the modern worldview’ (Sandage
granted realities is part and parcel of the and Hill, 2001: 251). This third dimension
notion of ‘generative theorizing’ (Gergen, reinforces the visionary potential of human
1978, 1994a, 1994b) that inspired the inquiry, which is enabled when we appreciate
conception of appreciative inquiry. This schol- reality as limitless potential, when we can
arship of dislodgment and transformation imagine our social world as a playground of
challenges the status quo in order to invite infinite possibility (Carse, 1986).
people ‘into new worlds of meaning and A key assumption of appreciative inquiry
action’ (Gergen, 1999: 116). It embraces a is that we awaken our imaginative capacity
constructionist worldview that emphasizes when we make deep connections with the
that organizations and other social patterns core of what gives life to a human system.
and structures are products of human imagina- Such connections provide the inquiry parti-
tion and interaction ‘rather than some anony- cipants with the ingredients and inspiration
mous expression of an underlying natural for the shared creation of evocative images of
order’ (Cooperrider et al., 1995). In this the future. Thoughtful, creative questions are
worldview nothing is fixed or given in how used as the medium for the establishment of
we perceive and create social reality and con- these vitalizing connections between existing
ceptions of truth will differ across time and strengths and future possibilities. Therefore,
space. The second dimension of appreciative much time is dedicated to the crafting of such,
inquiry asks us to take a questioning stance so-called ‘unconditional positive questions’
which is enabled when we can appreciate (Ludema and Fry, Chapter 19 in this volume;
truth as multi-faceted and impermanent. Ludema et al., 2001/2006).
CREATING KNOWLEDGE ENABLING JUST AND SUSTAINABLE

IN RELATIONSHIP COEXISTENCE
Appreciative inquiry is based on the premise The life-centric spirit of appreciative inquiry
that high quality research occurs in moments requires an expansion of our ‘capacity of
of intimate human relationship. Its underlying relatedness’ (Cooperrider and Avital, 2004:
constructionist worldview proposes the vision xv) beyond specific organizations and com-
of a ‘relational self’ instead of individualistic munities and beyond the human group. Our
accounts of human agency, and ‘replaces the constructions of localized social realities
individual with the relationship as the locus of occur within a vast interrelated context and
knowledge’ (Cooperrider and Avital, 2004: have the potential to impact global well
xviii; Gergen and Gergen, Chapter 10 in this being. For our inquiry to have truly life-
volume). This fourth dimension promotes giving capacity we need to remember our
knowledge creation as social endeavor. It asks own embodied participation in a spirited,
us to appreciate human existence as relational biological realm. This fifth dimension pro-
and to truly see others as ‘vital co-creators of motes inquiry as advocacy for worldwide
our mind, our self, and our society’ (Sampson, justice and sustainability. Such global com-
1993: 109). passion is enabled when we can once again
Grounded in the belief that we need to appreciate our sensuous participation in a
engage in dialogue if we want to change our more-than-human world (Abram, 1996).
organizations, communities and the larger Though appreciative inquiry relies heavily
world, appreciative inquiry practice facili- on a discursive way of knowing, it does hold
tates large group ‘whole system’ conversa- an invitation to ground our linguistic practice
tions as ‘narrative rich’ environments in in a bodily understanding of being. We can
which participants share touching stories of only fully nourish life through inquiry when
accomplishment and aspiration (see Chapter we ‘recall and re-establish the rootedness of
19). The experience is that such storytelling human awareness in the larger ecology’
evokes the interpersonal connections and (Abram, 1996: 261), and embrace our place
positive affect that allows participants to in an interconnected ‘web of life’ (Capra,
commit to a mutual process of inquiry. 1996). In its ideal form appreciative inquiry
Action research firmly embraces a ‘rela- succeeds in awakening such global con-
tionality orientation’ to inquiry (Bradbury sciousness in participants by helping them to
and Lichtenstein, 2000). It clearly distin- ‘sense not just responsibility for but feel an
guishes itself from other research traditions intimacy with the whole’ (Cooperrider and
in its emphasis on processes of collaboration Avital, 2004: xxiii; Whitney, 2004).
(Gergen and Gergen, Chapter 10 in this vol- Lately appreciative inquiry practice has
ume) and many examples exist of successful aligned itself with efforts to promote a
participative inquiry approaches (Heron and changing role of business in society. Through
Reason, 2001/2006; Ospina et al., Chapter 28 the Center for Business as an Agent of World
in this volume). However, much remains to Benefit (BAWB) it explores and facilitates
be done if we fully want to make the shift the idea of sustainable and socially responsible
from the so deeply ingrained individualistic enterprise (Bright et al., 2006). An important
worldview to a truly relational one. Action activity of the center is the so called ‘world
researchers are uniquely positioned to jointly inquiry’ through which exemplar stories of
promote this shift and to engage in shared successful business innovations with positive
inquiry to further develop the emerging con- societal impact are gathered, studied, and
tours of ‘relational theory’ (Gergen and made available to the larger public. The cen-
Gergen, Chapter 10 in this volume). ter creates virtual meeting spaces through
196 GROUNDINGS
web-based conferences in its efforts to and utilization of appreciative methods in

connect with the global community and to organization studies and development.
include as many voices as possible in the In the end, appreciative inquiry is perhaps
enabling of more just and sustainable forms best understood as a form of ‘mystical pragma-
of coexistence. tism’ which asks us to stand in the mysterious
realm and from that position to help bring forth
bold imaginations of possibility with practical
CONCLUDING THOUGHTS beneficial significance for organized and social
action. It invites us to explore how we might
Our discussion of the generative dimensions more openly relate to the miracle of life on this
of appreciative inquiry shows the inseparable planet and thereby experience the power of
and dynamic relationship between the two appreciation more frequently and developmen-
words ‘appreciative’ and ‘inquiry’. When we tally in each of our relations and initiatives as
are able to take an appreciative stance we are co-participants in a never ending quest to value
free to choose and develop methods of inquiry and create. To take such a stance remains a
that illuminate and create the fullest life- choice, a leap of faith perhaps, that many of us
nourishing potential of human systems in the involved in appreciative inquiry and other
larger world. In similar fashion, our thought- action research approaches are committed to
fully crafted approaches to inquiry may help make. Together we can further the theory and
others and ourselves to more sincerely practice of inspired inquiry into appreciable
embrace an appreciative perspective. Taken worlds.
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Gergen, K.J. and Thatchenkery, T.J. (1996) ‘Organization Sage.
science as social construction: postmodern poten- Weick, K.E. (2004) ‘Mundane poetics: searching for
tials’, Journal of Applied Behavioral Science, 32 (4): wisdom in organization studies’, Organization
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198 GROUNDINGS
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Appreciative Inquiry: Vol. 1. Constructive Discourse
and Human Organization. Oxford: Elsevier Science.
pp. 125–46.
13
Ethics and Action Research:
Deepening our Commitment to
Principles of Social Justice and
Redefining Systems
of Democratic Practice1
Mary Brydon-Miller
This chapter provides readers with an introduction to research ethics within an action
research context. After a brief review of the fundamental principles upon which the guide-
lines for ethical research in general are grounded, the chapter discusses the relationship
between the shared values of action research and these established codes of conduct, sug-
gesting that the values articulated by action researchers not only reflect, but extend and more
fully embody, these principles, providing a model for other forms of research. Following this
a broad conceptual framework is outlined, grounded in these ethical principles and designed
to represent the full range of contexts and processes we encounter in our practice as a means
of broadening our discussion of the ethical challenges of action research. The importance of
including a critical analysis of power and privilege is highlighted.
As action researchers we cross many bound- Greenwood and Levin’s ‘we see AR as
aries. We come from a variety of disciplinary central to the enactment of a commitment to
backgrounds, draw on distinct histories, democratic social transformation through
develop diverse methodologies, and investi- social research’ (1998: 3), or Noffke’s descrip-
gate a wide range of issues in communities tion of action research as ‘a moral and ethical
across the globe. What does unite us to a stance that recognizes the improvement of
large extent, however, are our aspirations. human life as a goal’ (1995: 4), and you begin
Read the definition of action research in the to understand that we are indeed engaged in
introduction to this volume, ‘action research ‘a form of morally committed action’ (McNiff
is a participatory, democratic process’, or et al., 1996: 3).
200 GROUNDINGS
It is one thing to use this language of I begin this exploration of the ethics of action
common values to define and inspire, and research with a brief review of the fundamental
quite another to articulate what these terms principles upon which the guidelines for ethical
mean in practice and to specify mechanisms research in general are grounded, with special
through which we might determine the extent attention to the ways in which they are repre-
to which our efforts are successful in embody- sented in such documents as the Helsinki
ing these lofty goals. We cannot afford to be Declaration and the Belmont Report. I then dis-
complacent. Asserting a belief in social justice cuss the relationship between the shared values
does not insure that our actions will reflect this of action research and these established codes
same high moral stance, for as Boser has of conduct, suggesting that the values articu-
noted, ‘democratic intentions do not obviate lated by action researchers not only reflect, but
the need for thoughtful examination of the eth- extend and more fully embody, these princi-
ical implications of the research’ (2006: 14). ples, providing a model for other forms of
It is also critical that we understand that research. Following this discussion, I outline a
this need for ethical reflection extends broad conceptual framework grounded in these
beyond the confines of individual action and ethical principles and designed to represent the
specific research endeavors to encompass the full range of contexts and processes we
complex relationships within and among encounter in our practice as a means of broad-
communities, academic institutions, govern- ening our discussion of the ethical challenges
mental agencies, and funding sources. We of action research. I then focus on the impor-
must be sensitive to cultural differences and tance of including a critical analysis of power
to the ways in which these inform our under- and privilege within any discussion of research
standings of the ethical challenges we face in ethics, concluding with an invitation to fellow
conducting research across cultural and action researchers to continue to engage these
national boundaries. And attention to the eth- challenging questions of ethics openly and
ical implications of our work must persist actively so that our highest aspirations might be
across time as action researchers strive to realized within our shared practice.
bring about positive change in these systems
and to engage in the ongoing cycles of action
and reflection that define our practice. A BRIEF HISTORICAL REVIEW OF
Our common vision of research as a form RESEARCH ETHICS
of democratic action and a powerful force
for social justice is currently threatened, due Typically, considerations of research ethics are
at least in part to the very success of action confined to an examination of the specific ele-
research. As our practice becomes more ments prescribed by human subjects review
broadly accepted it is also at risk of being processes. Academic researchers complain
tamed, routinized, and redirected toward more mightily about the seemingly endless and
mundane and less threatening objectives. intrusive demands of institutional review
Reclaiming our radical roots2 depends in part boards, but the truth is that to a large extent we
on defining and communicating a clear under- brought it on ourselves. The legacy of unethi-
standing of the ethical foundations of action cal research includes notorious examples such
research. Having clarified this shared set of as the biomedical research conducted by Nazi
principles, our goal must then be to find ways doctors and the Tuskegee Syphilis Study in the
of enacting these values in our practice as United States in which poor African American
researchers, educators, community members, men were denied treatment for syphilis for
and social activists. As a community we must years after effective treatments had been devel-
be united in demanding that work calling itself oped in order to observe the long-term effects
action research demonstrate a commitment to of the disease (Jones, 1993; Thomas and
these principles. Quinn, 1991).3 These horrific practices along
ETHICS AND ACTION RESEARCH 201
with other research such as Milgram’s work on These basic principles now form the foun-
obedience (1963, 1983) or the Zimbardo dation of the human subjects review processes
prison experiment (Haney et al., 1973; Haney at most governmental and academic institu-
and Zimbardo, 1998) in which the harm, tions in the United States and many other
though admittedly not life-endangering and countries and, along with additional consid-
perhaps unintentional, was nonetheless serious erations such as trust and scientific integrity,
and avoidable, have led to a general climate of serve as the basis of most professional codes
skepticism and distrust regarding research and of ethics (Smith, 2000).
a conviction that any research involving The Belmont Report goes on to define a
human subjects requires a degree of govern- number of specific applications incorporated
mental oversight in order to insure that into human subjects review processes and
it is carried out in a humane and ethical designed to put these principles into practice.
fashion.4 These include:
The Helsinki Declaration (Human and Fluss,
2001), originally adopted in 1964 and most • Informed consent – based largely on the first
recently amended in 2004, provides guiding principle of autonomy, this includes the require-
principles for the ethical conduct of research, ment that subjects are informed about the
focusing on biomedical studies in particular. As nature of the research, understand that informa-
tion and, based on that understanding, choose to
Human and Fluss in their review of the history
participate in the research without coercion or
and impact of the Declaration note, countries undue influence.
from around the world including nations • Assessment of risks and benefits – reflecting the
as diverse as Australia, China, Uganda, Israel, principle of beneficence, this requirement estab-
and India, all cite the Helsinki Declaration in lishes that it is the responsibility of the reviewing
their laws and policies regarding medical body to determine whether the potential benefits
research. of the research outweigh any possible risks,
In the United States the Belmont Report, noting that ‘the risks and benefits affecting
which cites the Helsinki Declaration and was the immediate research subject will normally
issued by the National Commission for the carry special weight’ (Department of Health,
Protection of Human Subjects of Biomedical Education, and Welfare, 2000: 203).
• Selection of subjects – most closely tied to
and Behavioral Research on 18 April 1979,
the principle of justice, this requirement
was developed to address ethical concerns in includes stipulations that no individual or
research in both medical and social sciences group be unfairly included or excluded from par-
disciplines. Its creators were charged with ticipation in research and provides special pro-
‘identifying the basic principles that should tections to individuals and groups whose
underlie the conduct of biomedical and capacity for informed consent might in some
behavioral research involving human subway be limited.
jects’ (Department of Health, Education, and
Welfare, 2000: 195). The three basic princi-
ples outlined in that report are:
INTERSECTIONS BETWEEN
• Respect for persons, i.e. ‘that individuals should ESTABLISHED ETHICAL PRINCIPLES
be treated as autonomous agents’ and ‘that AND THE SHARED VALUES OF
persons with diminished autonomy are entitled ACTION RESEARCH
to protection’ (p. 198);
• Beneficence, i.e. ‘do not harm’ and ‘maximize
possible benefits and minimize possible harm’
The shared set of values which underlie most
(p. 199); and forms of action research and which include
• Justice, i.e. ‘research should not unduly involve participation in democratic processes, the
persons from groups unlikely to be among the ben- improvement of human life, and engagement
eficiaries of subsequent applications’ (p. 201). in morally committed action deepen, extend,
202 GROUNDINGS
and at times also complicate our understanding grounded in notions of objectivity and
of the values outlined in such human subjects distance rejected in action research. This is
review processes. not to say that coercion might not be an issue
Respect for persons, for example, under the in action research, but understanding the
guidelines of the Belmont Report and most nature of the problem within the context of
sets of human subjects research guidelines, is the close, committed relationships that typify
limited to providing research subjects with the action research settings requires a more
opportunity to decline to participate in a par- nuanced analysis than is commonly reflected
ticular study and is assumed to be addressed in such review processes.
through the informed consent process. Similarly, the principle of beneficence,
In action research, on the other hand, this which in the Belmont Report and other simi-
principle extends to our conviction that all lar documents while providing protection
individuals have the capacity to contribute to also tends to reflect the paternalistic nature of
the process of knowledge generation and the most medical and social research, might be
right to play an active role in shaping policies recast by action researchers as a call to
and processes that affect their own well-being address social problems in a more collabora-
and that of their families and communities. tive and substantive manner. The notion of
The very nature of action research itself is ‘maximizing possible benefits’ demands that
founded in this deep and abiding respect for research address significant social issues
persons as active agents of change. as these are defined by the members of com-
At the same time action researchers might munities themselves, rather than those
challenge the assumption that ‘respect for deemed most important (read fundable) by
persons’ is actually best represented by the researchers.
principle of autonomy as suggested by the Action researchers might also challenge
Belmont Report, given that autonomy the assumption that the determination of
assumes a focus on individual good and self- what constitutes risks and benefits should be
governance versus collaborative decision- the purview of institutionally-based review
making and community benefit. Action bodies at all, suggesting instead that commu-
researchers must remain mindful of the com- nity review boards or other citizen-based
plex nature of balancing individual and col- processes of oversight would better reflect
lective action and the relationships of power what members of the community consider an
and privilege which inevitably frame these acceptable exposure to risk and desirable
processes of decision-making. benefits, values espoused by documents such
Action researchers might also question the as the Belmont Report.
perceived need for protection accorded those The notion of justice, too, which in the
determined to have ‘diminished autonomy’, Belmont Report refers specifically to guaran-
recognizing that such determinations often teeing equal opportunities for participation in
reflect deeply held prejudices toward indi- research (reflecting the insular worldview of
viduals deemed less competent to participate many academic researchers), takes on a
in the public sphere and have also been used broader significance within action research,
to disempower and control those whose leading us to seek social justice more gener-
actions challenge existing systems of power ally and demanding activism and political
and privilege. We might also challenge the engagement. And here, too, action researchers
assumption that is often made by review would understand that a concern for justice
boards that relationships between researchers must extend to participation in decisions
and community participants necessarily regarding the funding of research, the applica-
imply coercion and constitute a breach of tion of research findings, and the generation,
research ethics. This conflation of caring and ownership, and dissemination of knowledge
coercion grows out of a model of research based on this research.
These now more broadly defined principles But the truth of all research, both for good
of respect for persons, beneficence, and jus- and ill, is that it is a collective enterprise
tice apply across the board, not simply to our influenced by multiple forces within and
actions within the context of specific beyond academic institutions, forces that
research projects, and so must inform all intersect and influence one another’s actions,
aspects of our practice as researchers, educa- efficacy, and ethics in complex, multilayered
tors, administrators, and community members. systems. This complex system influences all
The challenge, then, is to develop explicit forms of research – it is simply more expli-
strategies for remaining mindful of these citly recognized in action research and open
principles within our individual practice, and discussion of these competing forces more
attentive to how our collective responses to common. That said, it is also the case that
the practice of action research in general are action research – because it engages real
addressing these concerns. issues and involves community partners –
both addresses some of the ethical challenges
inherent in more traditional approaches to
DEFINING THE BROADER research, but at the same time also generates
INSTITUTIONAL, SOCIAL, AND a unique set of concerns. These ethical
CULTURAL CONTEXTS OF ACTION issues, and the often competing sets of values
RESEARCH which underlie them, are present and com-
pelling at each stage of the research process,
Most considerations of research ethics focus and beyond the research process itself, in all
solely on the details of a specific research aspects of our lives as action researchers and
project, and within this the majority of the community activists.
attention is directed at a review of a written Reader be warned: This is not a neat, tidy
proposal for a research project specifying grid with clear indications of success and fail-
aspects of subject recruitment, data gather- ure. Rather it is an attempt to capture elements
ing, and analysis. Embedded within this of a complex, intersecting system in which
review process is the assumption of the multiple stakeholders operate with sometimes
researcher or research team as a distinct competing sets of interests and moral convic-
entity operating independently of outside tions that influence any attempt to bring about
influence. The common vision of the practice positive social change. But, acting under the
of research, in its more positive incarnation, assumption that ‘most action researchers have
is of the heroic researcher alone in the labo- disciplined themselves to believe that messes
ratory late at night tirelessly engaged in col- can be attractive and even exciting’ (Brydon-
lecting and analyzing data that lead after Miller et al., 2003: 21), I offer the following
years of dedicated, selfless effort to a discov- framework representing the ethics of action
ery that revolutionizes medical practice, or research within broad institutional and
food production, or in some other way con- social contexts followed by a consideration
tributes to the good of humankind. In its of strategies we might employ in more fully
more sinister version (fed no doubt by our engaging these ethical principles in all levels
collective viewing of films like Frankenstein of our practice.
and The Fly), the same lone researcher, Within the action research model, the indi-
though in this case with much more unruly vidual researcher is but one of a collaborative
hair, bends over the same laboratory table group of investigators working together to
now strewn with random body parts fixated define a research area, articulate a set of mean-
instead on destruction and domination – cue ingful questions, and determine strategies for
maniacal cackle. Determining research ethics gathering and analyzing pertinent informa-
in this instance is a straightforward case of tion. These researchers are collectively
individual good versus evil. responsible for formulating and carrying out
204 GROUNDINGS
plans for action and determining the most At the same time, all of this exists within
effective means of disseminating the results broader systems of political, social, and eco-
of their work. Ideally, they represent a broad nomic injustice that shape experiences of
range of community and academic participants oppression on the basis of race, class, gender,
with a genuine respect for one another’s sexual orientation, and other aspects of indi-
contributions and long-term commitments to vidual and community identity. Any consid-
working together to address critical commu- eration of research ethics must also take into
nity concerns. account these multifaceted systems of power
But researchers do not exist in isolation and influence (Brydon-Miller, 2004). And
from other institutional and community beyond the specific contexts within which
influences. Academically-based researchers, the research itself takes place, our discussion
for example, must address the concerns of must also acknowledge the ethical aspects of
institutional review boards, whose work in the processes of recruiting, training, creden-
turn is a reflection of governmental regula- tialing, employing, promoting, publishing,
tions regarding human subjects research and reviewing, advocating, challenging, and cre-
is defined and constrained by these require- ating change that are all part of our practice.
ments (Brydon-Miller and Greenwood,
2006; Hemmings, 2006; Herr and Anderson,
2005). They must be ever cognizant of the EMBODYING ETHICS WITHIN
demands of reappointment, promotion, and OUR PRACTICE AS ACTION
tenure committees in order to secure ongoing RESEARCHERS
employment through presentations and publi-
cations considered legitimate within the acad- Clearly, given the vast range of activities
emic sphere, and must address the demands for noted above, it is impossible in this brief
accountability as defined by both their own chapter to provide a detailed agenda for
administration and those organizations or addressing the ethical challenges of action
governmental offices funding the research if research at all levels and across contexts.
the work is to continue. Instead, drawing on specific action research
Community members participating in the based practices, I will outline a general
research process likewise must deal with com- process for examining the ethical implica-
peting demands for their time and energy. If, tions of our practice within these broader
for example, the research is being conducted systems starting at the level of individual
with teachers in a school setting, the adminis- reflection and moving toward the more col-
tration at the school and district levels have lective and complex systems that define our
specific requirements defining when and how shared practice and the contexts within
such work is to be conducted within the school. which our work takes place.
Here, too, funding agents determine many Prior to entering a research setting of any
aspects of the research and reporting processes, kind, and ideally as a central component of
and parents and other community members any university-based action research course
must be included in the process if the work is or other training program, we might begin with
to truly reflect the values of participation a critical examination of ourselves as individ-
central to action research (Zeni, 2001). These ual researchers using a first-person action
same complex and often competing forces research approach (Chandler and Torbert,
operate in all settings in which action research 2003). This process allows us to articulate
takes place, whether that is health care our own value systems, our multiple identi-
(Minkler and Wallerstein, 2003), prisons (Weis ties and locations of power and privilege, and
and Fine, 2004), organizations and other work- the ways in which these understandings
places (Hilsen, 2006), or community-based influence our interactions with others and our
project sites (Lewis, 2006; Lykes, 2006). research practices. In explaining this process
to my own students, I often use the metaphor received by all members of the group with
of dance training in which you are encouraged respect and a commitment to honoring each
to find your center. Moving from the physical individual’s experience, concerns, and
core of your body, you are balanced – able to values. To extend our metaphor a bit further,
move with grace and respond to the move- we are joined at this point by other dancers,
ments of other dancers around you with each with a unique repertoire of movements
spontaneity and energy. Becoming aware of and gestures to contribute to the process. Our
our own core values allows us respond to common task now focuses on developing a
unexpected ethical challenges or issues with shared vision of the choreography we create
a similar sense of being morally grounded as an ensemble. Open dialogue is key to this
and confident in our actions. It also gives us process, but a clear understanding of the
the opportunity to re-examine these values hierarchies that exist everywhere within and
and to confront contradictions in our ways of outside our research settings can prevent us
understanding the world. We can begin to from naively assuming that simply bringing
achieve this sense of being centered through people together allows us to transcend pre-
reflection, using specific strategies such as existing relationships of power and privilege.
journaling, photovoice, or other practices Integrating on-going dialogue on the ethical
(Meyer et al., 2004) that allow us the time implications of our research with all partici-
and attention necessary to engage in open pants at each stage of the process offers
and honest processes of self-questioning and opportunities for such discussion to reflect
assessment. Again, like the dancer who con- deepening understandings of the ethical chal-
stantly practices this skill, we cannot assume lenges embedded in efforts to carry out such
that we have somehow ‘dealt with’ the ethical collaborative work and allows participants to
challenges that face us all (Brydon-Miller, develop greater confidence and conviction
2004). Rather we must remain mindful and regarding their own ethical stance as well as
open to the challenges that new relationships a deeper appreciation of other points of view
and experiences are bound to bring with them (Boser, 2006). Specific strategies such as the
without allowing fear and self-defensiveness to nominal group process (Delbecq et al., 1975)
prevent us from honestly examining our own in which there are explicit mechanisms for
feelings and actions. guaranteeing that all participants have oppor-
This same process of self-reflection can tunities to contribute to the discussion can be
enable us to engage in a critical examination helpful in this regard, but again, it is impor-
of aspects of our individual and community tant to remain attentive to the dynamics of
identity and experience. Questioning how power in any group setting.
gender, race, class, educational attainment, At the same time, the participants in col-
sexual orientation, disability status, age and laborative research processes operate within
other aspects of our identity influence our broader institutional and community con-
own experience of and response to power texts which carry with them their own sets of
and privilege is an important precursor to any values and systems of power. These might
engagement as action researchers, whether be likened to the orchestra, stage manager,
we intend to participate in such processes composer, audience members and patrons,
as insiders or outsiders in relation to the com- all of whom affect in direct and indirect ways
munities within which we propose to work. both individual dancers and the nature of the
At the next stage we enter into dialogue with performance as a whole. These systems can
potential research partners and begin to explore influence aspects of the research process
possible avenues for collaboration. At this point in fundamental and quite explicit ways by
we need to be sure that the values and goals controlling access to funding, time, and other
of all participants are clearly stated and that resources and in more subtle ways by creat-
these sometimes differing points of view are ing and sustaining expectations regarding
206 GROUNDINGS
social relationships and opportunities for et al., 2004). Creating highly visible venues
achieving change. Honestly acknowledging for discussions of research ethics is also
the fact that there may be competing values important, as in the designation of ethics as a
systems between research partners and acad- focus for the 2006 World Congress of Action
emic institutions, funding agencies, and the Research or the development of a special
broader community is an important first step issue of the journal Action Research focused
in addressing these issues effectively. It is specifically on this subject (Brydon-Miller et
also important to develop a clear understand- al., 2006). Overall, in considering the ethical
ing of the power dynamics that shape these dimensions of our work within the academy,
relationships (Campbell, 2003). we ‘must question the automatic belief in our
Within academic settings negotiating this own benevolence, the automatic equation
broader system might include, for example, between our own academic success and ethi-
working with members of university human cal behavior’ (Newkirk, 1996: 14).
subjects review committees to develop a For those of us working in other organiza-
greater shared understanding of the con- tional settings such as independent research
straints within which they must operate and centers, schools, and non-governmental
the shared mission of the review process agencies conducting action research projects,
and action research (Brydon-Miller and an attention to the ethical implications of our
Greenwood, 2006; Hemmings, 2006). It can practice and of broader organizational poli-
also entail using whatever power we have cies and procedures is also critical (Hilsen,
within academic institutions to create space 2006; Holian, 1999). One perplexing ques-
for action research and other forms of com- tion worth noting in this regard focuses on
munity engagement within reappointment, the notion of mandating action research and
promotion, and tenure review processes. whether administrators and others responsi-
Our work with students, too, must reflect ble for leading change can ethically require
our recognition of the ethical demands of the participation in such processes or whether
teaching and mentoring relationships that such demands fundamentally undermine the
form the basis of the educational experience. legitimacy of our practice (Judah and
As individual members of faculty and within Richardson, 2006). Here again, an awareness
programs and departments we must monitor of the complex set of relationships and of the
the nature of these relationships in order to differing levels of power within organiza-
model ethical behavior and to ensure that the tions can help to guide our decision-making.
best interests of the students, rather than our At the broader community level, we must
own personal interests, are our primary focus on developing strategies for acknowl-
goals. At the same time we must provide spe- edging and dealing with areas of conflict
cific learning experiences both through while remaining grounded in our own per-
courses as well as in individual mentoring sonal and cultural values. Some of this
relationships to these students focused on a involves developing skills in lobbying and
problem-oriented examination of challenges community organizing that are often beyond
to ethical research and professional practice the training or experience of academic action
that make it clear that getting review board researchers. However, these are quite often
approval is just one step in the process. areas in which our community research part-
Within the broader professional roles we fill, ners are extremely skilled, and as in any suc-
those serving as journal editors and reviewers cessful action research process, this ability to
might also work to insure that a discussion of draw on the expertise of all participants is
research ethics with specific reference to appro- key. Learning to use the media effectively, to
priate forms of institutional ethical approval open dialogue with political figures, and to
are included as expected components of provide opportunities for community action
all submissions (for an example see Löfman can all be effective strategies in bringing
these stakeholders into the process in levels with increasing degrees of citizen
constructive ways (Tandon et al., 2001). power – partnership, delegated power, and
finally, genuine citizen control.
Applying this analysis within our action
research settings can assist us in challenging
ATTENDING TO ISSUES OF POWER structures designed to give the pretense of
AND BUILDING ON THE STRENGTHS participation to community partners and
OF COMMUNITIES encouraging more authentic forms of
involvement. Arnstein’s ladder is especially
As noted throughout this chapter, power useful in examining the ethical challenges
plays a critical role in framing the ways in involved in doing research in settings of
which the basic principles of respect for highly unequal power, such as Chataway’s
persons, beneficience, and justice are under- (2001) project in the Kahnewake Mohawk
stood and put into practice. Yet, too often the community in Canada or Campbell’s (2003)
role of power is overlooked in contexts of description of an HIV/AIDS prevention pro-
action research and our broader professional ject in South Africa in which multiple stake-
practice. One strategy for developing a holder groups with very different levels of
greater awareness of the dynamics of these power and privilege were brought together to
relationships is to conduct analyses of the address the issue using an action research
power relationships within our research set- model. In both instances these white, non-
tings. Beginning at the level of the individual native researchers found themselves working
researcher, we might ask what aspects of per- within communities in which relationships of
sonal identity, experience, and professional power influenced the control of resources
position contribute to greater levels of power and opportunities to take part in discussions
within the system and which undermine this about the research. Applying Arnstein’s lad-
authority. And at the broader, more systemic der in such situations can expose the ways
level, what are the sources of power held by in which power differentials within commu-
specific institutions or stakeholders and how nities often influence who actually partici-
do they influence the action of other participates and controls community-based action
pants and the ways in which the research research projects. For both Chataway and
reflects basic ethical principles? Campbell, these power dynamics influenced
One model I have found especially useful the direction of their action research projects
in enabling research participants to visualize in complex and, according to their own
relationships of power and to better under- accounts, often confusing ways. Honestly
stand the implications of an ethic of respect acknowledging this confusion and the uncer-
for persons is Arnstein’s Ladder of Citizen tainty they faced in trying to respond to these
Participation (1969). Designed as a tool for power differentials between the academic
analyzing power dynamics within systems, researchers and community participants, and
the point of Arnstein’s model is not to sug- among the community participants them-
gest some sort of developmental stage theory selves, offers important insights into key
of power in which groups must move from ethical challenges facing these researchers
lower to higher levels, but rather to expose and gives their accounts of their work a cred-
false promises of participation and encourage ibility and legitimacy that more sanitized
genuine citizen control. The lowest rung on accounts often lack.
Arnstein’s ladder is that of manipulation, and Another approach to shifting our under-
it moves from there to therapy, considered a standing of the role of power within the
second level of non-participation, through lev- action research process and guiding us
els of tokenism including informing, consulta- toward more ethical practice is to apply an
tion, and placation, finally moving to three asset-based analysis to our examination of
208 GROUNDINGS
our research settings. Based on the work of debates (Wakeford, Chapter 22 in this volume),
Kretzmann and McKnight (1997), this action research opens up the possibilities for a
approach focuses on identifying the strengths significant shift in who owns and controls the
of individual participants and groups of knowledge generated through research. At the
stakeholders within an action research pro- same time, the continuing emergence of new
ject, reflecting the basic principles of justice venues for disseminating the results of research
and respect for persons. Again drawing on through the development of new technologies
Campbell’s work as an example, one facet of opens up the possibility for the democratization
her analysis that most impressed me as a of knowledge.
reader was her clear respect for the local Whether through new avenues for knowl-
women who carried out a sex worker peer- edge dissemination, the establishment of
education program described in the volume, community-based review boards, or the
noting that they had ‘succeeded in mobiliz- development of innovative techniques for
ing strong and confident teams of sex worker insuring broad community participation in
peer educators in chaotic and disorganized action research efforts, shifts in power within
community contexts with no pre-existing the research setting away from the oversight
social organization of this nature’ (2003: and control of university-based experts and
101). Without in any way dismissing the eco- paternalistic oversight committees and toward
nomic and social oppression these women ownership by members of communities them-
face or the culpability of the mine owners selves would better reflect the ethical prin-
and governmental officials who profit from ciples of respect for persons, beneficience,
this oppression, Campbell at the same time and justice. This is a critical move if the full
refuses to depict the women themselves as promise of these principles is to be realized
simply ‘victims’ incapable of taking steps to in our practice as action researchers, but at
address the issues facing their community. the same time such redistributions of power
True action research is founded on this belief and control carry unique challenges and gen-
in the capacity of individuals and collectively uine risks if we do not remain vigilant to the
within organizations and communities for ethical implications of our practice. None of
critical reflection and action. this should be viewed as a panacea for the cur-
A final and critical reflection of power rent ethical challenges facing us as action
within action research settings demonstrating researchers nor should the potential for positive
the broader definition of the principle of jus- outcomes blind us to the possibility of dire con-
tice as reflected in greater levels of commu- sequences should our attention to maintaining
nity engagement and control grows out of a the highest possible ethical standards lapse. We
reexamination of the processes of knowledge strive to change the world – there is nothing
generation, dissemination, and ownership more dangerous than that, and we must take
(Greenwood et al., 2006). To date the results responsibility for the possibility of risk inherent
of research have largely served to further the in this commitment to change.
interests of researchers and their institutions,
whether through mechanisms such as tenure
and promotion, the overhead paid by grant- CONCLUSION
ing agencies, or other forms of profit and
prestige. But many action researchers have ‘A respect for people and for the knowledge and
sought out innovative ways of making the experience they bring to the research process, a
results of their efforts both more accessible belief in the ability of democratic processes to
and more useful to their community partners. achieve positive social change, and a commit-
Whether this is through the development of ment to action, these are the basic values which
materials useful in community development underlie our common practice as action
campaigns (Tandon et al., 2001) or strategies researchers’ (Brydon-Miller et al., 2003: 15).
for engaging citizens in active public policy Living up to these values is the ethical
challenge that must shape our action as scholars Brydon-Miller, M. (2004) ‘The terrifying truth: inter-
and change agents not only within the confines rogating systems of power and privilege and choos-
of our own research settings but beyond, ing to act’, in M. Brydon-Miller, P. Maguire and
extending across the academic institutions and A. McIntyre (eds), Traveling Companions: Feminism,
organizations within which we work, into the Teaching, and Action Research. Westport, CT:
Praeger. pp. 3–19.
broader contexts of our communities, to the
Brydon-Miller, M. and Greenwood, D. (2006) ‘A re-
issues facing us all on a global scale. Using examination of the relationship between action
the tools of action research, our common goal is research and human subjects review processes’,
to find ways to insure that the key ethical prin- Action Research, 4 (1): 117–28.
ciples of respect for persons, beneficence, and Brydon-Miller, M., Greenwood, D. and Eikeland, O. (eds)
justice, as embodied in the shared values of (2006) Ethics and Action Research [Special issue].
action research – participation in democratic Action Research, 4 (1).
processes, the improvement of human life, and Brydon-Miller, M., Greenwood, D. and Maguire, P.
engagement in morally committed action – (2003) ‘Why action research?’, Action Research,
remain at the core of our practice. 1 (1): 9–28.
Campbell, C. (2003) Letting Them Die: Why HIV/AIDS
Prevention Programs Fail. Bloomington, IN: Indiana
University Press.
NOTES Chandler, D. and Torbert, B. (2003) ‘Transforming
inquiry and action: interweaving flavors of action
1 I would like to thank Davydd Greenwood, Bjorn research’, Action Research, 1 (2): 133–52.
Gustavsen, Patricia Maguire, Peter Reason, and Chataway, C.J. (2001) ‘Negotiating the observer-
Bronwyn Williams for their thoughtful review and observed relationship: Participatory action research’,
helpful suggestions on earlier drafts of this
in D. Tolman and M. Brydon-Miller (eds), From
manuscript.
2 Patricia Maguire and I used this phrase as the
Subjects to Subjectivities: a Handbook of Interpretive
title to a conference presentation and I think it cap- and Participatory Methods. New York: New York
tures my own hopes for the future of AR. University Press. pp. 239–55.
3 For a summary of recent research of attitudes Delbecq, A.L., VandeVen, A.H. and Gustafson, D.H.
toward medical research and factors influencing the (1975) Group Techniques for Program Planners.
willingness and ability of minorities to participate in Glenview, IL: Scott Foresman & Co.
health related research see the report from the Department of Health, Education, and Welfare (2000)
National Institutes of Health published in the online ‘Belmont Report: ethical principles and guidelines for
journal PloS Medicine (6 December 2005) in which the protection of human subjects of research’, in
researchers discuss the barriers to participation and
B.D. Sales and S. Folkman (eds), Ethics in Research
the multiple factors preventing such participation.
4 My dear friend and self-declared cynic, Davydd
with Human Participants. Washington, DC: American
Greenwood, suggests that my analysis here over- Psychological Association. pp. 195–205.
looks the extent to which the increasing economic Greenwood, D.J. and Levin, M. (1998) Introduction to
stakes of research for universities and the potential Action Research: Social Research for Social Change.
threat of litigation have driven the development of Thousand Oaks, CA: Sage.
such review processes (personal communication). I Greenwood, D., Brydon-Miller, M. and Shafer, C. (2006)
think there is great merit in this observation but focus ‘Intellectual property and action research’, Action
here on our own contributions to the problem. It’s Research, 4 (1): 81–95.
just too easy to always blame the lawyers. Haney, C. and Zimbardo, P. (1998) ‘The past and future
of U.S. prison policy: twenty-five years after the
Stanford Prison Experiment’, American Psychologist,
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14
The Future of Universities: Action
Research and the Transformation
of Higher Education
Morten Levin and Davydd J.Greenwood
Higher education institutions worldwide are in the midst of a profound transition in which they
are losing public credibility and support and are becoming increasingly subject to corporate forms
of accountability and quality assurance. Though we support institutional accountability, we
believe that this way of approaching the disconnection between higher education and the ‘public
good’ is wrongheaded and ultimately destructive of the very idea of the university. Action research
provides a way to promote knowledge generation that is intrinsically capable of producing public
goods through concrete and practical problem-solving and of shaping deeper reflection processes
through broad disciplinary and stakeholder participation in research-based discourses. We believe
that universities should be reorganized to meet the challenges of redeveloping public support by
structuring teaching and research through action research strategies. This means problem selec-
tion, analysis, action design, implementation, and evaluation by collaborative multi-disciplinary
teams of academics and non-university stakeholders. It also means treating much teaching as
apprenticeship to problem-oriented AR teams. Unless AR is used to break the Tayloristic and
autopoetic structure of existing universities, the decline of public confidence and public support
for higher education will continue.
INTRODUCTION: UNIVERSITIES and research inseparably, the rise of the great

IN TRANSITION public universities, and the creation of the land-
grant universities in the United States.1 After
Higher education is in the midst of a great his- each of these transitions, university life was
torical transition, parallel in scope to the cre- fundamentally altered in ways that lasted for
ation of the medieval universities, the generations.
Neumanian English and American reforms in In Europe, the United States, Canada, and
teaching and learning, the creation of the Australia, universities are no longer thought
Humboldtian university that linked teaching of unproblematically as ‘public goods’ and as
212 GROUNDINGS
unquestioned sources of value worthy of ideologies; they could be a launching ground

public support. After the long dominance of for an effort to recreate a civil society that sur-
the Humboldtian and land grant legacies, vives beyond the market’s demands.
teaching and research are being driven apart. Many AR practitioners have shunned
Though the idea that university research is a university life, viewing these institutions as
some kind of ‘public good’ remains, entre- bulwarks of the unfair political economy that
preneurial models of research generation, they are attempting to overturn. Others have
intellectual property control, and academic practiced AR on the margins of the university –
institutional management are being imposed in extension, outreach, and service learning
throughout higher education systems. settings – meeting important needs but readily
Governments and other regulatory bodies are accepting their marginality to the core
imposing accountability regimes on all forms of university life. Only rarely has AR become
of higher education, converting the govern- part of everyday university life. AR’s democra-
ment into the regulators of higher education, tizing agendas and necessary transdisicplinarity
the public into the customers of the univer- run right into the brick walls of academic pro-
sity, and the faculty into service providers. fessional silos and disciplinary control struc-
We believe AR can and should step forward tures whose stated purpose is quality control
to play a role in this transition for a number of but whose actual effect is to preserve profes-
reasons – some moral, some practical, and sional disciplinary power and monopolies over
some professional. The moral and practical rea- positions and terms of employment and promo-
sons are significant. AR’s tenuous relationship tion in their disciplines (Silva and Slaughter,
to higher education is noticeable throughout 1984; Slaughter and Leslie, 1997).
this Handbook. Thus, it might seem that action The professional reasons for AR’s engage-
researchers could afford to act as bystanders ment in university reform center on skills
and let the managers and regulators commer- action researchers could bring to the task.
cialize and regulate universities, ‘occasional- The current crisis in universities raises issues
ize’ staffs, convert students and the private and of organization and method that we believe
public sector into ‘customers’, and be none the AR is particularly capable of confronting
worse for it. We don’t believe that standing on effectively (see also Chapters 5, 9, 17, 24, 28,
the sidelines and watching this spectacle is an 45 and 47 in this Handbook).
option for action researchers because the neo- For example, it is now a commonplace
liberal transformation of higher education is that universities are more firmly and tightly
part of the commoditization and monopoliza- contextualized within local, regional,
tion of knowledge and the imposition of ever national, and global political economies than
greater inequality on communities, regions, and ever before. While this contextualization is
nation-states throughout the global system. not new, we now witness much more active
Also, it is obvious that future action researchers interplay between universities and their con-
are being trained at universities and so the kind texts. In these emerging environments, uni-
of training they get partly determines the future versities that used to define themselves as
of action research. If action researchers are to superior to all outside of themselves no
live up to our stated commitments to democra- longer have the upper hand. Universities are
tization, fairness, and respect for the diversity required to justify themselves, to make visi-
of knowledge systems, we must confront these ble, measurable contributions both to the
forces everywhere, including in academic welfare of the society generally and to eco-
workplaces (see also this Handbook, Chapters nomic development efforts in the areas sur-
28, 46, and 47). Universities are important loca- rounding them, and to do so visibly as a
tions for this confrontation because they are condition for their continued subsidization
one of the few remaining societal venues by the taxpayers and private sector organiza-
not already fully domesticated by market tions existence.
THE FUTURE OF UNIVERSITIES 213
We believe the current transition in higher in-house activity of central agencies and orga-
education creates a window of opportunity nizations with the corresponding hierarchiza-
for AR. The outcome of the transition is not tion of the political and economic systems. The
given a priori but will be the result of the remnants of the ‘public’ character of university
involved stakeholders’ capacities, interests, knowledge systems and practices and the
and actions. If AR is, to paraphrase Chris remaining social and economic support for the
Argyris (et al., 1985), in the business of special status of higher education institutions
bringing about unlikely but liberating out- would then erode farther. If we were to deploy
comes, then this is precisely the role that AR AR approaches to restructure university rela-
needs to play now with universities. tionships, both within and in relationship to the
Unlimited and unconditional support for aca- surrounding context, some of the key positive
demic knowledge generation in its conven- elements of universities might be retained,
tional forms is gone and external oversight some of their worst features might be moder-
and quality control is here to stay, despite ated, and the public interest could be served
many professors’ fantasies about an eventual more effectively than it currently is.
return to the good old days. For universities One could argue that the end of universi-
to survive as more than either mass teaching ties as we know them would be a good thing
institutions or as contract research shops for and we personally have had enough disap-
governments and the private sector, we must pointing experiences in higher education to
restructure the linkages between the way feel some sympathy for such a position.
work is done within the university and the However, we believe that the rapid destruc-
extra-university contexts of power, problem tion of civil society and the privatization and
generation, and application (Greenwood and marketization of practically everything under
Levin, 2000). In other words, we must ‘re- the sway of neo-liberal, globalizing ideolo-
contextualize’ universities in concert with gies exceeds even the ominous nightmares of
significant non-academic stakeholders, a Karl Polanyi in The Great Transformation
kind of process that AR regularly engages in. (1944). We also believe the consequences are
If we do not act, teaching and research will likely to be those that Polanyi predicted: the
continue to separate; most of the academic social impossibility of pure free market cap-
workforce will end up on short-term, unpro- italism with its bloated ‘haves’ and miserable
tected contracts; many faculty will have to raise ‘have-nots’ will lead us back to profound
their own salaries through grants and research social upheavals. Tensions do create win-
revenues; students mainly will be taught by dows of opportunities that, if intelligently
non-professorial staff; and rewards and handled by action researchers, might pave
research monies will be handed out according the way to significant improvements in both
to scores on national and international account- universities and the degree to which they
ability schemes and prestige rankings. support AR as an approach.
Without fundamental reforms dealing effec- To make our views more concrete, we spec-
tively with the interests of all the relevant ify some of the major challenges universities
internal university and extra-university stake- face in the 21st century and show how these
holders, public and private sector support for changes will impact both the general future of
university research and teaching functions universities and the particular future of AR.
continue to diminish and the much more pow-
erful external environment will impose itself
willy-nilly on universities. If or when this hap- THE NEW ‘PUBLIC MANAGEMENT’
pens, many of the research functions of uni- OF HIGHER EDUCATION
versities will be taken over by non-university
organizations. Even the training of elites, long Though our portrait of the situation in con-
a university monopoly, can easily become an temporary universities can be understood as
214 GROUNDINGS
a ‘gloom and doom’ scenario, we think it is the RAE was launched to assure that, with all
necessary to provide an empirical basis for these changes, the government was getting a
our sense of urgency. The current situation in proper return on its investment in research
the British university system and the general universities.
direction of the ‘Bologna Process’ will serve The RAE involves an evaluation of the
as examples of the current crisis in higher supposed scientific merits of departments
education. and institutions in which each academic
Only the most inattentive academics can department is graded on a quantitative scale
ignore the rapid decline in public support for derived from the aggregated scores of the
higher education. There are few exceptions individual faculty members. The RAE is the
to this trend. In many countries, this decline neo-liberal public manager’s dream because
is already clear in the decreased national and it converts research efforts into numbers
state funding. It is also apparent in the using publications and overall research
increasing application of rhetorics and rules productivity of each individual professor as
of neo-liberal public management and the base. This is aggregated into scores for
accountability that treat universities as insti- the unit to which the researcher belongs.
tutions to be policed on behalf of the public, Depending on these rankings, entire depart-
rather than as the ‘public goods’ and sources ments are closed or given more governmen-
of national ‘value’ they once were. tal research money.
This process is farthest advanced in the It is no surprise that the RAE has completely
United Kingdom and Australia, visible unsettled British higher education with some
across most of Europe, and now advancing famous departments (e.g. Cultural Studies at
quickly in the United States. Even in wealthy Birmingham) being summarily shut down. To
social democracies like Norway, where there survive in this environment, university faculty
is still reasonable public financial support for and administrators are forced to devote a great
higher education and other major public deal of effort to scoring highly on the RAE.
sector institutions, there are strong demands Academic activity that is not measurable is
for change that involve increased regulation irrelevant and is not privileged.
and increased efficiency of universities. As this process was being repeated, it
These processes are flying under the flags of became clear that the RAE reinforces the
quality assurance and efficiency improve- hegemony of the prestigious older universi-
ment programs. Thus ideological changes, ties. It also further separates the disciplines
governmental policy directions, and new fis- and drives research and teaching apart, ini-
cal management instruments have funda- tially treating them as separate for evalua-
mentally altered the educational and research tion, and then later as separable university
context at universities. functions. The Humboldt model of the com-
England led the way in enacting these bined teaching/research faculty thus is dead.
changes. The first Research Assessment The apparent move toward inclusiveness and
Exercise in the UK took place in 1986 (there fair competition that supposedly underlay the
have been five RAE’s so far) and, through UK system has, by neo-liberal sleight-of-
them, UK policymakers reformed the higher hand, reconsolidated elite power in higher
education system from top to bottom, or so it education in the UK, occasionalized a large
appeared. In the 1980s, England had 38 uni- segment of the academic workforce, and
versities and one in seven citizens got a uni- generally diminished the quality of UK
versity education. The Thatcher government higher education for all but the elites. While
decided to increase and broaden access to the long-term effects of these changes on
higher education and permitted the polytech- academic activities are hard to measure, the
nics that wanted to become universities to analyses conducted by David Rhind, Vice
apply for university status. Simultaneously Chancellor of the City University of London
and a close collaborator of the architects of emphasis everywhere is on metrics, quality

the overall English policies found that the assurance, homogenization (not harmoniza-
impact of this system on the social sciences tion) of systems, and responsiveness.
has been devastating (Rhind, 2003). Whatever the question is, homogenization of
Not surprisingly given the agenda, similar the institutions of higher education through-
kinds of public management methods were out Europe is the answer.
applied to teaching through the creation of a One immediate consequence has been a
unit of the Higher Education Funding Council reduction in the diversity of educational pro-
for England (HEFCE) called the Quality grams and designs in exchange for a uniform
Assurance Agency that has used similar structure that makes mobility easy and cre-
schemes and metrics to score units on the qual- ates ample opportunities for academic man-
ity of their teaching and learning systems. agement ‘by the numbers’. The creative,
From this beginning, this kind of academic critical, constructive and contextualized
management technology evolved into the strengths of the diverse institutions in the
Bologna Process and so the RAE story is not current multi-faceted system are being cast
an isolated one. One might optimistically aside or even treated as obstacles to the
expect that the rest of Europe and the USA utopian free academic market forces that
would view the RAE as a mistake to be Karl Polanyi portrayed so eloquently over 60
avoided but, instead, most higher education years ago.
systems are rushing headlong in this direc- One need not be an action researcher to
tion. The Bologna Process, begun in 1999 as find it hard to believe that a large-scale, uni-
a meeting of ministers of higher education form and mono-dimensional system will
from 29 countries who wanted to create a serve the future of Europe best, even if it
‘European area of higher education’, is a suits policymakers and authoritarian acade-
broader application of these British strategies mic managers perfectly. It should also be
to most national systems. It now includes the clear that the diversity and uniqueness of
educational systems of 40 European coun- many of the European national higher educa-
tries (and thus extends well beyond the tion systems that once created public goods
European Union). of value, strengths, and possibilities for
The apparently reasonable motive for this thinking ‘outside of the box’ are being
process was the need to enhance student and destroyed. Now the move is to put all of
faculty mobility among European university higher education inside of one ‘box’.
systems by harmonizing degree and adminis- If, as often is claimed, the goal of the
trative structures. The ideal is that any stu- Bologna Process is to create a higher educa-
dent can take courses anywhere in Europe, tion system able to compete with the US
have them fit their degree program, have system, then it is based on a radical misun-
them delivered by predictable means, and derstanding of the US. The US ‘system’ con-
have the resulting degree understood and tains community colleges, liberal arts
similarly valued in all countries. Any faculty colleges, denominational colleges, public
member should have qualifications that can state universities and colleges, private uni-
be understood in all European countries and versities, land-grant universities, and a host
should be able to move smoothly across the of for-profit colleges and universities.
system, based solely on their competence. Whatever the US system is, it is not homo-
There can hardly be a more transparent geneous nor is it centrally managed.
rendering of the neo-liberal ‘free market’ What we really are seeing in the Bologna
model than this. A look at any part of the Process is an all out attempt to narrow the
Bologna Process websites will demonstrate articulation between universities and their
the neo-liberal parentage of the approach surrounding societies to a particular form of
(http://www.bologna-bergen2005.no/). The coercive accountability. This is a radical
216 GROUNDINGS
recontextualization of universities and higher isolated disciplinary silos and use of autopo-
education that is being transformed from a etic academic self-judgments, the very causes
‘public good’ into being ‘managed’ for a of university ineffectiveness to begin with.
‘public’ that has been politically reconsti- ‘RAE world’ clearly is not a scene in which
tuted not as ‘citizens’ but as ‘customers’ AR can survive and prosper, not within higher
(including governments, the private sector, education and nor within society in general. If
and student ‘clients’) whose demands are to AR stands for the value of the knowledge of
be satisfied and who must pay for what they all, for social processes that are collaborative
learn. Education is increasingly treated as a and solidary, for mutual respect and duty
means to enhance local, regional, national, rather than individual rights and exploitation,
and international economic performance, and for respecting the multi-disciplinary com-
as providing needed support for solving plexity of real world problems, then action
problems that lie at the center of economic researchers cannot stand by idly as these
competitiveness, and as vocational training changes take place. But much more than the
for roles in the global economy. fate of AR is at stake as these processes chal-
lenge the essence of democracy.
Action researchers, in our view, have par-
KNOWLEDGE GENERATION IN ticular responsibilities in this scene because
UNIVERSITIES few other kinds of academics have the orga-
nizational process management skills and
The broader functions of universities as sites experiences of democratic knowledge devel-
for creative knowledge generation, for learning opment/practice needed to confront the neo-
and critique, for the contrast and dispute of liberal challenges. But using AR to address
ideas and divergent interpretations, and engag- these challenges in higher education is not
ing in constructive social redesign are now sup- about saving universities as they are. There
pressed. Work that engages the non-university are far too many problematic features of uni-
world now is mainly reduced to publicly- versity life as it currently exists to make any
subsidized consulting (through tax exemptions, argument for preserving the past attractive.2
no overheads or direct grants). It is neither It is about transforming universities into
aimed at knowledge generation and sharing nor what they should be if they were to live up to
at improving society along dimensions other their promise to be truly ‘public goods’.
than competitiveness in profit taking for both
the ‘clients’ and the university employees. This
approach turns universities into industrial THE TRANSFORMATIONAL
parks, venues for the development of the PROCESSES AND THE ROLE OF AR
‘creative economy’, and momentary stop-over
locations for jet-setting academic entrepreneurs We only describe this dire scene because we
and highly paid academic ‘managers’. believe that better solutions are possible. Just
Whatever else this resolutely Tayloristic as action researchers working in highly
model of management does, it drives the dis- unjust and unhappy situations in communi-
ciplines ever farther apart by coercive review ties and non-academic organizations are sus-
of the performance of the faculty in their dis- tained by the knowledge and hope that
ciplinary departments on a quantitative scale. significant positive transformations are pos-
Cooperation among disciplines and collabora- sible, we know and believe that universities
tion with non-university stakeholders (other can be transformed into something better
than the private sector) is discouraged and (see also Chapters 1, 13 and 47 in this
quantitatively penalized. The utopian claim Handbook). Rather than passively adjusting
that this management technology will create a to the trends we have laid out, we think
more accountable and useful university is action researchers can use AR to improve the
false. These approaches rest firmly on the conditions and to help bring about a new and
better era in higher education. This is obvi- • Changes in the expectations held for the profes-
ously an enormous topic and we can only soriate (from life in a tenured safe haven to
hope to outline an AR program of change in entrepreneurial agility)
• Changes in perception of what counts as knowl-
broad terms. To do this credibly, we will take
edge (from strong disciplinarity to contextualized
up a few of the principal challenges that must transdisciplinarity)
be addressed to affect the transitions in con- • Challenges to the integrity of knowledge genera-
temporary higher education. tion in universities (from individual academic free-
To imagine AR interventions, it is neces- dom to academic freedom as a shared process)
sary to create a picture of the way the large-
scale changes we have described affect
Before proceeding, we should be precise
everyday work in universities. It is at the
about what we see as the core traits of AR.
level of organizational processes and behav-
Building on Greenwood and Levin (1998,
ior that AR can make the most significant
2006), we frame AR as a comprehensive strat-
difference because of AR’s ability to promote
egy for research that is context bound (highly
alternative organizational processes and
contextualized), as a process in which the users
strategies based directly on the relevant
of the knowledge and the researchers partici-
stakeholders’ experiences and hopes.
pate together in the same knowledge genera-
Many of the central knowledge production
tion process, as a process in which knowledge
processes at universities are under scrutiny
is built on the diversity of experiences of the
because the historically-created discipline-
involved actors, as a process where the
based knowledge systems of the Humboldtian
research focus is on societal questions perti-
and land grant systems are being challenged by
nent to the collaborators, and as a process in
intense societal demands for contextualized and
which the research creates actionable knowl-
transdisciplinary knowledge. This is, in some
edge as an integrated part of the research
ways, precisely the demand that AR makes of
process itself. The goal of AR is to bring about
universities.
more liberated, solidary, healthful, fair, and
But more is at stake. Also at risk are the
sustainable social situations.
concepts and practices of academic freedom
AR cannot and should not try to bring the
and university autonomy. In confronting these
dying models of the Humboldtian or land
neo-liberal pressures, it is vital to move from
grant university back to life. The transitions
a radical individualist, free speech under-
that have taken place are not reversible and
standing of the concepts of academic freedom
the old modes of operation are no longer
and institutional autonomy to understanding
adaptive. AR would support a way forward
academic freedom and institutional autonomy
toward a new situation, toward a new univer-
as shared obligations to maintain open and
sity, one based on the democratic and sol-
democratic debates within the academic com-
idary values of AR. The challenge for action
munity and beyond. Such freedom and auton-
researchers is to learn how the current transi-
omy are also the basis of AR.
tions can be guided in these more desirable,
Thus, we believe that the conditions under
more liberating directions and how we can
which AR can prosper in universities are pre-
learn to participate actively in the change
cisely those conditions necessary for the survival
process.
of universities as free spaces for teaching and
learning, for knowledge development and cri-
tique. In what follows, we will take up a few of From professionals to experts
the most specific challenges to universities that
we see and show how AR can address them: One key transformation, linked closely to the
neo-liberalization of higher education, is the
• Societal changes in perception of the role of conversion of professionals into experts. This
persons with a university degree (from profes- distinction is central to a major work by the
sionals to experts) sociologist Steven Brint (1994). Brint’s work
218 GROUNDINGS
historically contextualizes current develop- problem identification and knowledge gener-

ments in the USA to show that there has been ation processes. By so doing, action
an overall change in the concept of the profes- researchers necessarily demonstrate, enact,
sions, a change that has radically affected and justify their values and professional
higher education. He argues that the notion of skills in front of a collaborating group that
professionals as a special group of educated includes a ‘public’ that is capable of judging
persons whose combined knowledge and them. One obvious outcome is that local par-
activity exerts a meaningful moral impact on ticipants learn in depth what kind of profes-
society is evaporating. Rather, professionals sional skills and standards an action
now are splintered in many ways into different researcher has and learn that such people are
and much more instrumental, narrowly also flesh and blood human beings with their
contextualized groups and functions. This own strengths and weaknesses, skills and
change is accompanied by an increasing social foibles. The public also learns that action
conservatism and individualism among pro- researchers have substantive skills, the utility
fessionals. He sums up his argument by stat- of which is not merely claimed but demon-
ing that professionals are being converted strated in practice. They see that action
from ‘social trustees’ whose judgments were researchers not only advocate values and
not only well informed but took into account strong standards of professional ethics but
the broader interests of society into ‘experts’ act them out in the context of the collabora-
whose individual knowledge is easily mar- tive work and are willing to be judged by
keted and valued in terms of the metrics of their collaborators. In short, the action
accountability and whose broader social con- researcher professional is fully present in the
cerns are reduced. field situation, not hiding behind a purposely
The contemporary professional, understood distanced ‘expert’ role.
as someone with at least a master’s degree Action researchers are, thus, engaged
from an institution of higher education, is now experts, striving to join with others in con-
trained in so many different kinds of higher crete problem-solving, and also are trained
education institutions that she/he lacks shared professionals whose training helps them set
educational experiences and a shared sense of standards for the integrity of the collabora-
social location and responsibility with many tive research processes and for the examina-
other academically-trained people. The ethical tion of the quality and validity of the
grounding of professional practice has been outcomes of these mutual learning processes.
weakened by this de-socialization process. This is, it seems to us, very much the kind of
Consequently, there is no longer a unified professional ‘expert’ that the public can and
public conceptualization of professionals and should work with in a relationship built on
their social responsibilities. trust. Action researchers work in the crossfire
These professional experts for hire can be between different stakeholder groups and can
found everywhere, marketing their services, only survive in this position though an
all proclaiming to ground their practices in engagement that is founded on personal
professional knowledge and practice. Facing integrity. But by playing this kind of role,
these competing claims for their attention, the action researchers regularly have the experi-
public has become both confused and quite ence of gaining considerable respect from the
suspicious of professionals because the public stakeholders and renewing their enthusiasm
has no basis for making reasoned choices for certain kinds of professional knowledge.
among the clamoring expert consultants Action researchers, like everyone else,
(Berger and Luckmann, 1971; Heron, 1996). certainly are not neutral. We are committed
The AR professional plays a very different to and advocate particular value positions
role. The action researcher works directly based on our best judgment about rightness
with problem owners in collaborative and fairness. However, these AR value
positions are public because we practice arrangements with hermetic compartments

collaboratively with the stakeholders in (Greenwood and Levin, 2000).
public and we neither can nor seek to hide Newfield argues that the liberal individu-
their values, strengths, weaknesses, and alism that characterized the faculty’s self-
uncertainties from the rest of the participants. image was built on a clear ‘deal’ made
In this regard, the AR professional is a model between the faculty and administrators that
of the kind of ‘transparent’ professional that put governance in the hands of administra-
we think can both rebuild and deserve the tors and academic pursuits in the hands of the
public’s confidence. Such professionals can professors. This division of labor is the same
do much to create faith in universities; as that between bosses and workers in the
indeed, this is the only path we can see for Tayloristic factory system. According to
regaining public support for university-based Newfield, what has changed in recent years
knowledge generation. is not the invasion of the university by capi-
talism but shifts in the capitalist system to a
global economy based on less hierarchical
and bureaucratic business structures and on
FROM LIFE IN A TENURED SAFE more agile and impermanent relationships.
HAVEN TO ENTREPRENEURIAL In the academy, one sign of the arrival of
AGILITY this model is the emergence of the faculty
member as national and international entre-
University professors in the United States preneur; another is alliances between faculty
seem remarkably unaware of the transitions members and administrators to capture gov-
we are discussing and the larger impacts ernmental and private sector resources
these will have on their academic lives. The through patentable research and research in
Europeans and Australians are much more which all parties have a shared financial
alert to what is happening. Even though the interest. This process has drastically altered
rapid entrepreneuralization and individual- the US research universities in ways that, as
ization of academic professionals is obvious yet, are barely visible in the state university
to many observers (e.g. Jennifer Washburn, systems of Europe. In the US research uni-
2005; David Kirp, 2003), many of our col- versities, the liberal individualist faculty
leagues are proceeding with their lives as if member now either is an entrepreneur or is
business as usual were possible and as if the relegated to a secondary status and given lots
presence of management talk and corporate of ‘service’ work to do (service now includes
models at universities are just a temporary teaching, as if full-time research were the
glitch that will correct itself. We, of course, norm for university professors). In most
believe this is quite wrong. institutions, those faculty members and units
In Ivy and Industry: Business and the that do not contribute to the bottom line are
Making of the American University, 1880– made to understand their second-class status,
1980, Christopher Newfield (2004) makes the and the internal university economy becomes
case that the relationship between industry much more like the ‘winner-take-all’ system
and higher education has always been an inti- that applies globally.
mate one ever since the founding of US higher There are even starker examples of this
education institutions. He criticizes the mis- entrepreneurialism in those cases where
taken notion that only now has the world of employees in higher education now only
commerce influenced universities. The have a job as long as they bring in enough
Tayloristic factory system that characterized public and private sector research money to
industrial capitalism was mirrored remarkably cover their own expenses. Another conse-
well in the administrative structures of higher quence of the move to entrepreneurialism is
education with their intensely hierarchical dismantling the academic tenure system and
220 GROUNDINGS
its substitution with a system of short-term faculty members have to be creative and
employment contracts that allow universities innovative in obtaining funds for specific
to retool as the economic targets of opportu- activities.
nity shift. The tenured safe haven is already a However, unlike conventional individualis-
relic of the past in many institutions and is on tic entrepreneurial researchers in universities,
the way out at many more. AR professionals do not limit themselves to
In Europe, this transition involves even seeking typical sources of funding. We are
more radical changes. Most US research uni- equally interested in seeking funding that can
versities, state or private, have budgets com- support research on pertinent problems for
posed of tuition and fees, research grants and underprivileged groups. Public programs in
overheads, the income on alumni monetary Europe sometimes can be used to fund AR but
and other gifts, and patent income. Emphasizing gaining access to these monies demands
the entrepreneurial elements is a matter of entrepreneurial skills. But this type of entre-
focus in such systems, a way of enhancing preneurial activity is quite different from that
some of the revenue streams that make up the seen in the existing close relationships
budgets. However, in European state sys- between industry and universities in which
tems, based for generations on national fund- patents, intellectual property rights, and royal-
ing allocations for teaching, the introduction ties are the currency of choice, the sort of
of tuition, entrepreneurial research efforts, entrepreneurial activity that the RAE and sim-
and capital campaigns to get funds from ilar management models encourage.
wealthy graduates are new, controversial,
and rapidly spreading practices.
Given the above, we are amazed when the
attempts to solve the funding and overcrowd- FROM STRONG DISCIPLINARITY TO
ing problems in European universities are CONTEXTUALIZED
addressed by what some European higher TRANSDISIPLINARITY
education leaders call adoption of the
‘American model’. They appear to mean The above analyses point to shifts in the under-
something like a dynamic, entrepreneurial standing and contextualization of the role of
research university, a partial characteristic of academic professionals in both higher educa-
perhaps 50 US universities that charge high tion and the larger environment. These views
tuition and fees. Actually, rather than the on professionals, however, do not address
‘American model’, what Europeans are either the exact kinds of linkages existing
mainly adopting is a set of neo-liberal poli- between universities and society at large or the
cies that involve lowering public financial kinds of shifts taking place in the organization
contribution to higher education, the de facto and character of knowledge production. This is
privatization of parts of the public system, what two widely discussed works, The New
and the purposeful conversion of many Production of Knowledge: the Dynamics of
universities into second-class teaching Science and Research in Contemporary
institutions.3 Societies (Gibbons et al., 1994) and Re-thinking
AR does not oppose meaningful entrepre- Science: Knowledge and the Public in an Age
neurial behavior. Indeed action researchers of Uncertainty (Nowotny et al., 2001), articu-
often have an entrepreneurial/catalytical ori- lated successfully for European audiences.
entation and ‘color outside the lines’ by seek- These works have given rise to a widely dis-
ing direct engagement with problems in the cussed framework that focuses explicitly on
world outside of university orbits and disci- the organizational structure of the university/
plinary trajectories. Funding for AR projects society linkage.
is rarely available in the current set-up These works have generated a great deal
of university life. To pursue AR interests, of discussion about issues that should be
central to the understanding of the future of using conventional modes of academic peer
higher education. These authors unfortu- review and publication in the standard jour-
nately are unaware of the ample tradition of nals as legitimation. This is the much stud-
systems analysis of organizations and organi- ied, defended and ridiculed set of practices
zational learning (Ackoff, 1999; Argyris and that isolates academic knowledge production
Schön, 1998; March and Simon, 1958) in by discipline and also from public scrutiny.
which the distinction between closed system Under Mode 2 conditions, this kind of
and open system dynamics is central. Still, knowledge is not valued very much. Rather
their core arguments are based on a distinc- what the authors call ‘socially robust knowl-
tion between two modes of knowledge pro- edge’ is emphasized. This is knowledge that
duction: ‘Mode 1’, which is conventional ‘works’ and is accepted as relevant in the
knowledge production in academic settings context of application. That is, it is knowl-
in which knowledge is produced in the con- edge tested in action by actors who are in a
text of narrowly academic professional struc- position where the result of their work will
tures, and ‘Mode 2’, which is knowledge determine if the knowledge is workable. The
produced in the context of application much academics have no monopoly on determin-
of which is external to the university itself. ing if knowledge is socially robust; they must
They believe that knowledge production simply participate in the process as one more
increasingly occurs in the context of applica- stakeholder.
tion and not in the abstracted university envi- This is not to say that Nowotny et al. have
ronment. To respond to this, universities are gotten it all right. Their arguments are
forced to transgress their own internal and extremely abstract. The structure of the
external boundaries in search of research knowledge construction arenas and co-
opportunities in the agora and to garner generative learning processes happening in
financial support. In the process of capturing the context of application is nowhere clari-
the needed resources, they are also captured fied. More troubling, their discussion of
by external forces. socially-robust knowledge is uninformed by
This dynamic creates profound organiza- the extensive pragmatist and neo-pragmatist
tional and intellectual challenges. To transact writings that define and operationalize very
successfully with forces interested in knowl- precisely the ways in which socially-robust
edge in the context of application, academics knowledge is created (see for example
must move their work to the contexts of Diggins, 1994, for an overview). That is,
application. Further, knowledge in context is they are describing an arena in which the AR
very rarely disciplinary knowledge but rather approach to co-generative learning and
knowledge in a multi-disciplinary, multi- knowledge creation is essential. Unfortunately,
causal context. Under these conditions, the they are not aware of generations of AR work
Tayloristic structures of higher education, on such processes.4
rather than serving as a protection for acade- Action researchers have been practicing
mic inquiry, become a hindrance to it and Mode 2 knowledge production since the
must be transgressed by increasingly entre- first AR-based experiments took place in
preneurial faculty and administrators. the 1940s and 1950s. The sociotechnical
Were this not a sufficient challenge, the approach developed by the Tavistock
kind of knowledge that is valued is different. Institute of Human Relations in London
Within the context of Mode 1 knowledge created the first viable transdisciplinary
production, the authors argue that the kind of take on production system arguing for the
knowledge that has long been privileged is close and interconnected relationship
what they call ‘reliable knowledge’. This between technology and social systems.
reliable knowledge is basically that knowl- This framework argued that new solutions
edge deemed good by professional peers to organizational problems could not be
222 GROUNDINGS
achieved unless it was possible to change We believe this view is wrong and anti-
both the technology and work organization. social. It is wrong to understand academic
That required an integrated activity. freedom as an individual possession or right.
No approach to creating Mode 2 situations is Academic freedom is a capacity achieved and
as promising as AR. By contrast, the ‘new guaranteed through daily, collaborative organi-
public management’ in higher education cre- zational activities, through the production of
ates just the opposite dynamic – splitting teach- good, inclusive, and fair social processes of the
ing from research, reifying disciplinary sort AR seeks. Freedom is created through the
structures, supporting only research that seems social esteem that is gained from making con-
‘profitable’, and destroying the ‘public goods’ structive contributions to the resolution of
in higher education. This is not Mode 2 knowl- important societal problems. Thus, academic
edge production; it is having consultants for freedom and institutional autonomy are the
hire with offices on university campuses. On collaborative products of institutions commit-
this basis, we affirm that, to the extent that the ted to the constructive critique, thinking ‘out-
fate of higher education depends on operating side the box’, and the consolidation and
successfully in a Mode 2 world, then it turns on transmission of all kinds of knowledge.
some version of pragmatic AR as its principal The original formulation of concepts related
organizational mechanism for orchestrating to academic freedom is found in the Humboldt
those research processes. model. It was not then called academic free-
dom but it did center on the right of professors
to teach what they considered important and
the right of students to participate in only those
FROM INDIVIDUAL ACADEMIC classes they found valuable and interesting.
FREEDOM TO ACADEMIC FREEDOM Freedom of speech was part of this environ-
AS A SHARED PROCESS ment but the more important dimension was
the collective, organizational environment that
The depth and breadth of the challenge that permitted voluntary encounters between the
Mode 2 knowledge production represents for freedom to offer topics and the freedom to
academic business as usual is clear. While we choose among them. Humboldtian academic
welcome it as an opportunity to transform freedom was constructed within the relation-
higher education, we are aware that many of ship between professors and students and
our academic colleagues view the kinds of involved mutual responsibility grounded in
changes that Mode 2 knowledge production group life on campus.
requires as infringements on their ‘academic The Humboldtian view shows that acade-
freedom’. The concept of academic freedom, mic freedom was not some kind of special
despite the tendency of academics to use it at right given to the professoriate at institutions
the drop of a hat, is actually poorly under- called universities but a constitutive prin-
stood and little studied. ciple of universities themselves. Menand
Conventional understandings of academic (1996: 4) argues: ‘Academic freedom is not
freedom make it synonymous with individ- simply a kind of bonus enjoyed by workers
ual freedom of speech and action. This is within the system. … It is the key legitimat-
especially the case in the USA. Two recently ing concept of the [academic] enterprise.’
published books by Hollingsworth (2000) More than a few academics think that acad-
and Downs (2005) are typical in understand- emic freedom has mainly been sustained,
ing academic freedom only as the freedom to fought for and legitimated by academic profes-
express whatever the professors find it urgent sional associations (Haskell, 1996). They
to say. Academic freedom is understood as argue that the professional associations, in
an individual right mainly exercised on overseeing the quality and standards of prac-
university campuses. tice of their practitioners, are best situated to
determine what kinds of knowledge are They are institutions that engage in under-
professionally rigorous and to defend the standing the conditions necessary for the
rights of the members of the professions. We, successful creation of new ideas and new and
of course, know the guardianship of profes- better designs for living. As such, university
sional associations of the academic freedom of inquiry, unlike proprietary research and
the professions is a self-promotional idealiza- vocational education, must be based on criti-
tion, a set of practices belied by known cases cal attitudes, multi-disciplinary coordination,
of political coercion, abuses, and blacklisting and the collective academic freedom to think
and the failure of professional associations to broadly and unconventionally that makes
protect most of their members. such inquiry possible.
Yet, for a brief period what was said to be Such a conception of academic freedom
relevant and rigorous professional knowl- directly challenges the trend toward university
edge and standards of practice by the acade- attempts to protect and profit from intellectual
mic professions had ethical and even legal property rights. A critical and constructive dis-
status in the public sphere. This status arose course on universities cannot take place if the
from the autonomous self-regulation of the knowledge generation processes are not freely
professions that made them appear to be accessible, open to critical inquiry, and con-
independent of particular political and eco- trolled by the market rather than the results of
nomic considerations. Even though we do democratic dialogue.
not see much evidence of the robust protec- To summarize, academic freedom is not an
tion of academic freedom by these associa- individual right but a kind of freedom and
tions, it is worth noting that even this openness of inquiry processes that is created
meaning of academic freedom implies that it in cogenerative, democratically-organized
is an organizational and collective product, learning organizations and arenas. This kind
rather than an individual right. of academic freedom is just as relevant to the
These very different examples show that context of application as it to a university
academic freedom is fundamentally rela- campus because the freedom to think ‘out-
tional, that it is constructed and reconstructed side the box’, to brainstorm without fear, and
in everyday relationships where authenticity to subject one’s own processes to reflective
in expression and effective and fair behavior scrutiny is key to innovation and change in
is a central feature. Unless the prerogative of democratic societies. It is also the freedom to
all parties to express authentic and un- propose ideas and critiques of popular ideas
coerced views is respected, there is no acad- and existing social and political arrange-
emic freedom. ments without the immediate fear of punish-
For there to be academic freedom, univer- ment or dismissal.
sities must be organized in such a way that These issues are vitally important to most
heterogeneity is encouraged and can prosper. university researchers and certainly to action
For knowledge to be generated and used to researchers. After all, a major problem facing
contribute to constructive problem-solving action researchers is the need to preserve per-
with non-university stakeholders on prob- sonal and professional integrity in the face of
lems of importance to society at large, there social pressures. High involvement with
must be authentic communication and uni- external stakeholders is an essential ingredi-
versities must support creativity, critique, ent in AR but maintaining this involvement
and reflection for this kind of communication without becoming the tool of the most pow-
to be possible. erful among the stakeholders is always a
Universities that operate in this way are problem. To confront this, university-based
not just one more kind of business that aims action researchers must have the kind of job
to maximize the production of intellectual security that will support their ability to
property from which income can be derived. retain this integrity, the ability to ‘speak the
224 GROUNDINGS
truth to power’ as Freire put it (1970). eliminated by the change process itself. The
Having a place to withdraw to – a platform professions, academic work, and the practices
on which to stand to resist pressures – is key. associated with academic integrity will take
This is more fundamental in AR than in con- on new forms. Just what form they will take,
ventional social science research because however, is not set a priori. What emerges as
democratic, pro-social values and commit- the future university will depend on who
ments permeate AR’s approach and engages in the current struggle, what inter-
inevitably create tensions when applied in ests they reflect, how they view academic
authoritarian contexts both inside and out- work, and how they use their own power to
side universities. Nevertheless, it is vitally support their interests and those of civil
important for any kind of open, critical, and society. This is why we see AR as one of the
pragmatic inquiry at universities. most promising and viable options engaging
In the case of AR, projects with underpriv- in the reorganization of future academic life.
ileged groups depend on funding from third In this chapter we have argued that a major
parties and this requires an explicit social historical transition is under way toward the
contract about the quid pro quos for the fund- neo-liberalization of higher education. We
ing. But, rather than allowing total control of believe that the current transitions raise
projects by the funders, action researchers issues of organization and method that we
distribute control across the whole stake- believe AR is capable of confronting effec-
holder group, including the funders (founda- tively and that AR has the potential to make
tions, public agencies, or governments). Key significant contributions to orchestrating
in this are the specific terms of the funding positive change processes. We think that the
and agreements on the collaborative evalua- deployment of AR to meet these needs seems
tion of the projects and having a secure plat- a good way to resist the full-scale neo-liber-
form from which to negotiate these alization of our societies because AR
agreements. strengthens remaining pro-social and pro-
Surprisingly, we have learned that many democracy forces within higher education
funders are willing to entertain these kinds of and links these to the wants and needs of a
arrangements because they guarantee the rel- broad social spectrum of non-university
evance, quality, and social value of the work stakeholders.
done, something that conventional academic
expert professionals rarely do. Indeed, the
discredit of the conventional academic pro- NOTES
fessions has actually created opportunities
for action researchers willing to demonstrate 1 Cardinal Newman’s Idea of the university
publicly the value of our work for all partici- focused on universities as centers of training for eth-
pants, including the funders, to see. ical discernment and conduct based on broad edu-
cation (Newman, 1907). The Humboldtian public
university was the first to claim a systematic link
between research and teaching as the basis for both
CONCLUSION scholarship and citizen education. The US land grant
university was founded by the federal government
to give each state in the union a university that
It seems for us obvious that the universities engaged in combined teaching, research, and public
are at a crossroads created by both societal service.
and internal institutional changes. Academics 2 Much of academic life at research universities
who believe they can keep their heads down involves autopoetic processes for the direct benefit of
the researchers, and often for the financial benefit of
and operate as in the past will lose all possi- both the researchers and the university. The focus of a
bility of having an impact on the changes great deal of research is dictated by governmental grant
taking place and may find themselves priorities and private sector funding. It is all too often
the practice of universities to adjust to requirements Freire, P. (1970) The Pedagogy of the Oppressed. New
framed by changing private and public funding, instead York: Herder & Herder.
of developing and proposing viable alternatives based Gibbons, Michael, Limoges, Camille, Nowotny, Helga,
on the ethos of university-based knowledge genera- Schwartzman, Simon, Scott, Peter and Trow, Martin
tion. Of course, the private sector often determines
(1994) The New Production of Knowledge: the
governmental and foundation granting priorities any-
way. This arena is highly competitive and heavily
Dynamics of Science and Research in Contemporary
focused on the interests of the most powerful members Societies. London: Sage.
of society (Kirp, 2003; Washburn, 2005). Greenwood, Davydd and Levin, Morten (1998)
3 This is not the place to develop the argument, Introduction to Action Research: Social Science for
but the notion that current academic management Social Change. Thousand Oaks, CA: Sage.
practices are applications of private sector manage- Greenwood, Davydd and Levin, Morten (2000)
ment to higher education is quite wrong. Current pri- ‘Reconstructing the relationships between university
vate sector management and organizational and society through action research’, in Norman
development focuses on flattening hierarchies, multi- Denzin and Yvonna Lincoln (eds), Handbook of
skilling, team-based production strategies, staying in
Qualitative Research, 2nd edn. Thousand Oaks, CA:
constant touch with the ‘customers’, etc. Current
higher education management is just the opposite.
Sage. pp. 85–105.
Hierarchy and administrative infrastructures are Greenwood, Davydd and Levin, Morten (2006)
being increased, disciplinary boundaries are being Introduction to Action Research: Social Science for
reinforced, and faculty and staff are being managed Social Change, rev. edn. Thousand Oaks, CA: Sage.
in a way that produces competitive individualism. Haskell, Thomas (1996) ‘Justifying the rights of academic
This is the old fashioned Taylorism of the early days freedom in the era of “power/knowledge”’, in
of mass production industrial processes and is the L. Menand (ed.), The Future of Academic Freedom.
approach to management that has broken the backs Chicago: University of Chicago Press. pp. 43–90.
of companies like General Motors, U.S. Steel, etc. So Heron, John (1996) Co-operative Inquiry: Research into
the notion that contemporary management has
the Human Condition. London: Sage.
taken over the university can only be believed by aca-
demics who know nothing about contemporary
Hollingsworth, Peggie J. (2000) Unfettered Expression:
industrial systems. Freedom in American Intellectual Life. Ann Arbor:
4 For a more extended argument, see Levin and University of Michigan Press.
Greenwood (2001a, 2001b). Kirp, David (2003) Shakespeare, Einstein, and the
Bottom Line: the Marketing of Higher Education.
Cambridge, MA: Harvard University Press.
Levin, Morten and Greenwood, Davydd (2001a) ‘Re-
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15
Action Research, Partnerships and
Social Impacts: The Institutional
Collaboration of PRIA and IDR
L . D a v i d B r o w n a n d R a j e s h Ta n d o n
This chapter explores the roles of participatory action research in shaping large-scale processes
of development and social transformation through an institutional collaboration across the
South–North divide. It describes the partnership between PRIA (The Society for Participatory
Research in Asia) and IDR (The Institute for Development Research) in three programmes: (1)
building civil-society capacity, (2) civil society and intersectoral influence, and (3) promoting
participatory development by large donors. Each programme began as small initiatives that
eventually grew to influence global concepts, debates, policies and practices. The chapter
reflects on lessons that can be drawn from such collaboration in terms of increased resources
and credibility, building programmes for long-term influence, working across local, national
and transnational levels, and creating better integrated theories of social change.
The theory of action research grew out of the of actionable knowledge to social transforma-
practice of problem-solving in groups and tion. Social development programmes in devel-
organizations. The theory of participatory oping countries have, until recently, largely
research grew out of the practical efforts at been based on distant and abstract concepts.
conscientization and empowerment of the Locally provided, actionable knowledge, from
marginalized. These two streams of knowl- the perspectives of local protagonists, began to
edge-action schools began to interact in the shape the design of such programmes only since
1980s, and thereby emerged the stream of the late 1980s/early 1990s. It is in this sense that
participatory action research. action research has come to be recognized as an
The essential premise of such a knowl- appropriate epistemology for the vision of a
edge-action stream has been the contribution more just and equitable social transformation.
228 GROUNDINGS
The potential of action research in ‘uncov- International Forum for Capacity Building (IFCB) –
ering’ hidden realities and ‘recovering’ lost catalysed a series of discussions and agreements
experiences at the grassroots level has begun to over the next several years to strengthen civil
society in many countries. These discussions
shape large-scale development actors nation-
reshaped how scores of NGOs, donor agencies and
ally and globally. Action research methodol- governments engaged the challenges and poten-
ogy, with emphasis on participation of the tials of civil society capacity-building.
excluded in knowledge construction itself, has Civil society and intersectoral influence. In the mid-
come to influence the thinking of policy- 1980s civil society organizations in most develop-
makers and development professionals. ing countries regarded government and business
The growing complexities of social devel- as ‘part of the problem’ and saw little possibility of
opment problems, with partial solutions at constructive engagement with either. By the turn of
local, national and global levels, imply the the century many aid agencies were hailing inter-
need for an understanding of causes and sectoral partnerships as the best way to mobilize
potentials from micro to macro levels. Such the resources required to solve intransigent devel-
opment problems. Over more than a decade PRIA
diversity of knowledge-action is not easy for
and IDR pioneered studies of civil society advocacy
a single institution to handle. It is in this and collaboration across sector differences to cre-
sense that institutional collaboration across ate innovative development initiatives. The results
the South–North divide may create a system of these studies have informed the strategies of
of knowledge-action, in the best traditions of countless civil society organizations as well as
Action Research, which has a wide scale large donors (e.g. UNDP, USAID) and government
impact on social policy and policy-makers. officials.
This chapter explores this interrelated set of Participatory development by large donors. At the
issues based on the experiences of institutional World Bank in 2000, a conference on the use of par-
collaboration between IDR and PRIA. It ticipatory development strategies in large develop-
attempts to describe the value of action ment projects brought together dozens of Southern
NGOs, Northern NGOs, and international develop-
research in producing actionable knowledge,
ment agencies to discuss the challenges and poten-
from a variety of stakeholder perspectives, to tials of implementing participatory development
shape policies and designs of social develop- strategies. The conference emerged from a decade-
ment. It also illustrates the unique value of long campaign to foster more participatory strate-
long-term institutional collaboration in action gies by the World Bank and the conference drew on
research across the South–North divide to have studies of nominally participatory Bank projects car-
large-scale social impacts. It thus highlights ried out by a world-wide coalition of NGOs coordi-
the potential of partnerships in the practice of nated and trained by PRIA and IDR. The conference
action research and the long-term impacts such increased the pressure for participatory strategies
partnerships can generate. by a wide range of large development actors.
Three programmes in particular illustrate
the potential of long-term institutional col- The next section describes these initiatives in
laboration across the chasms that separate the more detail, providing a window on the long-
global South and North.1 term institutional collaboration for PAR that
transcends chasms between the South and
Building civil society capacity. In 1999 scores of North.
organizations, including donor agencies (World
Bank, USAID, EC, Ford Foundation, DIFD, etc.),
Northern NGOs and Southern NGOs from many INSTITUTIONAL COLLABORATION
regions met for several days to discuss capacity-
IN PAR
building for civil society. These discussions grew
from a decade-long series of participatory action
research initiatives spearheaded by PRIA and IDR PRIA (Society for Participatory Research in
with civil society support organizations in many Asia) is a New Delhi-based organization
regions. The network that emerged – the whose mission is promoting the practice of
ACTION RESEARCH, PARTNERSHIPS AND SOCIAL IMPACTS 229
participatory research as a contribution to facilitators and OD consultants in Asia and

knowledge building and social transforma- Africa.
tion. IDR (Institute for Development Research) Experience with organizational capacity-
was a Boston-based organization committed building also led to interest in the develop-
to action research and capacity-building for ment of civil society as a sector of
just, inclusive and sustainable development.2 organizations. By 1990, PRIA and IDR, in
For almost two decades, PRIA and IDR cooperation with the Asian NGO Coalition
worked closely together on a series of long- (ANGOC), had launched a programme to
term participatory action research (PAR) pro- strengthen civil society support organizations
grammes that had significant impacts on the as a vehicle for sectoral capacity strengthen-
roles of civil society organizations in devel- ing. This programme produced a series of
opment in many countries. A long-term consultations that focused on assessing and
action researcher on civil society and devel- strengthening the roles of South Asian civil
opment characterized them as ‘two beacons’ society support organizations (Almazan-
that for many years led the field in identify- Khan et al., 1995; Brown and Tandon, 1990;
ing issues, generating knowledge, and Tandon et al., 1997). During the early
informing policy and practice for civil 1990s, PRIA built a network of regional
society development.3 support organizations (RSOs) for capacity-
Three programmes in particular illustrate building to scale up its impact throughout
the potential of long-term institutional col- India and supported the emergence of a
laboration across the chasms that separate the similar network of South Asian support
global South and North. In these examples organizations. As a result, PRIA and IDR
we briefly recount the streams of activity that convened and coordinated an emerging
produced large-scale long-term results and international network of support organiza-
the patterns of collaboration associated with tions concerned with civil society capacity-
their outcomes. building in Asia, Africa, Latin America and
Eastern Europe.
1. Capacity-Building for Civil The emerging knowledge from this net-
work set the stage for wider attention to
Society
capacity issues. As civil society became a
In the mid-1980s PRIA began exploring more important development actor and its
with civil society leaders in India the capac- need for capacity-building increased, PRIA,
ities required to lead NGOs and social IDR and support organizations from Latin
movements. It became clear that strategy America and Africa persuaded the World
and management problems were central to Bank, the European Commission, USAID,
the effectiveness of many social transforma- UNDP and other major donors to support
tion initiatives (Tandon, 1988). At the same a series of research initiatives on issues
time, IDR began action research with of capacity-building for civil society in the
‘empowerment-oriented’ international devel- developing world. These discussions led to
opment NGOs and proposed revisions to the creation of the International Forum on
existing organization development theory Capacity Building (IFCB), which catalysed a
and practice required by such agencies series of regional and national discussions
(Brown and Covey, 1987). PRIA and IDR among NGOs, governments and donors
began to build knowledge about support that redefined capacity-building interven-
organizations (SOs) from the field practices tions from serving donor interests (e.g.
in India. They also began a long-term col- accounting training to protect donors’ funds)
laboration to train facilitators of support to responding more directly to the needs
organizations for development NGOs. This of southern civil societies (e.g. training in
initiative eventually trained scores of strategic thinking, coalition building and
230 GROUNDINGS
policy advocacy) in many countries (Tandon lessons from advocacy campaigns (IDR,
and Bandyopadhyay, 2003). 1997). Both organizations used their rela-
This 15 year collaboration began with tionship to build knowledge grounded in
research on organization capacity-building diverse perspectives and then used their dif-
and evolved to influencing transnational dis- ferent linkages to disseminate results to inter-
courses and policies on capacity-building. ested Northern and Southern audiences.
The ability of PRIA and IDR to influence the A second strand of this work examined
debate grew in part from their contributions cooperation across sectors to solve develop-
to research and educational literatures (e.g. ment problems. In collaboration with the
Brown and Kalegaonkar, 2002; Brown and Synergos Institute and several regional net-
Tandon, 1994). It also grew from their roles works, IDR and PRIA carried out research
in mobilizing a worldwide network of civil (based on 13 case studies) of cooperation
society support organizations that could between NGOs, grassroots groups and gov-
speak authoritatively about capacity needs in ernment agencies in 12 countries in Asia and
many different regions. In this initiative, Africa. This initiative brought representa-
debates that began at the local and national tives of the cases together with the coalition
levels became transnational discourses about partners to build frameworks for understand-
the roles of civil society, and PRIA and IDR ing effective partnerships (Brown and
were positioned to mobilize key stakeholders Ashman, 1996, 1999; Brown and Tandon,
to join and support the IFCB – setting the 1993). In practical terms, the results of this ini-
stage for debating and redefining the nature tiative helped shape pro-partnership policies at
and implementation of capacity-building for UNDP and USAID (Brown and Tandon, 1993;
civil society. Tandon, 1993; Waddell and Brown, 1997).
PRIA and IDR later extended this explo-
2. Civil Society and Intersectoral ration to assessing civil society development
partnerships with business organizations
Influence
based on research from India, South Africa
For many years civil society activists and Brazil (Ashman, 2000). These studies
rejected association with agencies from other again suggested that under some conditions
sectors, such as government or business such partnerships could serve development
organizations. Their work with civil society goals.
sectors led PRIA and IDR to explore how Today it is well established that civil
civil society might engage those other sectors society organizations can scale up their
in development problem-solving. PRIA impacts through policy advocacy and inter-
began exploring relations between civil sectoral cooperation. Many actors and inno-
society and government quite early (Tandon, vations have contributed to the shift from
1989). Work with national NGO associations the isolated suspicion of two decades ago –
in the Philippines and India, for example, and in this journey IDR and PRIA played
produced cases and frameworks to explain critical roles in identifying possibilities and
successful civil society policy analysis and disseminating ideas about intersectoral rela-
advocacy on development projects (Gershman tions. For over 10 years, the PRIA-IDR
et al., 1997; Khan, 1997). These analyses focus on intersectoral partnerships enabled
were used to inform subsequent campaigns civil society to gain confidence in engaging
in those countries and in the region. PRIA with governments and business; it also
worked closely with Indian national civil demonstrated the value of such partnerships
society associations and networks on a vari- in producing desirable development impacts
ety of advocacy campaigns; IDR convened from the vantage point of government and
international NGOs to share experience and business.
3. Promoting Participatory of the conference emphasized the need for

Development Strategies internal institutional reforms to support
participation. This was to become main-
The value of participatory development streamed in the policy and project work of
strategies for catalysing sustainable transfor- international donors. The internal changes
mations has long been recognized, but it has at those agencies contributed to institutional
proved very difficult to mainstream partici- reforms in recipient government organiza-
patory development strategies at some major tions that were responsible for national
international donors, such as the World Bank project implementation.
and USAID. In the early 1990s, IDR and
PRIA were both elected to the NGO Working
Group on the World Bank, a group of 26 INSTITUTIONAL COLLABORATION
NGOs from around the world that advised AND PARTICIPATORY ACTION
and advocated with the Bank. Over the next RESEARCH
decade, they played central roles in a long-
term campaign to mainstream participation What does long-term South–North institu-
in major international donors’ projects and tional collaboration have to offer for participa-
policies. tory action research for social transformation?
PRIA’s experiences on issues of participation We believe that at least four aspects of this
of the poor and the marginalized had generated collaboration contributed significantly to its
knowledge about institutional constraints impacts.
placed by government agencies and interna- First, the combination of Southern and
tional donors (Tandon, 2002). Focusing on this Northern bases enhances the intellectual
issue, IDR and PRIA helped to design and capacities, perspective diversity and credibil-
organize a worldwide coalition to collect ity of both partners. PRIA’s perspective on
data on the Bank’s efforts to promote parti- development issues and its credibility with
cipation in projects from every region in the Southern activists added greatly to IDR’s
world. IDR helped to develop the research understanding and leverage with key stake-
approach and train case researchers, and holders; IDR’s access to research and its
PRIA led the analysis and interpretation of case credibility with Northern NGOs and donors
results from Asia, Africa and Latin America. In expanded PRIA’s influence. IDR connected
collaboration with the Participation Group at PRIA to the NGO Working Group on the
IDS (UK), they convened a conference at World Bank and the coalition to explore
the World Bank to share the knowledge with intersectoral collaboration; PRIA linked IDR
multilateral organizations (e.g. the World to a wide range of Southern support organi-
Bank, UNDP), bilateral aid agencies (e.g. zations and to the CIVICUS World Alliance
USAID, DFID, and the Swedish Inter- for Citizen Participation. Together they could
national Development Agency) and NGOs in generate knowledge and influence a range of
November 1998. This initiative produced a stakeholders beyond what either could
book-length analysis of major agency efforts accomplish working separately.
to institutionalize participatory development Second, the growth of a shared analysis of
strategies in their programmes (Long, 2001). development problems, the recognition of
It helped catalyse the formulation of stan- shared values and the evolution of a relation-
dards for assessing Bank practices in foster- ship of mutual respect and trust meant that
ing participation in the future and supported joint work was less dependent on particular
Bank staff who had been advocating for projects and scarce funding. PRIA and IDR
mainstreaming participatory approaches. The actively sought opportunities to pursue joint
knowledge produced in the deliberations initiatives. They saw each other as long-term
232 GROUNDINGS
resources with common visions. The result policies of many actors as well as produced
was long-term collaboration, often supported new concepts and theories.
by a patchwork of funding resources, that We live in a world where knowledge cre-
enabled cumulative results over long-term ation is increasingly important and knowledge
explorations, as in more than a decade of grounded in practice and the insights of mul-
work with civil society support organiza- tiple disciplines as well as the demands of
tions. It also allowed expanding alliances, as science is increasingly central (Gibbons et al.,
in the growth of the support organization net- 1994; Nowotny et al., 2002). We believe that
work from India to South Asia to a world- this increasingly interdependent world requires
wide network. PAR that can integrate experiences and ideas
Third, their long-term institutional coopera- from many levels and perspectives to produce
tion enabled IDR and PRIA to evolve societal new knowledge and innovations in policy and
change theories across multiple levels – local, practice. Institutional collaboration across
national, transnational – that are often required diverse worlds, such as the IDR-PRIA rela-
to catalyse sustainable social transformation. tionship, has much promise for bringing
Although both organizations began their work together the diverse resources and perspectives
with change theories grounded at the individual needed for transnational social learning and
and organizational levels of analysis, their constructive social transformations. This is
work together pressed for interorganizational, indeed the potential of participatory action
sectoral, intersectoral, national and transna- research in generating more just social impacts
tional analysis that complemented their grow- in our different societies.
ing links to wider alliances and a more complex
understanding of development problems. Their
initial successes encouraged aspirations for NOTES
wider impacts that depended on multi-leveled
theories of change. Such an evolution was 1 The ‘global South and North’ refers not to geo-
made possible through the multi-level partner- graphic divisions but to concentrations of wealth and
ship between PRIA and IDR that evolved over power (North) and concentrations of poverty and
20 years. marginalization (South).
2 In 2001 IDR merged with World Education,
Finally, the conception of PAR that guided another Boston-based development NGO.
the work of IDR and PRIA evolved in inter- 3 Alan Fowler in the Symposium on Citizen
action with their developing theories of Participation and Democratic Governance at the
social change. Early in their work together CIVICUS World Assembly, Glasgow, Scotland, 21
June 2006.
they recognized that ‘participatory research’
and ‘action research’ had much to learn
from each other, and that future endeavors
would have to grapple with research initia- REFERENCES
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PART TWO
Practices
INTRODUCTION TO PRACTICES Friedman and Tim Rogers describe in

Chapter 17 the approach of action science
In this section we offer descriptions of some and again, while they outline initially five
of the key approaches to the doing of action principles of this approach, they go on to
research, which we have called ‘practices’. demonstrate how these principles have been
We have chosen this rather than ‘methods’ or adapted by different people for application in
‘methodology’ because we want to empha- different settings.
size again that action research takes place Action research is often described, follow-
in the doing of it rather than the abstract ing Lewin, as a ‘spiral of steps, each of which
describing of it. The practices described in is composed of a circle of planning, action, and
this section do indeed represent guides for fact-finding about the result of the action’
‘how to do action research’ but they are not (Lewin, 1946/1948: 206) or more simply as a
formulaic: they require intelligent, choiceful cycle of plan–act–review. As Senge and his
application guided by the fundamental action colleagues argue (Senge et al., 2005), this kind
research values and epistemologies which of formulation of learning through cycles of
are explored elsewhere in this volume – action and reflection, which they attribute ori-
notably a grounding in living issues, a partic- ginally to John Dewey, can so easily become
ipative/emancipatory ethos, and a spirit of superficial and unable to ‘generate the depth
inquiry. of understanding and commitment that is
Robert Chambers makes this very clear in required to generate change in truly demand-
Chapter 20 in writing that in PRA/PLA ing circumstances’ (Senge et al., 2005: 87)
(Participatory Rural Appraisal/Participatory when genuine invention in the face of novelty
Learning and Action) practice comes before is required of us. We deepen our cycle of
theory. There are some principles of practice action and reflection through the kind of atten-
which Chambers describes – methods; tion that Senge et al. refer to as ‘presence’ or
behaviour and attitudes; and sharing – which Marshall and Reason (2006) have described as
include some very visible and tangible ‘taking an attitude of inquiry’.
‘tools’, but these need to be crafted for the So we wish to emphasize again that action
particular situation and tasks to hand. Victor research is full of choices, and the key to
236 PRACTICES
quality is bringing these choices to awareness their particular inquiry circumstances; what
and understanding the consequences of those actually happened in practice. (Examples of
choices. It is straightforward to write, as do action research theses conducted under this
Heron and Reason, that in co-operative inquiry guidance can be found at www.bath.ac.uk/
‘all participants work together in an inquiry carpp/these.htm)
group as co-researchers and as co-subjects’, The first eight chapters in this section
but how this fundamental idea is carried out is describe particular practices: Action Science,
a matter of skilled practice which the descrip- Action Inquiry, Clinical Inquiry, Appreciative
tion can barely hint at. So it is important to Inquiry, PRA/PLA, Action Learning, Citizen’s
read these descriptions of practices alongside Jury, and Learning History. They are all writ-
the descriptions of projects in the Exemplars ten by originators or leading advocates of
section, and understand the kinds of skills these approaches and thus demonstrate what
needed to facilitate them in Skills. action research may look like when seen
What happens in many of the action through the eyes of this particular perspective.
research projects that we are familiar with is Heron and Reason then give a particular ‘take’
that we beg, borrow and steal from different on the practice of co-operative inquiry by
approaches to create a form for that situation. exploring in some detail the ‘extended episte-
In discussions of a major research project, mology on which it is based’ (this chapter
someone might say, for example, ‘if we complements their desciption of co-operative
started off with some kind of learning history inquiry in Heron and Reason, 2001/2006); we
approach, we would identify some of the key should note in passing that several other
issues and build relationships with our part- chapters develop the idea of presentational
ners. This could then lead to co-operative knowing in practices (notably Chapters 20,
inquiries groups that would explore particu- 27, 30, 34, 35, 39, 43).
lar issues in more detail. And then maybe We then turn to some wider considerations
further along the road we could use some of action research practice. Ian Hughes con-
form of dialogue conference design to siders some of the ways in which action
broaden the spread of the inquiry’. research has been applied in healthcare. Ann
But nevertheless, the individual practices Martin picks up the theme of scale and devel-
must also be understood and appreciated in ops her contribution in the first edition
their own right as forms of practice that (Martin, 2001/2006) to explore the practices
emphasize important principles of action of action research on a large scale.
research. One might decide, for example in Michelle Fine and Maria Torre draw on
the context of a PhD dissertation, to work their experience with participatory research
primarily within the disciplines of action to consider how to speak out. While Gustavsen
science or appreciative inquiry, or PRA, or and his colleagues argue that scale is
co-operative inquiry, and demonstrate the approached through widening the network of
depth of learning that can come from fore- inquiry, Fine and Torre ask what kind of
grounding one approach. Nevertheless, the voice may be needed to communicate to dif-
way in which these practices unfold in prac- ferent audiences in order to make a political
tice will entail choices, which always have impact from participatory research. Sonia
an emergent quality to them. My advice Ospina and her colleagues consider how it is
(Peter) to students describing their methodol- possible to integrate action research practices
ogy for a PhD dissertation is to consider what with qualitative research working in the con-
they need to say at four levels: the overall text of a major research grant and a presti-
personal/political/epistemological stance they gious US university where strong opinions
are taking; the practices and approaches that are held about the legitimacy of action
have informed their approach; how they research. This chapter may be read in coun-
designed these into an approach which suited terpoint to Levin and Greenwood’s critique
INTRODUCTION 237
of the university as a home for action Lewin, K. (1946/1948) ‘Action research and minority
research (Chapter 14). problems’, in G.W. Lewin (ed.), Resolving Social
Finally, we should confess to the omissions. Conflicts. New York: Harper & Row. pp. 201–16.
McNiff, J. and Whitehead, J. (2002) Action Research:
Robert Chambers in particular kept urging us
Principles and Practice, 2nd edn. London: Routledge.
not to exclude a whole range of approaches Marshall, J. and Reason, P. (2006) ‘Keynote address:
with which we were quite unfamiliar some of taking an attitude of inquiry.’ Paper presented at the
which he refers to in his chapter. We are ALARPM 7th & PAR 11th World Congress,
aware that the tradition of teacher research is Groningen, The Netherlands, 22 August.
not included here although it has been well Martin, A.W. (2001/2006) ‘Large-group processes as
covered in other volumes (McNiff and action research’, in P. Reason and H. Bradbury (eds),
Whitehead, 2002). Handbook of Action Research: Participative Inquiry
and Practice. London: Sage. pp. 200–8. Also in
P. Reason and H. Bradbury Handbook of Action
REFERENCES pp. 166–75
Senge, P.M., Scharmer, C.O., Jaworski, J. and Flowers,
Heron, J. and Reason, P. (2001/2006) ‘The practice of B.S. (2005) Presence: Exploring Profound Change in
co-operative-inquiry: research “with” rather than People, Organizations and Society. London: Nicholas
“on” people’, in P. Reason and H. Bradbury (eds), Brealey.
Handbook of Action Research: Participative Inquiry
and Practice. London: Sage. pp. 179–88. Also in
P. Reason and H. Bradbury Handbook of Action
pp. 131–43.
16
Action Inquiry: Interweaving
Multiple Qualities of Attention for
Timely Action
W i l l i a m R . To r b e r t a n d S t e v e n S . Ta y l o r
This chapter describes action inquiry, a kind of social science that can generate timely action.
First, action inquiry studies not just the past, but also the present and future. Second, it is a
form of research that is conducted simultaneously on oneself, the first-person action inquirer,
on the second-person relationships in which one engages, and on the third-person institu-
tions of which one is an observant participant. Third, it generates not just single-loop feed-
back that incrementally improves a stock of knowledge, but also double- and triple-loop
transformations of structure, culture, and consciousness that influence ongoing interaction.
The chapter describes how first-person action inquiry in the present explores four distinct but
interweaving ‘territories of experience,’ which sometimes feel mutually aligned and some-
times dissonant. It further describes how second-person action inquiry on the emergent
future crafts four distinct but interweaving ‘parts of speech’ to generate increasing shared
vision and inquiring collaborative practice. It then offers and analyzes a few minutes of first-
and second-person collaborative inquiry to illustrate these ideas. The chapter closes by intro-
ducing a third-person generalizable theory, and some of the quantitative empirical evidence
supporting it, that describes how individuals, organizations, and science itself can transform
to the point of practicing ongoing timely inquiry and action.
Developmental action inquiry (Fisher and approach and specific analytic tools to com-
Torbert, 1995; Torbert, 1976, 1987, 1991; bine inquiry and action in the accomplishing
Torbert et al., 2004) offers both a holistic of specific objectives, in the testing of one’s
240 PRACTICES
data, interpretations, and assumptions, and in adding to a third-person body of consensual

seeking to live one’s life most fruitfully, knowledge through articles like this
valuably, and justly with others. (although such work can play a part), but
Developmental action inquiry is a process rather more by the growing capacity of the
for searching, not just to distinguish between acting system (whether person, team, or
valid and illusory patterns in data from the nation) to experience and be in a productive
past, but also for patterns and incongruities and mutually emancipatory dialogue with
between strategy and performance in the difference, diversity, and incongruity in each
present, as well as among possible visions, event, as is timely. This occurs, in turn,
strategies, and specific goals for the future through inquiry-based first- and second-
(Ogilvy, 2002; Senge et al., 2004; Torbert, person actions in the present and for the
2000b, 2002). Also, developmental action emerging future (as will be illustrated below)
inquiry studies not just things and practices that treat ongoing experience at any given
outside the inquirer (third-person objects and time as either harmoniously consonant, or as
practices), but also the inquirer’s own chang- dissonant in one way or another, leading to
ing practices, ways of thinking, and quality adjustments. In the frequent case of experi-
of attention (first-person research on ‘my’- enced dissonance, there are four choices: 1)
self), as well the interactions, norms, gover- deny or externalize the dissonance (by far
nance, and mission of the specific persons our most common minute-to-minute, day-to-
and groups with whom one is working or day procedure as individuals, communities,
playing (second-person research on ‘our’ and institutions); 2) to treat the dissonance as
commun[ication]al process) (Chandler and single-loop feedback (leading to a change in
Torbert, 2003). practice if the intended result is not being
Just as third-person quantitative and qual- achieved); or 3) double-loop feedback (lead-
itative research seek validity through trian- ing to a transformation of strategy); or 4)
gulating among different third-person triple-loop feedback (leading to a change in
methods, so does the developmental action quality of attention). (Complexity theory
inquiry approach offer the opportunity for offers a different, but not incompatible, theo-
triangulation among first-person subjective retical language for describing emergently
research methods (Ellis and Bochner, 2000; complexifying (and de-complexifying) self-
Foldy, 2005), second-person intersubjective organizing in medias res by children; but the
research methods (Heron, 1996; Reason, complexity theory approach offers little as
1994), and third-person objective research yet in the way of first- and second-person
methods (McGuire et al., 2007). The goal is tools for intentional adult action inquiry;
to inquire into and transform personal and Fischer and Bidell, 2006.)
social experiences in a timely way within In this chapter we describe and then illus-
three domains: the domain of objective, trate the theory and practice of action inquiry.
instrumental results; the domain of intersub- We start with first-person action inquiry in
jective ethical and political interactions; and the moment and the associated analytic tool,
the domain of subjective aesthetic and spiri- the four ‘territories of experience’. We then
tual disciplines (Wilber, 1998). The encom- move onto second-person action inquiry and
passing aims in action inquiry are to the associated analytic tool, the four ‘parts of
increase one’s own and others’ capacity to speech’. Next, we include an illustration of
appreciate and cultivate transformation, interweaving first- and second-person action
integrity, mutuality, justice, and sustainabil- inquiry. From there, we move to third-person
ity for ourselves, for our groups, and for our action inquiry and two of the associated ana-
institutions. lytic tools, developmental theory and the
This type of experiential/empirical trian- Leadership Development Profile. Finally, we
gulation is accomplished, not primarily by offer an example of a decade-long research
ACTION INQUIRY 241
project that interweaves first-, second-, and reflection is not useful, but simply that action
third-person in the service of organizational inquiry is based in a holistic understanding that
transformations, showing quantitatively how also tries to act and inquire at the same time. In
strong the association is between the inten- this sense it is philosophically based in a craft,
sity of the first- and second-person action design, or artistic process tradition that gener-
inquiry processes in an organization and the ates productivity, transformation, and emanci-
likelihood that the organization in fact trans- pation (Argyris et al., 1985; Flyvbjerg, 2001;
forms as intended. Throughout, we must try Schön, 1983), rather than in a modern techni-
to remember that these are but a very few cal-rational tradition that generates mechani-
illustrations of 81 possible kinds of research cally or electrically caused enhancement of
(3 × 3 × 3 × 3 [first-, second-, and/or third- productivity. Like any craft or artistic process,
person research voice, studying first-, second, action inquiry has tools and techniques. But
or third-person practice, in the past, present, just as painting is more than mastering the
or future, with single-, double-, or triple-loop skills of composition, brush stroke techniques,
feedback/learning]). and so on, action inquiry is fundamentally
about the aesthetic whole of generating timely
action, which is different from and not the sum
FIRST-PERSON ACTION INQUIRY IN of the techniques used to create that whole.
THE MOMENT Bearing this in mind, one tool or analytic tech-
nique for the practice of first-person research
Let us now explore a closer view of first- in the present moment is the effort to inquire
person research by examining a generally into the four territories of first-person self-
quite unfamiliar form of research (even awareness as one acts.
though it has existed as a form of spiritual
practice in a great many cultural traditions):
Four territories of experience
namely, practicing triple-loop meditation-in-
action (Trungpa, 1970), or consciously acting The four ‘territories of experience’ described
in a way that simultaneously inquires into the in Table 16.1 include: 1) the outside world, 2)
current awareness-mind-body-situation inter- one’s own sensed behavior and feeling, 3) the
action. This requires deliberate reflection and realm of thought, and 4) the realm of
awareness expansion while engaged in outer vision/attention/intention (Torbert, 1972;
action (Schön, 1983), a seemingly simple idea Torbert et al., 2004). These four territories of
(but definitely a difficult practice) that war- experience are not mere analytic categories,
rants a brief digression. The dominant techni- but rather are all phenomenologically acces-
cal-rational mode of thought that characterizes sible territories of experience that exist
the late 20th and early 21st century is based in simultaneously and continuously (see discus-
a separation of mind and body that implies a sion of how each of us in our own first-
separation of action and inquiry. We analyze person research can test this fundamental
and plan and then, based on that analysis, we claim in Torbert, 1991: ch. 13), and that can
act. We then analyze the results of the action potentially yield data and feelings of fit (con-
and prepare to act again. This is the cycle at sonance) or of incongruity (dissonance) as
the heart both of most action research and they become known to an acting system
most formal, academic inquiry (e.g. plan sci- (through its assonance) in real time. Usually,
entific experiment, collect data that tests in daily life, we take our attention and our
hypotheses in single-loop fashion, etc.). categories of thought for granted, and apply
But action inquiry does not start from this them to judging what actions to take and
separation of analysis and action, this separa- what observations to make of the outside
tion of mind and body, this linear approach to world. In action inquiry, we attempt to ques-
inquiry. That is not to say that such off-line tion all these taken-for-granted processes:
242 PRACTICES
Table 16.1 Four territories of experience of an individual person

1) the outside world objectified, discrete, interval units, of which ‘I’ am actively aware when ‘I’
notice the color and manyness of what ‘I’ see or the support the outside
world is giving me through the soles of my feet (focused attention)
2) one’s own sensed behavior processual, ordinal rhythms in passing time, of which ‘I’ am
and feeling actively aware when I feel what I am touching from the inside, or when I
listen to the in-and-out of my breathing or the rhythms and tones of my
own speaking (subsidiary, sensual awareness)
3) the realm of thought eternal nominal distinctions and interrelations, of which I can be actively
aware if my attention ‘follows’ my thought, if I am not just thinking, but
‘mindful’ that I am thinking (witnessing awareness)
4) vision/attention/intention the kind of noumenal vision/attention/intention that can simultaneously

interpenetrate the other three territories and experience incongruities or
harmonies among them
Into which territories am I listening now? Buddhist lineage of Trungpa (1970), etc.
What am I hearing from the world beyond me? Following the next section, a short ‘case’ will
Am I acting from clear intent? Am I speaking provide a more concrete sense of both the
in a language, tone, and rhythm that permits us first- and second-person aspects of the four ter-
to move toward shared intent and alignment? ritories of experience.
Am I discovering signs of our alignment or
lack of alignment in your responses?
First efforts toward a triple-loop, first- SECOND-PERSON ACTION INQUIRY
person ‘super-vision’ that interpenetrates and IN THE EMERGING-FUTURE
embraces the other three territories of experi-
ence typically generate paralyzing self- Now let us explore how second-person con-
consciousness of the teenage sort and are versation during a team meeting or at a
quickly forgotten. How to cultivate an ongo- family dinner may be more or less action-
ing, non-judgmental first-person awareness of inquiry-oriented depending on its degree of
how we are acting in the larger world is key to openness to inquiry into its own status as an
development, both personally and organiza- ongoing activity. Speaking is the primary and
tionally, and is itself a first-person inquiry most influential medium of action in the
practice for a lifetime. To listen to others as human universe – in business and politics, in
they speak, rather than just internally planning school and in science, among parents and
our own next comment, is hard (that is why we children, and between lovers. Does a given
interrupt one another so often). To listen to conversation go on without testing its own
‘myself’ and the entire situation as ‘I’ speak is efficacy until it is interrupted by accident
still harder. If we wish to become serious about (e.g. the phone ringing), or by pre-arrangement
such skills, we will seek the help of second- (e.g. class time is over), or by someone’s
person communities and third-person traditions exit? Or is there regular inquiry about
dedicated to such spiritual/aesthetic/educa- whether the participants understand one
tional research/practice methods. Examples of another’s comments (typically generating
third-person traditions that through second- single-loop changes in what one says to get
person tutelage introduce individuals to pro- the point across)? Is there also occasional
found forms of first-person research range double-loop inquiry about whether other
widely, from the Ignatian Spiritual Exercises conversational strategies may improve the
of the Jesuits (Coghlan, 2005) to the Hindu creativity of the conversation? Is there ever
Ramakrishna’s disciples (Kripal, 1995), to the triple-loop inquiry into the basic premises of
ACTION INQUIRY 243
the conversation and the possibility of during a week-long conference on ‘Integral

reframing them? Epistemology’ at the Esalen Institute in
Disciplined practice in recognizing and gen- December 2005. It describes, from a first-
erating four parts of speech – framing, advo- person perspective, a few moments of first-
cating, illustrating, and inquiring – roughly person research during an intense conversation
corresponding with the four territories of expe- among some 20 senior academics and spiri-
rience, has been found to transform practition- tual practitioners – the conversation itself an
ers’ efficacy in some 30 years’ experience of example of second-person research. The
various communities of action inquirers (e.g. topic of that conversation was admittedly
Argyris and Schön, 1974; Reason, 1994; ‘rarefied’: whether a shared ‘integral episte-
Rudolph et al., 2001/2006; Torbert, 1976, mology’ about the nature-body-mind-atten-
2000b). ‘Inquiring’ finds out about the outside tion continuum can be articulated. But the
world territory of experience. ‘Illustrating’ tells interest here is to trace, as one reads, the
stories about actions. ‘Advocating’ mentally writer’s attempt to evoke how his attention
maps the world. And ‘framing’ suggests how moves among the four territories of experi-
the conversants may focus their attention over- ence seeking to discover timely spoken
all amidst the current dilemma/opportunity/ action. Then, too, the four territories of expe-
activity. Table 16.2 offers fuller definitions and rience can be thought of as just such an
examples of the four parts of speech. In gen- attempt to articulate the nature-body-mind-
eral, disciplined action inquirers find that they attention continuum. We suggest reading the
become increasingly effective in their speak- following journal entry twice, the first time
ing when they increasingly balance and inte- reading just the italicized journal, the second
grate the four ‘parts of speech’ in seeking to time pausing to review our parenthetical,
assess and artistically give voice to the unique analytic comments which are not italicized):
confluence of patterns in each current situa-
tion. You can test these claims in your own Richard Baker Roshi, co-founder in 1966 of the
Tassajara Zen Mountain Center and founder in
conversational experiments, especially if you 1972 of the Green Gulch Zen Practice Community,
can get a small group of two or three col- continues in 2005 to presence as a powerfully-
leagues or friends to meet for an evening once built, bushy-black-eyebrowed tower of silence and
a month just to practice ways of speaking assertion, at least as I observed him during our
four days together at the ‘Integral Epistemology’
in difficult conversations (McGuire et al., in
workshop at the Esalen Institute.
press; Rudolph et al., 2001/2006). Esalen, with its farm, its perfectly manicured
Obviously, as we are treating them here, the organic gardens, its experimental elementary school,
four parts of speech are primarily kinds of its daily sunset over the Pacific, its nude baths, its
moves or practices. But the ‘framing’ and ‘re- Tantric atmosphere of unreservedly friendly free
choice, and its fine master classes in the various dis-
framing’ part of speech alerts us to the possibil-
ciplines of the nature-body-feeling-mind continuum,
ity of changing ‘the name of the game’ – of strikes me as a contemporary Narnia – even in the
redesigning norms, myths, and even the very way that it clings invisibly to Big Sur’s plunging
mission of the conversation-relationship- coastline, beneath the cement columns of one of Rt.
project – of going beyond single-loop change 1’s many graceful bridges on the winding stretch
between St. Luis Obispo and Monterrey.
to double- and triple-loop change.
I began my acquaintance with Roshi Richard
deeply suspicious of him because of his, as it
seemed to me, unconcealed authoritative power
AN EXAMPLE OF FIRST- AND mixed with his shadowy past, when he was
SECOND-PERSON ACTION INQUIRY accused, not without evidence, of messing with
money and women in the community (Note
author’s haphazard thoughts on reports of the
The following illustration of attending to, Roshi’s past actions in the outside world, appar-
and speaking from, the four territories of expe- ently clouded by pre-judgment and unclear
rience comes from a participant’s journal intention). As the conference proceeded, I could
244 PRACTICES
Table 16.2 Four parts of speech (adapted from Tarbert et al., 2004)
Framing refers to explicitly stating what the purpose is for the present occasion, what the dilemma is that you are
trying to resolve, what assumptions you think are shared or not shared (but need to be tested out loud to be sure). This is
the element of speaking most often missing from conversations and meetings. The leader or initiator assumes the others
know and share the overall objective. Explicit framing (or reframing, if the conversation appears off-track) is useful
precisely because the assumption of a shared frame is frequently untrue. When people have to guess at the frame, they
frequently guess wrong and they often impute negative, manipulative motives (‘What’s he getting at?’).
For example, instead of starting out right away with the first item of the meeting, the leader can provide and test an
explicit frame: ‘We’re about halfway through to our final deadline and we’ve gathered a lot of information and shared
different approaches, but we haven’t yet made a single decision. To me, the most important thing we can do today is agree
on something … make at least one decision we can feel good about. I think XYZ is our best chance, so I want to start with
that. Do you all agree with this assessment, or do you have other candidates for what it’s most important to do today?’
Advocating refers to explicitly asserting an option, perception, feeling, or strategy for action in relatively abstract terms
(e.g., ‘We’ve got to get shipments out faster’). Some people speak almost entirely in terms of advocacy; others rarely
advocate at all. Either extreme – only advocating or never advocating – is likely to be relatively ineffective. For example,
‘Do you have an extra pen?’ is not an explicit advocacy, but an inquiry. The person you are asking may truthfully say, ‘No’
and turn away. On the other hand, if you say ‘I need a pen (advocacy). Do you have an extra one (inquiry)?’ the other is
more likely to say something like, ‘No, but there’s a whole box in the secretary’s office.’
The most difficult type of advocacy for most people to make effectively is an advocacy about how we feel – especially how
we feel about what is occurring right now. This is difficult partly because we ourselves are often only partially aware of
how we feel; also, we are reluctant to become vulnerable; furthermore, social norms against generating potential
embarrassment can make current feelings seem undiscussable. For all these reasons, feelings usually enter conversations
only if the relationship is close and risk is low, in which case there is little likelihood of receiving corrective feedback. The
other time when feelings enter conversations is when they have become so strong that they burst in, and then they are
likely to be offered in a way that harshly evaluates others (‘Damn it, will you loudmouths shut up!’). This way of advocating
feelings is usually very ineffective, however, because it invites defensiveness. By contrast, a vulnerable description is more
likely to invite honest sharing by others (‘I’m feeling frustrated and shut out by the machine-gun pace of this conversation
and I don’t see it getting us to agreement. Does anyone else feel this way?’).
Illustrating involves telling a bit of a concrete story that puts meat on the bones of the advocacy and thereby orients
and motivates others more clearly. Example: ‘We’ve got to get shipments out faster [advocacy]. Jake Tarn, our biggest
client, has got a rush order of his own, and he needs our parts before the end of the week [illustration].’ The illustration
suggests an entirely different mission and strategy than might have been inferred from the advocacy alone.
You may be convinced that your advocacy contains one and only one implication for action, and that your subordinate or
peer is at fault for misunderstanding. But in this case, it is your conviction that is a colossal metaphysical mistake.
Implications are by their very nature inexhaustible. There is never one and only one implication or interpretation of an
action. That is why it is so important to be explicit about each of the four parts of speech and to interweave them
sequentially, if we wish to increase our reliability in achieving shared purposes.
Inquiring obviously involves questioning others, in order to learn something from them. In principle, the simplest thing
in the world; in practice, one of the most difficult things in the world to do effectively. Why? One reason is that we often
inquire rhetorically, as we just did. We don’t give the other the opportunity to respond; or we suggest by our tone that we
don’t really want a TRUE answer. ‘How are you?’ we say dozens of times each day, not really wanting to know. ‘You agree,
don’t you?’ we say, making it clear what answer we want. A second reason why it is difficult to inquire effectively is that
an inquiry is much less likely to be effective if it is not preceded by framing, advocacy, and illustration. Naked inquiry often
causes the other to wonder what frame, advocacy, and illustration are implied and to respond carefully and defensively.
If we are inquiring about an advocacy we are making, the trick is to encourage the other to disconfirm our assumptions if
that is how he or she truly feels. In this way, if the other confirms us, we can be confident the confirmation means
something, and if not, then we see that the task ahead is to reach an agreement.
see that, even when Richard disclosed personal recognized as two different territories of experi-
stories in friendly openness, I interpreted them as ence). His style of rhetorical certainty certainly
self-aggrandizing (note a slight disentanglement seemed to grate with the overt humility of my
of thoughts from outer world behavior, now action inquiry style. (Of course, as I listened, I could
ACTION INQUIRY 245
hear also how my own issues about marriage and listening into the undifferentiated nature-body-
money and the exercise of power heightened my mind-attention continuum, until a waterfall-like
sensitivities to Richard’s past, not to mention my cascade of creative ideas and intuitions related to
possible sense of competitiveness with a man of the event begins (Note another instance of first-
about the same age and length of awareness- person double-loop learning of a new future plan-
practice [Further disentangling of thoughts from ning process which seems to introduce a
intentions, with inquiry into conflicting intentions]). first-person triple-loop learning process [the ‘water-
Our joint inquiry into the question, ‘How do we fall-like cascade’]). From this cascade, I eventually
know what we know about the nature-body-mind- choose various droplets to aid my listening, inter-
attention/intention continuum?’ had been con- preting, and acting within the event-time itself.
vened by Esalen’s Aslan, founder Michael Murphy, NOW suddenly seems like a moment to speak, to
who looks a good 15 or 20 years younger than his help Richard disclose more of his approach, to
actual age of about 75 and acts a good 30–40 years encourage others to share any experiences they
younger. Jay Ogilvy, one of the founding futurists of have of working with the emergent future, and to
Global Business Network, and Jeff Kripal, Rice help me shape the next-day-forthcoming space/
University’s Chair of Religious Studies, facilitated a time-event when my work will become the focus of
group of 20 who ranged from young art historian, conversation. I share a taste of my experience (illus-
Marcia Brennan (Modernism’s Masculine Subjects trating his idea) with Richard and the group, and I
2001, Painting Gender, Constructing Theory 2004), ask Richard, ‘Do you have such experiences, or dif-
to Sam Harris (author of the currently best-selling ferent ones, or how do you interpret mine?’ (inquir-
The End of Faith: Religion, Terror, and the Future of ing into others’ thoughts). He shoots me a sideways
Reason 2005), and to Richard Shweder (a University glance, creates a brief pause by rearranging his legs
of Chicago Distinguished Professor and cultural (a non-verbal re-framing that draws the attention to
anthropologist). him), and says, ‘I try to pause til the last moment …
For me, one critical, potentially-transformational and then discover which way I move without pre-
moment in our joint inquiry came at mid-week. Roshi meditation (advocating his idea) – like the old
Richard had remarked on how the attention consti- saying, ‘When you come to a fork in the road …
tutes event-spaces as activities, such as the living take it!’ (illustrating his idea). The brevity and
room we 20 were then sitting in – with some of us unfathomable surprise of this riposte draws a hearty
attuned to the pink sunset glinting on the Pacific (the round of laughter from the group.
outer world territory), others attuned to the hills and I pause too, accepting the response silently, allow-
valleys of our conversation (our own behaviors terri- ing the conversational rhythm of successive queries
tory), and still others attuned to the framed pho- by others and responses by him to continue. Inside,
tographs around the room, which showed it as a site however, I feel emotionally split between my contin-
for other very different activities at other times (body uing commitment to listening to the conversation
work, Japanese calligraphy, and so forth). He added and a sense of disappointment (dissonance within
that holding an intent in the present (attentional territory of own feelings/behavior). I feel he and I and
territory of experience) to constitute this or that kind we have missed an opportunity for further enlighten-
of event-space can influence the emergent future. ment (a sense of incongruity between the territory of
This remark reminded me of an experience of a feelings/behavior and the territory of intention): for I
slightly different sort that I often have when plan- have been speaking of this progressive skill in empty-
ning a future event. I have learned that my earliest mind myself, intending to invite more than a well-
inclinations to plan the detailed agenda for an rehearsed quip and a return to our prior
event are often driven by anxiety and produce only speech-rhythms in response. Would it have made a
uncreative lists of issues to be addressed. Thus, I’ve difference if I had inquired of the rest of the group
learned to relax and not-take that first bait, but rather than Richard? Probably. (Single-loop feedback
instead to let the question go until it returns again to self re: potentially more effective behavior.)
and again (entering own private territory of On the other hand, I discover over the next days
thought and remembering the double-loop experi- that Baker Roshi’s ‘old saying’ repeatedly reverber-
ence of learning a new strategy for future plan- ates within my present attention (triple-loop feed-
ning). A time comes when the mind spontaneously back) – such as the moment before ‘my’ session,
produces a vision/fantasy of the deep-purpose-of- when the scholar of Mircea Eliade, who is sched-
the-event-realizing-itself. Often, I have thereafter uled to comment on my article after me, suddenly
treated this image as the unifying creative thread proposes he go first: I pause imperceptibly at this
with which to stitch the entire event-cloth, includ- fork, and then we reverse the planned structure on
ing the general rhythms of others’ creative partici- the spot, putting me more dramatically than
pation and influence. But in recent years, rather before in the posture of first-person action inquiry
than grabbing such an event-pearl, I have some- in the present. Thank you, Baker Roshi, for trans-
times continued with the presencing practice of mitting, not so much an insight as a practice.
246 PRACTICES
THIRD-PERSON INQUIRY AND the point of ongoing action and inquiry that
DEVELOPMENTAL THEORY spans the four territories of experience. In
other words, the theory outlines the succes-
Practicing first-person action inquiry in the sive design-for-practice principles that any
moment and second-person inquiry for the person or social system can potentially learn.
emergent future may be complemented and As Table 16.3 suggests, a person gains some
sharpened by increasing familiarity with a sense of control over the outside world to get
broadly generalizable third-person develop- what one wants in the very short-term at the
mental theory, applicable analogically to Opportunist action-logic. Next, during the
persons, to organizations, and to types of sometimes painful evolution to the Diplomat
science, and testable through first-, second-, action-logic, one gains some sense of control
and third-person research methods (Torbert, over one’s own behavior to meet one’s rou-
1991; Torbert et al., 2004). This developmen- tine weekly and monthly obligations, as well
tal theory can both describe behavioral struc- as to act within the norms of one’s valued
tures in the past and prescribe liberating friendship circles. Then, if one makes the
structures-disciplines-designs for the future, journey to the Expert action-logic, through
whether we are engaged in the temporal struc- engaging with craft disciplines, one gains
turing of a single meeting, a several-month some control over the world of thought and
project, a marriage of many years, one’s entire of the time horizons (3–18 months) neces-
career, or an inter-generational institution. sary to complete projects. A great victory of
the Achiever action-logic is that it coordi-
nates the prior three action-logics and wel-
comes single-loop feedback, reliably
PERSONAL, INTERPERSONAL, AND permitting the person or team to plan, per-
ORGANIZATIONAL DEVELOPMENTAL form, test outcomes, and change perfor-
ACTION-LOGICS mance to reach a goal. A further victory, won
through transformation to the Individualist
Table 16.3 offers a very brief overview of and Strategist action-logics, is an opening to
individual and organizational developmental double-loop feedback whereby the person’s
action-logics, as these have been described in or organization’s whole action-logic may
much greater detail elsewhere (Kegan, 1982, transform, if the current strategic assump-
1994; Torbert, 1976, 1987; Torbert et al., tions are not working (Merron et al., 1987;
2004; Wilber, 1999). An action-logic or Fisher and Torbert, 1991). Transformation to
theory-in-use is an internally coherent the Alchemist action-logic (Torbert, 1996),
system of beliefs that we may not be fully wherein the system treats each moment as a
aware of ourselves, but that directly shapes new inquiry about how to distribute its atten-
our actions and is difficult to transform tion through the other three territories of
(Argyris and Schön, 1974; Bachrach et al., experience, permits one to test and recali-
2000; Wilber, 1999). Each developmental brate on a moment-to-moment basis, through
action-logic can be reliably measured and triple-loop feedback, whether one’s own and
has been found to be highly correlated with others’ sense of lifetime mission, strategies,
specific business actions and results (Merron actions, and outcomes are aligned.
et al., 1987; Rooke and Torbert, 1998, 2005). Second, transformation to later action-logics
Here, we highlight only a few key points cannot be caused simply by external forces,
about the overall theory. but rather require an interaction between initia-
First, each later personal and organiza- tives by the transforming system and challeng-
tional action-logic includes all the options ing/supporting conditions in the environment.
and capacities of the earlier action-logics, Consequently, people and organizations do not
plus new ones, gradually self-organizing to necessarily develop to later action-logics. In
ACTION INQUIRY 247
Table 16.3 Parallels between personal and organizational stages of development (adapted
from Torbert et al., 2004)
Personal Organizational
development development
Impulsive Conception multiple, distinctive impulses gradually resolve into
Impulses rule behavior Dreams about creating a characteristic approach [e.g., many fantasies into a
new organization particular dream for a new organization]
Opportunist Investments dominant task: gain power [e.g. bike riding skill, capital] to
Needs rule impulses Spiritual, social network, have desired effects on outside world
and financial investments
Diplomat Incorporation looking-glass self: understanding others’ culture/

Norms rule needs Products or services expectations and molding own actions to succeed in
actually rendered their [e.g. a marketable product] terms
Expert Experiments intellectual mastery of outside-self systems such that

Craft logic rules norms Alternative strategies and action = experiments that generate new ways of
structures tested doing business
Achiever Systematic productivity pragmatic triangulation among plan/theory, operation/

System effectiveness Single structure/strategy implementation, and outcome/evaluation – single-loop
rules craft logic institutionalized feedback acted upon unsystematically but regularly
Individualist Social network experimental awareness that diverse assumptions may

Reflexive awareness rules Portfolio of distinctive complement one another both for inquiry and
effectiveness organizational structures for productivity
Strategist Collaborative inquiry self-conscious mission/philosophy, sense of time/place,

Self-amending principle Self-amending structure invites conversation among multiple voices and reframing of
rules reflexive awareness matches dream/mission boundaries – double-loop feedback occasionally acted upon
Alchemist Foundational community life/science = a mind/matter, love/death/transformation

Mutual process (interplay of inquiry praxis among others, cultivating interplay, reattunement and
of principle/action) rules Structure fails, spirit sustains continual triple-loop feedback among purpose, strategy,
principle wider community practice, and outcomes
Ironist Liberating disiciplines

Intergenerational Structures encourage
development rules productivity and
mutual process transformational learning
through manageable
conflict and vulnerable
power
samples of highly educated managerial and percent as Alchemists (Rooke and Torbert,
professional adults in different institutions, 2005). (It should be noted that many persons
almost all between 25 and 55 years old, adding operating primarily at early action-logics expe-
up to a total of 4310 as measured by the well- rience occasional later action-logic moments
validated Leadership Development Profile, or temporary states. Indeed, recognizing and
we find 5 percent scored as Opportunists, 12 cultivating such states through first- and
percent as Diplomats, 38 percent as Experts, second-person research can contribute to
30 percent as Achievers, 10 percent as developmental transformation; Torbert and
Individualists, 4 percent as Strategists, and 1 Fisher, 1992.)
248 PRACTICES
Third, the personal action-logics alternate would expect that organizational leaders and
between those that are more agency-focused consultants who measure at the later action-
(Opportunist, Expert, Individualist) and logics (e.g. Strategist, Alchemist), and who
those that are more relationally-focused are themselves open to double-loop, transfor-
(Diplomat, Achiever, Strategist). Likewise, mational learning, will be more likely to suc-
the organizational action-logics alternate ceed in supporting individual, team, and
between those that tend toward centralization organizationally transformative learning than
(Incorporation, Systematic Productivity, leaders and consultants at the earlier action-
Collaborative Inquiry) and those that tend logics. Several third-person empirical studies
toward de-centralization (Investments, Exper- statistically support this prediction (Bushe and
iments, Social Network). In the case of both Gibbs, 1990; Foster and Torbert, 2005; Rooke
individuals and organizations, the tension of and Torbert, 1998). Likewise, we would
these opposites declines at the later action-log- expect that organizations exhibiting later
ics because those action-logics are increasingly action-logic qualities (e.g. Collaborative
win-win, both/and, paradox-welcoming, dif- Inquiry, Liberating Disciplines) would be
ference-friendly, transformational-not-static more likely to support individual transforma-
action-logics. tion among their members than organizations
A fourth key quality of developmental at earlier action-logics. Once again, several
theory is that the early action-logics up statistical studies support this prediction
through the Achiever/Systematic Productivity (Manners et al., 2004; Torbert, 1991, 1994;
action-logic do not recognize themselves as Torbert and Fisher, 1992).
assumed and transformable frames around One study employing many interweaving
activity and thought, but rather treat their first-, second-, and third-person action
(unrecognized) assumptions as the very research methods shows that CEOs’ and lead
bedrock of reality (Torbert, 1991). Thus, consultants’ developmental action-logics
these early action-logics assume everyone account for an unusually large 59 percent of
shares the same ‘reality’ and that significant the variance (significant beyond the .01 level)
deviations from one’s own judgment repre- in whether or not the 10 diverse organizations
sent lack of proper training, incompetence, or have positively transformed their action-
evil. Consequently, the early action-logics logics (as measured by three trained scorers
treat power as fundamentally a matter of uni- working independently and achieving .9 relia-
lateral enforcement in favor of the familiar bility) (Torbert et al., 2004: 112ff, 221ff). To
and against the strange, with some peripheral be more specific, seven of the ten organiza-
inquiry whereby the strange may occasion- tions successfully transformed, including all
ally be transformed into the familiar. By con- five of the organizations guided by CEOs
trast, the empirically rarer later action-logics measured as Strategists. By contrast, of the
treat power and inquiry as equally fundamen- five organizations guided by CEOs measured
tal and recognize that only forms of mutual, at pre-Strategist action-logics, only two trans-
transformational power generate double-loop formed. At the same time, three of the four
and triple-loop learning; unilateral power is lead consultants were measured as Strategists
powerless to do so. and the fourth as an Alchemist. The Alchemist
consultant was the lead consultant in the only
two cases where pre-Strategist CEOs were
LEADER ACTION-LOGIC AND associated with successful organizational
ORGANIZATIONAL transformation. Thus, this consultant can be
TRANSFORMATION considered qualitatively more successful than
the Strategist consultants.
According to these theoretical distinctions We suggest that this result (accounting for
among developmental action-logics, we 59 percent of the variance) is so much stronger
ACTION INQUIRY 249
than is usual for purely third-person science Also, the CEO/Lead-Consultant combina-
because the independent variable itself (the tions associated with successful organiza-
third-person Leadership Development Profile tional transformation were: 1) most active in
score of a person’s action-logic) concerns the seeking out competitive information on
relative capacity of an individual to interweave industry practices (first-person research on
first-, second-, and third-person action inquiry third-person practice in the past); 2) most
and to cultivate transformation in self or others active in leading industry-wide associations
through single-, double-, and triple-loop learn- in influencing public policy (second-person
ing. Thus, it becomes conceivable that inter- research on third-person practice for the
weaving first-, second-, and third-person future); 3) most active in offering frequent
research, theory, and practice in the social feedback to, and welcoming it from, senior
sciences may dramatically improve their capa- team members (first-person research on
city to explain variance. second-person practice and second-person
A later count of types of action inquiry ini- research on first-person practice, in the pre-
tiatives tried by each of the ten organizations sent); and 4) in offering developmental men-
during the study confirms that the higher the toring to senior management team members
combined CEO/Lead-Consultant action-logic (first-person research on second-person
score the more types of action inquiry the orga- practice for the future).
nization tried. For example, all ten CEOs took In these brief and distant mentions of dif-
the Leadership Development Profile and ferent possible types of first-, second-, and
received feedback about their performance third-person, the reader can begin to imagine
(third-person research on first-person practice how these different action inquiry disciplines
in the past). Also, all ten organizations may reinforce one another and increasingly
engaged in senior management strategic plan- create a climate for voluntary, mutual trans-
ning with consultative support (second-person formational practice within an organization.
research on third-person practice in the Of course, the sample size of the reported
future). Nine of the ten organizations partici- research is small. As more practitioners
pated in a senior management team self- adopt such interweaving research disciplines
restructuring (second-person research on and measures, the sample size can grow.
second-person practice in the future) (the
exception, in this case, was the one organiza-
tion that regressed to earlier action-logics). CONCLUSION
Only the seven organizations that success-
fully transformed created: 1) enhanced lead- Action inquiry brings together action and
ership roles for all senior team members inquiry by using multiple qualities of atten-
(moving from a primary focus on departmen- tion to embrace the complexity of our world.
tal or divisional leadership to become a com- By consciously working with the ideas of
pany-wide executive team) (enhancing each first-, second-, and third-person research;
member’s first-person research on first- and first-, second-, and third-person practices;
second-person practice for the future); 2) research on past, present and future; paying
regular feedback on each senior team mem- attention to the four territories of experience
ber’s leadership effectiveness (second- and to single-, double-, and triple-loop feed-
person research on first-person practice in back among them, the four parts of speech,
the past); and 3) distributed and rotated dis- and the developmental action logics of self,
tinct leadership responsibilities within the projects, and organizations – well it’s over-
team (e.g. agenda-planning, meeting man- whelming to write (and we might guess read)
agement, inter-meeting follow-through, etc. – about it, let alone try to do in practice.
second-person research on second-person Worthy, perhaps, of a lifetime of inquiry?
practice). The illustrations of first- and second-person
250 PRACTICES
action inquiry during the Esalen conference Coghlan, D. (2005) ‘Ignatian spirituality as transforma-
and of the first-, second-, and third-person tional social science’, Action Research, 3 (1):
action inquiry over many years with the ten 89–107.
organizations offer some grounding and pos- Ellis, C. and Bochner, A. (2000) ‘Autoethnography, per-
sibility for beginning practice. sonal narrative, reflexivity’, in N. Denzin and Y.
Lincoln (eds), The Handbook of Qualitative Research.
We close simply by suggesting that action
Thousand Oaks, CA: Sage. pp. 733–68.
inquiry is a practice and as such is as much a Fischer, K. and Bidell, T. (2006) ‘Dynamic development
voluntary, subjective, aesthetic choice and a of action, thought, and emotion’, in W. Damon and
mutual, inter-subjective, ethical commitment R. Lerner (eds), Theoretical Models of Human
as it is an intergenerationally-sustainable, Development. Handbook of Child Psychology, 6th
objective, epistemological science. However edn, Vol. 1. New York: John Wiley. pp. 313–99.
briefly, we have tried to analytically describe Fisher, D. and Torbert, W. (1991) ‘Transforming manage-
the mechanics of different brush strokes, the rial practice: beyond the achiever stage’, in R.W.
science of colors, and the theory of balance, Woodman and W. A. Pasmore (eds), Research in
knowing full well that painting isn’t merely a Organization Change and Development, Vol. 5.
matter of mechanics and theory. However, it Greenwich, CT: JAI Press. pp. 143–73.
Fisher, D. and Torbert, W. (1995) Personal and
is useful to know these things if one is going
Organizational Transformations: the True Challenge
to paint. Action inquiry suggests a more of Continual Quality Improvement. New York:
explicit awareness of one’s own practice than McGraw-Hill.
a traditional romantic image of a painter Flyvbjerg, B. (2001) Making Social Science Matter.
does – perhaps an Escher-like awareness, not Cambridge: Cambridge University Press.
of hands drawing themselves, but of us Foldy, E. (2005) ‘Claiming a voice on race (and
enacting our lives among others. An all- responses)’, Journal of Action Research, 3 (1):
encompassing practice, perhaps, but a prac- 33–54.
tice nonetheless, with all that suggests of Foster, P. and Torbert, W. (2005) ‘Leading through posi-
discipline, study, and evolving voices within tive deviance: a developmental action learning per-
oneself and within one’s evolving communi- spective on institutional change’, in R. Giacalone,
C. Jurkiewicz and C. Dunn (eds), Positive Psychology
ties of inquiry.
in Business Ethics and Corporate Responsibility.
Greenwich, CT: Information Age Publishing. pp.
123–42.
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Increasing Professional Effectiveness. San Francisco, Kegan, R. (1994) In Over Our Heads. Cambridge, MA:
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Bacharach, S., Bamberger, P. and McKinney, V. (2000) interdependent organizing and researching’, in
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Chandler, D. and Torbert, W. (2003) ‘Transforming inquiry Ogilvy, J. (2002) Creating Better Futures: Scenario
and action: interweaving 27 flavors of action Planning as a Tool for a Better Tomorrow. Oxford:
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ACTION INQUIRY 251
Reason, P. (1994) Participation in Human Inquiry. Torbert, W. (1994) ‘Cultivating post-formal adult devel-
London: Sage. opment: higher stages and contrasting interven-
Rooke, D. and Torbert, W. (1998) ‘Organizational trans- tions’, in M. Miller and S. Cook-Greuter (eds),
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of leadership’, Harvard Business Review (April): transformational leaders’, International Journal of
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‘Collaborative off-line reflection: a way to develop skill munity of inquiry among scholar-consultants
in action science and action inquiry’, in P. Reason and critiquing one another’s theories-in-practice’, in
H. Bradbury (eds), Handbook of Action Research: F. Sherman and W. Torbert (eds), Transforming Social
Participative Inquiry and Practice. London: Sage. Inquiry, Transforming Social Action. Boston, MA:
pp. 405–412. Also in P. Reason and H. Bradbury Kluwer Academic Publishers. pp. 161–88.
Handbook of Action Research: Concise Paperback Torbert, W. (2000b) ‘Transforming social science: inte-
Edition. London: Sage. pp. 307–14. grating quantitative, qualitative, and action
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Newbury Park, CA: Sage.
252 PRACTICES
17
Action Science: Linking Causal
Theory and Meaning Making in
Action Research
Victor J. Friedman and Tim Rogers
Action science refers to a broad approach to social practice that links human meaning
making with the discovery and shaping of the causal theories that create our social world.
This chapter focuses on the practice of action science inspired by the theory of action
approach developed by Chris Argyris and Donald Schön. It describes five main features of this
approach: communities of practice, theories of action, framing, testing, and change/design.
The chapter then describes five applications of action science – Action Design, Debriefing
with Good Judgment, Learning from Success, Action Evaluation/C3, and Organizational
Learning in Action. These applications reflect a number of innovations or changes as well as
the diversity of the field. The chapter concludes by arguing that action science is not a dis-
tinct method, but rather a set of value-based conceptual and practical tools that can be inte-
grated into and enhance many forms of action research.
The term ‘action science’, originally coined theoretical imperatives of the natural
by William Torbert (1976), was used by sciences but rejected the positivist goal of the
Chris Argyris (1980) and Donald Schön methodological unity of the natural and
(1983) to describe research capable of social sciences (Argyris, 1997; Robinson,
explaining phenomena, informing practice, 1993). Schön was inspired by Dewey’s
and adhering to the rational aims of science, (1938) pragmatist epistemology that viewed
while avoiding the ‘inner contradictions’ experimentation in science as simply a spe-
characteristic of ‘normal’ science techniques cial case of human beings testing their con-
in the social realm. Argyris was inspired ceptions in action (Argyris et al., 1985: 6).
by Lewin’s (1948, 1951) approach to action Both projects were largely abandoned for
research, which retained the causal and many years as the social sciences became
ACTION SCIENCE 253
consumed with imitating positivist, natural both the production and use of knowledge for
science methodologies (Argyris et al., 1985). the purpose of promoting learning with and
They were revived by Argyris et al. (1985), who among individuals and systems whose work
set forth in great detail the idea of action is characterized by uniqueness, uncertainty,
science, its philosophical foundations and instability, and conflict. I also identified four
differences and similarities between action and key features of this approach: creating com-
normal science methodologies. [For further munities of inquiry within communities of
exploration of the action science and related practice, building individual and collective
action inquiry traditions see Chapters 16 theories of action, combining interpretation
and 46.] with ‘rigorous’ testing of these theories, and
Action science is closely related to, but creating alternatives to the status quo and
distinct from, the ‘theory of action’ approach informing change in light of values that are
to professional effectiveness (Argyris and freely chosen by social actors (Friedman,
Schön, 1974) and organizational learning 2001/2006). Today we would vary these fea-
(Argyris and Schön, 1978, 1996). These two tures slightly and add a fifth one: the use of
terms have often been used interchangeably, ‘frames’ to characterize the meanings inher-
even by Argyris and Schön (e.g. 1991), but ent in theories of action.
we believe that there are good grounds for Communities of inquiry. From an action
retaining the distinction. Action science science perspective, communities of inquiry
refers to a broad approach to social practice integrate certain processes and norms of
that links human meaning making with the mainstream science, such as theory building
discovery and shaping of the causal theories and testing (see below), into everyday life.
that create our social world. The theory of The norms necessary for this process include
action approach is one manifestation of an making behavior and the reasoning behind it
action science with a very specific concep- transparent and open to the scrutiny of
tual framework. Action science, on the other others, suspending judgment and persisting
hand, may manifest itself in conceptual in inquiry until a common understanding is
frameworks as diverse as field theory reached, actively seeking information that
(Lewin, 1951), theory of inquiry (Dewey, might disconfirm one’s beliefs, and openly
1938), theory of action (Argyris and Schön, admitting error when confronted with evi-
1974), and even the field theory of Pierre dence. In order to foster such norms, Argyris
Bourdieu (1998). and Schön (1974, 1978) proposed that indi-
This chapter will focus on the practice of viduals and groups adopt a set of values they
action science inspired by the theory of called ‘Model II’: valid information, free and
action approach (Argyris, 1980; Argyris informed choice, and internal commitment to
et al., 1985; Argyris and Schön, 1974, 1978; choice and monitoring its implementation.
Schön, 1983, 1987). We begin by describing Just as generating valid knowledge in a sci-
some of the main features of that approach. entific community requires agreement
We then describe five applications of action among independent investigators, a commu-
science that represent advances in the field. nity of inquiry regards uncertainty, differ-
Finally, we discuss the implications of these ence, and conflict as opportunities for
advances for the evolution of action science. generating new knowledge through a process
of experimentation and deliberation that
leads to intersubjective agreement (Argyris
WHAT IS ACTION SCIENCE? et al., 1985: 13).
Theories of action. The basic conceptual
In the first edition of Handbook of Action tool of action science inquiry is mental
Research, I (Friedman) defined action science ‘theories of action’ (Argyris and Schön,
as a form of social practice that integrates 1974, 1978; Argyris et al., 1985) that guide
254 PRACTICES
our behavior and enable us to make sense of et al., 1985). This concept stems from the
the behavior of others. Theories of action are assumption that human beings do not have
causal propositions consisting of three simple direct, unmediated access to objective reality.
components: in situation X, do Y, in order to Rather we construct images of reality
achieve goal Z. They may also include the (Friedman and Lipshitz, 1992) or ‘mental mod-
assumptions underlying this causal connection els’ (Senge, 1990) from the raw materials of
and the values underlying goals. Theories of sense perception. Frames reflect the tacit
action are like mental programs that enable us choices we make in this construction process:
to manage overwhelming amounts of informa- what should be attended to, what should be
tion and respond almost automatically, and ignored, and how to organize these data into
usually effectively, in most situations. The meaningful patterns (Schön, 1983).
behavior of groups, organizations, and com- Frames are powerful sense-making mech-
munities can also be seen as guided by collec- anisms. They name the problem at hand,
tive theories of action that take shape through determine what solutions make sense, and
the interaction of individual theories (Argyris shape the actions to be taken. They lend
and Schön, 1978). internal rationality to our theories of action
Argyris and Schön (1974) distinguished and a sense of order and certainty to the
between the ‘espoused theories’ that express world around us. Although we impose frames
our intentions or how we think we act and the on our perceived reality, we usually act as if
‘theories-in-use’ implicit in our actual behavior. our perceptions were objective reality itself.
They found that people are generally unaware For this reason, we may cling to our frames
of their theories-in-use and the gaps between even if they lead to actions that are counter-
them and their espoused theories. Argyris and productive. On the other hand, because we
Schön (1974, 1978, 1996) also observed strik- impose these frames, we have the ability
ing similarities in the action strategies people to change, or reframe, them, opening the way
use in the face of uncertainty, conflict, and psy- for more effective actions (Friedman and
chological threat. They posited the existence of Lipshitz, 1992).
a deeper, universal theory-in-use driven by Action science focuses inquiry on the way
values of unilateral control, protection of self we frame the task, other people, and our-
and others, and rationality (Argyris and Schön, selves in problematic situations. Skilled
1974, 1978, 1996). This theory-in-use, which reflection means knowing how to both
they called ‘Model I’, accounts for much indi- impose a frame on a situation while at the
vidual and organizational ineffectiveness and same time being sensitive to where it does
lack of learning. In order to facilitate learning, not fit, especially when we are at an impasse.
they proposed an alternative theory of action ‘Reframing’ involves changing the internal
based on the ‘Model II’ values described above. logic of a frame by either bringing new infor-
Theories of action provide a very simple, but mation to bear or by reinterpreting the facts
powerful, tool for getting beneath the surface of of a situation, giving them a different mean-
individual, group, and organizational behavior. ing. It enables people to discover opportuni-
They enable us to systematically analyze and ties for problem-solving and productive
document behavioral patterns and the reason- action that were previously missed.
ing behind them, in order to identify the causal Testing. From an action science perspec-
connections that explain effectiveness or tive, our actions are not only attempts to
ineffectiveness. They can also be used to pro- achieve goals, but also a tacit form of exper-
duce ‘actionable knowledge’; that is, new imentation in which we test our theories of
causal theories for generating desired outcomes action (Schön et al., 1984). Indeed, one of the
(Argyris, 1993: 2–3). implications of framing is that we should
Framing. ‘Framing’ refers to the logic or regard what we ‘know’ as hypotheses about
sense implicit in theories of action (Argyris reality rather than as facts – no matter how
ACTION SCIENCE 255
certain we may feel. Action science inquiry data about reasoning and behavior from
makes this experimentation process explicit which people can infer their own theories-in-
and open to conscious reflection for the pur- use (Argyris, 1982: 41–2).
pose of learning. Thus, when people dis- Action science addresses the problem of
agree, the way forward is to jointly uncover multiple interpretations by requiring that par-
and test their frames (Schön and Rein, 1994). ticipants in a community of inquiry, includ-
Action science attempts to do this by inte- ing researchers, make their own frames
grating the descriptive, contextual-rich power explicit and open to public (intersubjective)
of interpretive, hermeneutic inquiry with the testing. An action science tool for guiding
rigorous testing of validity demanded by the this process is the ‘ladder of inference’
positivist mainstream (Argyris et al., 1985: 54). (Argyris et al., 1985: 57). The ladder is a
Thus, action science testing involves producing metaphor for the reality-constructing process
the ‘core features of science’ – ‘hard data, that enables people to trace the mental steps,
explicit inferences connecting data and theory, or inferences, that lead from the bottom of
empirically disconfirmable propositions sub- the ladder (concrete, directly observable data
ject to public testing, and theory that organizes such as the exact words spoken or actions
such propositions’ (Argyris et al., 1985: 12). taken) to increasing levels of interpretation
From an action science perspective, ‘hard’ (e.g. frames and theory building).
behavioral data is as ‘directly observable’ as When we find ourselves in a disagreement,
possible, such as audio and video recordings, we can ‘go down the ladder’ until we discover
against which we test our perceptions and the point where our interpretations diverged
interpretations. If, for example, we experi- and then inquire into what led to the diver-
ence someone as having ‘attacked’ us, an gence. We can ask ourselves how our interpre-
analysis of their actual words might reveal tations are connected to the directly observable
that they were actually making reasonable, data. In the process we may discover consider-
fair, and constructive criticisms. The use of able gaps between the observable data and the
such data is believed to make it more likely inferences that were drawn from the data. We
that inquiry will generate valid information may also discover that some of our inferences
and learning. For this reason, action science were unreasonable or that other inferences
inquiry will almost always favor using make more sense. We may also reveal assump-
directly observable data over verbal recollec- tions of which they were unaware and, if
tions or open discussion of a situation. tested, could change the meaning of the phe-
Action science utilizes ‘personal cases’ nomena. Finally, we may seek additional data
that people write about their experience in that could disconfirm one, or both, of the inter-
dealing with difficult situations. These cases pretations. This process cannot guarantee that
include an illustrative sample of the actions observers will agree or arrive at the ‘right’
that the person took, usually in the form of a interpretation but it can help people see that
discussion, using a ‘two-column’ format. On some interpretations are more reasonable than
the right-hand column, case writers record others (Weick, 1979).
the words they said as well as the responses Another well-known action science con-
of others. On the left-hand column, they ceptual tool for testing is balancing ‘advo-
record the thoughts and feelings they had as cacy’ with ‘inquiry’. Advocacy means
this discussion was going on. The left-hand putting forth our views directly and trying
column provides extremely rich data for to convince others of their validity. Inquiry
inquiry into underlying frames, goals, values, means exploring the views of others and ques-
and assumptions as well as for discovering tioning our own views in order to understand
gaps or contradictions within and between them better. Balancing advocacy means having
our reasoning and action. These two-column strong opinions but holding onto them
cases are considered to be directly observable lightly. In other words, we state our views
256 PRACTICES
forthrightly and invite others to challenge new possibilities and putting them into
them. We genuinely try to understand and practice (Argyris et al., 1985: 71). One of the
see the sense in the other person’s view while most widely cited, but often misunderstood,
being open to questioning the sense in our action science concepts is the distinction
own. Thus, deeply valuing valid information between ‘single-loop’ and ‘double-loop’
(Model II) is important because we need to learning (Lipshitz, 2000). The difference
be strongly motivated to avoid becoming between these two kinds of learning depends
defensive and to remain open to sometimes on which component of a theory of action is
painful and embarrassing information (Argyris, changed. ‘Single-loop learning’ occurs when
1993: 284). action strategies are changed, but the rest of the
Change/Design. Action science views theory-in-use remains constant. ‘Double-loop’
people as ‘designers’ of their behavior and learning involves changes in goals, frames,
their ‘behavioral worlds’ (Argyris and Schön, assumptions, values, and/or standards for
1974, 1978; Argyris et al., 1985). This design performance (Argyris and Schön, 1974;
process occurs as we enact our mental Friedman, 2001). Most of the action science
theories of action through our behavior and literature has focused on double-loop learn-
our interactions with others. In doing so, we ing, but productive single-loop learning
project our mental frames onto the external is also very important and often requires
world, shaping relationships and the contexts considerable skill and effort (Lipshitz et al.,
in which we live. We are usually unaware of 2006).
this design process and the outcomes are
rarely what we intend, both because of our
own limitations and the ways in which our ADVANCES IN ACTION SCIENCE
theories interact with those of others. As a
result, we often regard our behavioral world In the following section we describe five
as an objective reality that is imposed upon applications of action science. They have
us rather than as products of our design. been chosen because they all define them-
The objective of action science inquiry is selves as having action science origins, con-
to help us become more conscious designers stitute some innovation or change, and
so that we can shape our individual reasoning reflect the diversity of the field. Our objec-
and behavior, as well as our behavioral tive is to illustrate rather than evaluate these
worlds, and reconcile them with our inten- advances, so we will not argue for their
tions. It aims at making individual and col- effectiveness. Because of the limitations of
lective theories-in-use explicit so that they space, we will provide only brief sketches of
can be critically examined and consciously each advance, but full descriptions of the
changed. The theory of action concept pro- concepts and methods can be found in the
vides a framework for systematic inquiry references.
into the situation, goals, action strategies, Action Design. ‘Action Design’ refers to
assumptions, and values – and the links an extensive set of concepts and methods that
between them. It also provides a means for have been developed to help people learn and
tracing the links between individual and col- apply action science methods, especially for
lective theories-in-use, helping us discover the purpose of creating more effective rela-
our own causal responsibility for our behav- tionships in work settings (McArthur et al.,
ioral worlds. 2006; www.actiondesign.com). It was devel-
Action science takes a particular interest in oped by Robert Putnam and Diana Smith,
the more intractable dilemmas and conflicts who were co-authors of Action Science
faced by organizations and society (Schön (Argyris et al., 1985), and Phillip MacArthur.
and Rein, 1994). It explicitly aims at helping They have refined and reworked many of the
people ‘transform their world’ by envisioning original theory of action concepts and methods,
ACTION SCIENCE 257
creating clearer conceptual frameworks and drawn from the work of family therapist
employing language that is more ‘user David Kantor (1999). Relationship structures
friendly’. For example, they have changed the show how one individual’s frame shapes and
concept of a person’s ‘theory-in-use’ into a is shaped by the frames of another. From an
person’s ‘action model’ that links ‘framing’, Action Design perspective, relationship
‘action’, and ‘results’. structures constitute the building blocks of
A major contribution of Action Design has collective action and can be as powerful as
been the ‘Learning Pathways’ framework for formal organizational structures. They pro-
inquiry. It is used to structure and guide inquiry vide a basic unit of analysis for mapping and
into the underlying action models (theories-in- transforming key organizational conflicts
use) that produced ineffective behavior in situ- and behavior patterns. As a consequence,
ations such as those presented in two-column organizational interventions based on pro-
cases (see Rudolph et al., 2001/2006; Taylor ductive conversation often focus on long-
et al., Chapter 46 in this volume). The Learning term coaching of pairs of managers.
Pathways model begins by asking people to Debriefing with good judgment. Action
reflect on the results of their behavior and the science has been applied to the process of
extent to which these results were satisfactory ‘debriefing’ in medical education training pro-
or intended. It then works backwards, focusing grams that use simulations to help trainees learn
on the specific actions, verbal or nonverbal, from experience (Rudolph et al., forthcoming).
that account for these results. It then focuses on Rudolph et al. (forthcoming) noted that instruc-
the underlying frames that contain the reason- tors in such programs face a dilemma when
ing behind these actions. The model then looks providing negative feedback to trainees. If they
outward to the features of the context that trig- take a ‘judgmental’ approach – simply telling
gered this particular framing. Finally, it focuses trainees what they did wrong – they risk inhibit-
on the person’s action model – that is, the gen- ing learning by generating defensiveness and
eral patterns of reasoning and behavior that bad feelings. If they take a ‘non-judgmental’
characterize this person and also produced par- approach – helping trainees reach their own
ticular framings in this kind of situation. conclusions – they risk inhibiting learning by
The Learning Pathways also guides strate- withholding important information or by allow-
gies for change. If inquiry reveals that the ing trainees to learn the wrong thing.
actions were the source of ineffectiveness, Rudolph et al. (forthcoming) developed
then learning involves designing and putting an alternative approach that they call ‘debrief-
into practice new action strategies (called ing with good judgment’ through a rigorous
‘reacting’ in the model). However, if the reflection process (Rudolph et al., 2001/2006;
frame was problematic, then learning needs Taylor et al., this volume). According to this
to focus on reframing as a prerequisite to approach, instructors help trainees become
designing new action strategies. Finally, if aware of and reflect on the frames underlying
the context and a person’s action model sig- their action. In order to do so, instructors must
nificantly contributed to the framing, then exhibit real curiosity about trainee sense-
learning requires ‘redesign’. Redesign is the making rather than simply asking leading
most complex and difficult learning pathway. questions aimed at proving a point. The key,
On the one hand, it may mean changing however, is that instructors must also make the
aspects of the task system, organizational frames by which they evaluate trainee perfor-
structure, or group norms. On the other hand, mance explicit and open to critical analysis.
it also requires that learners acknowledge Frame differences are resolved by a process of
and alter tacit, but deeply embedded, beliefs public testing combining advocacy with
and behavioral patterns. inquiry, opening the possibility that instruc-
Another Action Design innovation is the tors might be mistaken or change their view.
concept of ‘relationship structures’, which is By holding themselves to the same standards
258 PRACTICES
as they apply to the trainee, instructors not setting the stage for more productive
only create conditions for psychological relationships. Furthermore, the inquiry process
safety and mutual respect, but they also open had an energizing effect on the people
possibilities that they themselves might learn involved, strengthening their motivation to
from the debriefing process. Debriefing with continue with experimentation and reflection.
good judgment surfaces and helps resolve the The obstacle to widely applying Learning
clinical and behavioral dilemmas as well as from Success was the fact that it was closely
other sources of confusion raised by the sim- associated with Rosenfeld’s mastery and
ulation experience. style. Therefore, it was necessary to turn this
Learning from Success. Learning from personal skill into a generalizable method
Success (LFS) is a systematic method for ret- that others could learn with a reasonable
rospective reflection developed by Jona amount of effort. Sykes carried out a second-
Rosenfeld and Israel Sykes. LFS aims at gen- person action research with Rosenfeld about
erating actionable knowledge from success- his practice and produced an explicit, ten-
ful individual, group, or organizational step format for facilitating the LFS inquiry
practice (Sykes et al., 2006). LFS began with process (Sykes et al., 2006):
Rosenfeld’s (1981) observation that social
workers and researchers who work with 1. Describing the context of the success.
people in extreme poverty tend to focus on 2. Identifying a success that is worthy of study.
explaining their failures. Rosenfeld reframed 3. Concisely describing the success in terms of
the task as discovering the successes of the ‘before’ and ‘after’.
poor in order to learn from their strengths 4. Describing the positive outcomes, both objec-
and the strategies that enable them to sur- tive and subjective, of the success.
5. Identifying negative ‘side effects’ and costs of
vive. The underlying assumption is that even
success.
people in the most dire straits have valuable 6. Examining whether the ‘success’ warrants fur-
knowledge to offer society. ther learning.
Subsequently Rosenfeld was introduced to 7. Identifying key ‘turning points’ between
action science inquiry by Donald Schön. ‘before’ and ‘after’.
Together they facilitated a series of reflective 8. Detailing the specific actions that led to suc-
seminars that researched examples of success at these turning points.
cessful practice in areas where mainstream 9. Deriving the common elements that underlay
social services had consistently failed. These the actions that led to success.
seminars brought together researchers, prac- 10. Identifying unresolved issues for further learning.
titioners, clients, and policy-makers into a
joint inquiry process in order to discover the Each of the steps in the format generates
underlying theories of action that account for data about the theories of action underlying a
success in these situations (Rosenfeld and success. Step 1 produces a description of the
Tardieu, 2000; Rosenfeld et al., 1996; Sykes situation or problem and of the conditions
and Goldman, 2000). impinging on the success. Steps 3 to 5 lead to
The experience of these seminars suggested a description of outcomes (goals). Steps 7 and
that LFS could provide a means for transform- 8 specify the action strategies that produce
ing educational and social service systems that these outcomes. Step 9 elicits the implicit
chronically fail to meet the needs of their client framing. Step 6 represents rigorous testing of
populations. Participants in the seminars were whether a particular experience can actually
able to overcome bureaucratic and profes- be interpreted as a success to be learned. The
sional barriers and meet as equals in the con- criteria for defining success are that an observ-
text of the inquiry process. They also began to able change has occurred (Step 3) and that
perceive each other in different and often more the benefits of this change outweigh the costs
appreciative ways, overcoming alienation and (4 and 5). LFS inquiry format consciously
ACTION SCIENCE 259
avoids eliciting explanations of or the experience should express stakeholder identity at the
of success, but rather seeks concrete descrip- individual, group, and inter-group levels.
tions of action (‘What did you do?’) so as to AE/C3 is somewhat unique as an action
produce actionable knowledge. science method because it focuses on
Because this format is extremely formu- prospective reflection or ‘invention’ (Argryis
laic, it provides a very clear and structured et al., 1985) rather than on retrospective
method that can be used to produce action- reflection.
able knowledge by novice facilitators with Action Evaluation/C3 was developed by Jay
about a day of training and ongoing support. Rothman, a researcher and mediator, who
The format was first applied systemically in found that many good and hopeful conflict set-
45 Israeli high schools in a program entitled tlements fall apart in implementation. The
‘Learning from Success as Leverage for problem, as he saw it, is the lack of effective
School-wide Learning’ (Sykes et al., 2006). methods for translating aspirations into well-
The primary goal of the program was to structured programs of action. Defining goals
improve student achievement and perfor- for such programs is problematic because def-
mance by stimulating continuous renewal initions of success in conflict resolution are
and organizational learning at the school and varied, local, ambiguous, and contingent upon
inter-school level. It involved creating the nature of the conflict and the desires of
‘learning workshops’ within the schools that multiple stakeholders with different agendas
used the LFS inquiry format to generate (Rothman and Ross, 2000). These conditions
actionable knowledge about their practice. characterize many kinds of programs (not just
The workshops brought together teachers, conflict resolution) so that formal goals rarely
administrators, regional supervisors, and reflect the aspirations of stakeholders and pro-
sometimes students and parents. They were vide a poor basis for guiding, evaluation, and
facilitated by a member of the school staff learning.
who received training in the LFS inquiry for- Rothman created Action Evaluation/C3 in
mat and ongoing support from an external order to engage these problems in goal-
consultant. The knowledge created by the setting and program design, bringing together
workshop was documented in a specifically theory and practice from conflict resolution
designed PowerPoint format so that it could (Rothman, 1992, 1997a, 1997b), program
be easily communicated and stored. evaluation (Chen, 1990; Fetterman, 1994),
Each school applied the LFS inquiry for- and action science (Argyris et al., 1985). He
mat, but developed its own unique workshop framed the problem of goal-setting involving
and approach to learning. The learning work- multiple stakeholders as a process of con-
shops were supported by a network of teams structing a shared identity that takes into
at the school and regional level that included account people’s deepest needs, values, pur-
workshop facilitators, school principals, poses, and definitions of self (Burton, 1990).
regional supervisors, outside consultants, Rothman argued that this process requires
and other key school staff. Knowledge dis- double-loop learning because stakeholders
semination and learning across schools was need to engage their differences up front by
promoted through these teams as well as becoming aware of, questioning, and some-
through meetings and conferences. times reframing, what they really want from a
Action Evaluation/C3. Action Evaluation program. This kind of double-loop inquiry
(AE)/C3 is a method for integrating system- means getting ‘underneath the members’ ini-
atic inquiry into the process of goal setting tial commitments’ and ‘ask[ing] why they
for social-educational programs and organi- hold the positions they do and what the posi-
zations (Friedman and Rothman, 2001; tions mean’ (Argyris and Schön, 1996: 21).
Rothman, 1997a). The name ‘C3’ is a play on In order to put these ideas into practice,
words intended to emphasize that goals Action Evaluation/C3 focuses on three
260 PRACTICES
questions: What are your definitions of discussions are combined to create a causal
success, or goals, for this program? Why are ‘program theory’ of action (Chen, 1990;
these goals important to you? How do Friedman, 2001b).
you think the program should go about Action Evaluations/C3 has been used in
achieving these goals? In a typical AE/C3 conflict resolution, social-education, and orga-
process, these questions are asked of each nization development programs ranging from
individual stakeholder through a web-based two participants in a single stakeholder group
questionnaire (www.ariac3.com). Individual to thousands of participants in many stake-
responses are aggregated and analyzed at the holder groups. Most programs involve local
stakeholder group level in order to yield a set facilitators who require only a few days of
of common, conflicting, and individual goals training and ongoing support. For example, the
within each group. These goals become the City of Cincinnati, Ohio, used AE/C3 to create
starting point for a face-to-face process of a community–police relations improvement
forging consensus on common goals within program after being confronted with a racial
each stakeholder group separately and then profiling lawsuit and tension between the
among the different groups. African American community and the police
The AE/C3 process places a great empha- that resulted in a three-day outbreak of civil
sis on the ‘Why?’ question as the springboard unrest (Martin, Chapter 26 in this volume;
for goal inquiry. Before discussing the goals Rothman and Land, 2004). With help from the
themselves, stakeholders are asked to jointly news media, everyone who lived or worked in
and openly reflect on why their goals are Cincinnati was invited to answer a question-
important to them and why they feel passion- naire consisting of three questions: What are
ately about them. AE/C3 takes a normative your goals for future police–community rela-
position, based in the Model II values, that tions in Cincinnati? Why are those goals
worthy program goals should be clear and important to you? How do you think your
understood (valid information), consensual goals can best be achieved?
(free and informed choice), and passionately More than 3500 people from eight stake-
held (internal commitment). Giving public holder groups responded to this question-
expression to their deep motivations and the naire (see Martin, Chapter 26 in this volume,
stories that explain them helps people under- p. 398). A total of 700 people attended small
stand and appreciate their own goals as well stakeholder group meetings to discuss their
as those of others, paving the way for pro- ‘whys’ and to agree upon their goals.
ductively engaging differences in goal-set- Representatives of these groups then met and
ting (Friedman et al., 2006). came up with a final set of five shared goals,
After the ‘Why?’ discussion, stakeholders which served as the platform for a formal set-
engage in goal-setting based on analysis of tlement and program. Whereas previous
the answers to the ‘What?’ question. When investigative commissions and litigation pro-
conflicts arise, the facilitator encourages duced no significant action, this program is
balancing advocacy with inquiry in order to now in its fifth year of implementation (The
get at the underlying issues and to help Cincinnati Collaborative Agreement, n.d.).
participants work towards agreement. The Organizational Learning in Action. In our
goals of different stakeholder groups become own practice, we have applied action science
the basis for a merge session in which the along two main streams. The first stream has
different groups attempt to reach consensus been developing methods for helping people
on common goals at the program level. The learn and apply the theory of action approach
‘How?’ data are then used to create an action to professional and interpersonal effective-
plan that specifies what needs to be done ness (Friedman and Lipshitz, 1992). The
to achieve the consensual goals. Finally, second stream has been a series of formative
the results of the ‘what’, ‘why’ and ‘how’ evaluations aimed at helping experimental
ACTION SCIENCE 261
educational programs discover and improve of maps see Argyris, 1993, Argyris et al.,
the theories implicit in their practice 1985, Argyris and Schön, 1978; Friedman,
(Friedman, 1997, 2001; Friedman et al., 2004; 2001, 2001/2006; Friedman and Lipshitz,
Lipshitz et al., 2006). These two streams have 1994; Friedman et al., 2004; Lipshitz et al.,
merged in a process that I call ‘Organizational 2006).
Learning in Action’ (OLA). Maps provide organizational members
The goal of OLA is to help organizational with an opportunity to literally see and
members discover and exercise conscious explore their shared reality. They give
choice over the theories-in-use that shape expression to different perspectives and
their collective practice and behavioral highlight gaps, conflicts, and uncertainties in
world. Organizational theories of action are organizational theory-in-use. However, they
very difficult to grasp. Unlike individual also need to be tested for validity (Do they
theories-in-use, they cannot be thought of as accurately reflect reality as you experience
existing in people’s minds. Rather, they can it?) and completeness (Is something impor-
only be constructed, like pieces of a puzzle, tant missing?) and revised accordingly.
from what different organizational members When organizational members question a
do and say and from artifacts such as strate- feature of the map, we ask for disconfirming
gic plans, organizational charts, and reports. data and compare them with the data upon
The OLA process attempts to put these which we based our interpretations.
pieces of the puzzle together so that organi- The maps provide a basis for reframing or
zational members can grasp the reality they more sharply focusing the initial learning
have created and bring it into closer align- questions. The next step is for learning team
ment with what they really want. members to write two-column personal cases
We begin OLA by defining substantive that illustrate those features of the map that
learning questions that focus on task-related have been chosen for deeper inquiry. The
uncertainties or problems. Focusing on task team then meets regularly to analyze and dis-
rather than on interpersonal relations at this cuss these cases. Team members act as con-
stage reflects the assumption that most signifi- sultants to each other, but the facilitator plays
cant organizational conflicts are rooted in con- an important role in using Model II skills to
flicting or inconsistent requirements for keep discussion productive. At this point, we
performance, even if they manifest themselves introduce action science tools (e.g. ladder of
as interpersonal or inter-group conflicts inference, reframing, advocacy with inquiry)
(Argyris and Schön, 1978: Hirschhorn, 1990). for helping a team to effectively manage dif-
We also create an ‘organizational learning ferences and to enhance their learning.
mechanism’, such as a team, to inquire into These sessions are recorded and the
these questions on behalf of the organization transcripts analyzed in order to identify and
(Lipshitz et al., 2006). conceptualize important patterns and
Initial data about the learning questions themes. At the next session, these analyses
are gathered through interviews and docu- are shared and tested for validity. In this
mentary evidence. These data are analyzed way, the contours of the organizational
and the findings are ‘mapped’, preferably on theory-in-use emerge and are documented. If
a single page, so as to create a coherent and the emergent theories are consistent with
optimally comprehensive picture of the com- what organizational members want, they can
plex reality. Maps are usually constructed be used for dissemination and training. If
from components of theories of action (e.g. they are inconsistent or problematic, inquiry
context, frames, action strategies, goals), but then focuses on designing and implementing
there is no fixed format because they need to alternative theories of action. This iterative
reflect the unique contours of the specific process of data collection, analysis, concep-
organizational reality (for specific examples tualization and design may be repeated and
262 PRACTICES
expanded to involve new learning teams and CONCLUSION

new issues.
An example of OLA is a year-long inter- These examples illustrate that action science
vention conduced with New Educational methods can be applied as first-, second-, and
Environment (NEE), a program to help third-person action research across a wide
schools work more effectively with ‘at risk’ range of professional fields, practices, and set-
students (Friedman et al., 2004; Lipshitz tings. None of these examples represents a dis-
et al., 2006). The OLA process was intro- tinct method called ‘action science’. Rather
duced after a period of rapid expansion each one uses the ideas of action science as
which led program management to feel that it conceptual and practical tools in the develop-
was losing control over program practice and ment of new methods for learning and change
inadequately harvesting knowledge gained in in a particular realm of practice. The action
the field. At first the process was carried by a science roots of these methods may themselves
learning team consisting of the program be unseen by the participants in these
management (the director and four regional processes or even by people who are trained as
managers) plus two veteran employees (con- facilitators of these methods.
sultants). Later it was expanded to include all All these applications embody and reflect
35 members of the program staff. the features of action science described above:
One of the important outcomes of this communities of inquiry, theories of action,
process was a significant reframing of the NEE frames, testing, and change/design. However,
intervention theory. The program faced a great each one enacts these very differently, depend-
deal of ambiguity over the definition of its tar- ing upon the unique interests, styles, and con-
get population (youth at risk? disadvantaged? cerns of practitioners. Action Design and
underachievers?). Also it was not clear Debriefing with Good Judgment focus more
whether the ‘real’ target population was the on individual learning and increasing inter-
school staff or the students or both. During personal effectiveness whereas Learning
OLA a new concept, ‘social exclusion’ from Success, Action Evaluation/C3, and
(Rosenfeld and Tardieu, 2000), entered the dis- Organizational Learning in Action focus on
course and struck the learning team members collective learning and action. The latter three
as remarkably descriptive of the experience of also have a more explicit research focus, pro-
the students. Unlike terms such as ‘at risk’ or viding formal means for conceptualizing and
‘underachievers’, which imply a deficit model, documenting the products of learning. Specific
this new framing enabled the NEE staff to applications are often the result of integrating
articulate what they knew – that the problem action science with existing theories and
involved an ongoing dysfunctional relation- methods in fields such as family therapy
ship between these students and the school (Kantor, 1999), conflict resolution (Rothman,
system. It also helped them see how teachers 1997a; Stone et al., 1999), or program evalua-
and administrators working with these students tion (Chen, 1990).
experienced exclusion as well. Finally, it led These applications have gone a long way
them to reframe their intervention as reversing to taking the ‘mystery’ out of the ‘mastery’ of
the cycle of exclusion and fostering social the founders, Chris Argyris and Don Schön
inclusion. This reframing created the basis for (Schön, 1987). They demonstrate that action
developing a theory of inclusive educational science concepts and skills can be structured
practice that linked up with mainstream theory and systematized so that people can put them
and research on social exclusion and inclusion into practice at different levels of intensity.
(Razer et al., 2005). This growing body of People can facilitate action science processes
practice theory was then used as the basis for without necessarily becoming masters or
developing an MA program in inclusive edu- undergoing extensive ‘reeducation’ (Argyris
cation at a college of education. et al., 1985).
ACTION SCIENCE 263
These examples of action science have self-interest. This suppression of self-interest

developed in ways that are quite loosely cou- forces subjective factors underground (deep
pled. To the best of our knowledge, there are into the ‘left-hand column’) where they wreak
no academic departments devoted to action all sorts of havoc. Action science wants to legit-
science research and training, no institutes for imate the discussion of self-interest, moving
the promotion of action science, no action more of this material to the ‘right-hand column’
science associations, and no action science where it can be made discussable and openly
journals. The lack of an institutional base and tested (Rogers, 2005).
coordination limits knowledge sharing and Action science is more of a grounding of
cross-fertilization among people working in action research, like critical theory (Kemmis,
this field. It probably also limits action 2001/2006), social constructivism (Lincoln,
science’s impact and action research in general 2001), or participatory action research (Fals
and may threaten its continued development. Borda, 2001/2006), than a discrete method or
There are, however, advantages to this kind practice. It offers a number of very important
of evolution. First, it allows for diverse and contributions that can be integrated into
creative applications; there appears to be no many, if not most, action research practices.
action science orthodoxy and few struggles First, it offers a framework for bringing
over who has got it right. Although Model II causal theories back into action research, not
values inspire and guide all of these applica- in the sense of demonstrating the relationship
tions, not one of them sets out to show people between discrete variables, but rather in the
that they are Model I and that they need to sense of knowledge that enables people to
learn Model II. In addition, Learning from produce desired ends. This kind of causality
Success and Action Evaluation/C3 represent is closely linked with how people make
significant departures from the early action meaning as they seek to resolve problems or
science focus on retrospective learning from uncertainties. The second contribution is pro-
error, failure, and ineffectiveness (e.g. Argyris, viding very specific and practical methods of
1982; Argryis and Schön, 1974, 1978). testing that can help action researchers deal
These applications also shed light on the more effectively with questions of validity.
ambiguous role of ‘rationality’in action science. Finally, the action science approach provides
On the one hand, ‘be rational’ was identified as a means for tracing the recursive causal links
a Model I value (Argyris and Schön, 1974). On between our own reasoning and behavior
the other hand, action science inquiry is heavily and the behavior of the social contexts in
in favor of rationality – using reason, logic, and which we live. This knowledge is liberating
testing against empirical evidence to manage because it enables us to shift from frames of
differences. Indeed, this preference is some- helplessness to a proactive stance of discov-
times misinterpreted as an injunction against ering our causal responsibility and leverage.
expressing feelings. However, as seen in Action It enables us to transform obstacles into
Evaluation/C3, the expression of passion can research questions and expand, if only in
be an important part of action science inquiry – small steps, our ability to create the world
and we believe this is implicit in the other we want.
approaches described here.
As we understand it, ‘be rational’, in the
Model I sense, means suppressing subjective ACKNOWLEDGMENT
preferences and focusing on objective factors
(Rogers, 2005). Diana Smith (1995: 11) We wish to thank Ariane Berthoin Antal,
suggested this interpretation in her analysis Orlando Fals Borda, James Ludema, Robert
of boardroom power politics, where execu- Putnam, Jay Rothman, and Israel Sykes for
tives used strategies designed to prevent their helpful comments on earlier versions of
anyone from attributing their positions to this chapter.
264 PRACTICES
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266 PRACTICES
18
Clinical Inquiry/Research
Edgar H. Schein
This chapter explains and illustrates the concept of clinical research by contrasting this form
of empirical data gathering to the other major forms of research. The chapter tries to illus-
trate where each form of research is most appropriate and argues that clinical research,
though driven by client needs, is not only a legitimate form of empirical research but actu-
ally has great advantages over the other forms of positivistic research when one is dealing
with complex human systems.
The basic purpose of this chapter is to show byproduct of helping rather than a primary
that useful data can be gathered in situations goal. The use of the word ‘clinical’ is therefore
that are not initiated by the researcher. appropriate inasmuch as the inquiry always
Gathering data, building concepts and devel- starts around some problem or issue that a
oping theory is the result of a research atti- client brings to a helper (therapist, consultant,
tude, a desire to clarify what is going on and coach, counselor). Even if the goal is couched
communicate that clarification to other in positive terms such as would be advocated
researchers. It is my argument that some of by the proponents of appreciative inquiry (see
the best opportunities for such inquiry actu- Chapters 12 and 19), there is always under the
ally arise in situations where the setting is surface some assumption of ‘pathology’,
created by someone who wants help, not by something that is wrong or could be better.
the researcher deciding what to study. Though clients prefer not to talk about pathol-
Gathering useful data in settings that are ogy, from the point of view of the helper there
defined by ‘clients’ who are seeking help is is always pathology present and that needs to
what I mean by clinical inquiry/research be understood. Indeed a better understanding
(Schein, 1987a, 1999a, 1999b, 2003, 2004). of the pathology of a given situation is often
The major implication of this way of the most profound research result of what I am
thinking is that knowledge production is a calling clinical inquiry.
CLINICAL INQUIRY/RESEARCH 267
How is this idea connected to participatory greater willingness of the clients to provide
action research (PAR)? By definition clients data that they might otherwise wish to with-
participate and are involved in the clinical hold or be unaware of (Schein, 1999a,
process of working on their problems or 1999b). The clinician/helper can then
issues, but they are not necessarily involved in migrate into other research roles and ask
‘research’. This is a crucial point in that the questions that subjects would ordinarily not
client may not have any interest in research at answer because they might regard it as ‘too
the beginning of the engagement and may, in private’ or ‘none of the researcher’s busi-
fact, never get involved in the research com- ness’. I suspect that ethnographers also have
ponent. Nevertheless, it is my argument that if to become ‘helpers’ in some way or another
the clinician helper has a research attitude, he before they begin to get more intimate data
or she may learn a tremendous amount during about the cultures they are studying.
the helping process and such knowledge will To clarify what CIR means conceptually
often be more useful than what a formal and operationally I need to locate it among
researcher may find, no matter what version of various other forms of conventional research
conventional or action research is used. and action research. My goal is to show that
Many would argue that ‘action research’ is in each of these types of research a somewhat
precisely geared to this point. However, the different psychological contract develops
original definition of action research was to between the researcher and the subject
take research subjects or targets of change (client) which has consequences not only
programs and turn them into researchers by for the kinds of data that can be gathered
involving them in the research process. The and for issues of reliability and validity, but
research agenda is still defined by the also for the welfare of the subjects.
researcher or change agent, and the ‘subjects’ Three basic dimensions differentiate various
or ‘targets’ become involved as a result of kinds of research with human systems, as
researcher initiatives. The researcher’s skills shown in Figure 18.1; 1) whether the initiative
in gathering and analyzing data are the pri- for the inquiry is launched by the participant or
mary bases for the quality of the outcome. the researcher; 2) the degree to which the
Clinical inquiry research (CIR), by contrast, researcher/inquirer becomes personally involved
involves the gathering of data in clinical set- in the inquiry process; and 3) the degree to
tings that are created by people seeking help. which the participant in the research becomes
The researcher in these settings is called in personally involved in the process.
because of his or her helping skills and the These dimensions produce eight different
subject matter is defined by the client. If the kinds of inquiry models and psychological con-
helper takes an attitude of inquiry, this tracts. I will briefly describe each of these cells
enhances not only the helping process but and give illustrations of the kinds of research or
creates the opportunity for using the data that inquiry that characterize them. CIR will then
are produced to build concepts and theory stand out in sharp contrast to the other models
that will be of use to others. The best ex- of inquiry, and it is this contrast that most
amples come from medicine, particularly clearly defines the characteristics of CIR.
psychotherapy, where the publication of
analyses of selected cases builds knowledge
for fellow practitioners and interested RESEARCHER INITIATED INQUIRY
researchers.
An additional argument for CIR is that The first four kinds of research that will be
once a helping relationship has been built described below have in common that it is
with a client or client system (group or orga- the researcher who makes the initial decision
nization) the door is open for the researcher to get connected to some members of an
to seek additional data based in part on a organization, who advertises for ‘research
268 PRACTICES
Researcher/consultant initiates the project

Subject/client involvement
Low High
Researcher Low 1. Demography 2. Experiments and surveys
involvement High 3. Ethnography and participant observation 4. Action research
Subject/client initiates the project

Subject/client involvement
Low High
Researcher involvement Low 6. Internship 7. Educational interven-

tion and facilitation
High 5. Contract research and expert consulting 8. Process consulting and
clinical inquiry
Figure 18.1 Types of researcher/consultant/subject/client relationships
subjects’ or who begins to make unobtrusive international assignments. He had records of

observations of some phenomenon he or she the actual movement of all of the top execu-
is interested in. If the research is to take place tives for the past 20 years, so we jointly
in an organizational context, the major up- decided that the ‘research’ would be an
front issues are: 1) how to get ‘entry’ into the analysis of these records to determine
organization and 2) how to elicit the co- whether actual patterns of greater or lesser
operation of organization members so that movement were related to career outcomes
they will become willing research subjects. of various sorts. This required coding of the
How these issues are resolved depends on records and statistical analysis, which
how involved the subjects become in the revealed clear patterns that later became the
inquiry process and how involved the basis of recommendations for future execu-
researcher becomes with the participants. tive career management.
The essence of this kind of research is that
the participant may never be involved at all
Cell 1: Low Researcher and Low and the researcher takes a fairly uninvolved
Subject Involvement – e.g. role. It is the research question, the data and
Demography the research methods that drive the process
and that define the ‘quality’ of the research.
In this form of inquiry a researcher decides on
Joseph Campbell’s analyses of heroic myths
a topic and finds a way of gathering data that,
and David McClelland’s analyses of achieve-
at the extreme, may not involve the participants
ment motivation in different cultures based
at all. At the same time the researcher attempts
on analysis of their art and literature would
be objective and distances him or herself
be good examples.
from the data. Examples would be to work
with demographic variables or records. For
example, when I was a consultant with Ciba- Cell 2: Low Researcher but High
Geigy in the late 1970s my primary client was Participant Involvement –
the head of management development. He was
Experiments and Surveys
asked at one point to make some recommenda-
tions about the relative importance for execu- This form of research also starts with the
tive development of cross-functional and researcher formulating the question, issue, or
problem but differs from Cell 1 in that the and that becoming helpful in some way is,
method chosen requires some direct involve- in fact, necessary for any valid data to be
ment of the participants. The researcher gathered. A seemingly trivial yet important
develops a design that minimizes researcher example was Gideon Kunda’s experience try-
bias such as a double-blind experiment, but ing to gather data in an engineering group.
the participant has to display some behavior, They were quite aloof until one lunchtime
opinions, or feelings that become the primary Gideon helped to win a soccer game for the
data to be analyzed. In the organizational group. Suddenly he was one of the gang and his
context experiments are rare, though Kurt ability to get answers to questions increased
Lewin was a genius in setting up experimen- dramatically (Kunda, pers. comm., 1992).
tal situations that enabled us to perceive what
the dynamics were of different kinds of lead-
ership and group climates (Lewin, 1952, Cell 4: High Researcher and High
1999). Muzapher Sherif in his experiments Subject Involvement – Type 1
with boys clubs showed us clearly what some
Action Research
of the dynamics of inter-group competition
are (Sherif et al., 1961), and the Bavelas/ Kurt Lewin’s dictum that you cannot under-
Leavitt experiments on group communica- stand an organization until you try to change
tion patterns remain as classics showing the it is perhaps the clearest theoretical justifica-
power of well designed experiments tion for the kind of research that occurs in
(Bavelas and Strauss, 1962; Leavitt, 1951). this cell and that led to the label ‘action
research.’ It is worth retelling the story of
how a group of researchers at an early group
Cell 3: High Researcher but Low dynamics workshop at Bethel, Maine, were
Subject Involvement – Participant sitting around one evening trying to analyze
their group observations of that day. A num-
Observation and Ethnography
ber of participants drifted into the room and
The classic form of this kind of research is started to listen to what the researchers were
participant observation or ethnography. In its talking about. At one point some of these
pure form the assumption is made that the participants heard analytical comments that
researchers become totally involved while, at did not fit what they remembered as having
the same time, trying to remain objective and happened so they intervened and said that
to minimize their impact on the participants. they wanted to tell their view of what had
It is important for ethnographers to be able to gone on. This led to a joint analysis of the
argue that their time spent in the culture did data by both researchers and participants,
not influence the culture, hence their data which proved to be much richer than what
could be trusted to be ‘objective’. the researchers had come up with them-
In this kind of inquiry researchers have to selves. Such joint analysis then came to be
work actively with the participants to gather seen as a legitimate form of inquiry even
the data even as they are concealing the pur- though by Cell 1 standards it could be
pose of the inquiry and the way in which the viewed as ‘contaminating’ the data.
data will be analyzed (Van Maanen, 1979; In this kind of action research the
Whyte, 1943). The evolution of projective researcher remains in control and defines the
tests can, in fact, be related to the need to goals of the inquiry as in ‘survey-feedback’.
have a measurement tool that the subject is The design of the research process is geared
unable to decipher, and may be used in either to getting ‘valid data’ and the involvement of
Cell 2 or Cell 3 as part of the inquiry process. the participants is justified primarily by the
However, I suspect that ethnographers can- assumption that the data will be that much
not not influence the culture to some degree better if they are involved. Where surveys are
270 PRACTICES
involved the researcher may train various Unfortunately most researchers operating
managers to give feedback to the employees in this mode have little or no training in how
in order to initiate remedial action. to assess the consequences of their research
Metaphors such as ‘cascading the data down interventions for the participants. The
the organization’ are used to highlight the assumption that research is benign allows
action research elements and to show how researchers to proceed without worrying too
the involvement of the participants in the much about the effects they may have on the
data analysis will lead to improved organiza- participants.
tional performance.
This form of action research differs from
Cell 3 research in that the goal of the Cell 3 CLIENT INITIATED INQUIRY
researcher is to gather data as a basis for action,
whereas the Cell 4 researcher acknowledges If an individual in a group or organization
that until the participants become involved in needs some kind of help or solicits some
the gathering and analysis of the data we do not research to be done in the organization, the
know enough to take the right kind of action psychological contract is much more com-
and get the intended result. But this type of plex. We can no longer think of research
action research is also blind to the fact that the ‘subjects’; the participants now become
administration of the initial survey is itself ‘clients’ who will pay for the services ren-
already an intervention, whether or not the data dered and will want to participate in various
are fed back to the participants. In summary, ways from the outset. Some level of entry
when the researchers choose the focus of the into the organization is guaranteed, but the
research, they have the problem of gaining person invited in to help must have helping
entry into the research site and eliciting the skills and must focus, at least initially, on the
cooperation of the research subjects. Even if areas of concern defined by the client
subjects are only to be observed, they must (Schein, 1999a). For many helpers, profes-
agree to the researcher’s presence and hope- sional consultants or therapists, these consid-
fully ignore the researcher sufficiently to erations limit their self-concept to that of
allow the assumption that what is observed is helper. They do not consider the possibility
not influenced in a major way by the of gathering valid data in the helping context,
researcher’s presence. The researcher offers and this self-perception is reinforced by the
as his or her contribution to the psychologi- academic journal stance of not honoring case
cal contract that the results will be fed back descriptions and other forms of qualitative
to the participants in some form or another, that research as legitimate ‘science’. My argu-
the results may be helpful to the participants ment is that not only should data gathering
and, most importantly, that the participants will based on helping be considered legitimate
not be harmed. Hence confidentiality is research, but also such data are often deeper
promised and the researcher may offer to let the and more valid than any data gathered in the
participants see what will be published about researcher initiated models (Cells 1–4).
them. What remains unstated and often unex- What this means, in essence, is that client
plored by either researcher or participants is initiated inquiry is restricted in scope but is
the consequences of participation itself. Most potentially much ‘deeper’. It also means,
researcher initiated research in all of the however, that the research component must
above cells assumes that the research process be governed by the ethics of intervention. If
itself is more or less benign, that it ‘precedes’ the helping process compromises the data
intervention, and that the research process and/or if certain kinds of data gathering
if anything will benefit the participants would not be helpful they must be aban-
in that it gets them to inquire into their own doned. The researcher must find ways of
processes. checking reliability and validity within the
parameters of the intervention model and In terms of consulting models, this cell
must build the research agenda around the would include both what I have called ‘pur-
possibilities that the client makes available. chase of expertise’ where the consultant is
As we will see, the boundaries between hired to provide information and advice, and
the four cells in this domain are not as clear- the ‘doctor’ model in which the consultant is
cut. Clinical research becomes possible to hired to provide both diagnosis and a pre-
some degree in each cell. Nevertheless it is scription (Schein, 1999a). The project is
useful to distinguish some of the conse- often defined as ‘finished’ when the consul-
quences of different degrees of involvement tant has delivered a recommendation and, in
by the client and the researcher. fact, some consulting models consider the
delivery of a recommendation to be the very
essence of consultation.
Cell 5: High Researcher, Low Client The ethical issue is especially sharp in this
Involvement – Contract Research, cell because the researcher has the license to
gather data without having to worry about
Expert Consulting
the consequences for the client because it is
One variant of this kind of inquiry results the client who has launched the inquiry.
when the client decides the research agenda Contract researchers, if they are to be help-
and hires a researcher to implement it. The ful, must understand the impacts of their data
client defines the problem, decides that some gathering methods and must educate clients
formal research is the way to solve it, decides to those impacts before they undertake the
who the researcher is to be and then empow- data gathering. Otherwise there is a risk that
ers the researcher to proceed. Externally con- not only will parts of the client system be
ducted employee or customer surveys, harmed by the research but that the data, may
benchmarking studies of various kinds such not be valid because of distortions introduced
as salary surveys and various other kinds of by employees who feel treated like ‘guinea
‘contract’ research would fit this model. The pigs’. They may be overly negative because
most recent version is the desire by many ‘finally someone is listening to us’ or overly
organizations to do a ‘cultural assessment’. positive because ‘even though they promised
What the client wants in this model is data us confidentiality we better be careful what
and information. The helper/consultant is we say’. In either case management’s deci-
hired to be an expert in providing it. If the data sion to do the research signals their self-per-
are primarily gathered outside the organiza- ception as having the right to gather such
tion the model resembles traditional research. data, which in itself may be new information
However, if the data are to be gathered inside to the employees about their own culture. All
the organization such as in an attitude survey, too often employees have learned that this
the issue of client involvement becomes com- kind of inquiry is a prelude to some form of
plicated because the data gathering is itself an restructuring or reorganization which invari-
intervention of unknown consequences. One ably involves layoffs. And, as much experi-
part of the client system launches an inquiry ence has shown, the expert or doctor often
process that has possibly unknown and unin- ends up delivering information and prescrip-
tended consequences for other parts of the tions that the client rejects because they do
client system. Whereas an outside survey is not fit the culture in some way or another,
justified to ‘help some outside group gather something the expert did not discover in the
information’, if the outsider is doing the sur- rush to do the contract research.
vey on behalf of some group inside the orga- The recent trend to do culture surveys then
nization, the participant has to wonder what is provides a Catch 22 situation, in that the
going on inside the organization that has moti- client system wants to find out what will
vated this activity. work in its culture, but does not realize that
272 PRACTICES
the very act of assessing the culture is itself a In my own experience, being the trainer in
cultural intervention of unknown consequence. a T-group was the setting where I first encoun-
For these reasons, Cell 5 ‘expert’ inquiry tered the power of this form of inquiry. I had
should not be undertaken unless the client and extensive training in small group research yet
clinician have established a relationship that discovered as I sat more or less silently in the
allows full exploration of the consequences of group that most of what was really going on
the research before the research is undertaken was not covered in the traditional research lit-
(Schein, 1999a, 1999b). erature, yet seemed more real and relevant to
group theory than what was in the literature.
Even though the T-group was an artificial
Cell 6: Low Researcher, Low Client training environment, the group phenomena
Involvement – Internship were very real and very vivid.
Years later at a management education con-
This kind of inquiry is really a variant of the
ference the question came up of what material
Cell 5 process but involves data gathering
professors used in teaching about organiza-
that is basically less involving to the helper/
tional phenomena. We discovered that each of
inquirer. Examples might be where the client
us used illustrations from our consulting expe-
asks for an analysis of demographic informa-
rience to a much greater extent than ‘findings’
tion or invites a graduate student to come in as
from traditional research. The traditional
an intern to ‘learn’ a bit about the organization
research informed our thinking and provided
or to do some ‘exploratory research’. The
models for what to observe, but the reality of
client stays in control of what will be done and
what was going on usually went far beyond
how, thereby limiting the involvement of the
those models and forced us to develop new
researcher. On the other hand, if the researcher
concepts and theories.
is invited into the organization in an internship
When we make educational interventions
or participant role, all the positive possibilities
like running a seminar for managers we learn
of CIR are created.
about them in part from their reaction to the
material we provide. For many academic
Cell 7: Low Researcher, High Client researchers such exposure to members of
Involvement – Educational organizations serves as their primary data-
base about what goes on in organizations. We
Interventions, Facilitation
enhance those data by putting participants
The potential for clinical research increases through role-plays or simulations and
as the client’s involvement in the total thereby learn a lot about how the participants
process of inquiry and getting help increases. think, but unless we are dealing with teams
If the client wants more than data and from the same organization we cannot learn
information, if he or she is willing to let the much about organizational dynamics per se.
researcher enter the organization to a greater The client implicitly or explicitly limits
degree, even into settings where ‘real work’ is the domain by choosing the focus of the
getting done, the helper can begin to observe educational intervention, but also opens the
‘real’ organizational phenomena. The proto- door to the helper who may need to gather
type of this level of inquiry is when the more information about the organization in
helper/consultant is brought in to facilitate a order to design a better educational program.
meeting or to make an educational interven- In that inquiry the helper can seek all kinds
tion like running a workshop or giving a lec- of information about the organization legiti-
ture to a group of executives. The helper is mately. In fact, the organization is often
licensed to observe what is going on but not anxious to reveal itself so that the educa-
licensed to influence the situation beyond tional program will be relevant to that orga-
what the client has contracted for. nization’s issues.
Cell 8: High Researcher and High diagnostic activities such as individual or

Client Involvement – Process group interviews. In most consulting situa-
Consultation and Clinical Inquiry tions there are extensive opportunities to
hang around and observe what is going on,
The clearest form of CIR occurs when the allowing the helper/researcher to combine
client and helper work together to decipher some of the best elements of the clinical and
what is going on in the context of some the participant observer ethnographic mod-
problem that the client is trying to solve. On els. The clinician can also gather demo-
the surface this resembles the kind of action graphic information and measure various
research that was described in Cell 4, but it things unobtrusively, but if the ‘subjects’ are
differs greatly because it is driven by the to be involved at all, they must be treated as
client’s agenda, not the researcher’s. ‘clients’ and involved on their own terms
The critical distinguishing features of this around problems they have identified.
inquiry model are: 1) that the data come volun- The clinical model reveals most clearly the
tarily from the members of the organization power of Lewin’s dictum that one cannot
because they initiated the process and have really understand a system until one tries to
something to gain by revealing themselves to change it. Repeatedly I have found both in
the clinician/consultant/researcher, and 2) that group training and in organizational consult-
the helper consultant actively involves the client ing that most of the relevant data surfaced as
in the inquiry process itself in order to improve a consequence of some specific intervention
the quality of the helping process (Schein, I made. In this model, intervention and diag-
1987b, 1988 [1969], 1999a). If the helping nosis become two sides of the same coin.
process is successful, the client is motivated to Everything the helper/clinician does is an
reveal more, hence the depths and validity of the intervention and, at the same time, every
data improve as the helping process improves. intervention reveals new data.
Valid data are the result of effective helping The power of this process is revealed as
rather than the basis for choosing interventions. one uncovers causal phenomena that lie in
Furthermore, as pointed out before, in the deeper levels of group and organizational
inquiry process the consultant/clinician is dynamics and that, when uncovered, lead to
psychologically licensed by the client to ask real ‘insights’ both on the part of the clinician
relevant questions which can lead directly and the client. And as the client becomes an
into joint analysis and, thereby, allow the active inquirer he or she sees new areas of
development of a research focus that is now relevant data to be collected that may never
owned jointly by the helper and the client. have occurred to the researcher.
Both the consultant and the client become The study of culture provides good
fully involved in the problem-solving examples of the complexity of these
process and the search for relevant data approaches (Schein, 1992, 1999b, 2004). In
becomes, therefore, a joint responsibility. the ‘expert model’ the client has asked for a
The helper is committed to a joint inquiry culture assessment and is prepared to pay for
and joint decisions on further interventions. the research on a contract basis. If the
In Cell 7 the helper can privately learn what researcher accepts the contract and initiates
he or she needs to know to produce a good the study, ethnography, formal surveying, or
educational intervention. In this cell the individual interviewing with or without pro-
helper wants to build joint knowledge so that jective tests might seem like the methods of
the client not only learns inquiry techniques choice. The researcher would then take all
but also becomes a co-researcher, which the data and write a description of the
enables both the research and helping culture, which might or might not be checked
processes to go much deeper. with participants, but the researcher would
The consultant/clinician is not, of course, remain in control. The pitfalls of this
limited to the data that surface in specific approach were reviewed above.
274 PRACTICES
In the process consultation CIR model I work–family relationships. However, it was

would first want to know what kind of help the intention of the researchers eventually to
the client was looking for and what he or she intervene in the client organizations to
meant by ‘culture’. What issues, problems, improve gender equity in work relations,
or aspirations motivated the request for a cul- placing the project into Cell 8 if they could
tural assessment in the first place? The get client involvement.
reason for this initial step is that any cultural Several organizations were approached at
assessment that tries to be general and high executive levels and permission was
encompass the whole culture would require granted to study work–family relationships
intensive observation and ethnographic inter- and gender equity in selected portions of
views. A researcher who promises to do this these organizations. Permission and entry
with a questionnaire or survey would be lim- were secured through processes of involving
iting the project to the few questions that the Human Resource Department contacts
could be asked in a survey which would bias and the managers of the groups who were to
the cultural study toward the researcher’s become both the research subjects and
theories. I would point out to the client that clients. Bailyn and her team gained access to
the contract research model might reveal several engineering groups in a large corpo-
accurate but very limited data and those data ration and launched their collaborative inter-
might be quite irrelevant to the issues the active action research in those groups.
client wanted to deal with. I would also point In one group the research findings were that
out that it would be much quicker and more the engineers did not have enough time
efficient to work inside the client system as a because of their demanding work schedule and
helper around the questions that motivated the heavy overtime that they already put in just
the culture inquiry in the first place. If we to get their regular work finished. When these
involved the participants in deciphering their data were fed back and worked on by both the
own culture this would help them to decide clients and the researchers it was discovered
for themselves what kind of culture interven- that the engineers viewed ‘work time as infi-
tions might be appropriate. I would also nite’ in the sense that the engineers worked
argue that if they become co-inquirers we until their work was done, even if that cut into
could go deeper into the culture and test the family time. The relationship was not recipro-
validity of what we find as we go along. Not cal, however, in that family time was bounded
only would it be more helpful to do the joint by the norm that you cannot skip work just
inquiry, but also the research data would be because your ‘family duties are not finished’.
more valid and deeper. The researchers, with the consent of the
clients, then shifted the emphasis to the ques-
tion of why the work schedule was so heavy
ILLUSTRATION NO. 1: in the first place? Working collaboratively
COLLABORATIVE INTERACTIVE with the researchers, who intervened primar-
ACTION RESEARCH ily by being a mirror around the data col-
lected, the engineers realized they had come
Lotte Bailyn and a team of researchers set to believe that high rates of interaction and
out in the mid-1990s to study and intervene teamwork were important, and that to facili-
on work–family interactions in organizations tate such interaction they had to be available
under the auspices of a Ford Foundation to each other at all times. This norm led to
grant (Bailyn et al, 2000). Initially the project frequent meetings, people wandering in on
appeared to fall in Cell 2 as being researcher each other all hours of the day, constant use
initiated with low involvement of the of the telephone, and other interactive activi-
researchers in the organizations studied ties that prevented them from getting their
but high involvement of the subjects who individual work done until late in the day and
would have to reveal information about their on overtime.
With this insight there occurred a further clerks would be needed and it was then dis-
shift in the role of the researchers toward covered that the bank had a powerful
becoming process consultants by beginning to unbreakable norm that it would not lay any-
work with the engineers on what might be done body off. At the same time it was discovered
about the stressful situation they were experi- that my client would not be able to relocate
encing. They jointly realized that the structure or retrain the many persons who would be
of the workday was negotiable, that the engi- displaced by the new technology. The exis-
neers did not have to be available to each other tence of the ‘no layoffs’ norm was well
all day long. They decided on an experiment to known, but no one had any idea of how pow-
declare certain hours during the 9–5 workday erfully held it was until the technological
as ‘private time’ where no phone calls, meet- change was attempted, and no one realized
ings, or interruptions were allowed. To their how overstaffed all the other departments of
own and the researchers’ amazement they were the bank were. The new technology was at
able to get all of their work done in the normal this point abandoned as impractical.
workday which, parenthetically, solved the In the traditional research model the exis-
work–family conflict as well. tence of this norm would be a sufficient
What is significant about this example is explanation of the observed phenomenon
that there was not a step in the middle where that a potentially useful technology failed to
results were published showing how work be adopted. But what I learned as a consul-
group norms of time management can become tant to the head of this unit ‘deepens’ our
dysfunctional. The researchers moved seam- understanding considerably. Once we dis-
lessly into a clinical role and, in that process, covered that the no layoffs norm was operat-
produced an intervention that changed the way ing, I began inquiries about the source of the
the organization worked which, in turn, norm and learned that it was strongly associ-
revealed the significant data that the actual ated with my client’s boss for whom ‘no lay-
workload was manageable within the normal offs’ was a central management principle that
workday. What this story also highlights is that he had made into a sacred cow. I had
the research and clinical agendas often overlap assumed from prior knowledge of social psy-
and that researchers have to be prepared to chology that norms are upheld primarily by
move into clinical roles just as much as clini- group members themselves. I found, instead,
cian helpers have to be ready to gather data and that in this situation it was the boss’s fanati-
put on researcher hats. cism that was really the driving force, an
insight that was confirmed three years later
when he retired. Almost at once it became
ILLUSTRATION NO. 2: DECIPHERING OK to lay people off but, surprisingly, the
A FAILURE TO IMPLEMENT A NEW new technology was still not implemented.
TECHNOLOGY Our previous explanations would both have
been wrong.
For several years I was a process consultant to As a traditional researcher, I would not
a senior manager in a bank operations depart- have been allowed to hang around for so
ment, helping him with a variety of projects. long, so I would not even have discovered
One of his main goals was to introduce an that the constraint on the new technology
effective new technology for handling various was something other than the no layoffs
financial transactions. Several years had norm and the presence of its powerful origi-
already been spent on developing the technol- nator. To explain further what was happening
ogy and contract research had been done to I had to draw on some other knowledge I had
determine the feasibility of introducing the gained as a member of the design team for
technology to the clerical workforce. the initial change. I remembered that the group
As the new technology was being had had great difficulty in visualizing what the
installed, it became evident that many fewer role of the new operator of such a computer
276 PRACTICES
program would be and what the role of that are all essential tools to maintain objectivity.
person’s boss would be. The group could not One should operate with self-insight and a
visualize the career path of such an operator healthy skepticism so that one does not mis-
and could not imagine a kind of professional perceive what is out there to make it fit our
organization where such operators would be preconceptions.
essentially on their own. I asked a number of The second part of the answer is that we
people about the new technology and con- are constantly forming and testing hypothe-
firmed that people did not see how it could ses and expectations about what we will see
work, given the kinds of people who were hired and hear ‘next’, especially immediately after
into the bank and given the whole career and we have intervened by saying or doing some-
authority structure of the bank. thing. Unexpected events are, in fact, one of
So what was really in the way of introduc- the best sources of cultural data. Theory and
ing the innovation was not only the norm of concepts play a crucial role in training for
no layoffs, but some deeper conceptual this kind of work. We do not go into human
problems with the entire socio-technical groups and complex social situations without
system, specifically an inability to visualize some knowledge of how individuals, groups,
and implement a less hierarchical system in and organizations work. Formal knowledge
which bosses might play more of a consul- gained in the other cells described above is
tant role to highly paid professional operators necessary and useful, but usually not suffi-
who, like airline pilots, might spend their cient to reveal the detailed events of clinical
whole career in some version of this new situations so experiential learning is crucial,
role. In fact, the no layoff norm might have and the earlier we learn to observe real
been a convenient rationalization to avoid events the better.
having to change deeper cultural assump- If we are reasonably careful about our own
tions about the nature of work and hierarchy hypothesis formulation and well trained in
in this bank. observing what is going on, we should be able
What the clinical process revealed was to generate valid knowledge of organizational
that the phenomenon was ‘over-determined’, and cultural dynamics throughout any period
multiply caused, and deeply embedded in a of interaction with an organization.
set of cultural assumptions about work, But if such dynamic ‘on line’, ‘here and
authority, and career development. now’ confirmation or disconfirmation of
our hypotheses and expectations is not
enough validation, another criterion of valid-
THE ROLE OF TRAINING AND ity is replicability, triangulation or cross-
‘ON LINE’ HYPOTHESIS TESTING checking. If other observers see the same
phenomenon that the clinician sees and if it
Hanging around organizations in a clinical occurs under conditions similar to the ones
consultant role reveals a lot, but is this valid where the clinician first observed it, that adds
knowledge? How do clinician researchers confidence that the clinician is observing
know when they know something? How do something real that is out there, not just in his
they avoid seeing what they want to see or her head. In the cultural arena especially,
through their own cultural lenses? The first evidence of shared tacit assumptions that is
part of the answer to these questions is that difficult to detect with questionnaires or
perception is a trained skill. Just as artists interviews surfaces readily when one
have to learn to see before they can render observes members of the culture in interac-
something, so clinicians have to train in tion. I have often checked with other out-
graduate programs to learn what to look for siders at a meeting whether what I saw was
and how to avoid biases. Formal documenta- also what they saw and found that the impor-
tion, field notes, diaries, and dictations done tant cultural data are clearly visible to multi-
immediately after an interview or site visit ple outside observers.
LIMITATIONS OF CLINICAL Calling what consultants do ‘organizational

RESEARCH therapy’ is not popular even though accurate.
However, this is mostly a linguistic semantic
The major disadvantage of clinical data is that problem in that clients don’t seek help unless
it is often not relevant to what the researcher they see something as ‘wrong’ or capable of
might like to study. The psychological contract improvement. By focusing on improvement
with the client entitles the helper to go deeper, one can sidestep confronting pathology, but at
but not really to change the subject and some point in the helping process the pathol-
broaden it to some research concerns he or she ogy has to be faced. Whether clients ask us to
might have. The client may not be part of the do contract research, support basic research, or
system that the consultant/researcher may hire us as consultants, are they not always try-
want to study. On the other hand, seeing any ing to make things better, which clearly
organizational processes at work first hand implies that they see something that is wrong
seems more relevant than trying to infer them or unsatisfying? It is almost the essence of life
from more superficial data. Organizations and in organizations to overcome things that are
their cultures and sub-cultures are often like not working as well as they could be, to
holograms in which seeing deeply into any achieve goals that are beyond what is possible
part of the system reveals the whole to a con- in the present – in other words, to overcome
siderable degree. the small and large pathologies of organiza-
Some would argue that a further limitation tional life. By not using the word clinical or
is the requirement to remain as much an out- therapy we are not avoiding the existence of
sider as possible so as not to perturb and pathology or its effects; we are only denying
influence the system. In my own view that is our own ability to face pathology squarely,
a misconception based upon an outdated analyze it, and deal with it.
view of science. As I have argued all along,
perturbing the system may be essential to
obtaining data on how the system works, but IMPLICATIONS FOR EDUCATION
such perturbation must be ethically circum- AND TRAINING
scribed. Only when the client is seeking and
getting help can the clinician validly make If we take this point of view seriously, what
certain kinds of interventions. I would does it say about our graduate education and
hypothesize, by the way, that good partici- training? I would not wish to abandon the
pant observers and ethnographers discover teaching of research as a logical process of
that the quality of their data improves as they thinking, nor do I want to abandon empiri-
become helpful to the organization in which cism. In fact, in my view, clinical research, in
they are working. It is inevitable that the that it deals with immediately observed orga-
insiders will not want someone to hang nizational phenomena, is more empirical
around who is not at least fun to talk to, to than much research that basically massages
trade points of view with, and even to get second and third order data. What is needed
advice from. In other words, good participant then is better training in how to be helpful
observation and ethnography inevitably and how to be a genuinely observant, inquir-
become CIR though that aspect is often not ing person so that organizations will want
written about or even admitted. our help and open themselves up to us more.
Some suggestions come to mind. Why
DOES CLINICAL EMPHASIS BIAS don’t we send all our graduate students off
US TOWARD PATHOLOGY? into organizations early in their graduate
training with the mandate to find something
Many clients want help but don’t want to where they can be helpful? Would it be that
admit that they have problems or poor health. hard to locate organizations that would take
278 PRACTICES
interns for six months to a year, not to subject clinical research as a valid part of our field
themselves to research but to have an intelli- and start to train people in helping skills as
gent, energetic extra hand to work on some well as in research skills. And we need more
immediate problems? The more immediate insight into our own cultural assumptions to
and practical the problems the better. determine how much they bias our percep-
Students would learn helping and inquiry tions and interpretations of what is going on.
skills fairly fast if they knew they would
need them during their internship.
Why don’t we teach our students basic inter- REFERENCES
viewing and observational skills at the begin-
ning of their graduate training? Instead of Bailyn, L., Rapoport, R. and Fletcher, J.K. (2000)
learning how to analyze tests or surveys, stu- ‘Moving Corporations in the United States toward
dents might spend more time analyzing the gender equity: a cautionary tale’, in Linda Hass,
everyday reality they encounter in a real organi- Philip Hwang, and Graeme Russell (eds),
zation. Particularly in the area of interviewing I Organizational Change and Gender Equity. London:
Sage. pp. 167–79.
have found most of my colleagues to be very
Bavelas, A. and Strauss, G. (1962) ‘Group dynamics and
naïve about the dynamics of this process, the intergroup relations’, in K. Benne and R. Chin (eds),
degree to which researchers ask essentially The Planning of Change. New York: Holt, Rinehart &
rhetorical questions, and the degree to which Winston. pp. 587–91.
they try to remain mysterious and distant from Hirschhorn, L. (1988) The Workplace Within.
the subjects by excessive use of jargon. Cambridge, MA: MIT Press.
Why don’t we use more clinical materials in Kets de Vries, M.F.R. and Miller, D. (1984) The Neurotic
our graduate programs, books by Levinson Organization. San Francisco, CA: Jossey-Bass.
(1972), Trist (Trist et al., 1963), Rice (1963), Kets de Vries, M.F.R. and Miller, D. (1987) Unstable at
Kets de Vries (Kets de Vries and Miller, 1984, the Top. New York: New American Library.
Kunda, G. (1992) Engineering Culture. Philadelphia, PA:
1987), Miller (1990), Hirschhorn (1988) and
Temple University Press.
others who try to lay out more systematically
Leavitt, H.J. (1951) ‘Some effects of certain communica-
some of the dynamic processes they have tion patterns on group performance’, Journal of
observed? It is shocking that so little of the clin- Abnormal and Social Psychology, 46: 38–50.
ical tradition that was started in the Tavistock Levinson, H. (1972) Organizational Diagnosis.
Institute studies in the 1940s has influenced US Cambridge, MA: Harvard University Press.
organizational research. Lewin, K. (1952 [1947]) ‘Group decision and social
Finally, why don’t we put much more change’, in G.E. Swanson, T.N. Newcomb and E.L.
emphasis on self-insight so that future clini- Hartley (eds), Readings in Social Psychology, rev.
cian researchers can get in touch with their edn. New York: Holt. pp. 459–73.
biases early in their career as a way of clari- Lewin, K. (1999 [1939]) ‘Experiments in social space’,
fying their vision? Reflections: The Journal of the Society for
Organizational Learning, 1 (1): 7–13 (reprinted with
the permission of the American Psychological
Association, © 1997).
CONCLUSION Ludema, J.D., Cooperrider, D.L. and Barrett, F.J.
(2001/2006) ‘Appreciative Inquiry: the power of the
The bottom line to all this, then, is that we unconditional positive question’, in P. Reason and
H. Bradbury (eds), Handbook of Action Research:
need clinical skills for generating relevant
Participative Inquiry and Practice. London: Sage.
data, for obtaining insights into what is really
pp. 189–99. Also published in P. Reason and
going on, and for helping managers to be H. Bradbury (eds) (2006), Handbook of Action
more effective. We need more journals and Research: Concise Paperback Edition. London: Sage.
outlets for clinical research, for case studies pp. 156–65.
that are real cases, not demonstration cases to Miller, D. (1990) The Icarus Paradox. New York: Harper
make a teaching point. We need to legitimate Business.
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London: Tavistock. Leadership, 3rd edn. San Francisco, CA: Jossey-Bass.
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280 PRACTICES
19
The Practice of Appreciative Inquiry
James D. Ludema and Ronald E. Fry
In this chapter, we discuss how to use appreciative inquiry (AI) as a generative form of action
research. We define AI as a process of collective learning – a way to explore, discover, and
appreciate everything that gives ‘life’ to organizations when they are most vibrant, effective,
successful, and healthy in relation to their whole system of stakeholders. To illustrate these
ideas, we walk step-by-step through an AI summit process with a large, North American trans-
portation company, Roadway Express. We show how Roadway used AI to include marginal
voices, strengthen relationships between labor and management, spark innovation, and pro-
duce significant short- and long-term business results. Based on the Roadway story, we offer
five recommendations to enhance the effectiveness of AI as a catalyst for positive change. We
conclude that although AI is primarily strength-based, it is much more than just a wish to be
positive. It is a robust process of inquiry and anticipatory learning that enables participants in
social systems to shape the world they most want by building new knowledge, spurring inven-
tiveness, creating energy, and enhancing cooperative capacity.
In Chapter 12, David Cooperrider and A BRIEF INTRODUCTION TO

Danielle Zandee provide an exploration of APPRECIATIVE INQUIRY
the conceptual underpinnings of appreciative
inquiry. In this chapter, we discuss how to Appreciative inquiry got its start in the early
use appreciative inquiry as a form of action 1980s when David Cooperrider, then a doc-
research. First, we introduce appreciative toral student of organizational behavior at
inquiry (AI) and its various forms of engage- Case Western Reserve University, and his
ment. Second, we provide the example of an faculty mentor, Suresh Srivastva, were doing
AI Summit (Ludema et al., 2003; Powley et an organization change project with the
al., 2004) with a large, North American Cleveland Clinic in Cleveland, Ohio. They
transportation company as an illustration. found that when they used the traditional
Finally, we explore some of the factors that organization development (OD) approach of
‘give life’ to AI as a powerful catalyst for problem diagnosis and feedback, it sucked
positive change. the energy for change right out of the system.
THE PRACTICE OF APPRECIATIVE INQUIRY 281
The more problems people discovered, the asked to use the method with the entire orga-
more discouraged they became; and the more nization of 8000 people. Cooperrider and
discouraged they became, the more they Srivastva called the approach ‘appreciative
began to blame one another for the problems. inquiry’, and the term first appeared in a
In fact, when Cooperrider and Srivastva footnote in their feedback report to the
noticed this same dynamic (discouragement Board. A few years later they published their
and blame) occurring among themselves and classic article ‘Appreciative Inquiry into
their colleagues as they analyzed their inter- Organizational Life’ (Cooperrider and
view data, they clearly saw the power of the Srivastva, 1987), articulating the theory and
questions they were using – on themselves! vision of appreciative inquiry as a paradigm
They and their colleagues saw first hand that shift for the fields of action research and
the questions they asked were having an organizational change. It was a call, as they
unexpected impact on the human system they wrote, ‘for a scholarship of the positive’.
were trying to understand and to help. Barrett and Fry (2005) describe AI as a
Second, they discovered that their work strength-based approach to transforming
was more powerful when they let go of the human systems toward a shared image of
very idea of intervening. Instead of interven- their most positive potential (Cooperrider,
tion they framed their task as inquiry – 1990) by first discovering the very best in
simply to be students of organizational life, their shared experience. It is not about imple-
to learn, to discover, and to appreciate every- menting a change to get somewhere; it is
thing that gave ‘life’ to the system when it about changing … convening, conversing
was most vibrant, effective, successful, and and relating with each another in order to tap
healthy in relation to its whole system of into the natural capacity for cooperation
stakeholders. In their analysis of the data, (Bushe and Coetzer, 1995) and change that is
Cooperrider and Srivastva engaged in a radi- in every system. At its core, AI is an invitation
cal reversal of the traditional problem- for members to leverage the generative capa-
solving approach. Influenced by the writings city of dialogue (Gergen, et al., 2004; Ludema
of Schweitzer (1969) on ‘reverence for life’, and DiVirgilio, 2006); to attend to the ways
they focused on everything they could find that our conversations, particularly our
that appeared to empower and energize the metaphors (Barrett and Cooperrider, 1990) and
system, everything contributing to excel- stories (Ludema, 2002), facilitate actions that
lence and high performance at the clinic. support our highest values and potential. An
Even though, in the early stages, they still appreciative inquiry effort seeks to create gen-
asked some traditional diagnostic questions erative conversations that break the hammer-
(such as ‘Tell us about the biggest problem lock of the status quo and open up new
facing you as a chairman of your depart- alternatives for organizing.
ment’), they decided later, in preparing their
feedback report, to emphasize all the genera- Toward a Positive Revolution in
tive themes: moments of success; experi- Change
ences of high points; and stories of
innovation, hope, courage, and positive Since the early 1980s, AI has grown exten-
change. Instead of doing a root-cause analy- sively around the world. It has been used by
sis of failure, they let go of every so-called thousands of people and hundreds of organi-
deficiency and turned full attention to analy- zations in every sector of society to promote
sis of root causes of success. transformative change (see, e.g., Cooperrider
The results were immediate and dramatic. et al., 2001; Watkins and Mohr, 2001; Fry
Relationships improved, cooperation increased, et al., 2002; Ludema et al., 2003; Whitney
and visible commitments by the physicians and Trosten-Bloom, 2003; Cooperrider and
to change initiatives ensued. The Clinic Avital, 2004; Cooperrider et al., 2005;
Board was so enthused by the results that it Stavros and Torres, 2005; Barrett and Fry,
282 PRACTICES
2005; Cooperrider and Whitney, 2005; Benedictine University, Case Western

Thatchenkery and Metzker, 2006). Reserve University, Corporation for Positive
Appreciative inquiry has also given birth to a Change (www.positivechange.org), NTL
variety of public-dialogue projects such as (www.ntl. org), the Positive Change Corps,
Imagine Chicago (www.imaginechicago.org), (www.positivechangecorps.org), and the Taos
a citywide inquiry designed to promote civic Institute (www.taosinstitute.net) offer a vari-
discourse and innovation, Images and Voices ety of training programs for AI practitioners.
of Hope (www.ivofhope.org), a worldwide The AI Listserv (lists.business.utah.edu/
inquiry to strengthen the role of media in mailman/listinfo/ailist) allows anyone inter-
building healthy societies, and Business as ested in AI to engage in online dialogue with
an Agent of World Benefit (BAWB; http:// others. The AI Practitioner (www.airpracti-
worldbenefit.case.edu), a world dialogue tioner.com) is an up-to-the-minute quarterly
designed to engage executives, thought lead- journal that features new advances in the
ers, and change agents in reflecting on and practice of AI from around the world. The AI
convening around the subject of how the Commons website (http://appreciativein-
business sector might put its imagination, quiry.case.edu/) is a free, open-access
capacity, and resources to work on behalf of resource bank at Case Western University
society and the planet. that includes all things AI.
Appreciative inquiry is also quickly devel-
oping a robust theoretical foundation.
Yaeger, Sorensen, and Bengtsson (2005) esti- The Power of Appreciative Inquiry
mate conservatively that since 1986 close to to Transform
400 publications and 80 dissertations have
At its core, appreciative inquiry is the study
been written about AI, and many of these
and exploration of what gives life to human
have received awards from the Academy of
systems when they function at their best
Management, the International Management
(Cooperrider and Srivastva, 1987; Bushe,
Association, the Organization Development
1995). It is based on the assumption that
Network, the Organizational Development
every living system has a hidden and under-
Institute, the American Society of Training and
utilized core of strengths – its positive core –
Development, and others. A variety of master’s-
which, when revealed and tapped, provides a
level programs in management, organization
sustainable source of positive energy for both
development, education, and social change
personal and organizational transformation.
have incorporated AI into their coursework. At
Cooperrider and Sekerka (2003) relate this to
least two PhD programs in organization devel-
the concept of fusion energy in the sciences.
opment/behavior, at Benedictine University
Fusion is the power source of the sun and the
(www.ben.edu/odhome) and Case Western
stars. It results when two positively charged
Reserve University (http://weatherhead.cwru.
elements combine into one. In organizations,
edu/orbh), have made AI a cornerstone of their
when joy touches joy, strength touches
curricula. The emerging movements in positive
strength, health touches health, and inspira-
psychology (www.positivepsychology.org) and
tion combines with inspiration, people are
positive organizational scholarship (Cameron
liberated and empowered to create ascending
et al., 2003; www.bus.umich.edu/positive)
spirals of co-operative action.
provide additional theoretical grounding to
appreciative inquiry.
Finally, the community of AI practitioners
The Appreciative Inquiry 4-D Cycle
around the world is growing dramatically,
and an increasing number of resources As an approach to organization change, AI
are being made available. Appreciative involves the co-operative search for the best
Inquiry Consulting, (www.accon.suiting.org) in people, their organizations, and the world
Strategic Focus Discovery

‘What gives life?’
(The best of what is)
Appreciating
Destiny Dream
‘How to learn, empower, Positive Core ‘Envisioning what
execute, and improvise?’ could be?’
Sustaining Innovating
Design
‘What should be – the
ideal organization?’
Co-constructing
Figure 19.1 Appreciative inquiry 4-D model
around them. This is significantly different search beyond this; it begins to envision new
from conventional managerial problem-solving possibilities. Because these dreams have
with its root cause analysis or gap analysis. been cued by asking positive questions, they
The key task in problem-solving is to iden- paint a compelling picture of what the orga-
tify and remove deficits. The process typi- nization could and should become as it
cally involves: (1) identifying problems, (2) aligns with people’s deepest hopes and high-
analyzing causes, (3) searching for solutions, est aspirations.
and (4) developing an action plan. The third phase is to design the future
In contrast, the key task in AI is to iden- through dialogue. Once people’s hopes and
tify and leverage strengths. The steps dreams have been articulated, the task is to
include: (1) discovery of the best of what is, design the organization’s social architecture –
(2) dream to imagine what could be, (3) norms, values, structures, strategies, systems,
design what will be, and (4) destiny – to patterns of relationship, ways of doing things –
enact change learning to become what we that can bring the dreams to life. It is a
most hope for (see Figure 19.1). process of building commitment to a com-
The purpose of the discovery phase is to mon future by dialoguing and debating,
search for, highlight, and illuminate those crafting and creating until you get to the
factors that give life to the organization, the point where everyone can say, ‘Yes this is the
‘best of what is’ in any given situation. The kind of organization or community that I
list of positive topics for discovery is end- want to invest my energies in. Let’s make it
less: high quality, integrity, empowerment, happen.’
innovation, customer responsiveness, tech- The final phase, destiny, is an invitation
nological innovation, team spirit, and so on. to construct the future through innovation
In each case the task is to promote organiza- and action. People find innovative ways to
tional learning by sharing stories about times help move the organization closer to the
when these qualities were at their best and ideal. Because the ideals are grounded in
analyzing the forces and factors that made realities, the confidence is there to try to
them possible. make things happen. This is important
The second phase is to dream about what to underscore because it is precisely
could be. When the best of what is has been because of the visionary content, placed in
identified, the mind naturally begins to juxtaposition to grounded examples of the
284 PRACTICES
Table 19.1 Forms of engagement of appreciative inquiry

AI Summit: A large, multi-stakeholder group of people (30–thousands) participate simultaneously in a three- to five-day AI
4-D process.
Whole-System 4-D Dialogue: All members of the organization and some stakeholders participate in an AI 4-D process. It
takes place at multiple locations over an extended period of time.
Mass Mobilized Inquiry: Large numbers of interviews (thousands to millions), on a socially responsible topic, are conducted
throughout a city, a community, or the world.
Core Group Inquiry: A small group of people selects topics, craft questions, and conduct appreciative inquiry interviews.
Positive Change Network: Members of an organization are trained in AI and provided with resources to initiate projects and
share materials, stories, and best practices.
Positive Change Consortium: Multiple organizations collaboratively engage in an AI 4-D process to explore and develop a
common area of interest.
AI Learning Team: A small group of people with a specific project – an evaluation team, a process improvement team, a
customer focus group, a benchmarking team, or a group of students – conduct an AI 4-D process.
Progressive AI Meetings: An organization, small group, or team goes through the AI 4-D process over the course of 10 to 12
meetings that are each two to four hours long.
extraordinary, that appreciative inquiry contains a brief description of the core forms
opens the status quo to transformations in of engagement of AI.
collective action.
While this ‘4-D’ cycle remains the most
often used depiction of the AI process, it is TRANSFORMING PERFORMANCE
important to remember that AI is a dynamic THROUGH PARTNERSHIP AT
process and the ‘D’s’ simply represent differ- ROADWAY EXPRESS
ent, intentional sets of activities and conver-
sations, all linked to an affirmative inquiry
Introduction
topic. The linearity of this diagram should
not be mistaken for a ‘forced march’ agenda Roadway Express is one of the United States’
that one must follow. After Discovery, AI larger unionized, ‘less that truckload’ freight
processes can take varied paths. Our col- carriers. Founded in 1930 and headquartered in
league, Mac Odell, for instance, has modi- Akron, Ohio, they are today a subsidiary of the
fied his use of AI with thousands of Nepalese Yellow Roadway Corporation. Revenues
women to include seven D’s: Discovery, exceed $3.0 billion and they employ over
Dream, Design, Destiny, Drumming, 25,000 skilled and trained transportation pro-
Dancing and Doing. fessionals, the large majority of which are
unionized teamsters. They have approximately
350 sites throughout the USA, Canada, Mexico
Forms of Engagement of and Puerto Rico ranging from neighborhood
terminals with a handful of loading doors to
Appreciative Inquiry
their largest break-bulk hub with 460 doors in
There are many different ways to use appre- Chicago Heights, Illinois.
ciative inquiry to promote positive change in At a leadership development workshop
organizations and in communities. Each AI with some 30 Roadway Express senior lead-
process is designed to meet the unique needs ers who were being introduced to the con-
and goals of the people, organization, or cepts of AI, the then Chief Operating Officer
community involved. Table 19.1, adapted made the following comment: ‘I am begin-
from Whitney and Trosten-Bloom (2003), ning to see how this [AI] process might help
me with some issues we face like diversity, desired outcome of working together. This is
involvement, or morale. But my main con- often a re-framing exercise because of our
cern – the thing I lose sleep on – is margins. tendency toward deficit discourse. We are
I have to find a way to increase our margins trained to identify problems and often forget
to stay competitive. Can AI help with that?’ that chasing the solution may just create
The result of the ensuing conversation was another problem for someone else, or not get
that a headquarters group would embrace the us much further toward what we really wish
topic of optimal margins and sponsor three to for. Yes, we all want problems to go away,
four ‘pilot’ AI initiatives in the company to but why? What is the desired future on the
see if AI could really benefit their strategic other side of that problem? What is it we
objectives. They decided to begin by imple- most wish for at the end of the day?
menting an AI summit process with their two At Roadway’s ‘211’ Terminal, the initial
largest terminal sites. problem or challenge was ‘throughput’.
The AI Summit (Ludema et al., 2003; Corporate headquarters had determined that
Powley et al., 2004) is a method for acceler- 211 was lower than the overall company aver-
ating change by involving a broad range of age in terms of the amount of time it took to
internal and external stakeholders in the transfer arriving freight onto another truck and
change process in real time. It is typically a get it out the gates to its next destination. They
single event or series of events that bring believed that if 211 could improve its perfor-
people together to: (1) discover the organiza- mance in terms of the throughput metrics the
tion’s or community’s core competencies and company was using, it would have a direct
strengths; (2) envision opportunities for pos- effect on increasing margins, which was the
itive change; (3) design the desired changes overall company’s focal topic: optimal mar-
into the organization’s or community’s sys- gins. However, it was apparent from the start
tems, structures, strategies, and culture; and that if ‘throughput’ was to be the topic, few
(4) implement and sustain the change and were going to be excited about working on it.
make it work. AI summits vary in size, any- As one 211 union steward put it, ‘Throughput
where between 30 and thousands of people. is just another management word for “speed up
They typically consist of about two months tactics”, trying to get more out of us for noth-
of planning, three or four days of face-to- ing in return.’
face, real-time summit activity, and several At the 211 site, a design team was created
months of implementation and follow-up consisting of the site manager, a district sales
activities. What follows is a case description manager, a regional VP, several foremen, a
of the AI summit process at one of the clerk, an engineer, and three union stewards,
Roadway sites and then a summary of other consisting of a long and short-haul driver and
AI activities and results that occurred over a dock worker. The team was intentionally
the past four years, as Roadway continued to representative of the ‘whole system’ so that
apply and adapt AI to help transform as many distinct perspectives (e.g., levels,
performance and organization culture. functions, roles, affiliations) as possible
would be included in planning and imple-
menting the AI process. This group’s first
Topic Choice task was to convene for a day to reframe their
topic. They did AI interviews with each
AI begins with (re)framing the situation or other, probing into stories of when the 211
presenting issue in such a way as to attract site had been at its best, when they had indi-
interest and generate hope or positive vidually done something to speed the transfer
anticipation. The effort here is intentionally to of freight through the terminal, and their
word the focus of the inquiry in such a way images of an ideal future when their site led
that it captures what people are really curious the company in throughput measures. After
about and what they really want to see as a finding common themes among their stories
286 PRACTICES
and preferred futures, they divided into three Discovery

small sub-groups with a mix of job roles in After very brief welcomes, all participants
each and proceeded to brainstorm possible were paired with people they did not know or
topics that would be bold, exciting, a stretch work with to engage in appreciative inter-
for everyone, and affirmative – something all views with each other. (The AI Commons
the stakeholders at 211 would want to strive website has a variety of appreciative inter-
for. The following affirmative topic was cre- view guides, including those used at
ated by this group – Winning with Employee- Roadway.) In any AI process, it is important
Driven Throughput: Crushing Non-Union to begin with these one-on-one interviews.
Competition by Delivering Unsurpassed They (1) give everyone equal voice; (2)
Speed and Leveraging Employee Pride and establish a model of both sharing and listen-
Involvement. ing in a deeply focused way; (3) offer every
One can see quickly how the ‘manage- participant a chance to explore their own
ment’s voice’ for speed got into the statement thinking in the relative safety of a one-on-
and how the union’s voice for pride, involve- one dialogue; (4) quickly generate a deep
ment and crushing the non-union competitors sense of connection among participants; and
also came to the forefront. The important thing (5) draw out the appreciative foundations of
is that everyone in the design team believed the work to be done. Information, ideas, and
they could attract (vs. force or coerce) their stories that are generated during the inter-
constituencies to attend an AI meeting devoted views are referred to throughout the meeting.
to this topic, that their peers would really want In the case of Roadway, these interview
to work to make this topic a reality. conversations focused on stories of the best
of the past at 211 in terms of things that
related to the affirmative topic: unsurpassed
The Summit: Engaging the speed, leveraging employee pride, involve-
‘Whole System’ ment, and their ideal images of a 211 site that
they most wished to work in. The pairs then
The Design Team mapped all the stakeholder combined into ‘max-mix’ groups of eight and
voices that needed to be involved in an began to theme the key success factors that
inquiry into the affirmative topic (above). were embedded in their stories. Max-mix
They then invited 128 stakeholders (of a total groups are intentionally used in AI processes
of approximately 1100) to convene in a local to allow people to learn and understand the
hotel ballroom for three days to engage in the organization from diverse perspectives. Each
AI summit process. The group again repre- of these groups also noted key turning points
sented the whole system: drivers, foremen, and positive changes in the history of the 211
management, union stewards, fork lift opera- site on a timeline posted on one wall of the
tors, dock workers, clerks, sales representa- room. The result of this discovery process
tives, district executives, shop maintenance, included a consensual validation of 211’s
and customers. This principle of wholeness history in terms of key industrial moments,
is central to appreciative inquiry. When company changes and local 211 changes that
people engage each other and see intercon- resulted in improvement or business growth,
nections among departments, processes, as well as a prioritized list of key factors at
people, and ideas, they gain a deeper sense of 211 that drive success in terms of margin
empathy, a broader organizational mindset, growth and customer service.
and a better understanding of how to collab- As the latter were reported out from the
orate with others to get things done. If any- various mixed stakeholder groups, they were
one is missing, there is much less potential posted on a large drawing of a truck on one
for new discoveries, learning, cooperation, of the meeting room walls. The truck cab was
and innovative action (Ludema et al., 2003; pulling two trailers. The first one was labeled
Powley et al., 2004). ‘Our Positive Core’, and the most common
strengths to preserve from the discovery ideal future 211 site from their interviews
interviews were summarized and posted on and pulled out the most common themes and
that trailer. Among the most mentioned ideas for change. Each group was then tasked
common strengths to preserve were union to ‘portray’ some part of these images in the
pride, positive foreman–employee relation- form of a skit, song, poem, newscast, etc.
ships, driver–customer interactions, low While one might expect a male-dominant,
absenteeism, senior teamsters mentoring ‘nuts and bolts’ group like this to resist this
newer members, and cross-shift cooperation. kind of ‘fun and games’, the increased
Even at this early point in the process, sev- energy in the room was palpable. People
eral teamster participants were remarking could not wait to show their future images!
that this was a different kind of meeting than The combination of humor, humility, and
what they expected; that people were listen- provocative implications in the various skits
ing to each other for a change. seemed to catalyze and unite the entire room.
An important part of the discovery phase The key images conveyed through the pre-
was the involvement of the customer voice. sentations included drivers acting like sales
Four customers were invited to sit on a panel agents with their local customers, the site
during a working lunch. They were inter- interviewing customers to see if they quali-
viewed with similar questions to those that fied to be a preferred customer, dockworkers
the pairs had used: tell a story of a highpoint convening at the start of a shift without
experience with 211; tell a story of a time supervision to get organized for the day, an
that 211 helped add value to your business; outgoing shift giving ‘high fives’ to the
and share your ideal images of your com- incoming shift at the main gate, and a union
pany’s future and how 211 can contribute to employee operating an electronic kiosk to
your future success. After responding to access benefit information and to bid for
these questions in front of the whole group, work assignments.
an open question-and-answer session ensued. The mixed groups were then asked to con-
One of the important observations by the sider what they found most common and attrac-
managers was how interested and curious the tive in all the presentations, including their own,
union members were in finding out more and to generate two or three actionable ideas
about how the customers saw things. that would accelerate ‘Winning with
Employee-Driven Thoughput’. These ideas
Dream were called out and posted on a large Opportu-
The dream phase of an AI summit is an invi- nity Map on the wall (Ludema et al., 2003).
tation for the entire organization to engage in Everyone then got to vote with sticky dots on
a spirited conversation about their organiza- the four ideas (out of approximately 65) that
tion’s greatest potential. By doing this, the they felt were the most powerful and attractive
organization as a whole creates for itself pos- to them to work on for the rest of the summit
itive guiding images of the future that expand session. The voting produced seven clusters of
the realm of the possible and spur innovation ideas. Each of the seven were given a tempo-
(Cooperrider, 1990). For many organiza- rary label or title: Freight Ready Earlier; All
tional members, this is often the first time Stakeholders Engaged – Communication;
they have been invited to engage in dialogue Educate and Leverage Employee Experience;
about the strategic future of their organization. Measurement, Technology and Equipment;
Consistently, the process is both personally Bridging the Gap – Attendance; Bridging the
and organizationally inspiring. Gap – Positive Pride; Bridging the Gap – Bids.
At Roadway, with their strengths to pre-
serve (positive core) in front of them, the Design
multi-stakeholder groups began to share and The entire group then reorganized around the
analyze their greatest hopes and wishes for seven opportunity areas. They ‘voted with their
the future. They reviewed their images of the feet’ and walked to the specific opportunity
288 PRACTICES
area they most wanted to work on – at the design specific targets and action plans. For
summit and afterwards – to make it a reality. the Freight Ready Earlier group, their action
This idea of ‘voting with your feet’ (Owen, plans included the following:
1997) is essential to the design and destiny
phases of appreciative inquiry. It allows people Freight Ready Earlier
to follow their interests and passions rather • One-Year Goals:
than being forced or coerced to work on pre- • 50% freight back by 15:30 hours
determined priorities, and it invariably results • 90% freight back by 17:00 hours
in people gravitating toward activities where • City Wrap by 19:00 hours
they have the highest level of expertise and can
make the greatest contribution. Action Steps:
Design work began in each of the new
teams with the creation of a ‘provocative • If the customer has the freight ready, we need to
proposition’ describing what success in this be in position to pick it up. Credibility.
particular opportunity area should look like. • Need to accept inefficiencies and fine tune as we
Provocative propositions are statements of go.
• Communicate to the Customer what we are try-
how organizational members plan to organize
ing to accomplish.
themselves in pursuit of their dreams. They are • Reduce number of spots and attempt to pickup
a set of principles and commitments about how live.
people want to work together. They answer the • Combine early peddles to improve productivity
question: ‘What would our organization look and get out timely.
like if it were designed perfectly to help us • Focus on the most productive time for the city dri-
accomplish out dreams and produce the kind vers. We can improve production for the bulk of
of performance (human, technical, financial, our P&D business between 10:00-16:00.
environmental) we want?’ They provide posi-
tive anticipatory images for the groups to hold In the other groups, action items included
in front of them as they move toward specific things like experimenting with shift start-up
action planning (Ludema et al., 2003). For meetings with dockworkers taking the lead to
example, the Freight Ready Earlier group organize the agenda and set plans for the day,
crafted the following provocative proposition: short-haul (pick up and delivery) drivers
becoming more active in generating new
Freight Ready Earlier business from customers they knew best, a
Roadway Express is the #1 transportation pilot mentoring program for senior teamsters
provider in the world due to our unsurpassed
throughput service. Team sell is contagious. Each to coach and educate newer members about
employee is a stakeholder engaged in celebrating the costs of absenteeism and its impact on
the success of the company. Customers are hon- their competitiveness and pension funds,
ored to have 211 employees handle their busi- reorganizing the docks and adding music to
ness. All customer contact work groups are key the area, and increasing the flow of informa-
components in our success. They are recognized
as the best trained, most highly motivated sales tion through electronic kiosks or message
force in the universe. boards throughout the site
Drafts of these propositions were shared with Destiny

the entire stakeholder group and feedback Each opportunity group reported out their
was invited around two questions: 1) What revised provocative propositions, short-term
do you like most or find most powerful in the targets and key action steps to occur after the
statement – as it is now?; and 2) What would summit. After each report, a sensing of the
you add or edit to make it even more power- whole group was obtained by asking every
ful and attractive? With this feedback, each participant to hold up a green, yellow or red
team revised its proposition and proceeded to card to indicate their overall support of the
action plan. While green cards dominated on the docks) while others took more time (e.g.
each presentation, those holding up yellow or re-organizing the dock layouts to make the
red cards were tasked to give their feedback movement of freight more efficient). One sym-
or questions and concerns directly to the bolic act was to permanently mount the
team making the presentation during a break Opportunity Map created at the summit (with
that came right after the reports. the dot votes included) out in a central dock
To assist in follow-up after this summit, space. It remains there today, some 5 years
each of the seven teams was asked to find later.
two volunteers to become part of a steering Six months following the summit, a
group that would convene regularly with the one-day follow-up session was held. About 90
site manager to monitor progress and share stakeholders were invited, including members
best practices. It was also announced that from all the seven action teams and approxi-
there would be a one-day follow-up session mately 40 stakeholders who were not at the first
in six months to share progress, celebrate summit. Each team presented progress and
victories, and involve more stakeholders who accomplishments-to-date, and then invited the
were unable to come to this event. new attendees to join in discussions about next
The summit ended with an ‘open micro- steps. At the six-month follow-up meeting the
phone’ session where anyone could take a following progress metrics, in terms of
wireless microphone and say whatever they ‘Winning with Employee-Driven Throughput’
wished at that moment. Many of the com- were reported:
ments were full of emotions. Some reported
feeling like they could really speak their • Average throughput improved 47% to 64%.
• Average transit speed reduced 2.3 days to 2.1
minds for the first time in decades of work-
days.
ing for the company. Others remarked how • Average production efficiency increased 59%
much they enjoyed seeing everyone so positive to 64%.
about the company’s future and willing to • Percent freight dispatched by 05:00 increased
work together. Still others said how refresh- 16% to 27%.
ing it was to engage without the bickering, • Reduced need for formal grievance mechanism
complaining, or outright hostility that some- (zero grievances for 105 days!).
times surrounded the workplace.
Each of these results was considered positive
Immediate Results and indicative of ultimate ‘success’ at
The seven action teams met (approximately Winning with Employee-Driven Throughput.
one hour per week) over the next several Taken together they we deemed ‘beyond
months. During this post-summit work, the expectation’ by the terminal manager.
teams experienced a mixed reaction from
their peers; some were curious, interested, The Long-Term Generative Effect
and eager to get involved, while others were After just two summits at Roadway terminals
skeptical and even resentful that the teams like the one described above, it became
got permission to meet during work hours clear that common issues and opportunities
and they had to compensate for the absences. were arising, regardless of the specific affir-
In addition, it was difficult in the rushed mative topic that each site had defined.
work atmosphere to convey a sense of the Communication, mentoring, involving drivers
experience of the summit to those who had in sales, dockworker involvement in designing
not been present. For this reason, the steering their workspace, etc. were brought up across the
group felt it was important to involve new system. Roadway thus began a program they
participants in the follow-up session. titled Engagement through Education in the
Some changes occurred quickly (e.g. exper- Fundamentals of Business to build a real part-
imenting with union-led shift start-up meetings nership between the union and management.
290 PRACTICES
They began to train and educate everyone organization culture: employees becoming
with information to track their individual more educated as business people, more of
jobs to three key organizational metrics, an ownership mentality throughout the work-
including the union pension plan. These force, self-managed initiatives across the
sessions were included as part of every AI organization, the emergence of leaders at every
summit, which they began to conduct on an level, and a new foundation of trust and part-
annual basis. From 2001 through 2005, over nership between union and management.
60 summits of two to three days in length
were held, involving over 12,000 employees.
Efficiency improvements from the change ini- WHAT ‘GIVES LIFE’ TO EFFECTIVE AI
tiatives resulting from these AI interventions PROCESSES?
have been estimated at $10,234,603 in savings.
More telling is that in a totally separate, As mentioned earlier, there are many different
corporate-driven campaign in 2004 to cut ways to do appreciative inquiry, and each AI
costs from dock operations, the terminals process will be unique based on its purpose, the
where AI summits had occurred reported context in which it is done, the constellation of
average savings of $95,584, compared to people involved, the skill and preferences of
$14,135 coming from the non-AI sites. This those leading or facilitating, the kinds of
suggests that the capacity of all stakeholders resources available, and perhaps most impor-
at a given terminal to work collaboratively tantly, the surprises, innovations, and improvi-
and creatively to reduce costs was increased sations that occur along the way. At its best, AI
through the AI summit process, although the is less a science than an art, less a prescriptive
summit itself was not directly meant to method than a dynamic commitment to engage
address this. The discovery of real, shared with others in search and growth of that which
strengths, common images of a more positive gives, sustains, and enhances life in any given
future, and high engagement in implementa- setting or situation (Cooperrider and Srivastva,
tion of action initiatives resulted in more 1987). That being said, when AI is used as a
willingness to engage in similar ways around process for social and organizational change,
new opportunities or challenges. there are a number of factors that influence its
At terminal 211, the amazing drop in filed effectiveness. Below, we discuss five of these:
grievances from over 300 in the months prior to agreeing on a clear, relevant, and compelling
the summit down to zero over 105 days (and task; engaging the ‘whole system’; emphasizing
thereafter averaging only 0–5 per month) signi- inquiry and learning; focusing unconditionally
fies another example of a spread effect (Mantel on strengths and pushing beyond discovery and
and Ludema, 2000) coming out of the AI inter- dream to design and destiny. Certainly, there are
vention. If only those employees who partici- many additional factors to be considered, but
pated in the summit were somehow ‘changed’ they remain beyond the scope of this chapter.
to feel more engaged, committed, or willing to
partner with management, then the other 85
percent of the system should be expected to Agreeing on a Clear, Relevant,
behave as before. Something positive and
and Compelling Task
generative was surfaced at the summit that
began to influence the entire system – without One of the basic assumptions of AI is that
any specific or formal mechanism, goal, plan, human systems move in the direction of what
or process in place. they study (Bushe, 2001). During an AI
In sum, perhaps the deep, lasting transfor- process, the task focus serves to organize
mation at Roadway from the application of AI inquiry and dialogue, and hence to establish
practices is in what they term the ‘qualitative’ direction for the organization’s transformation.
differences they are experiencing at the level of A clearly stated task, defined by a design team
the represents the whole system, and a process more, compelling for the organization. They
carefully designed to keep the group on task began an inquiry into ‘Engagement through
are essential to success (Ludema et al., 2003). Education in the Fundamentals of Business’
This is true for two reasons. First, the task to build deeper partnership between the
determines what the group learns. For example, union and management and to equip people
the topic for the Roadway 211 summit was to track their jobs on key organizational met-
‘Winning with Employee-Driven Throughput: rics. The attractiveness of these tasks has
Crushing Non-Union Competition by Delivering enabled Roadway to sustain energy, align
Unsurpassed Speed and Leveraging Employee their actions, and produce impressive results
Pride and Involvement’. It was selected by the over more than a four-year period.
project’s design team, which was composed of
people from multiple levels and functions to
begin to represent the ‘whole system’. They Engaging the Whole System
selected this topic because it was relevant to
each of them at a deep strategic and emotional AI is grounded in social constructionist
level. It would enable them to grow and to bet- assumptions (Gergen, 1994, 1999; Cooperrider
ter accomplish their mission and goals as indi- et al., 1995), including the idea that people
viduals and as an organization. This singular invent and create their organizations and
focus allowed everyone involved to learn more communities through conversation about
about throughput, speed, pride, and involve- who they are (identity) and what they want
ment than any of them imagined possible prior (ideals). From this perspective, organizations
to the inquiry. can be understood as networks of conversation
Second, a compelling task – or inquiry (Ford, 1999) – multiple layers of conversations
topic – attracts people to want to invest energy that are embedded in other conversations. This
into it. Cooperrider (1990), Ford and Ford means that change agents work with,
(1994), and Weick and Quinn (1999) make a through, and on conversations to generate,
compelling argument that, particularly within sustain, and complete new conversations to
the context of continuous change, change bring about new patterns of action that result
occurs through a logic of attraction (Ford and in the accomplishment of specific commit-
Ford, 1994) rather than a logic of replacement ments (Ludema and DiVirgilio, 2006). This
(Ford and Backoff, 1988). People change to a is the essence of AI; it changes conversations
new position because they are attracted to it, and relational space that characterize the
drawn to it, or inspired by it. There is a focus on status quo by infusing intentionally worded,
moral power, the freedom of the change target, affirmative inquiries and focusing on narra-
and the role of choice in the transformational tives of success to explore some affirmative
process. In this model, to lead change is to topic and release pent up energy and ideas
‘pull’ change by showing people what is pos- that people have not felt encouraged or able
sible (a logic of attraction) rather than ‘pushing’ to express previously.
change by telling people what to do (a logic of To do this well, it is essential to have as many
replacement). relevant parties as possible engaged in the
At Roadway, a task that included both inquiry. When people inquire, converse, learn,
‘speed’ and ‘pride’ was attractive to the and take action across previously polarizing
whole organization. Everyone on the design boundaries, it has many benefits (Ludema,
team believed they could attract their con- et al., 2003). First, it eliminates false assump-
stituencies to invest, at least for a period of tions and evokes trust. Second, it allows people
time, in this task. As they got deeper into the to gain a sense of interdependence with others.
inquiry, both at terminal 211 and at other ter- Third, it lets people see, experience, and con-
minals, they began to discover that there nect with a purpose greater than their own or
were other tasks that were equally, if not that of their group or department. Fourth, it
292 PRACTICES
satisfies the fundamental human need to be part forms of action by creating energy; energy, in
of a larger community. Fifth, it fosters a ‘whole- the sense of being eager to act and being capable
organization’ perspective, which creates new of action. Following Maslow, McGregor, Ryan
possibilities for action, possibilities that previ- and Deci (2000), and much of the job design lit-
ously lay dormant or undiscovered. Finally, it erature, they argue that if a conversation sup-
establishes credibility in the outcomes. When ports the experience of autonomy, competence,
everyone is part of the decision- and commit- and relatedness, it produces energy. According
ment-making process, it has a stronger chance to Ryan and Deci (2000) autonomy suggests an
of being put into practice. Public commitments inner endorsement of one’s actions. The more
engender personal responsibility. autonomous the behavior, the more it is
It is particularly powerful when an AI endorsed by the whole self and is experienced
process brings together ‘improbable pairs’, that as action for which one is responsible. A con-
is, people who may be on opposite extremes of text that supports autonomy encourages people
a perceived dilemma. It is often precisely these to make their own choices and gives them free-
people who need to come together to make sig- dom to express themselves, to create, and to
nificant new progress on a particular agenda. lead. Competence is having the skills, abilities,
For example, in the case of Roadway, labor and and capacity to be successful. Contexts that
management needed to come together to work contribute to feelings of competence during
on both speed and pride. Had the ‘opposing’ action can enhance intrinsic motivation for that
points of view not joined in dialogue, meaning- action. Relatedness is the need people have to
ful, lasting, sustainable progress would not feel belongingness and connectedness with
have been made. They would have had to settle others. When people have a sense of related-
for ‘business as usual’. In any AI process it is ness, they feel like they are making a contribu-
essential to include people who bring dramati- tion to the greater whole and that the greater
cally different points of view to the process. In whole is making a contribution to them. AI
this way all the voices get heard, new connec- enhances the experience of autonomy, compe-
tions and relationships get made, and innova- tence and relatedness and generates energy for
tive solutions that were previously unimaginable action by creating conversational contexts
get created. where people have equal voice, where collec-
tive strengths are validated, and where they
can self-manage their destiny within strategic
parameters.
Emphasizing Inquiry and Learning
In the case of Roadway, the design team
Another basic assumption of AI is that ‘human developed a set of positive questions to guide
systems grow in the direction of what they most the AI process. These questions were asked
persistently, actively, and collectively ask ques- of everyone involved in the inquiry in order
tions about’ (Ludema et al., 2001/2006). This to bring forward best practices from across
reflects a fundamental commitment to inquiry; the organization. It unleashed system-wide
to learning as a way to change or develop learning and increased self-efficacy about
(Barrett, 1995; Bushe and Khamisa, 2005). It effective models of organizing and the forces
comes not so much from a choice to share and factors that made them possible. This
power but rather from a realization that manag- whole-organization learning, in turn, built
ing a change from a typical command-and- energy for action by providing people with
control perspective is not achieving the an increased sense of autonomy, competence,
intended results and that something else is and relatedness and led to a flurry of innova-
being called for – and that we (leaders and tion, such as shift start-up meetings led by
members) need to discover (learn) what that is. dockworkers, short-haul drivers generating
Quinn and Dutton (2005) offer one explana- new business, a new mentoring program,
tion for why this may be the case. They suggest reorganizing the docks, and increasing the
that new patterns of conversation lead to new flow of information through electronic
kiosks and message boards. AI is based on new information, all characteristics associ-
the assumption that perhaps the most impor- ated with learning. Joy leads to play, imagi-
tant thing a manager or change agent does is nation, invention, and experimentation, all
articulate questions. The questions we ask set characteristics associated with innovation.
the stage for what we ‘find’, and what we Hope (Ludema et al., 1997) leads to seeing
find becomes the knowledge out of which the adversity as a challenge, transforming prob-
future is constructed (Bushe, 2001). lems into opportunities, maintaining confi-
dence, rebounding quickly after setbacks,
putting in hours to refine skills, and persevering
Focusing Unconditionally in finding solutions, all characteristics associ-
on Strengths ated with achievement and goal accomplish-
ment. Pride leads to supporting others,
When an organization decides to embark expressing gratitude and appreciation, connect-
on an AI process, it is committing to an ing, and relating, all characteristics associated
unconditionally positive approach to organiza- with cooperation, coordination, collaboration,
tion change. AI begins with a deep exploration and pro-social behavior. Thus, positive emo-
of the organization’s ‘positive core’ – its tions generate energy by equipping people with
greatest strengths, assets, capacities, capabil- the enhanced thought–action repertoires that
ities, values, traditions, practices, accom- enable them to feel ‘eager to act and capable of
plishments, and so on. One of the reasons action’ (Quinn and Dutton, 2005). Over time,
this is so important is that organizations find these emotional response patterns become
their point of highest vitality at the intersec- enduring resources that buffer against depleting
tion of continuity, novelty, and transition experiences and fuel high performance.
(Srivastva et al., 1992). Vital organizations In the AI process, when a human group
know how to innovate and create unexpected comes in contact with its positive core a
newness (novelty). They know how to sense of hope and pride is enhanced
launch and manage planned change (transi- (Ludema, 2001). All stories about best past
tion). But perhaps even more important, experiences (no matter the topic) will
vibrant organizations are expert at connect- inevitably involve more than just the story-
ing the threads of identity, purpose, values, teller. Thus the capacity for cooperation is
wisdom, and tradition that support extraordi- revealed in new ways during the discovery
nary performance (continuity). process of inquiring into stories of past suc-
Fredrickson’s work (1998, 2003) suggests cess. This, in turn, fosters a desire to co-
this is true, in part, because of the power of pos- operate anew to utilize proven strengths or
itive emotions. According to her ‘broaden and capabilities. ‘I want’s’ are transformed into
build’ model, negative emotions such as fear, ‘we can’s’. As an example, in the Roadway
hostility, anxiety, and apathy lead directly to 211 summit, many drivers came into the
‘fight or flight’ behaviors, in essence narrowing room with a pet peeve: why won’t the com-
a person’s response options. Positive emotions, pany put air conditioning in the cabs as so
on the other hand, broaden a person’s capaci- many of our competitors have? After the dis-
ties. In the AI process of discovering strengths, covery interviews in pairs, summarizing col-
sharing dreams, and designing and enacting lective strengths from the individual stories
the desired organization, positive emotions at tables of mixed stakeholders, and sharing
are activated such as interest, joy, hope, and dreams of an ideal future, the expression of
pride in the association with others, the work, this concern became an action idea from one
and the organization. These in turn lead to of tables: Let’s do a study to determine the
the enhanced thought–action repertoires associ- increase in margins or revenues that could
ated with them. For example, interest leads to allow for a capital expenditure to enhance
investigation, exploration, becoming involved, all the cabs in the fleet. An unconditional
having new experiences, and incorporating focus on strengths allowed the group to take
294 PRACTICES
innovative action rather than get bogged down the future, but it made those possibilities real
in disappointments. Over time, this strength- and meaningful by designing them into the
based approach became an enduring resource organization’s social architecture.
and created a spread effect throughout the ter- The task of the destiny phase is to liberate
minal. This same effect proved true across and support action in service of the whole. It
Roadway; AI sites produced significantly better includes mobilizing key strategic action initia-
results in terms of innovation, cost reduction, tives that will move the whole organization
and grievances than did comparison sites. quickly and directly toward the commitments
made in the design phase. It also includes sup-
porting the dozens of improvisational initia-
Pushing Beyond Discovery and tives (Barrett, 1998; Bushe and Khamisa, 2005)
Dream to Design and Destiny that inevitably are generated through the AI
process. Support comes in many forms, such as
Social architecture is also a key ingredient in
time, people, funding, coaching, rewards and
the sustainability of large-scale change.
recognition, being an advocate for the work,
Passionate action on an individual basis is
integrating across teams, establishing a follow-
essential to organization change, but organiza-
up plan, or launching new waves of apprecia-
tional transformation is much more than the
tive inquiry.
cumulative mass of personal transformations.
It requires changes in the design of the organi-
zation. Time and again people in organizations
who have used AI identify deep change in the CONCLUSION
social architecture of the organization as a pri-
mary factor in their sustained success. Thus, in AI is first and foremost an approach to inquiry
any AI process meant to produce sustainable and anticipatory learning – not just a wish to be
large-scale change, the design phase may well positive. It is based on the assumption that in
be the most important part (Mantel and any organization, knowledge and information
Ludema, 2004). If overlooked or done poorly, are widely distributed and collaboratively cre-
it can breed cynicism when dreams and aspira- ated through conversation. By involving a broad
tions fail to be realized. If done well, it pro- spectrum of stakeholders and inviting them to
duces high levels of energy and performance inquire into the-best-of-what-is-and-can-be, AI
by engaging a wide range of people in author- enables organizational learning and spurs inven-
ing the organization’s future. tiveness throughout the system. It also builds co-
In the Roadway example, when asked to operative capacity by allowing organizational
identify key organization design ideas for members to understand one another’s perspec-
‘Winning with Employee-Driven Thoughput’, tive and by providing them a direct and imme-
the summit participants settled on seven oppor- diate connection to the ‘logic of the whole’.
tunity areas. They then broke into small groups AI distinguishes itself as an exclusively
around these opportunity areas, discussed and strength-based approach. It privileges atten-
wrote statements of how they wanted to orga- tion to strengths, life-giving forces, and suc-
nize in each area, got input (ideas, agreement, cess factors over root causes of problems,
approvals, resource commitments, etc.) from deficits, or breakdowns. This is based on the
others, and launched action initiatives to inte- understanding that a deep connection with
grate their design ideas into the day-to-day strengths provides organizational members
operations of the organization. By the end of with a sense of autonomy, competence, and
the summit, all of the small groups had the sup- relatedness, which in turn elicits positive
port of the whole system to take action on their emotions such as interest, joy, hope, and
new design ideas. This unleashed high levels of pride. Positive emotions enhance thought–
energy and cooperative action. Not only had the action repertoires by broadening the scope of
group discovered its positive core, strengthened attention, cognition, and action and building
relationships, and invented new possibilities for physical, intellectual, and social resources,
which lead to increased energy for action. AI Cameron, K.S., Dutton, J.E. and Quinn, R.E. (2003)
creates energy for action by boosting positive Positive Organizational Scholarship: Foundations of
emotions and increasing an organization’s a New Discipline. San Francisco, CA: Berrett-Koehler.
overall intelligence, creativity, resilience, Cooperrider, D.L. (1990) ‘Positive image, positive
and cooperative capacity. action: the affirmative basis of organizing’, in
AI has the exciting potential to bring S. Srivastva, D.L. Cooperrider et al., Appreciative
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Jossey-Bass. pp. 91–125.
thinking, learning and planning’ (Barrett
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20
PRA, PLA and Pluralism:
Practice and Theory
Robert Chambers
PRA (participatory rural appraisal) and the more inclusive PLA (participatory learning and
action) are families of participatory methodologies which have evolved as behaviours and
attitudes, methods, and practices of sharing. During the 1990s and 2000s PRA/PLA has
spread and been applied in most countries in the world. Among the multifarious domains of
application, some of the more common have been natural resource management and agri-
culture, programmes for equity, empowerment, rights and security, and community-level
planning and action. Related participatory methodologies which have co-evolved and spread
widely as movements include farmer participatory research, integrated pest management,
Reflect, Stepping Stones and Participatory Geographic Information Systems. Ideologically and
epistemologically PRA/PLA seeks and embodies participatory ways to empower local and sub-
ordinate people, enabling them to express and enhance their knowledge and take action. It
can be understood as having three main components: facilitators’ behaviours, attitudes and
mindsets linked with precepts for action; methods which combine visuals, tangibles and
groups; and sharing without boundaries. Good practice has moved towards an eclectic plu-
ralism in which branding, labels, ownership and ego give way to sharing, borrowing, impro-
visation, creativity and diversity, all these complemented by mutual and critical reflective
learning and personal responsibility.
Since the mid-1970s there has been an accel- learning and action (PLA). These are sets of
erating evolution of participatory methodolo- approaches, methods, behaviours and rela-
gies in development practice. One part of this tionships for finding out about local context
has been a sequence known by its acronyms – and life. All three continue to be practised and
rapid rural appraisal (RRA), participatory are in various ways complementary. RRA
rural appraisal (PRA), and participatory began as a coalescence of methods devised
298 PRACTICES
These were shown as three connected circles:

Behaviour methods; behaviour and attitudes; and sharing
Attitudes (Figure 20.1); Mascarenhas et al., 1991: 35A).
PRA methods, as they are often called, are
visual and tangible and usually performed by
small groups of people. These are the most
visible and obviously distinctive feature of
PRA. Maps and diagrams are made by local
Methods Sharing
people, often on the ground using local mate-
rials but sometimes on paper. Many sorts of
map are made – most commonly social or
Figure 20.1 Three principal components census maps showing people and their char-
of PRA
Source : Mascarenhas et al., 1991: 35A acteristics, resource maps showing land,
trees, water and so on, and mobility maps
showing where people travel for services.
Using earth, sand, stones, seeds, twigs, chalk,
charcoal, paper, pens and other materials, and
and used to be faster and better for practical objects as symbols, women, men and children
purposes than large questionnaire surveys or make diagrams to represent many aspects of
in-depth social anthropology. Its methods their communities, lives and environments.
include semi-structured interviews, transect The methods include timelines, trend and
walks with observation, and mapping and dia- change diagrams, wealth and wellbeing rank-
gramming, all these done by outside profes- ing, seasonal diagramming, Venn diagrams,
sionals.1 In the late 1980s and early 1990s causal linkage diagrams, and proportional pil-
participatory rural appraisal (PRA) evolved ing. Matrix ranking and scoring are used for
out of RRA. In PRA outsiders convene and complex and detailed comparisons. And there
facilitate. Local people, especially those who are many variants and combinations of these
are poorer and marginalized, are the main and other methods or tools.3
actors. It is they, typically in small groups, Behaviour and attitudes, later construed as
who map, diagram, observe, analyse and act. mindsets, behaviour and attitudes, were from
The term participatory learning and action early on regarded by many of the pioneers as
(PLA) introduced in 1995 is sometimes used more important than the methods. They were
to describe PRA but is broader and includes the focus of a South–South international
other similar or related approaches and meth- workshop which led to the publication of The
ods. Because of the continuities and overlaps, ABC of PRA (Kumar, 1996), where ABC
this methodological cluster or family is some- stands for attitude and behaviour change.
times referred to as PRA/PLA or even Some behaviours and attitudes were
RRA/PRA/PLA. Some, as in Pakistan, have expressed as precepts (see Box 20.4) like
sought to accommodate the shifts in practice ‘Hand over the stick’, ‘Don’t rush’, ‘Sit
by taking PRA to mean participatory reflec- down, listen and learn’ and ‘Use your own
tion and action.2 But increasingly practitioners best judgement at all times’.
in this tradition have moved beyond these Sharing initially referred to villagers shar-
labels and created new and specialized adap- ing their knowledge, all sharing food, and the
tations, some of these with other names. sharing of training, ideas, insights, methods
While continuing to use and evolve PRA and materials between organizations, mainly
methods and principles, many have become NGOs and government. By the mid-2000s
eclectic methodological pluralists. the sharing circle has come to include rela-
In the early 1990s the main features of PRA tionships. The key phrase ‘sharing without
emerged, with three principal components. boundaries’ (Absalom et al., 1995) came out
PRACTICE AND THEORY 299
of an international workshop of PRA practi- presented demonstrated a complexity, diver-

tioners and sought to make doubly clear the sity, accuracy and for many purposes rele-
principle of openness and sharing between vance far superior to anything that could be
methodologies. It was also a pre-emptive elicited or expressed using earlier extractive or
strike against the claims of branding and observational methodologies. This led to the
exclusive ownership which go with some practical principle that ‘They can do it’ applied
methodologies. to activity after activity, recognizing that local
people had far greater abilities for analysis,
action, experimentation, research and monitor-
THE EVOLUTION OF PRA AND PLA ing and evaluation than had been supposed by
outside professionals or by themselves.
In the evolution of PRA there was much inter- The stream flowed from RRA to PRA to
mingling and innovation (Chambers, 1994, PLA. PRA was most clearly identifiable in
1997). Among other sources were the the first half of the 1990s. In 1995 the core
approaches and methods of action science publication for PRA experiences, still known
(Argyris et al., 1985; see also Chapter 17), as RRA Notes, was renamed Participatory
reflection-in-action (Schön, 1983, 1987), pop- Learning and Action (PLA) Notes.4
ular education (Freire, 1970) and participatory For both RRA and the PRA/PLA which
research and participatory action research grew out of it there was a multiplicity of paral-
(BRAC, 1983; Rahman, 1984; Fals Borda and lel and simultaneous innovations which co-
Rahman, 1991; see also Chapters 2 and 3). evolved, spread and inspired. The Sustainable
From farming systems research came recogni- Agriculture Programme at the International
tion of local diversity and complexity Institute for Environment and Development,
(Norman, 1975), and from social anthropol- in London, played a key part in the RRA-
ogy the richness and detail of indigenous tech- PRA-PLA evolutions, transitions and spread.
nical knowledge (e.g. Brokensha et al., 1980; In what was labelled PRA, several traditions
Richards, 1985). The work of the Highlander developed. An early form in Kenya was
Research and Education Centre in Rural evolved by Clark University and the National
Appalachia (Gaventa with Horton, 1981; Environment Secretariat, adopted by Egerton
Gaventa and Lewis, 1991; Gaventa, 1993) University, and embodied in handbooks (e.g.
contributed the seminal insight that local PID and NES c.1989) which supported stan-
people with little education were much more dardized training for a sequence of activities
capable of doing their own appraisal and leading to community action plans. This
analysis than professionals believed. approach was then applied in parts of East
In the origins of PRA, the largest stream, and West Africa, for example The Gambia
though, was the confluence of agro- (Holmes, 2001; Brown et al., 2002). In India, a
ecosystem analysis (Gypmantasiri et al., few staff in two NGOs – the AKRSP (India)
1980; Conway, 1985) with RRA (KKU, and MYRADA – were major contributors to an
1987). RRA had semi-structured interview- epicentre of PRA innovation which generated
ing at its core (Grandstaff and Grandstaff, the more open-ended approaches which then
1987). Agro-ecosystem analysis crucially spread much more widely in India and the
contributed sketch mapping, diagramming, world. These approaches in turn took different
transects and observation. The big break- forms (Pratt, 2001): some stressed methods;
throughs were then the discoveries (or redis- others were more reflective and more con-
coveries, for there are almost always cerned with quality of facilitation, attitudes
antecedents) that with light and sensitive facil- and behaviours. In the early 1990s a prolifer-
itation local people could themselves make ation of acronym labels marked an early
the maps and diagrams, and that, especially stage of enthusiastic innovation and claims of
when they worked in small groups, what they ownership. Like the phyla of the Cambrian
300 PRACTICES
explosion or the steam engines of the early Spread and Applications

industrial revolution, many of these labels
soon died out. What persisted were the prac- From 1990, the spread of PRA was rapid
tices and the acronyms PRA and PLA, the throughout much of the world (Singh, 2001;
latter adopted, though sometimes used synony- Holmes, 2002; Cornwall and Pratt, 2003). By
mously with PRA, in order to be more inclu- 2000 practices described as PRA were proba-
sive of other participatory methodologies in bly to be found in well over 100 countries, of
the spirit of sharing without boundaries. the North as well as of the South. They were
In the 2000s PRA and PLA have diffused, being used by all or almost all prominent
borrowed and interpenetrated with other INGOs and many of their partners, by many
approaches. They have evolved and merged donor and lender supported projects, and by a
into a new creative pluralism (Cornwall number of government departments, for
and Guijt, 2004) in which earlier traditions example in India, Kenya and Vietnam.
survive but in which many methods have With rapid spread, bad practice became
been evolved and adapted. Many of the early rampant. The methods were so attractive, often
PRA practitioners have become more reflec- photogenic, and so amenable to being taught in
tive and self-critical (Cornwall and Pratt, a normal didactic manner that they gained pri-
2003). Others continue in earlier, sometimes ority over behaviour, attitudes and relation-
routinized, traditions. In the mid-2000s it is ships, especially in training institutes. Manuals
not clear what the term PRA can or should proliferated and were mechanically taught and
now usefully describe. For many it remains applied. Donors and lenders demanded PRA.
associated with group-visual activities, and Much training neglected or totally ignored
with behaviour, attitudes and relationships behaviour and attitudes. PRA was routinized,
of facilitation which empower participants. people’s time was taken and their expectations
In parallel with the persistence of traditional raised without any outcome, methods were
PRA, and of other established participatory used to extract information, not to empower,
methodologies, more and more practitioner/ and consultants claimed to be trainers who had
facilitators have become creative pluralists, no experience. Communities were ‘PRA’d’.
borrowing, improvising and inventing for Some in Malawi were said to have been
particular contexts, sectors and needs. ‘carpet-bombed with PRA’. Just as academics
Reflecting critically on the evolution of began to wake up to what had been happening,
PRA, theory has been implicit in and has co- there was much to criticize. The looseness of
evolved with practice. As with RRA earlier the one sentence principle – ‘Use your own
(Jamieson, 1987), theory has been induced best judgement at all times’ – could be liberat-
from and fed back into practice. Practice ing, giving freedom to improvise and invent;
itself was driven and drawn not by academic and it supported much brilliant performance
analysis, nor by a reflective analytical book and innovation. But equally, it could combine
like Pedagogy of the Oppressed (Freire, with an exclusive fixation on methods to allow
1970), but by the excitement of innovation, sloppy and abusive practice.
discovery and informal networking. The Academic critics of PRA were not always
main pioneers were not academic intellectu- able to draw on personal experience, or
als but workers and staff in NGOs in the sometimes drew on their own defective prac-
South, especially India, and a few from tice. In consequence, some of the criticisms,
research institutes in the North, all of them for example in Participation: The New
learning through engagement in the field. Tyranny? (Cooke and Kothari, 2001), were
And the detail of the methods came from the not well informed. Much was made of the well-
creativity and inventiveness of local people, known shortcomings of community public
once they had the idea of what they could do, meetings, overlooking the value and wide-
as well as from the outside facilitators. spread use of smaller groups. And criticisms
that should have been made were overlooked, In parallel, the applications of PRA
for example the common bias against women’s approaches and methods, not alone but often
participation inherent in PRA visual analysis combined and adapted with others, have
since this tends to require undisturbed blocks of been and continue to be astonishingly varied.
time usually harder for women to find than for They are constantly evolving and being
men. Many practitioners, keenly aware of this invented. To at least some degree, all entail
problem, took determined steps to offset it. And an element of participatory research. Most
from the mid-1990s, articulate practitioners have never been recorded or published. An
were increasingly self-critical and reflective in incomplete but illustrative list (see Box 20.1
a rich range of publications.5 and Box 20.2) can give a sense of the range.
Box 20.1 Natural Resource Management and Agriculture
• Participatory natural resource management (Probst and Hagmann et al., 2003; Borrini-Feyerabend
et al., 2004; Pimbert, 2004) including agriculture, crops and animal husbandry (PRGA, c. 2002; PLA
Notes 45, 2002
• Forestry, especially Joint Forest Management, and agroforestry (Forests, Trees and People Newsletter)
• Participatory irrigation management (Gosselink and Strosser, 1995)
• Participatory watershed management and soil and water conservation (Kolavalli and Kerr, 2002a, 2002b)
• Conservation and use of plant genetic resources (Friis-Hansen et al., 2000)
• Biodiversity, conservation, and protected area management (Pimbert and Pretty, 1997; Gujja
et al., 1998; Roe et al., 2000)
• Integrated Pest Management (Dilts and Hate, 1996; Dilts, 2001; Fakih et al., 2003)
Box 20.2 Programmes for empowerment, equity, rights and security
• Participatory Poverty Assessments (Norton et al., 2001: Robb, 2002 [1999]) and understandings of
poverty and wellbeing (White and Pettit, 2004)
• Consultations with the poor, in 23 countries (Narayan et al., 2000), as a preliminary for the World
Development Report 2000/01 (World Bank, 2000) on poverty and development
• Women’s empowerment and gender awareness (Guijt and Shah, 1998; Akerkar, 2001; Cornwall,
2003; Kanji, 2004)
• Applications with and by children (PLA Notes 25, 1996; Johnson et al., 1998; Cox and Robinson-Pant,
2003; Chawla and Johnson, 2004) including action research by primary schoolchildren on decision-
making in their own classrooms (Cox et al., 2006)
• Work with those who are powerless and vulnerable, besides children including the homeless (AAA,
2002), the disabled, older people (Heslop, 2002), minorities, refugees, the mentally distressed, pris-
oners and others who are marginalized
• Identifying, selecting and deselecting people for poverty-oriented programmes
• Participatory analysis of livelihoods leading to livelihood action plans
• Emergency assessment and management, including participation by communities and their members
in complex political emergencies
• Participatory human rights assessments and monitoring (Blackburn et al., 2004)
• Violence, abuses and physical insecurity (e.g. Moser and McIlwaine, 2004)
• Sexual and reproductive behaviour and rights (Cornwall and Welbourn, 2002; Gordon and Cornwall,
2004) and HIV/AIDS (International HIV/AIDS Alliance, 2006a, 2006b)
302 PRACTICES
In addition, there have been innumerable participation, from researcher design and con-
applications in other rural and urban domains, trol to farmer-design and control. From the
not least in community and local planning late 1980s there has been a progressive shift
(PLA Notes 44, 2002; PLA Notes 49, 2004; towards the latter, as indicated by the many
Swantz et al., 2001/2006), market analysis activities and publications of the system-wide
(PLA Notes 33, 1998), health (RRA Notes 16, Participatory Research and Gender Analysis
1992), food security assessment (e.g. Levy, programme of the Consultative Group for
2003), water, sanitation (Kar, 2003, 2005), International Agricultural Research (see
organizational analysis, personal experiential www.prgaprogram.org). As with streams of
learning and change, and policy analysis. In PRA and PLA, the capacities of local people,
multifarious domains there have been innu- in this case farmers, were found to exceed by
merable applications in participatory monitor- far what professionals had thought they were
ing, evaluation and impact assessment (e.g. capable of. One example was the successive
Guijt, 1998; Estrella et al., 2000; Mayoux and involvement of farmers in seed-breeding with
Chambers, 2005), with an increasing method- scientists: in 1987 it had been radical to
ological pluralism and emphasis on learning involve them in selection of later generations
and adaptation (Guijt, forthcoming). in the breeding process; but pioneering scien-
tists (Witcombe et al., 1996) found that farm-
ers’ involvement in the whole process,
Co-evolving Streams of including selection of the original crosses,
Participatory Methodologies substantially improved outcomes. Worldwide,
farmers’ research and participation in research
Beyond this bald illustrative listing, more of have been spread through the international
a sense of what has happened can be given agricultural research centres, national agricul-
through eight examples of parallel and inter- tural research institutes, and INGOs such as
mingling participatory research and action World Neighbours.
which have gone or are going to scale.
Approaches, methods, ideas and experiences 2. Integrated Pest Management (IPM)
have over the past two decades flowed freely IPM has been a parallel movement, sharing
in all directions between these and RRA, PRA characteristics with PRA and PLA. IPM in
and PLA. The first five – farmer participatory Indonesia started in the late 1980s, with the first
research, integrated pest management, Reflect, training of trainers in 1989. Behaviour and atti-
Stepping Stones and Participatory GIS – are tudes of facilitators are considered critical
already widespread movements and are prac- (Pontius et al., 2002). IPM enables farmers to
tised in many countries. The last three – the control pests in rice with sharply reduced appli-
Internal Learning System, Participatory Action cations of pesticide. By the early 2000s there
and Learning System, and Community-Led were some one million farmer participants in
Total Sanitation – are promising approaches Indonesia alone, and several millions world-
which are to varying degrees going to scale, wide. In IPM farmers are brought together in
and which illustrate the potentials of sensitive farmer field schools for in situ learning through
and inventive pluralism their own action research. They observe, map,
experiment and analyse, set up and study their
1. Farmer Participatory Research own ‘zoo’ for insects and pests, and come to
Farmer Participatory Research (Farrington their own conclusions about how to manage
and Martin, 1988; Okali et al., 1994) and and control them.
Participatory Technology Development Even in a repressive and authoritarian social
(Haverkort et al., 1991) have been a strong order, the farmer-centred approach of the
trend gaining increasing and now widespread farmer field schools provided ‘a safe space for
acceptance. Important distinctions were made social learning and action’ (Fakih et al., 2003:
by Biggs (1988) indicating degrees of farmer 95). In Indonesia, IPM groups came together
and formed the IPM Farmers Association, in strong emphasis on empowerment to enable
effect a national movement. The Association people to do their own appraisal and analy-
has engaged in advocacy to promote farmers’ sis, leading to their own awareness and
rights and discuss farmers’ problems at local action.
and district levels, and then nationally with a
National Congress attended by the responsible
minister (Fakih et al., 2003: 111). 4. Stepping Stones (SS)
Stepping Stones (Welbourn, 1995, 2002, in
3. Reflect press) is an approach and methods to facilitate
Reflect6 is a participatory methodology which experiential learning concerned with social
combines Paulo Freire’s theoretical frame- awareness, communication and relationships. It
work on the politics of literacy with PRA was evolved by Alice Welbourn and first tried
approaches and user-generated materials from in Uganda in 1994. Groups of people in com-
PRA visualizations (Education Action, 1994–; munities meet for a sequence of interactions
PLA Notes, 1998; Archer and Newman, 2003; and reflections, especially on the inequalities
Archer and Goreth, 2004). Piloted through that govern gender and other social relations in
action research projects in El Salvador, the context of HIV/AIDS. A review of evalua-
Uganda and Bangladesh between 1993 and tions by Tina Wallace (2006: 20) reported that
1995, it has spread through the work of at least SS had been adapted and used in over 100
350 organizations including NGOs, commu- countries. Most countries had no estimates of
nity-based organizations, governments and coverage but a World Bank estimate was that in
social movements, in more than 60 countries Mozambique alone half a million people had
(Archer and Goreth, 2004). A standard manual been reached over four years.
was soon abandoned as too rigid (Phnuyal, Wallace’s review found ‘almost universal
1999). Local differentiation and ownership support for, and appreciation of, SS as a
are now marked. Reflect has taken many dif- change process from those with first hand
ferent forms with ‘immense diversity’ (Archer experience of using it or seeing it used’
and Goreth, 2004: 40). including ‘better inter-generational commu-
At the core of Reflect are facilitated nication, more openness about discussing
groups known as Reflect circles. These meet sex, less stigma and more care for those with
regularly, usually for about two years, and HIV and AIDS, and a willingness of PLWHA
sometimes continuing indefinitely. The bal- [People Living With HIV/AIDS] to be open’
ance between literacy and empowerment has (Wallace, 2006: 10). Another evaluation
varied. Analysis by circles, combined with summarized as follows:
networking, has confronted power and
The response of communities across the globe has
abuses and asserted human rights. Reflect’s
been overwhelmingly positive and the results
core principles include these: starting from extremely encouraging. Reductions in gender
existing experience; using participatory violence, increased self-esteem and confidence
tools; power analysis; creating democratic among women and girls, improved sex lives
spaces; reflection-action-reflection; self- between married couples, radical reconfiguration
of gender relations and the gender division of
organization; and recognition that Reflect is labour in the household, relinquishing harmful cul-
a political process for social change and tural practices, such as wife sharing and widow
greater social justice. These principles are inheritance … are but a few examples of the
manifest in Communication and Power: reported impact. (Hadjipateras et al., 2006: 8)
Reflect Practical Resource Materials (com-
pilers David Archer and Kate Newman), the
outcome of a widespread participatory process. 5. Participatory Geographic Information
First put together in 2003 in a loose-leaf form, Systems (PGIS)7
its sections include written word, numbers, spo- The new spatial information technologies,
ken word, images, and Reflect in action, with a including Geographic Information Systems
304 PRACTICES
(GIS), Global Positioning Systems (GPS), Organisations or Indigenous Peoples in using

remote sensing software and open access (Geographic Information Technology and
to spatial data and imagery, empower those Systems) to meet their spatial planning needs
who command them. Differential access can and/or achieve some leverage in their dealings
lead to gains to powerful people and interests with state bureaucracy’ (Rambaldi et al., 2006:
to the disadvantage of communities and local 4). An indicator of the power of mapping has
people, further marginalizing those already been its restriction through the Malaysian 2001
marginalized. PGIS is a generic term for Land Surveyors Law, passed after a commu-
approaches which seek to reverse this. By nity map in Sarawak had been instrumental in
combining PRA/PLA and spatial information the legal victory of an Iban village against
technologies, it has empowered minority a tree plantation corporation (Fox et al.,
groups and those traditionally excluded from 2006: 103).
spatial decision-making processes (Fox et al., By the mid-2000s, PGIS had become a
2006; Mbile, 2006; Rambaldi et al., 2006). widespread form of ‘counter mapping’
Local people have been trained to use the (Rocheleau, 2005) enabling local people to
technologies to construct their own maps and make their own maps and models, and using
3-D models (see Rambaldi and Callosa-Tarr, these for their own research, analysis, asser-
2002, for modelling, and Corbett et al., 2006, tion of rights and resolution of conflicts over
and Rambaldi et al., 2006, for overviews) and land, and often reversing power relations
use these for their own research. These maps with government organizations, politicians
and models differ from the ground and paper and corporations.
maps of PRA in their greater spatial accuracy,
permanence, authority and credibility with 6. The Internal Learning System (ILS)
officialdom, and have been used as ‘interac- Pioneered in India by Helzi Noponen was
tive vehicles for spatial learning, information conceived as a participatory impact assess-
exchange, support in decision making, ment and planning system. The pictorial
resource use planning and advocacy actions’ diaries and workbooks which are its most con-
(Rambaldi, 2005: 1). spicuous feature were developed independently
Applications have been many. They have of PRA. Poor, often illiterate participants use
included (Rambaldi et al., 2006: 3): protecting them to keep their own records of changes
ancestral lands and resource rights; manage- over time. The intention is to reverse normal
ment and resolution of conflicts over natural power relationships: poor participants ‘are the
resources; collaborative resource use planning first to learn about programme impact and
and management; intangible cultural heritage performance, and alter plans as a result …
preservation and identity building among [they] are not only data gatherers, but they are
indigenous peoples and rural communities; also analysts, planners and advocates for
equity promotion with reference to ethnicity, change’ (Noponen, in press). The ILS has
culture, gender, and environmental justice; evolved for different conditions including the
hazard mitigation, for example through com- work of the NESA (New Entity for Social
munity safety audits (Mans, 2006); and peri- Action) and its partners in South India for the
urban planning and research (Koti and Weiner, empowerment of Dalit and Adivasi women
2006). PGIS applications have been docu- and children (Nagasundari, in press); and of
mented (Mbile, 2006; PLA Notes, 2006) for PRADAN (Professional Assistance for
countries as diverse as Brazil (Amazon), Development Action) and its partners in North
Cameroon, Canada, Ethiopia, Fiji, Ghana, India with self-help groups for the generation
Indonesia, Kenya, Nepal, Namibia, Nicaragua, of sustainable livelihoods for poor rural
South Africa, Tanzania, and Uganda. In addi- people (Narendranath, in press). Among other
tion, there are ‘hundreds of non-documented outcomes have been action on social and gen-
cases where technology-intermediaries der issues previously too sensitive for discus-
(mainly NGOs) support Community-based sion, and many micro-level manifestations of
social change especially awareness and on and share PRA/PLA approaches, methods,
empowerment of women and others who are behaviours and mindsets and which have cre-
marginalized. atively invented and evolved their own diverse
and varied practices. Like Reflect, IPM and
7. Participatory Action Learning System PGIS, all can be seen as forms of, or closely
(PALS) related to, participatory action research. All
Pioneered by Linda Mayoux is ‘an eclectic and frame and facilitate sequences of activities
constantly evolving methodology which which empower participants to undertake their
enables people to collect and analyse the infor- own appraisal or research and analysis, and
mation they themselves need on an ongoing come to their own conclusions.
basis to improve their lives in ways they
decide’ (Mayoux, in press). Core features are
the inventive use of diagram tools (Mayoux, THEORY: UNDERSTANDINGS
2003a), their integration with participatory FROM PRACTICE8
principles and processes, linking individual and
group learning, and the adoption and adaptation Good theory and practice intertwine and co-
of approaches and methods from many tradi- evolve. Theory can exist as an intellectual
tions. Typically, diagram tools are designed and abstraction without practice, but practice
piloted, and incorporated in a manual for each cannot exist without implicit theory. When
context (e.g. Mayoux, 2003b). Applications theory and practice co-evolve, one or the
and developments of PALS have included other may exercise more influence. If theory
women’s empowerment with ANANDI, an and reflective practice have led relatively
NGO in Gujarat (Mayoux and ANANDI, more in PAR, practice and experiential learn-
2005), participatory monitoring and evaluation ing have led relatively more in the RRA-
with KRC (Kabarole Research and Resource PRA-PLA sequence. At times, as in the
Centre) in Uganda, and impact assessment of 1989–91 explosion of PRA, not all the
micro-finance in several countries. implicit theory was immediately made
explicit. But critical reflection followed prac-
8. Community-led Total Sanitation (CLTS) tice and principles were induced and articu-
Pioneered by Kamal Kar in Bangladesh (Kar, lated on the basis of experience. And this
2003, 2005; Kar and Pasteur, 2005; Kar and continues: among practitioners, researchers
Bongartz, 2006), CLTS is a remarkable initia- and activists engaged in the rapid spread of
tive using PRA approaches and methods in Participatory GIS, for example, there is a
which small communities are facilitated to general consensus that PGIS practice is more
conduct their own research and analysis into advanced than the theory behind the applica-
their practices of defecation and their conse- tions (Rambaldi et al., 2006).
quences. This is done through mapping, tran- PRA/PLA practical theory appears
sects, observation, calculations of quantities robust.9 It can be described at two levels. The
produced and ingested, and reflections on path- first, as expressed by Jethro Pettit (pers.
ways from faeces to the mouth. This quite often comm.), is more overarching: that most prac-
leads to community decisions to dig holes and titioners would share an epistemological or
introduce total sanitation to become open defe- ideological perspective, articulated in the PRA
cation free. The approach has been introduced literature, that expert and professional knowl-
and is reported to have been adopted by thou- edge and ways of knowing need to be humble
sands of communities spread over Bangladesh, and to appreciate people’s own knowledge and
Cambodia, India, Indonesia and other coun- ways of knowing. Professionals, and people
tries in South and Southeast Asia. who are dominant in contexts and relation-
ships (‘uppers’), habitually underestimate the
These eight examples are original and distinct capabilities and the value of the knowledge
methodologies which to varying degrees draw of those who are subordinate in contexts and
306 PRACTICES
relationships (‘lowers’).10 A role of the pro- local people and most of all to those who are
fessional is to transform these relations by poor, weak and marginalized. The overarching
facilitating, enabling people to express and question ‘Whose reality counts?’ forces reflec-
enhance their own contextual and specific tion on how powerful outsiders tend to impose
knowledge. PRA behaviours, methods and their realities on local people, especially when
orientations are a means towards this. The they are bringing ‘superior’ knowledge or tech-
core is that uppers facilitate, support and pro- nology. The wide span of ‘who?’ and ‘whose?’
tect processes through which lowers and questions can be illustrated by the listing gener-
local people empower themselves and power ated by a group of GIS practitioners (see Box
relations are transformed. 20.3). While some of these questions are spe-
The second level supports the first. It is cific to mapping, many apply more generally.
more detailed and can be induced from prac- All have implications for the behaviour and
tice, from what has been found to work. relationships of outsiders, facilitators and
Methods, approaches and methodologies uppers, generally with insiders, local people
have evolved through borrowing, inventing and lowers. Some of the main behavioural pre-
and experiential learning driven by the disci- cepts of PRA11 which address these behaviours
pline, pressures and opportunities of engage- are shown in Box 20.4.
ment in the field. Innovation has taken place
through improvisations forced by the chal-
lenge of immediate social situations. There
Methods: Visuals, Tangibles and
will be, and should be, a range of views Groups
about this second level of theory. What is Many PRA methods involve visual and tan-
presented here is but one person’s interpreta- gible expression and analysis, for example
tion. Focusing on PRA experience and also mapping, modelling, diagramming, pile sort-
drawing on the eight examples above, three ing, or scoring with seeds, stones or other
clusters of principles can be distinguished. counters. These are usually but not always
These are evolutions of the original three prin- small group activities. What is expressed can
cipal components of PRA (see Figure 20.1): be seen, touched or moved and stays in
behaviours, attitudes and mindsets: precepts place.12 These visible, tangible, alterable and
for action; methods: visuals, tangibles and yet lasting aspects contrast with the invisible,
groups; and sharing: pluralism and diversity. unalterable and transient nature of verbal
communication. Symbols, objects and dia-
Behaviours, Attitudes and grams can represent realities that are cumber-
some or impossible to express verbally.
Mindsets: Precepts for Action
These visual and tangible approaches and
Empowering processes require changes of methods reverse power relations and
behaviours, attitudes and mindsets, and typi- empower lowers in five ways. The first is
cally changes of role from teacher to facilita- group-visual synergy. As in Figure 20.2,
tor and from controller to coach. To promote group motivation, cross-checking, adding
and sustain the spread of good PRA the prac- detail, discussing and cumulative representa-
tical theory has been expressed as short and tion generate a positive sum synergy through
simple precepts with the idea that these will which all can contribute and learn. A facilita-
embed and spread as expressions and behav- tor can observe and assess the process for its
iours; and that the experiences these bring rigour of trustworthiness and relevance.14
will transform attitudes, predispositions and The outcomes are then empowering through
mindsets among uppers and transform rela- collective analysis and learning, and because
tionships with lowers. they are at once credible and an output cre-
One basic reversal is through asking ‘who?’ ated and owned by the group.
and ‘whose?’ and answering with ‘theirs’, The second is democracy on the ground
referring commonly to lowers, in practice often (Chambers, 2002: 94–5, 186–7). Much PRA
Box 20.3 Whose reality counts?
Stage 1. Planning Stage 2. The Mapping Process
Who participates? Whose voice counts? Who controls the process?

Who decides on who should participate? Who decides on what is important?
Who participates in whose mapping? Who decides, and who should decide, on what
… and who is are left out? to visualize and make public? Who has visual
and tactile access?
Who identifies the problem Who controls the use of information?
Whose problems? And who is marginalized?
Whose questions? Whose reality? And who understands?
Whose perspective? Whose reality is expressed?
… and whose problems, questions and Whose knowledge, categories, perceptions?
perspectives are left out? Whose truth and logic?
Whose sense of space and boundary concep-
tion (if any)?
Whose (visual) spatial language?
Whose map legend?
Who is informed what is on the map?
(Transparency)
Who understands the physical output? And
who does not?
And whose reality is left out?
Stage 3. Resulting information control, Ultimately …

disclosure and disposal
What has changed? Who benefits from the
Who owns the output? changes? At whose costs?
Who owns the map(s)? Who gains and who loses?
Who owns the resulting data? Who is empowered and who is disempowered?
What is left with those who generated the
information and shared their knowledge?
Who keeps the physical output and organizes
its regular updating?
Whose analysis and use?
Who analyses the spatial information collated?
Who has access to the information and why?
Who will use it and for what?
And who cannot access and use it?
Ultimately …
What has changed? Who benefits from the
changes? At whose costs?
Who gains and who loses?
Who is empowered and who is disempowered?
Source: Rambaldi et al., 2006: 10813
mapping and diagramming levels or reverses Hands are freer to move tangibles than
power relations by taking place on the mouths are to speak words. Those who are
ground. Those taking part have less eye con- more powerful, sometimes older men, may
tact, talk less, and can dominate less easily not get down on the ground at all, whereas
than in normal upright positions face-to-face. those who are younger and women may.
308 PRACTICES
Box 20.4 Precepts of PRA
Precept … indicating
Introduce yourself … be honest, transparent, relate as a person

They can do it … have confidence in people’s abilities
Unlearn … critically reflect on how you see things
Ask them … ask people their realities, priorities, advice
Don’t rush … be patient, take time
Sit down, listen and learn … don’t dominate
Facilitate … don’t lecture, criticize or teach
Embrace error … learn from what goes wrong or does not work
Hand over the stick … or chalk or pen, anything that empowers
Use your own best
judgement at all times … take responsibility for what you do
Shut up! … keep quiet. Welcome and tolerate silence
The third is the representation of complex securing their rights and boundaries. Making
realities and relationships. Visual and tangi- three-dimensional PGIS models has enabled
ble approaches and methods enable local local communities to express and display
people and lowers generally to express and their knowledge and realities, and to plan,
analyse complex patterns of categories, com- whether for land management, conservation,
parisons, estimates, valuations, relationships or cropping patterns. Large PGIS models can
and causality across an astonishing range of hardly fail to belong to communities and be
topics, from social and census maps of com- retained by them. And they provide a natural
munities to causal and linkage diagrams of and efficient locus for dialogue and decision-
causes and effects of poverty, from scored making (Rambaldi and Callosa-Tarr, 2000,
matrices for varieties of crops and domestic 2002).
animals to different forms of violence, from The fifth is participatory numbers. A
characteristics of different sorts of sexual diverse and versatile family of innovations
partners to seasonal analyses of work, has evolved to generate numbers and statis-
income, debt, expenditures, sickness and tics from participatory appraisal and analysis
other aspects of life, from on-farm nutrient (Barahona and Levy, 2003; Chambers, 2003;
flows to priorities for local development, and Levy, 2003; Chambers, forthcoming).
much, much else. Practical issues concerning standardization
The fourth is using visuals as instruments and commensurability, and ethical issues
of empowerment. Over the past decade rapid concerning ownership and use, have been
developments have generated a new reper- recognized and tackled. To a striking degree,
toire for subordinate and marginalized the numbers generated by lowers and local
people. The visual diaries of ILS in South people through participatory methods and
India empower low-caste women, arming processes have been found to combine accu-
them with visual representations of their real- racy, authority and utility. In the Philippines,
ities and experiences, enabling them to track for example, when bottom-up statistics
and discuss changes in their lives over time, aggregated from village health workers
and to take action when patterns of marginal- replaced less accurate and less relevant top-
ization (such as caste or gender discrimina- down statistics, insights led to a policy
tion) persist. The geo-referenced maps of change that reduced deaths (Nierras, 2002).
forest and other peripheral people give them In Malawi, when participatory methods were
credible and potent aids for asserting and used to check the national census, the rural
Analysts
Group Cumulative
process
Motivation Visual/
Tangible
Cross-
checking
convene keep quiet

initiate observe
facilitate assess
Facilitators Facilitators
Figure 20.2 Group-visual synergy
population was revised upwards from 8.5 to best judgement at all times’ is to endorse and
11.5 million (Barahona and Levy, 2003), celebrate pluralism.
with massive implications for the equity of It is striking how PRA, PLA, IPM,
national resource allocations. Reflect, PGIS and most of the other partici-
These five ways in which visuals, tangi- patory methods have been open and porous,
bles and numbers empower often combine and how they have diversified creatively as
and reinforce each other. Their force is then they have spread. Methodological diversity
more than their sum as parts. Together they is an enabling condition for creativity (Van
have been found to be potent means for der Mele and Braun, 2005). Those with
transforming power relations, strengthening standard manuals and detailed instructions
the power of lowers and local people not just have been less successful or have run into
to understand their realities but to take problems: Reflect’s ‘mother manual’ was
action, and to negotiate with uppers and with quickly abandoned when found to inhibit
outside powers-that-be. more than help. A key to good spread, and to
becoming a movement, has often been hold-
ing firm to minimum principles, and then
Sharing, Pluralism and Diversity
allowing and encouraging practices and
Sharing without boundaries was a principle behaviours which empower, through local
that emerged from a workshop of PRA prac- creativity and ownership. An indicator of
titioners in 1994 (Absalom et al., 1995). To this is in the labels used: Reflect in Nepal,
be sure, there have been a few practitioners for example, is not known by its English
who might be described as PRA fundamen- name but has 16 different Nepalese names
talists, who have sought or claimed some sort and identities (pers. comm., Bimal
of exclusive expertise and ownership. But Phnuyal). Creativity, diversity and local
sharing was one of the three principle com- ownership and responsibility have been at
ponents of PRA enunciated in 1990, and a the core of the successful spread of these
corollary of sharing and of ‘use your own participatory methodologies.
310 PRACTICES
This inclusiveness of sharing and borrow- Much of the discourse and practice has
ing raises questions about how the three com- now moved beyond PRA. It is less clear than
ponents – of behaviours, attitudes and it was what PRA can usefully be said to be.
mindsets, of methods using visuals, tangible The use of some PRA methods is quite stable
and groups, and of sharing, pluralism and and practical: wealth ranking (also known as
diversity – can relate to other theories and wellbeing grouping), for example, is exten-
theoretical frameworks. In PRA/PLA terms, sively used by INGOs and their partners as a
an answer can be given by ‘Use your own means of enabling people in communities to
best judgement at all times’. For some who identify those who are worse off according to
want a bounded and labelled methodology their own criteria. At the same time, the best
this will look and feel too loose, both person- practice is often improvised and invented
ally and because it can appear to open the performance in ever changing conditions,
door for bad practice. For others it will turn leading to continuously evolving diversity.
responsibility back from an external authority The inclusive meaning of the term PLA
or a predetermined process to personal reflec- has helped here, as for example by the Inter-
tive judgement, liberating through freedom to national HIV/AIDS Alliance (2006b) for whom
decide and choose what to learn from, borrow PLA is ‘A growing family of approaches, tools,
and adapt. It can then encourage eclectic attitudes and behaviours to enable and
opportunism and creativity to enhance local empower people to present, share, analyse
relevance and fit to contribute to the empow- and enhance their knowledge of life and con-
erment of others, especially lowers. ditions, and to plan, act, monitor, evaluate,
reflect and scale up community action’ and ‘a
way to help people to participate together in
LOOKING FORWARD learning, and then to act on that learning’.
When the objectives are to achieve both
Beyond PRA, brands and boundaries quality and scale, the agenda changes and
moves beyond branding and boundaries.
The PRA label has been a problem, spreading These can inhibit and limit more than help. It
often without PRA principles and practices. In is no longer, if it ever was, the spread of PRA
the 1990s, by claiming some sort of ownership but inclusivity of participatory approaches,
of PRA, a few consultants negated its spirit of attitudes, behaviours, methods and mindsets
sharing, but in the 2000s this has become less that deserves priority; and that is something
evident. Another problem has been how some in which practitioners from all traditions can
have misunderstood PRA.15 Sadly, too, some share.
working in other traditions have regarded PRA Part of that is the capacity to adapt and inno-
as competitor rather than colleague. This may vate. There may always be trade-offs between
have contributed to some other action research standardization and scale on the one hand and
practitioners’ surprising lack of interest in the creativity and quality on the other. But in mov-
added value of PRA approaches and methods, ing from practice which is fixed, wooden and
and to their seeing PRA as extractive research branded to practice which is more flexible, pli-
conducted on local and poor people, not ant and unlabelled, the frontier agenda shifts
research conducted by and with them as in the from reproducing methods to:
movements, methodologies and applications
described above. In these movements, as amply • modifying behaviour;
• enhancing repertoire – the range of things a
documented, practice and theory have been ori-
person, a facilitator, knows to do; and
ented towards empowering those who are mar- • fostering creativity to find new things to do and
ginalized and weak, using new approaches and new ways to do them.
methods to enable them to do their own
appraisals and analysis, and to gain voice and Paradigmatically, this is part of the shift from
take their own action. things to people, from top-down to bottom-up,
from standard to diverse, from control to and reporting on such diversity, the NGO
empowerment. Brands, boundaries, ego, sector in general has in the past decade been
exclusiveness and claims of ownership dis- a major seedbed for the creative proliferation
solve to be replaced by openness, generosity, of methodologies.
inclusiveness and sharing. This new pluralism is eclectic. The
Central to these transformations are per- approaches, attitudes, behaviours and mind-
sonal reflexivity and institutional change. sets variously identified and named as PRA
Critical self-awareness is part of learning and and PLA are just one part of this. PRA group-
developing, and one key to facilitation. visual methods remain powerful and useful,
Change in institutions, especially in organi- but many practitioners have moved on from
zational norms, values, procedures, rewards relying on them as heavily as they did and
and relationships, is an important comple- now improvise more, borrowing and bringing
ment to personal change. Congruence to bear a wider range. So there are many
between the personal and the institutional is springs as sources, and many mingling
a predisposing condition for participatory streams, confluences and branching flows.
processes in groups and communities, and Besides those described above – PRA, farmer
for the continuous discovery together of participatory research, Integrated Pest Manage-
ways of doing things which fit local contexts. ment, Reflect, Stepping Stones, Participatory
GIS, ILS, PALS, and Community-Led Total
Sanitation – the many others include apprecia-
A New Eclectic Pluralism tive inquiry (see Chapter 19), theatre-based
techniques (Abah, 2004; McCarthy with
In their review ‘Shifting perceptions, changing
Galvao, 2004; Guhathakurta, Chapter 35),
practices in PRA: from infinite innovation to
participatory video (Lunch and Lunch, 2006),
the quest for quality’ Andrea Cornwall and
Planning for Real (Gibson, 1996), Participa-
Irene Guijt (2004), both early pioneers of PRA,
tory Poverty Assessments (Norton et al., 2001;
review the excitement of the initial community
Robb, 2002 [1999]), participatory democracy
of practice, the seeding of diversity, the poor
(see Gaventa and Cornwall, Chapter 11), citi-
practice that came with rapid spread in the lat-
zens’ juries (Wakeford et al., Chapter 22), par-
ter 1990s, and how there came to be many
ticipatory budgeting, budget tracking, report
PRAs and many pathways (see also Cornwall
cards, and social audits. And these and others
and Pratt, 2003). They highlight the quest for
can be adopted, adapted and improvised in a
quality, and they also see a ‘new pluralism’.
multitude of ways. The many manifestations
Across a spectrum of areas of development work of action research and participatory research
now are people who have engaged in some way contribute to this inclusive diversity. A new
with PRA. Participatory learning and action world of practice opens up. To suggest that
approaches have come to be used in a myriad of participatory learning and action, as shown in
settings, in ways that are so diverse that they have
the content and coverage of the journal of that
given rise to entirely new areas of work – whether
in policy research, learning, participatory gover- title, might be an inclusive term for this bor-
nance or rights-based development work. rowing, improvisation and creativity could be
(Cornwall and Guijt, 2004: 166) to fall into precisely the trap of naming and
branding that is to be avoided. Paradigmati-
The creative diversity of this new pluralism cally, eclectic pluralism means that branding,
is brought to light by a review by Action labels, ownership and ego give way to sharing,
Aid International of its participatory prac- borrowing, improvisation and creativity, all
tices (AAI, 2006; Newman, in press). These these complemented by mutual and critical
are many and differ by country and within reflective learning and personal responsibility
countries, and confront issues of participa- for good practice.
tion, power and rights. While AAI may be As Heraclitus said, you cannot step into
exceptional among INGOs for encouraging the same river twice. We move on. It is a
312 PRACTICES
question now of continuously opening Chambers (1997), Shah et al. (1999), Mukherjee
(2001), Kumar (2002), Jayakaran (2003), and
spaces and encouraging the expression and
International HIV/AIDS Alliance (2006b). See also
experience of excitement, energy and cre- www.ids.ac.uk/ids/particip for more.
ativity. It is a question of doing this in innu- 4 RRA Notes Issues 1–21 (1988–94) was published
merable contexts, ever fresh and ever new, as by the International Institute for Environment and
part of a way of life. With a spirit of eclectic Development, whose Sustainable Agriculture
Programme had much to do with the evolution and
pluralism and sharing without boundaries, the
spread of PRA and which was documented in the
potential for combinations and innovations is Notes. Issue 22 in 1995 was renamed PLA Notes with
greater than it has ever been. From the PRA the explanation: ‘Participatory Learning and Action
and PLA experiences, we learn that this is (PLA) has been adopted … as a collective term to
less a matter of methods and more of ways of describe the growing body of participatory
approaches and methodologies.’
living, being and relating. In participatory
5 For a selection of critical reflections by practition-
approaches and methods, there will always ers of PRA/PLA see PRA Notes 24 (1995); the 32 indi-
be a case for seeking common standards and vidual contributions to Pathways to Participation:
principles. At the same time, by inventing Reflections on PRA (Cornwall and Pratt, 2003);
and improvising each time anew for the Participation: From Tyranny to Transformation?
(Hickey and Mohan, 2003); and the 50th issue of
uniqueness of each challenge and opportu-
Participation Learning and Action (2004), entitled
nity, the scope for adventure and discovery Critical Reflections, Future Directions.
will never end. 6 Reflect originally stood for Regenerated Freirian
Literacy with Empowering Community Techniques,
but this usage has been dropped and it is now
referred to simply as Reflect.
ACKNOWLEDGEMENTS 7 For more on Participatory GIS visit www.iapad.
org and www.ppgis.net. See also Participatory
I am grateful especially to Rosalind Eyben, Learning and Action 54: Mapping for Change:
Practice, Technologies and Communication, April
John Gaventa, Emma Jones, Jethro Pettit, 2006, and Peter Mbile (2006).
Peter Reason and Bill Torbert for many per- 8 For an earlier and much fuller statement of PRA
ceptive and constructive comments on drafts theory from practice see Chambers (1997: Chapter 7).
and to Jane Stevens for help with text and find- 9 The word ‘robust’ is a response to reactions of col-
ing good sources for readers. As ever, respon- leagues to an earlier more modest draft of this chapter.
They have argued against an apologetic stance which
sibility for what is written is mine alone. might imply that the RRA/PRA/PLA sequence was
somehow a theoretical second-best because of the
degree to which it was driven by experiential learning.
10 For elaboration and qualification of the con-
NOTES cepts of upper and lower see Chambers (1997:
58–60, 207–10, 221–8).
1 The fullest introduction to RRA is the 11 Fuller listings of PRA-related precepts and
Proceedings of the International Conference held at behaviours can be found in Participatory Workshops
Khon Kaen in Thailand in 1985 (KKU, 1987). For pur- (Chambers, 2002: 3 and 8).
poses of research by outsiders, well-conducted RRA 12 Visuals and tangibles can, though, be vulnera-
is powerful and effective. It is unfortunate that it has ble – on the ground to wind, rain and dust storms
been overshadowed by PRA. It deserves rediscovery and trampling or eating by animals: hungry hens
and a renaissance. have been known to rapidly reduce matrix scores
2 Participatory reflection and action has the given by seeds. Paper is vulnerable to crumpling,
sequence of words wrong. It would be better putting smudging, fire, decay, and most of all retention or
action first, as participatory action and reflection, but removal by NGO staff who take maps away from the
the acronym PAR was already in use for Participatory communities who have made them.
action research. However, an advantage has been 13 This list of questions was built up progressively
that more practitioners have abandoned their use of both at the Mapping for Change International
brand labels and become explicit about their plural- Conference on Participatory Spatial Information
ism (see e.g. Shah, 2003). Management and Communication held at the Kenya
3 For what are known as PRA methods, typically College of Communication of Technology, Nairobi,
including visuals and/or tangibles, see Jones (1996), Kenya, 7–10 September 2005 and in subsequent
email exchanges between the authors of the paper agenda: participatory rights assessment in Peru and
(Rambaldi et al., 2006) and others. Malawi’, IDS Bulletin, 36 (1): 91–9.
14 The rigour of trustworthiness and relevance is Borrini-Feyerland, G., Pimbert, M., Farvar, T., Kothari, A.
expounded in more detail in Chambers (1997: 158–61). and Renard, Y. (2004) Sharing Power. Learning by
15 PRA has, for example, been taken to stand for
Doing in Co-management of Natural Resources
participatory research appraisal or participatory rapid
appraisal. In The Tyranny of Participation (Cooke and
Throughout the World, Cenesta, Tehran, IIED, London
Kothari, 2001: 88 and index) PLA is participatory and IUCN (lnternational Union for the Conservation of
learning analysis not participatory learning and Nature)/CEESP/CMWG.
action, despite the latter being the meaning of the BRAC (1983) The Net: Power Structure in Ten Villages.
periodical PLA Notes (now entitled Participatory Dhaka: Bangladesh Rural Advancement Committee.
Learning and Action). Brock, K. and Pettit, J. (eds) (forthcoming) Springs of
Participation: Creating and Evolving Methodologies for
Participatory Development. London: ITDG Publications.
Brokensha, D., Warren, D. and Werner, O. (eds) (1980)
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21
Action Learning
Mike Pedler and John Burgoyne
As part of a wider family of action-based approaches to research and learning, action learning
is distinguished by the primacy it accords to action and learning by the people actually fac-
ing the problems in question, and also for its scepticism on the views and advice of experts.
Although best understood as a working philosophy and not a set of techniques or standard
practices, a distinction can be made between action learning as specific method and action
learning as ‘ethos’ or general way of thinking. Action learning is compared and contrasted
with action research, and a ‘praxaeology’ or a general theory of human action based on
pragmatism, critical realism and risk is outlined. The chapter concludes with an examination
of the challenge to create a critical practice of action learning, offered in the spirit of peer
inquiry and in the context of a mutual striving for useful action.
Action learning combines self-development and a deeply humanistic view of human

with action for change. The motive to act and potential:
learn is both personal and political, based on
But, whatever our theoretical powers, the systems
a critique of how things are and a desire for we need in order to understand the public services
something better; at the same time part of are not to be found in the libraries and computing
what is changed is the actor. rooms of universities. If they are to be found at all, it
Action learning originates with Reginald will be in such social laboratories as the back streets
of Gateshead, and it is there that we shall need to
Revans (1907–2003), who was variously an
learn how to work. Our problem at the moment is to
Olympic athlete, a student of nuclear get ourselves invited. (Revans, 1971: 492)
physics, an educational administrator, and a
professor of management. Like his contem- Revans owes a debt to Dewey, for his prag-
porary, W. Edwards Deming, Revans was matism and championing of experiential
keenly interested in the improvement of learning, and also to Mary Parker Follett,
human systems for the benefit of those who who, in the 1920s and 1930s, criticized hier-
depend upon them. The philosophy of action archical structures and positional authority,
learning is based on a fundamental pragma- emphasizing the value of knowledge wher-
tism about what can and must be done, now; ever it is to be found. She also advocated the
320 PRACTICES
contextual ‘law of the situation and the Thus people facing paralysing dilemmas and
importance of collaborative relationships’ difficult choices find that their way through
(Rosabeth Moss Kanter as reported by lies via a consideration of purposes, ethics
Graham, 1995). and values as much as through any technical
Action learning is part of a wider family of and professional skills.
action-based approaches to research and Some of the distinctiveness of action
learning. It is distinguished by the primacy it learning lies in its iconoclastic origins, less
accords to the people who actually face the against positivism as against the dominance
problems or opportunities in question, and of the expert over the learner. Revans railed
for its scepticism on the views and advice of against the ‘book culture’ that he saw as
experts. For problems beyond technical solu- dominant in British life: ‘it is no longer by
tion, it offers a way of learning a way doing such things that one acquires prestige
through risky ground in the company of in Britain but by writing and talking about
some trusted companions. doing them’ (1980: 189). This cultural bias
Action learning is perhaps best understood encourages people to believe that talking
as a working philosophy rather than a set of about action is the same as doing it. Action
techniques or standard practices. A distinc- learning is about helping people ‘learn how
tion can be made between action learning as to solve problems’ (1980 [1966]: 5) and is
a specific method and its wider influence as expressly designed to correct this fault:
an ‘ethos’ or general way of thinking. ‘there can be no learning without action; and
In this chapter, we tackle the question of no (sober and deliberate) action without
definition before surveying the development learning’ (in Pedler, 1996: 20).
of action learning, particularly in manage- He eschews any single definition of action
ment education. We then compare and con- learning, holding that it is rooted in ancient
trast it with action research, and discuss wisdom. This lack of precise definition may
action learning as a ‘praxaeology’ or general hinder transmission, but it also contributes to
theory of human action. The chapter con- the generation of new practices and the
cludes with an examination of the current renewal and re-vivification of the idea. Thus
developmental challenge to create a more action learning itself changes in the light of,
critical practice of action learning. and the learning from, its practice. One defi-
nition is:
WHAT IS ACTION LEARNING? Action learning couples the development of

people in work organizations with action on their
difficult problems. … [it] makes the task the vehi-
A nurse: ‘Professor Revans, I think that I have at cle for learning and has three main components –
last understood action learning!’ people, who accept the responsibility for action on
a particular task or issue; problems, or the tasks
Revans: ‘Very good, but now what are you going which are acted on; and the set of six or so col-
to do about it?’ leagues who meet regularly to support and chal-
lenge each other to take action and to learn.
Action learning starts and ends with purpose, (Pedler, 1997: xxx)
the first question being always: ‘What am I (or
you) trying to do?’ Revans was fond of quoting And one can immediately quibble with this:
the Scottish philosopher John Macmurray – action learning is not restricted to work orga-
‘All meaningful knowledge is for the sake of nizations, a set can have any number of
action, and all meaningful action for the sake people in it; it is not just about problems
of friendship’ (Revans, 1998: 2) – to empha- but opportunities and so on. Despite the lack
size that purpose is also the end point. In turn, of an agreed definition, action learning
purpose rests on values, the ‘What am I trying seems to be well understood in terms of the
to do?’ tracking back to ‘What do I stand for?’ key practice features. In a recent sample of
ACTION LEARNING 321
UK practitioners, more than 75 per cent appeal to people with professional as well as
agreed on the following features of action managerial identities, such as clinicians, teach-
learning (Pedler et al., 2005: 56): ers and researchers. Revans always sides with
any people beset by problems, whoever they
1. Sets of about six people are, and not with any class or group. If action
2. Action on real tasks or problems at work learning fits well with managers, it is because
3. Tasks/problems are individual rather than they are charged with sorting out the messy
collective problems of organizations, and not because
4. Questioning as the main way to help participants
they are more deserving. In organizational life,
proceed with their tasks/problems
5. Facilitators are used
action learning seems suited to leadership
issues and the development of leadership abil-
And 65 per cent said that: ity, characterized (e.g. by Kotter, 1990) as
6. Tasks/problems are chosen independently by preparing people for the creative resolution of
individuals problems and opportunities, rather than the
more routine running of established manage-
Beyond this, there are wide variations in ment systems.
practice and departures or developments of From the 1960s, action learning emerges as
Revans’ ideas. Among these are: its use for an alternative to traditional (i.e. US) business
‘own-job’ management development (action school practice. In 1965 Revans resigned his
learning is intended as a means of tackling Chair at Manchester following negotiations
intractable organizational and social problems); over the new Manchester Business School,
the use of professional advisers or facilitators which he describes as a victory for the ‘book’
(where Revans warned against experts and culture of Owens College over the ‘tool’
favoured peer self-facilitation) and the embed- culture of the then Manchester College of
ding of action learning in otherwise taught Technology (later UMIST), which he favoured
programmes (Revans did not reject teaching as being closer to the needs of industry and
(P or Programmed Knowledge) but subordi- society (Revans, 1980: 197). He strongly
nated it to Q (or Questioning Insight) via the objected to the importation of US business
questioning). One explanation for this is that school practice, describing the MBA as ‘Moral
action learning has spread as an ‘ethos’ or Bankruptcy Assured’.
general way of thinking about learning and Revans’ criticisms anticipated or precipi-
teaching, as well as a specific set of practices tated a continuing critique of the MBA, for
(Pedler et al., 2005: 64–5). example by Mintzberg (2004), who suggests
that MBA might mean ‘Maybe Best Avoided’
and from Bennis and O’Toole (2004: 2) who
suggest that US business schools are misled by
ACTION LEARNING IN MANAGEMENT ‘physics envy’: ‘Too focused on “scientific”
EDUCATION AND ORGANIZATIONAL research, business schools are hiring profes-
DEVELOPMENT sors with limited real-world experience and
graduating students who are ill equipped to
Management education is perhaps the most wrangle with complex, unquantifiable issues,
researched field where action learning has in other words the stuff of management’ (As a
been applied, but it is certainly not to be con- concluding footnote there is empirical research
fined here, being in principle applicable to all suggesting that firms implicated in corporate
social situations where people are faced with crime employ more MBAs (Williams et al.,
messy problems unamenable to technical 2000)!)
solution. Action learning is often found for Action learning has been recognized as an
example in public service, voluntary organi- innovation in management education and devel-
zations and community settings and seems to opment in the UK since the major initiative
322 PRACTICES
undertaken in the General Electric Company research – critical, educational, emancipatory,

in 1975 (Casey and Pearce, 1977), but it has humanistic, participatory etc; together with
remained controversial. The use of action many other forms of inquiry: action, appre-
learning is now increasing as part of a wider ciative, collaborative, co-operative, develop-
expansion of management and leadership mental action, etc. and including other
development activities and as part of a clus- cousins such as developmental evaluation
ter of ‘context specific’ teaching/learning and participatory rural appraisal (Elden and
methods that have grown in relation to other Chisholm, 1993; Brooks and Watkins, 1994;
educational and development approaches Greenwood and Levin, 1998; Marsick and
(Mabey and Thomson, 2000; Horne and O’Neill, 1999; Raelin, 1999; Pedler et al.,
Steadman Jones, 2001). According to this 2005). Raelin proposes action research, par-
research, the significant growth of in-company ticipatory research, action science, develop-
development activities has apparently con- mental action inquiry, co-operative-inquiry
tributed to improved organizational perfor- and action learning as ‘the burgeoning action
mance. Other surveys also suggest that the use strategies that are now being practiced by
of action learning has grown substantially, organization and management development
alongside coaching and mentoring (Thomson practitioners around the globe’ (1999: 115).
et al., 1997; Institute of Management, 2001). As part of a wider family of action-based
However, despite a wider awareness of approaches to research and learning, action
newer learning theories such as situated learn- learning and action research share many
ing and activity theory that provide a theoretical common values and positions on valid
underpinning for action learning and other ‘con- knowledge. For most practical purposes, it is
text sensitive’ approaches, business school edu- their common heritage and not their different
cation remains dominated by traditional emphases that is important. Action learning
lecturing and case studies and action learning is and action research share common origins in
not widely used here, nor are staff generally a commitment to action and pragmatism, and
skilled in its use (Pedler et al., 2005). This a reaction against detached research generat-
indicates an ‘espoused theory’ of action ing abstract knowledge which is then dis-
learning in business schools rather than a seminated through teaching from a position
‘theory in use’ (Argyris and Schön, 1974: 7; of assumed expertise. Both have their origins
see also Chapter 17) with the ability to trans- in a critique of the application of a positivist,
late theory into practice. natural sciences approach to social and
human settings, and acknowledge the prag-
matist philosophers in their emphasis on the
ACTION LEARNING AND ACTION importance of learning in a changing world.
RESEARCH: SIMILARITIES AND Both are characterized by cyclical processes
DIFFERENCES that reflect the pragmatists’ emphasis on the
need for experiment, reflection and learning.
Action learning is also part of a wider growth Both are concerned with seeking pragmatic
of interest in ‘action approaches’ to manage- and meaningful solutions to social problems
ment and organization. Kurt Lewin is cred- in organizations, communities and societies:
ited as the founder of ‘action strategies’ what works best in helping people bring
where ‘knowledge is produced in service of, about the changes they seek? Both address
and in the midst of, action’ in contrast to pos- the ‘policy/implementation gap’; ideas are
itivist approaches that separate theory from ten-a-penny, but what actually works? And
practice (Raelin, 1999: 117). Many varieties how do we find out?
of practice are discussed in various surveys The differences between action learning
including multiple forms of action learning – and action research can best be seen in their
self-managed, auto, on-line, business-driven starting points and development paths. One
& critical etc.; multiple forms of action obvious difference that lends action learning an
ACTION LEARNING 323
idiosyncratic iconoclasm is its continuing been developed and taken forward by a wider
dependence upon the thought and practice of community of scholars than action learning.
one man, Reginald Revans. Action research
owes a great deal to Kurt Lewin, but this field
also reflects the work of many other scholars Action or Knowledge?
and practitioners. Indeed, Revans has put McGill and Beaty suggest that action learning
himself in this tradition amongst others: for focuses on learning through action whilst
example, he variously describes the four-year action research is more research-oriented
Hospital Internal Communications (HIC) (2001: 20–2). In this argument, action research
Project (1965–8) as action research, organi- shares with all research the commitment to
zational development and operational make a useful contribution to understanding
research (1982[1966]). Wieland and Leigh and knowledge, and to show how this is
(1971) described this project as an unusual arrived at methodologically, so that those to
approach to organization development, char- whom the new understanding is offered can
acterized by the bringing about of change see how it is arrived at, whether they agree
through self-help teams. Clark endorses this, with it and whether they want to ‘replicate’
seeing Revans’ work as ‘non-directive’ the research in their own setting. The primary
action research (1972: 119) and noting a dis- outcome is individual and collective under-
tinctive characteristic of what would later be standing. Action learning seeks continuous
known as action learning: improvement in systems and self-development
Though Revans defined a key problem area he through individual and collective action.
deliberately did not propose a specific solution. Sensemaking is based on the actions taken, via
Instead, he suggested that the problem of com- reflection, honest observation and interpreta-
munication could be solved best by those working tion of the consequences of action. The pur-
within the hospitals. (1972: 40)
pose and outcomes are improved action and
Another apparently obvious difference is in the personal and collective learning.
name: action learning versus action research. This simple distinction between action/
Action learning has become a radical alterna- learning and research orientations may be a
tive to teaching, whilst action research presents false dichotomy, because it can be argued
a striking juxtaposition to passive traditions of that the purpose of the research in action
research, both positivist and interpretativist research is primarily for the benefit of the
(participating ethnographically in events to ren- people with the problem under study and not
der an authentic account of them). the university (Reason, 2006), but there does
Yet, despite continuing differences, traditions often seem to be a difference of emphasis in
and cultural histories, distinguishing action practice on the purpose of research.
learning from action research is made problem-
atic by the many varieties of practice that exist
in both. Finally, whilst practice boundaries are Review or Research?
fuzzy and distinctions often hard to maintain, Alastair Mant provides a good illustration of
there is a convergence in both ethos and practice the place and function of research in action
on seeing action as the basis for learning and for learning:
taking action on the basis of learning. Accepting
this, some differences and differences in empha- One of my consultancy assignments ... was to
sis can be cautiously asserted: improve selection. The temptation was to spend a for-
tune on a very clever, very complicated testing proce-
dure available from one of the glossier consultancy
firms. The solution was to remember that all the
Maturity rounds (principally for salesmen) were on file. A
brief review (‘research’, if you insist) of the data
Action research is a more developed field, there revealed that two of the line managers in the
both in practice and especially theory and has system had a genius for selection – not just for
324 PRACTICES
choosing the right people but also for representing acting on problems carrying a significant
the organization accurately to them at interview.
possibility of failure (1998: 8–9). The rela-
They were, in short, never wrong.
We could, I suppose, have studied these two men tionship between the learner and the problem
in fine detail, but it wasn’t really necessary. All that being tackled is personal as well as organiza-
was needed was to ensure their deployment at tional: ‘the problem is part of me and I am part
selection time and, where possible, to get other (and of the problem’ (Pedler, 1996: 20).
younger) managers to listen to them. (1983: 224)
This emphasis on personal risk and self-
development is highly distinctive to action
The word ‘review’ signifies the primacy of learning, although some action researchers also
action over codified knowledge; as soon as a argue for the importance of the personal as a
way forward is spotted, the ‘research’ stops and key part of action research (see Gustavson
the action begins. Beyond the requirements for et al., Chapter 4 in this volume).
action on real problems, action learning is gen-
erally less concerned with research as an activ-
ity. Whilst action research seems more The Set and other Distinctive
naturally at home in the academy, action learn- Practices
ing is more ambivalent and is happiest rooted in
practice communities. The rejection of the Action learning has its own distinctive work-
scholastic tradition is much stronger in action ing practices, most particularly the set of
learning than it is in action research. peers working over time to provide support
Having said this, action learning is and challenge in helping each other achieve
increasingly present in universities, both in their goals. Action learning sets share various
research and qualification programmes. A common practices including the primacy of
growth of research both by and into action questions and the provision of feedback. By
learning creates interesting problems for focusing on action, pragmatic research,
researchers. How does action learning reflection and personal development, the set
research differ from other research practices? constitutes ‘the cutting edge’ of action learn-
What can it contribute that is new? ing (Revans, 1998: 10).
The Book or the Tool? PRAXAEOLOGY: TOWARDS A

Action learning’s preference for the tool over GENERAL THEORY OF HUMAN
the book makes for great adaptability, but also ACTION
leads to a proliferation of practices, some of
which, despite carrying the name, do not meet The power of action learning in adult, profes-
the basic requirements. Additionally, this flex- sional and managerial education stems from its
ibility carries the risk of action learning being philosophy of action. Whilst much attention
co-opted as an implementation tool without has been given to theories of learning in various
any wider critique (McLaughlin and Thorpe, literatures, much less has been given to theories
1993; Vince and Martin, 1993; Wilmott, of action. Revans’ attempt at a ‘praxeology’, or
1997). We return to the themes of a more crit- general theory of human action, rests on three
ical perspective below. assumptions or philosophical positions on ‘how
things are’: critical realism, pragmatism and the
risk imperative.
Risk and Personal Development
Action learning is for people in circumstances Critical Realism
of confusion, ambiguity and risk. In turn Revans
stresses that the profound self-examination Some interpretations of action learning take a
and self-development of the actor comes from simple realist perspective: ‘To me ... Revans
ACTION LEARNING 325
has a simple message: in action learning real you? Who could help you? (Revans, 1998).
managers share ideas and tackle real prob- This stance is well expressed by the pragma-
lems with their counterparts, which effects tist philosopher William James, describing a
change in the real world’ (Pedler, 1997: 65); furious debate with friends on a camping trip
others acknowledge the problematic nature in the woods:
of individual actions in complex systems and
The corpus of the dispute was a squirrel – a live
adopt a more constructionist approach,
squirrel supposed to be clinging to one side of a
emphasizing aspects of collaborative inquiry tree trunk; while over against the tree’s opposite
and collective meaning making (Pedler, side a human being was imagined to stand. This
1997: 69–73). human witness tries to get sight of the squirrel by
Critical realism may provide the most use- moving rapidly round the tree, but no matter how
fast he goes, the squirrel moves as fast in the
ful underlying orientation to action learning
opposite direction, and always keeps the tree
(Burgoyne, 2002). This starts with the onto- between himself and the man, so that never a
logical proposition that the world is neither glimpse of him is caught. The resultant metaphys-
the determinate machine of positivism or the ical problem now is this: Does the man go round
‘anything goes’ meaning-making of extreme the squirrel or not? He goes round the tree, sure
social constructionism, but is an open system enough, and the squirrel is on the tree, but does
he go round the squirrel? In the unlimited leisure
with emergent properties, containing some of the wilderness, discussion had been worn
mechanisms or powers that can be relied on threadbare. (Thayer, 1982: 208)
as stable. The notion that there are regular
mechanisms in the world, that they are or are James solves this problem by saying that it
not activated, that they vary in their effects depends on what is ‘practically meant’ by
and outcomes as they interact with other ‘going round’. For practical purposes, if it
mechanisms and contexts, fits the mix of means that the man has circumnavigated the
interplay and interaction of predictability and squirrel’s position, then yes; if it means, did
emergence in Revans ‘P’ and ‘Q’ (1998: 4). the man ever pass the squirrel, then no. What
A critical realism stance on action learning difference would it make if this rather than
is critical in two senses. First, it is critical of that were true? If no practical difference can
both strong positivism and extreme construc- be traced then the dispute is idle. Here truth
tionism on pragmatic grounds: neither is not a fixed, inherent quality but something
works. Secondly, following Mary Parker that leads to a useful belief whose expecta-
Follett (Follett, 1927; Graham, 1995), it is tions are actually fulfilled: ‘The truth of an
critical in its proposition that any action, idea is not a stagnant property inherent in it.
taken on the basis of false assumptions about Truth happens to an idea. It becomes true, is
the situational reality, is bound to be destruc- made true by events’ (Thayer, 1982: 229).
tive and dysfunctional. James explains the pragmatic method as a
way of dealing with otherwise irresolvable
problems. Is the world one or many? Are we
Pragmatism
fated or free? Disputes about such issues tend
The philosophical position of pragmatism is to be circular and unending, and pragmatism
commonly acknowledged as the basis for interrupts this process to interpret each
experiential learning (Dewey, 1929; Kolb, notion in terms of its possible outcomes and
1984) and in turn is commonly used to consequences. What difference would it
explain the process of action learning. make if this rather than that were true? What
Pragmatism holds that truth is not something works best in helping people bring about the
absolute, but just that which is useful to changes they seek? If no practical difference
choose and achieve worthwhile outcomes. can be traced then, for pragmatists, the alter-
Action learning adopts a pragmatic stance: natives mean practically the same, and dis-
What are you trying to do? What is stopping pute is idle.
326 PRACTICES
Action research has also been interpreted via • Beta – the decision system or negotiation cycle
contemporary representations of pragmatism required to implement the decision or strategy –
such as those of Richard Rorty (Reason, 2003; of survey, trial, action, audit and consolidation;
• Gamma – the learning process as experienced
see also Chapters 1 and 23). Philosophical
uniquely by each action learner, involving self-
pragmatism, action research and action questioning and awareness of self and others.
learning hold much in common; the differ-
ences emerge in the respective emphases on System alpha summarizes what Revans
thinking, researching, acting and learning. had learned from his operational research
experience where he applied his scientific
The Risk Imperative training to studies of productivity in mines,
factories, schools and hospitals: what oppor-
Revans’ action learning is not a naive, risk- tunities exist in the external environment,
and-dilemma-free ‘learning by doing’ as and how may internal resources be deployed
sometimes depicted, but a practical and to exploit these (1971: 35–6)? In adding the
moral struggle for progress, cradled in risk managerial value system to this orthodoxy,
and anxiety. Revans nominates ‘managerial as the basis for aims and decisions, he makes
values’ and the value system of the enterprise it clear that such choices are contested and
as the factor most likely to hinder effective moral in nature.
action and learning: ‘where those in charge System beta is a direct application of sci-
do not know by what marks they are trying to entific method to the project cycle of plan-
navigate, they cannot delegate responsibility’ ning, action, reflection and learning. Revans
(1971: 65). points out that science, project methodology
Acting in challenging situations is charac- and learning all follow this same cycle.
terized by conflicts of value and purpose, and System gamma is the vital learning theory
also by the accompanying fear and risks – as component of Revans’ model:
much of inaction as of inappropriate action.
Revans termed this ‘the risk imperative’: System gamma was the essence ... it represents
in its own way the structure of all intelligent
These attacks, whether upon problems or upon behaviour, and offers, in conjunction with systems
opportunities, must carry significant risk of penalty alpha and beta, one starting for a general theory
for failure. Those who are not obliged to assess the of human action, for a science of praxeology.
risk to themselves of pursuing, or of trying to pur- (1971: 58)
sue, such-and-such lines of action cannot, by their
indifference to the outcome, explore their own System gamma encapsulates the reflexive
value systems nor identify any trustworthy pattern nature of action learning: when a person
of their own beliefs. Non-risk exercises, such as takes action on a situation, this affects the sit-
case discussions, often motivated by exhibitionism uation, but the effect of the change or action
or a need for social approval, may draw from some
participants declarations of belief that, while not
has a complementary effect upon the person
misleading those who hear them, can help only to (1971: 54–5). Additionally, Revans also sees
deceive those who express them. (1998: 8–9) system gamma as the means by which per-
sonal learning is linked to organizational
learning in ‘a cycle of institutional learning’
Systems Alpha, Beta and Gamma illustrating ‘the symbiotic nature of personal
Revans’ most formal attempt to create a gen- and institutional change’ (1971: 129–30).
eral theory of human action incorporates Although Cyert and March (1963) had
three interacting systems (1971: 33–67): already established the idea that organiza-
tions can be said to learn, Revans’ particular
• Alpha – the strategy system based on the man- contribution was to translate these ideas into
agerial value system, the external environment the practice of action learning. This linking
and the available internal resources; of individual action and development within
ACTION LEARNING 327
the context of organizational change prefigures TOWARDS A CRITICAL PRACTICE

later preoccupations with organizational OF ACTION LEARNING
learning and the learning organization.
There are a number of unresolved and devel-
opmental issues for action learning, including
the questions of definition, how best to link
The Practice of Action Learning
individual and organizational learning and the
Praxaeology denotes praxis – practice or quest for a more critical action learning.
doing – in the original Greek; but also as in These three issues are related. Action
Marx’s usage, the inseparable unity of theory learning ‘means different things to different
and practice, thinking and doing. Revans’ people’ (Weinstein, 1995: 32) and Revans’
adoption of this co-location is also reflected ‘classical principles’ are often diluted, as in
in other contemporary ideas such as reflec- ‘task forces’ which report findings rather
tive practice (Schön, 1983); action science than take action (Dixon, 1997). In a survey of
(Argyris and Schön, 1978; Argyris et al., current practice, Pedler, Burgoyne and Brook
1987); and also in more recent theories such (2005) suggest that action learning is usually
as communities of practice theories (Lave seen as individual development in small
and Wenger, 1991); activity theories groups with less evidence of sponsorship for
(Engeström, 1987) and actor network theory tackling organizational issues as envisaged
(Law and Hassard, 1999). These more recent by Revans (1982: 280–6) or a key compo-
ideas locate knowledge and action in partici- nent in inter-organization or network learn-
pative networks, in which individual ‘actors’ ing (Coughlan and Coghlan, 2004). For
(including non-human ones) cannot easily be organizational development to take place ‘a
isolated. In the light of this, an adequate connection must be secured between what
theory of action learning practice must now has been learned by action learning partici-
go beyond individuals to take account of the pants and other members of the organization’
contextualized and situated nature of human (Donnenberg and De Loo, 2004: 167).
actions and activities. Thus, action learning Given its protean nature, action learning is
sets themselves may be viewed as activity easily adapted to serve local circumstances and
systems and members of sets as ‘actors-in- agendas. Wilmott’s challenge – how can action
complex-contexts’ (Ashton, 2006: 28). learning avoid being ‘selectively adopted
Practice is a useful word for advancing to maintain the status quo’? (1994: 127) –
Revans’ theory of action, not only because it promotes an aspiration for a more critical
creates a unity from entities such as action action learning which goes beyond the ‘ordi-
and learning that might otherwise become nary criticality’ of reflective practice to a social
polarized or mutually exclusive, but also and organizational critique. This is especially
because it can connect the individual actor so in the context of management education,
with a wider, collective context of action. given the ‘uncritical’ nature of much current
Revans re-capitulates action learning (and provision (McLaughlin and Thorpe, 1993;
systems alpha, beta and gamma) in these Burgoyne and Reynolds, 1997; Reynolds,
terms, as change in three sets of relation- 1999; Rigg and Trehan, 2004). As Reynolds
ships: with the external world (third-person), and Vince (2004: 453) put it ‘Do ideas brought
with oneself (first-person), with other practi- into action-based discussions help to question
tioners (second-person) (1982: 724). Reason existing practices, structures and associated
and Bradbury (2001/2006) make a parallel power relations within the organization?’A crit-
proposition for action research: experience, ical action learning would distinguish between
knowledge and research can be for the effective practice, reflective practice and criti-
person, for the face-to-face inquiring group, cally reflective practice (Burgoyne and
and for the wider community. Reynolds, 1997: 1).
328 PRACTICES
Questioning the Wisdom of Peers ‘working’, together with the moral, ethical
and social justifications that are applied to the
This call for a more critical approach chal-
means as well as to the ends of any action.
lenges one of action learning’s basic tenets:
Rigg and Trehan (2004) offer some rare
its trust in the wisdom of peers:
examples of what critical action learning
Action learning is to make useful progress on the might look like in practice. Their action
treatment of problems/opportunities, where no learners are working within an academic pro-
solution can possibly exist already because differ- gramme which provides critical theory
ent managers, all honest, experienced and wise, inputs and which aims to encourage partici-
will advocate different courses of actions in accor-
dance with their different value systems, their dif-
pants to become aware of their theories-in-
ferent past experiences and their different hopes use, to think critically and, through valuing
for the future. (Revans, 1998: 28) their own experience and insights, to create
their own theory from practice (2004: 152).
But from a critical perspective, set members Four illustrations are offered to support the
are contained and encultured, unlikely to be authors’ optimism that a critical action learn-
able to mount an independent critique of ing can contribute to a more critical manage-
their organizational and social world without ment practice via a profound learning from
some input of ‘critical social theory’ experiences of emotions, power and diversity
(Wilmott, 1997). However, action learning (2004: 162).
not only puts its trust in peers, but actively The illustrations are based on lengthy self-
mistrusts experts (including those in critical accounts that can only be glimpsed here.
social theory). This value preference gives it Here is part of Rav’s story:
great power and distinctiveness, but does it
also sometimes result in blindness to wider Rav experienced ‘intense rage of anger, and
questions? annoyance’ and felt ‘very lonely, isolated and
Action learning places great importance devalued’ in the early days of the programme. Rav
was one of three Asian participants on the pro-
on ‘insightful questions’ (Revans, 1998: 6), gramme, and found himself in a set not only with
and if critical theory can add value through the other two but also with an Asian facilitator.
the posing of good questions, then a critical Experiencing deep emotions and conflicts, Rav
practice of action learning might aim to com- took several actions including ‘applying’ to other
bine this critique with the ‘art of the possible’ sets for membership. Further strong feelings were
provoked when he heard that they were ‘consider-
in terms of organizational change and per- ing my request (for entry)’. He continues:
sonal practice. This can only happen, as both ‘At this point I felt angry and humiliated, but to
Revans and the critical theorists agree, via an my surprise I decided to change my strategy. My
understanding of, and a working with, the other two group members were quick to point out
power relationships in any setting. that I had in fact experienced a covert act of rejec-
tion, which they had previously experienced in
their own organizations. Suddenly, the bonding
Critical Action Learning was back and we reaffirmed our commitment to
complete the MSc and “show them how good we
in Practice? were”. How dare they reject us, we were three
experienced and talented Asian professionals who
But what would this look like in practice?
were capable and now willing to take on the
With honourable exceptions (e.g. Rigg and world! … To this end I didn’t engage in any social
Trehan, 2004), the arguments so far have interaction with the other groups, and our group
been mainly theoretical. very soon became detached and isolated from the
Because action learning is concerned with “new organization”. … ‘.
Reflecting later on his actions and feelings, he
learning what ‘works’ as a basis for action, a
notes:
critical practice must start from what works ‘Formulating this paper has forced me to con-
or does not work. The criticality is perhaps in ceptualise and analyse my actions and learning –
a deeper examination of what counts as Why did I behave in this manner? Do I have a
ACTION LEARNING 329
fear of white domination? Am I unable to accept Speculative [S]

rejection? Why did I feel the need to “overcom-
pensate”? This experience does also force me to
ask the question “How good am I at managing my
Operational Critical
emotion?’’’ Research Theory
He specifically notes the value of critical theory
in his learning:
‘Habermas’ work has certainly helped me to
analyse and question my experiences and underly-
ing beliefs and values, and thereby exposed my Performative [P] Emancipatory [E]
Action
true development needs.’ (Rigg and Trehan, 2004: Learning
156–7) Figure 21.1 Lyotard’s triangle
Rigg and Trehan’s analysis of their partici-

pants’ experiences in general is that they
demonstrate three interrelated themes: ‘chal- mind, whilst the action and risk imperatives
lenged perspectives on managing, trans- of action learning demand that we take
formed perspectives on self and adjustments sides, choose, and commit. How can we con-
to social relations’ (2004: 155). tinue to act, to good effect, whilst holding all
these, and more, possibilities in mind? The
tension in this position is reminiscent of
Can Action Learning Co-exist Polanyi’s scientist who wears commitment
with Critical Theory? as ‘a shirt of flame blazing with passion’
We have suggested elsewhere that Lyotard’s whilst simultaneously holding the possibil-
argument regarding three ‘meta-narratives’ or ity that this firm belief might well be false
purposes of knowledge provides a framework (1962: 64).
for thinking about the positioning of action Yet there remains some incompatibility
learning (Lyotard, 1984; Burgoyne, 1994; and incommensurability of paradigms. The
Pedler et al., 2005). These are: speculative: discomfort between action learning and the
knowledge for its own sake, concerned with academy stems from the preference of acad-
theoretical rigour; emancipatory: knowledge emics for seeking to influence the world
that helps us overcome oppression and attain through ideas rather than activism. As acad-
the highest human potential; and performa- emics, critical theorists can exercise moral
tive: knowledge that helps action in the imagination and accommodate multiple
world, to resolve problems, to produce better views without the need to subjugate them to
goods and services (Figure 21.1). a single commitment to action. When acade-
Suppose that action learning now sits mics move into action they have the same
between the performative and emancipatory, problems as other people.
and furthest from speculative. But, as in For example, the critical challenge of ani-
Revans’ career it appears to have migrated to mal rights activists to the privileging of
here from a position closer to that of opera- human over animal rights seems intellectu-
tional research, it may be that the critical ally sound; but when it comes to action,
practice argument is now tugging action its ends, means and justifiable limits, things
learning closer to a critical theory position become very problematic. The ethical
between emancipation and speculation. dimensions emerge much more sharply in
Whilst speculation is ‘safe’, the performa- action than in when ‘just’ thought is
tive, whether driven by an emancipatory or involved. Revans understood this very well:
other purpose, is inherently risky, with poten-
A man may well learn to talk about taking action
tial for either good or evil or both. The exercise simply by talking about taking action (as in classes
of critical thinking and moral imagination at a business school) but to learn to take action
require us to hold all possible interests in (as something distinct from learning to talk about
330 PRACTICES
taking action) then he needs to take action (rather Brooks, A. and Watkins, K. (1994) The Emerging Power
than to talk about taking action) and to see the of Action Inquiry Techniques. San Francisco, CA:
effect, not of talking about taking action (at which Jossey-Bass.
he may appear competent) but of taking the Burgoyne, J.G. (2002) The Nature of Action Learning:
action itself (at which he may fall somewhat short
What Is Learned about in Action Learning? Salford:
of competent). (1971: 54–5 original emphases)
University of Salford, The Revans Institute for Action
Learning and Research.
And of course this insight is not new, as Burgoyne, J. and Reynolds, M. (eds) (1997) Management
Revans noted in his frequent invocation of a Learning: Integrating Perspectives in Theory &
passage attributed to the Buddha: Practice. London: Sage.
Casey, D. and Pearce, D. (eds) (1977) More Than
To do a little good is better than to write difficult Management Development: Action Learning at
books. The perfect man is nothing if he does not GECI. Aldershot: Gower Press.
diffuse benefits on other creatures, if he does not Clark, P.A. (1972) Action Research and Organisational
console the lonely. The way of salvation is open to Change. London: Harper & Row.
all, but know that a man deceives himself if he Coughlan, P. and Coghlan, D. (2004) ‘Action learning:
thinks he can escape his conscience by taking towards a framework in inter-organisational
refuge in a monastery. The only remedy for evil is settings’, Action Learning: Research & Practice,
a healthy reality. (1980: 3)
1 (1): 43–62.
Cyert, R. and March, J. (1963) A Behavioural Theory of
A critical practice of action learning would the Firm. Englewood Cliffs, NJ: Prentice Hall.
mirror critical theory and, whilst refuting any Dewey, J. (1929) Experience and Nature. La Salle, IL:
claims to sovereignty by thinkers, conscious or Open Court.
unconscious, strive for a practical accomplish- Dixon, N. (1997) ‘More then just a task force’, in
M. Pedler (ed.), Action Learning in Practice, 3rd edn.
ment which is no less demanding. Action
Aldershot: Gower Press. pp. 329–38.
learning can benefit from critical thinking, but Donnenberg, O. and De Loo, I. (2004) ‘Facilitating
only if this is offered in the spirit of peer organizational development through action
inquiry and in the context of a mutual striving learning – some practical and theoretical considera-
for useful action. It is the assumed superiority tions’, Action Learning: Research & Practice, 1 (2):
and hegemony of theory and theorists over 167–84.
practice and practitioners that is rejected, not Elden, M. and Chisholm, R. (1993) ‘Introduction to a
the value of critical thinking. Special Issue “Emergent Varieties of Action
Research”, Human Relations, 46: 121–42.
Engeström, Y. (1987) Learning by Expanding: an
Activity-Theoretical Approach to Developmental
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22
The Jury is Out: How Far Can
Participatory Projects Go Towards
Reclaiming Democracy?
To m W a k e f o r d w i t h J a s b e r S i n g h , B a n o M u r t u j a ,
Peter Bryant and Michel Pimbert.
The citizens’ jury has been wrongly viewed as a straightforward off-the-shelf method for
public consultation. Instead, it has become a largely unregulated pseudo-trademark. It is
attached to practices that can be placed along a continuum – from grassroots-based activism
at one end, to attempts by policy-makers to re-engineer their systems of democratic account-
ability, or at least to be seen to do so, at the other.
The use and abuse of the citizens’ jury label by different practitioners, and other actors,
illustrates the political interests that pervade attempts to create or validate knowledge.
Citizens’ jury style processes from four continents demonstrate how such initiatives can:
1. further marginalize groups already experiencing oppression if appropriate safeguards are
not in place;
2. fail to link to social movements that are powerful enough to allow everyday people’s
voices to act as a counterweight to the ongoing transfer of power away from them;
3. suffer from a clash between the drive for short-term outputs and those who seek
processes that could bring long-term improvements.
We conclude that brief and small-scale initiatives, such as juries, must become part of larger
and long-lasting initiatives jointly owned by those who have been denied a voice in the past.
Over the last ten years the radical tradition of biased consultation industry now threatens to
participatory action research (PAR) has been undermine the work of previous decades. A
challenged in the UK and elsewhere. A new particularly instructive case study is the
commercially driven and often politically recognition, modification and exploitation of
334 PRACTICES
the pioneering ‘citizens’ jury’ (CJ) methodol- Economics Foundations, 1998; Involve,
ogy, demonstrating how these forces (along 2005; King Baudouin Foundation, 2005).
with those identified by Chambers, Chapter As with much PAR, there is a great deal of
20 in this volume) threaten to undermine the controversy over what constitutes good prac-
potential of PAR to bring about social and tice or professionalism in the area of public
environmental justice.1 consultation (Pimbert and Wakeford, 2001;
Though diverse in their subject matter and Irwin, 2006). Lacking the methodological self-
style of delivery (see Box 22.2 and Table 22.1), regulation that exists in some areas of PAR, or
CJs that embrace the broad principles of PAR the legal sanctions available to the owners of
include the following three elements. the CJ brand in the USA, consultation practi-
tioners elsewhere are free to use almost what-
1. The CJ is made up of ‘jurors’ – people who are ever label they wish, without being limited to
usually selected ‘at random’ from a local or the approach taken by those who invented the
national population, with this selection process particular tool. Conversely, many people have
being open to outside scrutiny. used all three elements above, yet called their
2. The jurors cross question expert ‘witnesses’ – processes by names other than a CJ, such as
specialists they have called to provide different consensus conferences, citizens’ councils,
perspectives on the topic – and collectively pro-
deliberative focus groups or, most commonly,
duce a summary of their conclusions, typically in
a short report.
citizens’ panels (AEIDL, 2006; Satya Murty
3. The whole process is supervised by an ‘over- and Wakeford, 2001).
sight’ or advisory panel composed of a range of Our analysis here draws on our particular
people with relevant knowledge and a possible experiences, which are outlined in Box 22.1.
interest in the outcome. They take no direct part
in facilitating the CJ. Members of this group sub-
sequently decide whether to respond to, or act THE PARTICIPATION PARADOX
on, elements of this report.
We estimate that research, community-based
In the USA, where the term ‘citizens’ jury’ or commercial organizations have under-
was first used in the mid-1980s and where the taken at least 500 CJ-type exercises in the
Jefferson Institute subsequently trade-marked UK between 1996 and 2006, with many
the term, the practice of CJs has been tightly more taking place in other countries. Perhaps
regulated (Crosby et al., 1996). Outside the the most striking aspect of the initial popu-
USA, however, CJs have been conducted in larity, and subsequent scepticism, about CJs
many different ways, and with many different is how closely their history parallels that of
objectives, and with varying success. another PAR technique called participatory
During the 1990s much of what had origi- rural appraisal (PRA), which had been intro-
nally been presented as citizen participation duced ten years previously.
became commercialized. In the UK at least, PRA was named by Robert Chambers in the
most CJs have become just one more item in mid-1980s as a label for the introduction of
a market researcher’s portfolio, amidst a participatory techniques to development work
flurry of branding and re-branding of differ- (Chambers, Chapter 20 in this volume;
ent consultation tools. This trend continues Richards, 1995; Pratt, 2001). PRA thus became
unchecked because of a lack of effective crit- part of a policy-shift towards consulting citi-
ical assessment of different participatory zens. Backed by some of the world’s major aid
approaches. It is exemplified by the plethora agencies, PRA techniques evolved and spread
of handbooks that claim to allow an informed with such rapidity that by 1996 they were
‘choice’ between the tools available whilst estimated as being used in at least a hundred
failing to explore the wider political and com- countries and had been embraced by the World
mercial context in which they are used (New Bank (Narayan et al., 2000).
THE JURY IS OUT 335
Box 22.1 Locating the authors
We are PAR practitioners who have been working together for several years. Along with others, we form
part of a network called Right to be Heard – people from different backgrounds and locations who share
a concern to see currently excluded voices influence policy via processes that are both participatory and
inclusive. Right to be Heard includes facilitators, participants and funders of PAR initiatives. While ben-
efiting from our interactions with many individuals over the years, this article is based on insights stem-
ming from our role as facilitators.
Tom has been involved in promoting, planning and facilitating CJs in a range of contexts since the
mid-1990s. He has been amongst those who have been critical of the model of CJs that employs them
as a form of market research. He has attempted to develop co-production models that involve all par-
ticipants both in CJ design and in the use of their outputs. All the authors worked together on CJs in East
Lancashire, West Yorkshire (UK) or in India.
In the widely cited review that gives In the UK and USA especially, attempts to
this estimate, Chambers and Blackburn (1996) deepen democracy have been against an
suggest that PRA approach has ‘much to offer intensified ideological background of com-
the policy-making process’. ‘It provides’, they petitive individualism and consumer capital-
continue, ‘a way to give poor people a voice, ism. By contrast, structures that acknowledge
enabling them to express and analyse their humanity’s mutual interdependence, or allow
problems and priorities’. ‘Used well’, the the development of collective action and sol-
authors observe, ‘it can generate important and idarity, have struggled to survive. In richer
often surprising insights which can contribute nations this weakening of civil society has
to policies which are better fitted to serving the occurred even despite the widespread uptake
needs of the poor’ (p. 1). In the same breath, of potentially empowering tools such as the
however, he acknowledges there is ‘much internet, and a rise in single-issue campaigns
debate about what constitutes “real” PRA’. such as those against animal experiments,
‘[T]he behaviour and attitudes’ of those who mobile phone masts or wind turbines.
bring it about are, he said, of greater signifi- Many established democracies have, para-
cance than the methods used. doxically, increased the number of government
Though organizers of the first wave of CJs consultation initiatives, many of them CJs,
worked without reference to the PRA move- accompanying a decline in the actual account-
ment, the internationalization of the tech- ability and transparency of the decisions that
nique occurred in a post-Chambers political are taken. An example of this paradox is new
landscape in which decision-makers have technology, which is the subject of some of the
increasingly commissioned their own politi- CJs described here. Many assume that technol-
cally ring-fenced consultation initiatives, ogy is both capable of providing solutions to
using methods such as CJs. The declared aim global problems and is open to democratic con-
is to facilitate a dialogue with fellow citizens. trol. Yet, the last ten years has seen most of the
Yet, at the same time, many of the systems same populations who have been consulted
of accountability established during the becoming ever more powerless to influence the
last century have become weaker, while the pathway technology takes or its impact on our
proportion of populations that elect govern- lives. A rare exception is the remarkable grass-
ments remain at an historic low (Electoral roots coalitions that have so far kept genetically
Commission, 2005; Norris, 1998; McDonald modified foods out of farming systems in some
and Popkin, 2001). of Europe and the world beyond.
Table 22.1 Summary and brief comparison of some citizens' juries (CJs) and similar processes that took place between 2000 and 2006
Name and date of Bringing Ensuring, or not, Equality of Impact on and/or Including and Role of organisers Extent of Co-ordination to Extent to which
the CJ or other co-inquirers equality between exchanges response from supporting vs other co-inquir- replication or communicate participants are
initiative together, including participants (e.g. via specialist policy-makers marginalised ers writing the continuation of process outputs helped to build an
oversight witnesses) groups recommendations process autonomous voice
Rad-Waste Advert, overseen Complaints by Most witnesses Disputed. None known. Facilitators Partially By funders and None.
Consensus Conf. by MSP some co-inquirers had pro-nukes strongly guided reconvened in contractor.
(2000) of bias. agenda. the writing 2002.
process.
CJ on GM crops, Via unions, no Attempted by local Jurors got < 1 per Part of an ongoing Disputed After deliberation, Replicated, with Wholly by None.
Brazil (2001–2) MSP. facilitator against cent of time to ask NGO campaign. jurors answered modifications, in ActionAid
the odds. questions an opinion poll. Brazil.
DIY CJs(2001–) Electoral roll & Comprehensive Witnesses domi- Initial hostility. Lack of support for Jurors largely in Ongoing in all Newcastle Yes, also R2BH.
local partners. strategy. nant. Now ongoing dia- under-21s & control. locations. University.
9/24/2007
MSP. logue. non-literate. Replicated.
Prajateerpu CJ, Via local Women a majority. Jurors dominant. DFID changed Catered for Jurors largely in Replicated, Local and UK Ongoing through
India (2001–3) university Local language. policy. Ongoing. non-literate status control. abroad, but not, as NGOs together NGOs.
researchers. MSP of most jurors. hoped, in India. with jurors.
5:37 PM
Citizens Council Advert. No MSP. Some, of disputed Witnesses domi- No public Included but Facilitators Continued with NICE None
(2002–) impact. nant. response. sometimes strongly guided revolving
suppressed. the writing membership.
process.
Page 336
Deliberative Commercial Attention paid to Joint workshops, None known. Women given Facilitators/ None known. By academic None known
Mapping (2002) recruiters, with gender difference. balance unknown. separate space. academics largely consortium to
MSP. in control. academic/policy-
maker audience.
(Continued)
Name and date of Bringing Ensuring, or not, Equality of Impact on and/or Including and Role of organisers Extent of Co-ordination to Extent to which
the CJ or other co-inquirers equality between exchanges response from supporting vs other co-inquir- replication or communicate participants are
initiative together, including participants (e.g. via specialist policy-makers marginalised ers writing the continuation of process outputs helped to build an
oversight witnesses) groups recommendations process autonomous voice
CJ on GM Commercial Standard market Witnesses Funder accused of None known. Facilitators None. Funder accused of None.
food/crops. (2003) recruiters. No MSP research approach. dominant. manipulation of ensured jurors distorting the
the result. addressed funder’s recommendations.
‘question’.
European Commercial Some scientific lit- Literature and None known. None. Facilitators largely European Citizens By consortium to None known.
Deliberation recruiters, no MSP eracy assumed. witnesses in control. Panel. media/policy-maker

(2005–6) dominant audience.
BBC CJ (2005-6) Electoral roll & Possibly inhibited Jurors dominant. Meetings with Young people Jurors largely in None at the time Broadcast or web- No, but R2BH.
local partners. by BBC senior politicians. disproportionately control. of writing. cast via bbc.co.uk.
MSP microphones. represented.
9/24/2007
Mali CJ on GM Use of PAR team. Majority women Jurors dominant. Strong political Attention to Jurors largely in Ongoing. Mali NGOs and Yes, ongoing.
crops (2006–) MSP. and smallholder contacts ongoing. literacy and control. IIED.
farmers. deliberative
confidence.
5:37 PM
Key:
CJ–citizens’ jury
MSP–oversight by a multi-stakeholder panel.
R2BH–Partcipants invited offered support to be involved in the Right to be Heard network
Page 337
338 PRACTICES
Box 22.2 Summary of the CJs compared in Table 22.1
Consensus Conference on Radioactive Waste Management (UK, 2000). Initiated by NIREX (UK
government’s radioactive waste disposal service). Followed a House of Lords sub-committee’s recom-
mendation that the government should ‘seek to build public consensus before attempting to implement
its chosen policy’. Early on in the process, one panel member resigned, complaining of bias in the process
in favour of nuclear power. NGOs claim process was an officially sanctioned strategy to re-frame the
debate. References: Kass, 2001; Wallace, 2001.
CJs on GM crops (Brazil, 2001–2). Initiated by ActionAid Brazil. Participants largely drawn from
members of unions affiliated to the Landless Workers Movement (MST), the largest social movement in
Latin America. A lawyer who was also a local member of parliament was pitted against local scientist as
the main ‘witnesses’, with jurors getting 1 per cent of time to ask short questions. The CJ formed part of
a wider and ongoing campaign by local and international NGOs. Reference: Toni and Von Braun, 2001.
DIY Juries (UK, 2001– ). Initiated by Rowntree Trust/Newcastle University (UK). Replicated with modi-
fications in Blackburn with Darwen, West Yorkshire, Reading and Norwich. Found that some potential
participants found terms ‘citizen’ and ‘jury’ off-putting, to the extent that might reduce inclusivity of the
process. Later initiatives used name ‘community x-change’. Reference: PEALS, 2003b.
Prajateerpu (India, 2001–3). Initiated by Andhra Pradesh Coalition in Defence of Diversity (APCDD),
International Institute of Environment and Development (IIED-UK). A local language PAR team identified
marginalized farmers, especially women, across the state. CJ took place in the language used by poor
people in the state (Telegu), rather than Hindi or English. State government and UK government’s
Department for International Development (DFID) were initially hostile. Later DFID changed its aid policy
in the state. Most jurors were non-literate – reflecting status of majority of state’s citizens – and female,
reflecting their greater practical role, but lack of voice, in agriculture. Facilitators summarized and trans-
lated the final recommendations (made in Telegu) into English. Jurors played prominent role in local and
international advocacy. Plans to replicate the process through the state prevented by a lack of state/NGO
capacity. Informed similar processes in Zimbabwe, Mali (see below) and elsewhere. References: Pimbert
and Wakeford, 2003; Wakeford and Pimbert, M. 2004.
Citizens Council (UK, 2002– ). Initiated by National Institute of Clinical Excellence (UK). Facilitation
unintentionally led to suppression of marginalized perspectives, such as racial minorities. Impact unclear
at the time of writing. References: Davies et al., 2005; Barnett, 2006.
Deliberative Mapping (UK, 2002). Initiated by two universities (Sussex and UCL) and the Wellcome
Trust. People’s socio-economic background and gender listed in report, which was potentially disem-
powering. All analysis by academics and already powerful stakeholders, except final report, a draft of
which was discussed by non-specialist participants. Reference: SPRU et al., 2003.
CJ on GM food/crops (UK, 2003). Initiated by the government’s Food Standards Agency (FSA), deliv-
ered by Opinion Leader Research (OLR). Funder accused of manipulation of the result that made it suit
its existing position (pro-GM food) when the result was broadly anti-GM crops. Major effort by FSA to
‘spin’ coverage to make jurors’ result appear pro-GM. Condemned by some NGOs and PAR researchers
for doing so. References: Genewatch, 2003a; PEALS, 2003a.
Meeting of Minds European Citizens’ Deliberation (2005–6). Initiated by King Baudouin Foundation and
European Commission. Potential participants were told the subject (brain science), leading to a bias in the
sorts of people who volunteered. Process relied on written literacy and an interest in scientific research.
BBC CJ on the theme of ‘respect’ (2005–6). Initiated by BBC Radio 4 Today Programme and
Newcastle University. BBC reporter and PAR team. Jurors took findings to leader of local council and UK
government minister, reported by BBC. Low level of resourcing and short timescale adversely affected
diversity and support to participants. Reference: BBC, 2005.
(Continued)
THE JURY IS OUT 339
(Continued)
Citizens Space for democratic deliberation and the future of farming, Mali (2006– ). Initiated
by Regional Assembly of Sikasso, Mali and IIED, UK. Very similar methodology to Prajateerpu. Prompted
a special meeting of the regional parliament. National and international publicity via written and broad-
cast media. Reference: IIED, 2006.
THE POLITICAL ECONOMY OF CJS resources that might have been used to
engage residents of the rest of the country.
CJs were perhaps the inevitable product of The decline in direct contact between most
two features of recent political systems, par- voters and those in power has been accompa-
ticularly in many Anglophone consumer- nied by a shift of resources by both govern-
capitalist states: the thirst of politicians for ments and competing political parties
political novelty, and their desire to be seen towards the skilful use of the mass media.
to be good rulers. Pierre Bourdieu’s study Focus groups have been used extensively
of the French political elite concluded that by large corporations for market research
‘no power can be satisfied with existing just from the 1950s onwards, allowing researchers
as power, that is, as brute force, entirely to garner psychological and social insights to
devoid of justification’ (Bourdieu, 1996: give an indication of the characteristics of the
265). This same logic can motivate other whole population. However, when trans-
political elites as a justification to consult formed to the political arena, this approach
their citizens. In the UK, the intersection of fails citizens by denying them an opportunity
these two increasingly pervasive trends pro- to articulate their views to those representing
vided a niche occupied by post-Thatcherite them. Neither does it allow for dialogue or
think-tanks, management consultants and development of mutual understanding
sometimes action researchers. among citizens, or between citizens and their
The political marketing revolution of the representatives.
1990s transformed concepts of participation The common feature of almost every one
among policy-makers. Traditional opinion of the scores of consultation initiatives in a
polling techniques were supplemented by range of countries has been their failure to
qualitative research, particularly focus allow groups marginalized in society to
groups (Lees-Marshment, 2004). By the late influence the political process. Even those
1990s, in the UK and USA at least, market participating directly in such exercises are
research, rather than grassroots political often left feeling their right to a voice has
debate, had become the primary mode by been violated (Skinner, 1997).
which politicians understood the potential Presented as a significant response to what
behaviours of their electorate. The only centre-left think-tanks saw as the growing
exception was groups of voters who happen divide between the Government and its
to make the difference between one national electorate, CJs were embraced by many of
government being elected and another. In the those close to Tony Blair prior to Labour’s
UK these are the marginal parliamentary election victory in 1997 (Crosby et al., 1996;
constituencies (Jon Cruddas in Joseph Mattinson, 1998). Though rarely labelled as
Rowntree Reform Trust, 2005), while in PAR, the UK has a rich history of community
US presidential elections it is the swing empowerment and citizen participation, rem-
states (Nusbaumer, 2004). These relatively nants of which had even survived the 18
small regions receive immense amounts of years of Thatcher government assault
campaign funds for leafleting, door-to-door (Loney, 1983; Cockburn, 1977; Popay and
visits and media coverage, while sucking in Williams, 1994). However, while embracing
340 PRACTICES
and promoting the ‘new’ methods such elements of the jury process such as the
as CJs, think-tanks such as the Institute for inclusivity of the jurors, witness choice and
Public Policy Research (IPPR) failed to the use made of the jury’s recommendations.
acknowledge either a past or future role As a result, whoever invites different organi-
for traditional grassroots-based processes zations to join the oversight panel has the
of democratic participation (Coote and potential to shape the process.
Lenaghan, 1997). Many of those initiating CJ in the UK after
Within five years of having been first 1997 did not put the oversight of the
piloted, several hundred CJ-type exercises processes in the hands of sufficiently diverse
had been undertaken in the UK. These interest groups or make the contribution
differed significantly in their aims and various organizations made to the jury
methodologies. Some are little more than process clear to jurors (Box 4 in PEALS,
adaptations of focus groups, while others are 2003a). Commissioning bodies have often
ambitious PAR initiatives aiming to build preferred to restrict control over key aspects
community capacity to directly influence of the process – jury selection, choice of
policy. The small number of studies compar- subject and witnesses – to a narrow spectrum
ing these kind of initiatives (e.g. Kashefi of stakeholders, whose interests and perspec-
and Mort, 2004; Smith and Wales, 2000; tives coincide with those of the funding
Wakeford, 2002) is symptomatic of the need organization.
for short-term impact, rather than a long-
term view, that has underlain many of these
initiatives. BRINGING TOGETHER
CO-INQUIRERS
INITIATORS OF CJS As in most processes of co-inquiry, there is a

potentially immense diversity of groups who
The most common funders of citizens’ juries might have a role in a jury process. Figure
in the UK and USA have been local and 22.1 highlights three distinct groups of co-
national government departments and agen- inquirers in a jury process – the funders, the
cies. Far behind them in frequency are acad- facilitators and the jurors. Under the market
emics studying the deliberative process or research model of a jury, the relationships
media organizations wishing to report on it. between these three groups is often merely
PAR activists, community organizations and contractual. Under this arrangement a funder
other types of civil society organization pays a group of facilitators to conduct a jury
make up a third group. process. One of these groups then invites the
A safeguard against any citizens’ jury ‘jurors’, often with the offer of a payment for
process becoming biased by any single inter- the time they will have given up to come
est group or perspective is the control of key along. At the other end of the spectrum, in a
elements of a jury by a panel that contains more PAR-based process – which we have
representatives of ‘a broad base of stakehold- called a DIY (‘do-it-yourself’) jury – funds
ers’ (Coote and Lenaghan, 1997). This or other resources come from community
involvement of organizations that can speak organizations which invite people from their
for a wide range of social interests via what own local area of work to be jurors.
is often called an oversight panel formed a CJs can involve people from a wide geo-
key part of the original rationale of CJs in the graphical area, such as the whole nation-
USA and UK (Crosby, 1995). state. However, the advantages of the
The balance of different interests on an symbolic national representativeness this
oversight panel can play a major role in vital provides must be weighted against the
THE JURY IS OUT 341
Non-participatory Oversight and action by already powerful organizations

citizens’
jury
Top-down
Increasing
grassroots
control over Funders Facilitators Jurors
the process
Bottom-up
Participatory Oversight and action by groupings relatively marginalized from power

or ‘DIY’ jury
Figure 22.1 Different co-inquirers involved in a jury process, showing the continuum between
a non-participatory ‘top-down’ citizens’ jury, and a more participatory ‘do-it-yourself’ jury
that contains an element of grassroots control
disadvantages. A nationwide spread is more backgrounds and perspectives that will be

expensive to run, and makes it much harder present in a local population. Such a mix
for jurors to continue their activities after the requires a strategy of contacting and engag-
process has finished. ing groups that are normally excluded from
The inclusion of community-based organi- consultation processes and are unlikely to
zations is also neglected in most CJs. If they push themselves forward. Facilitators
are allowed to be co-producers of the attracted to this second, more challenging,
process, these grassroots-based groups will approach are often those who are interested
find it easier to continue work with the jurors in using the exercise as a means of bringing
and other co-inquirers after the process has about greater social justice.
finished. Such alliances between citizens and Any organization that is funding a jury is
community groups are at the core of DIY- likely to agree to help oversee its implemen-
jury approaches. They also make it more tation. Other stakeholder organizations may,
likely that policy recommendations that such however, decide it is not efficient use of their
juries generate will lead to policy change. resources, or perhaps not even in their inter-
Even on an issue that is national or interna- ests, to associate themselves with the
tional, local groups are far more likely to be process. If such groups predict that the rec-
able to achieve results that are measurable by ommendations of a jury process are likely to
people living locally. be uncomfortable for them, they are faced
The sorts of jurors who are drawn into a with a dilemma: whether to become an
process will vary greatly depending on the ‘insider’ that is better able to make informed
strategy that is used to involve them. criticisms of the process, or an ‘outsider’ that
Attracting people via an advertisement in a is better able to either ignore the process or
local paper is unlikely to produce a process discredit it without being tainted by associa-
that is inclusive of the wide range of tion (Wakeford and Pimbert, 2004).
342 PRACTICES
FACILITATING WITNESSES AND The research included analysis of the time

DELIBERATIONS spent speaking by each different participants.
A process in which just one or two partici-
There are many approaches to the facilitation of pants, among a dozen, get to speak is unlikely
CJs. In processes set up to deliberate contro- to be as inclusive of diverse perspectives than
versial issues, facilitation is particularly prone one in which everyone speaks. However,
to challenge. The facilitator’s key role in lead- Davies and Barnett’s research suggests that a
ing jurors through their interrogation of wit- simple measurement of time spent speaking
nesses and the formulation of their final report could obscure more subtle processes of self-
can lead to suggestions that the process would censorship in the presence of particularly
have come to a different conclusion if the jurors vocal participants. Some members of the citi-
had been left un-facilitated. zens’ council made contributions that they
During the CJ meetings, facilitators should presented as authoritative general statements,
optimize the inclusivity and deliberative fair- while others merely expressed monosyllabic
ness of the process. Elements that are often assent or dissent on views articulated at more
key include: the time jurors have to deliber- length by the more dominant members. This
ate, the equality of opportunity between dif- does not make their participation less valid.
ferent jurors in making their voice heard, and However, it raises the question of whether
the attitudes to jurors shown by witnesses. they would have enriched the deliberative
process if they had fully articulated their
thoughts, and whether facilitators allowed
Time
them sufficient opportunity to do so. The citi-
Information provision in a CJ is usually by zens council demonstrates the challenges of
someone with specialist knowledge of the sub- ensuring PAR processes are practically, and
ject – a ‘witness’. The balance between the not merely rhetorically, inclusive (also see
time given to the witness for an initial presen- Lykes and Mallona, Chapter 7 in this volume).
tation and the time jurors have to develop their Different styles of discussion will encour-
questions and subsequently cross-question age jurors to articulate their views: not all
the witness is easily measurable. A public will feel comfortable doing so in the full
lecture may allow three-quarters of the time for group, or in direct dialogue with particular
the speaker, and one-tenth for questions for the witnesses. This is why we believe that facili-
audience. In a jury, reversing this balance and tators in such processes should find ways to
allowing three-quarters of the time for jurors to bring out as many different perspectives as
ask questions of witnesses, and discuss the possible from as many participants as would
answers they have had, ensures that jurors like to speak, including – but not restricted
have a greater overall sense of ownership of to – the questioning of witnesses and the for-
the process and are more likely to find the mulation of the CJ’s recommendations.
information they receive useful. The inclusion of witnesses who speak
from a variety of educational, professional
and socio-economic backgrounds encour-
Equality
ages jurors to engage with them. The greater
One of the most comprehensive studies of a the number of people that are present with
deliberative process ever conducted focused the facilitation skills to allow potentially
on a citizens’ council, an adaptation of the clas- marginalized perspectives to have a space to
sic CJ, which had been set up by the UK gov- be aired, the more likely it is to happen.
ernment via a market research company
(Davies et al., 2005; Barnett, 2006; see also
Witnesses
Table 22.1). The council met regularly over
two years and was wholly controlled by a sin- The choice of witnesses in a community-
gle stakeholder, the UK Department of Health. based jury process is key to ensuring a good
THE JURY IS OUT 343
process. Witnesses in a CJ have the dual role process. Jurors are unable to organize their
of information providers and interpreters of own autonomous political space, and as a
that information. Some use a style that is vir- result their opportunity to voice their views is
tually unchanged from the professional con- circumscribed by funding constraints.
text in which they normally communicate. In Facilitators have to work to a tight sched-
one CJ, a middle-aged safety expert gave ule. Time should be available for participants
evidence to a CJ using a projected series of to discuss their values with each other and to
computer slides as if he were at a meeting of acknowledge the value of hearing from dif-
fellow professionals. In another, a proud ferent perspectives. Most important of all
chemist passed a periodic table of elements is to address the longer term challenge of
that he kept in his wallet around the jurors. bringing political change, towards which a
Those jurors who are used to either receiv- CJ can be an important first step. However,
ing information in this form, or interacting this step is often neglected, even among CJs
with this type of person, will feel more con- using the principles of PAR.
fident in interacting with them. In contrast, a
young woman witness with experientially-
Minimizing Oppression and
derived knowledge that she explains using
personal stories might speak more directly to Facilitating Mutual Empowerment
jurors with other backgrounds. We believe Within the Deliberations
the socio-cultural profile of people who are Critics of styles of action research that use
invited to be witnesses is an important, yet small groups of citizens have pointed to the
often neglected, aspect of the analysis of jury danger of what they call ‘groupthink’ – the
processes. A CJ dominated by experiential evi- supposed tendency for people to passively
dence and providing no technical information accept the opinion of a particular member of a
relevant to policy-making might be criticized as group (Cooke, 2001). This individual – per-
being short on ‘facts’. However, this is gener- haps a juror, or a facilitator – may be particu-
ally far less common than processes that larly charismatic, apparently better informed
become swamped by detailed statistical evi- or just experienced at dominating discussion.
dence to the exclusion of other forms of knowl- Groupthink can be generated in a CJ if its fun-
edge, in which there is a danger jurors will ders and facilitators fail to design a process
miss broader perspectives in forming their that allows all participants to feel their per-
recommendations. spective is as valuable as everyone else’s, and
that they have an equal right to be heard.
Balancing Deliberation and Whether it is a group or an individual who
perpetrates it, meetings can be sites of
Capacity for Autonomy
oppression, which may be based on opinions,
We believe that CJs should not only be fair ethnicity, gender, age, style of dress, disabil-
and competent deliberative forums, but also ity or supposed lack of knowledge (Davies,
contribute towards the creation of an et al., 2005; Kabeer, 2005). CJs cannot be
autonomous political space for those cur- opportunities to further the cause of social
rently marginalized from power. Achieving justice if the process they undertake does not
this space requires careful thought about the promote a fundamental respect by every par-
necessary steps to allow a group of individu- ticipant for each other.
als, who are only connected by their joint Those who wish to stand outside a CJ
attendance at jury meetings, to become a process to study what happens, rather than
gathering of people who can attempt to built adopting the PAR approach of co-producing
mutual respect and a common purpose. every element of the process with participants,
Unfortunately, the scope of most CJs is are in most danger of increasing the margin-
limited by the perceived reality and institu- alization of certain groups via a CJ. While
tional objectives of those funding the a purely academic approach may allow the
344 PRACTICES
facilitator to retain a greater distance and hence ‘yes or no’ option of whether to grow GM
allow them to claim objectivity, in doing so crops in the UK in the spring of 2004.
they risk allowing a process to take place in However, the extent to which the CJs that
which jurors are research subjects, rather formed part of the public consultation influ-
than citizens with sufficient capacity to attain enced the subsequent decision is a matter of
their right to have their voice heard in policy some controversy (Irwin, 2006). More com-
discussions. monly, the jurors will have to use their provi-
Those undertaking CJs from a quantitative sional conclusions as a first step in building
social research background are often keen political alliances and gathering more infor-
that it is as statistically representative as pos- mation, which will enable them to influence
sible of the population from which the jury is decisions. The more this is made explicit in
drawn. Most minority populations are the jury process, the more realistic partici-
already politically marginalized in society. pants can be about the process of achieving
Reproducing their numerical minority status positive political change. Such an approach
on a CJ risks making it harder for them also ensures that jurors will not be disap-
to have their perspective taken seriously by pointed that policy-makers do not instantly
the majority of jurors who do not share this take radical action, or even respond coher-
key element of their identity. For example, in ently, to their recommendations.
an area of the UK where black and minority Some of those facilitating CJs design a
ethnic communities make up 7 per cent of the process in which jurors must reach a consen-
population, a jury of 24 people should, sus on any recommendation being put for-
statistically, contain only two faces that are non- ward. We, however, believe that this can lead
white – increasing the facilitation challenges of to exactly the kind of marginalization of
ensuring non-domination by particular groups. minority views described above. Establishing
The organizers of a CJ process in India the level of support for various recommenda-
made the decision to constitute a jury with a tions among the jury members can, if carried
high proportion of members from Dalit and out sensitively, be an opportunity for informed
adivasi ethno-cultural heritage groups, and a deliberation, without certain perspectives
majority of women, in the light of the sub- becoming ridiculed.
stantial over-representation of high-caste and We have observed that the prominence
male perspectives in policy debates on the given to the inevitable short-list of recom-
issues under debate (Pimbert and Wakeford, mendations that arises from a jury can direct
2003). There is a trade-off between appear- those interested in the process from explor-
ing balanced to the naïve observer and ensuring the richness of the discussion within it.
ing a space for those otherwise lacking a say Stakeholders may comb the jury’s ‘verdict’
in decisions. It is a choice between juries that for statements that support or potentially
are notionally representative of their popula- damage their interests, rather than engaging
tions – with greater legitimacy in the eyes of with the knowledge and insights the jurors
some decision-makers – and those CJs that have brought to the subject.
allow oppressed or marginalized groups to
have a greater influence on decision-making.
STANDARDIZATION AND
COMMUNICATION
RECOMMENDATIONS
Participatory initiatives are most effective
Only in very rare circumstances are CJ rec- when they acknowledge that each situation
ommendations likely to fit neatly into a gov- will demand a unique design, using a new
ernment decision-making process and combination of tools as part of a continuous
timeframes. A potential exception could be cycle of action and reflection. Because any
the circumstances generated by the supposed participatory initiative contains a unique mix
THE JURY IS OUT 345
of people and institutions, each process will The safe space provided by PAR-style CJ
necessarily include elements from a range of processes may become an opportunity for
approaches and methodologies. Misguided jurors to present evidence that contradicts
attempts to strictly standardize and replicate information on the basis of which one or
protocols, in line with conventional practice more powerful organizations have formu-
in laboratories and much positivistic social lated their policies. If the contradictions
science, will undermine a CJ attempting to between the two sets of evidence are publi-
use PAR principles. Although we have pro- cized, for example by the media, the large
duced a handbook for community groups organizations can choose either to open
interested in running a DIY jury, we tried to a dialogue with those involved with the jury,
focus on principles and tools, rather than a or try and discredit the process. If the CJ
prescriptive methodology (PEALS, 2003b). appears to expose significant flaws in an
In the politically controversial context in organization, participants may become
which CJs can sometimes be undertaken, viewed as whistleblowers, provoking a
facilitators may use additional means of defensive reaction. Yet a more open approach
demonstrating the fairness and competence of to such challenges by organizations could
the process to complement the broad-based ensure changes take place that satisfy both
oversight panel described above. Audio and sides.
video recordings or transcripts which, with the Although we know of many examples
jurors’ consent, can be made available to from around the UK and elsewhere, the best
members of the oversight panel and the public documented cases we have come across are
are another safeguard against criticisms of bias. in the case of CJ processes in Blackburn, UK
Having their voices recorded can affect the (Wakeford et al., 2004) and Andhra Pradesh,
confidence of most people to be free with India (Pimbert and Wakeford, 2003). Both
their opinions and insights. The CJ as a safe cases showed the vulnerability of the CJ
space in which to try out new ideas and process to criticism from those in power, as
express opinions that jurors may then want to with many non-traditional forms of social
retract is a vital element that may be com- research. Our refusal as PAR practitioners to
promised by the knowledge that their voices pretend that we are objective observers of a
are being recorded (see Table 22.1). If they process, and instead to emphasise our active
fear that they could be identified as holding a role in it, is double edged. On the other hand
particular view, especially if it is unconven- our more engaged approach makes it harder
tional, they may be less likely to express sup- for juries’ conclusions to be ignored.
port for it. An extreme example of this was a
jury process during which a national radio
news programme, who had funded the initia- CJS AND AUTHORITARIAN CREEP
tive, expected to have access to the jury pro-
ceedings at all times, apart from a short Institutions
period at the beginning of the first session
when their presence was negotiated with the As we have seen, non-PAR CJs can all too
jurors (BBC, 2005). easily end up as means by which powerful
One potential compromise between these organizations can reduce citizens’ influence
two competing pressures is to create periods on decision-makers, a tendency we call
during the jury’s deliberations where all authoritarian creep. From our contact with a
recording equipment and outsiders – poten- wide range of CJs over the last ten years, we
tially even the facilitors – are excluded. suspect that by appearing to give grassroots
However, the reasons for removing this safe- communities influence, but actually re-legit-
guard on the transparency of the process imizing current power structures, non-PAR
must be made clear, especially to those out- juries have tended to serve the interests of
side the co-inquiry process. governments and corporate shareholders
346 PRACTICES
more than they have empowered those whose non-defensiveness, humour, curiosity and respect
for the opinions of others. (pp. 56–71)
lives these institutions govern (Barns, 1995;
Genewatch, 2003a, 2003b; Perdue, 1995;
Wallace, 2001). Language and knowledge
If well designed, CJs using the principles of
PAR can help to forge new alliances that can Part of the popularity, and the controversy,
help diverse groups of people build more par- that is associated with both community-led
ticipatory decision-making processes together. and more top-down CJs is their symbolism,
However, the timescales over which funders which is drawn from the ancient tradition of
and facilitators of jury processes operate are legal trials by jury. Many organizations who
usually much shorter than those required for are considering commissioning processes of
genuine democratization. Funders often want public consultation are drawn to the CJ model,
to economize by providing short-term funding associated with decision-making that embod-
and to ensure media coverage to justify such ies fairness and justice. For potential jurors the
an allocation of funds. appeal can include a sense that they are part of
CJ facilitators are often freelance or short- something important and that ‘justice will be
term contract holders who are only able to done’. However, critics have claimed that the
raise funds for a process lasting a few months. appearance of fairness of a CJ can lead to par-
Full-time staff who work on jury processes ticipants and the wider population being
often do so in addition to their regular work- deceived by seemingly pseudo-judicial
load. CJs that attempt to use PAR principles processes that have few of the safeguards of
will inevitably be seen as something unusual, their legal equivalents (Glasner, 2001).
likely to be tolerated rather than welcomed by Another dimension of the language used in
colleagues who often have little knowledge of a CJ is that it may reinforce the popular per-
these approaches. Facilitators who have jobs ception that people in power or with expert
within large organizations will generally knowledge are in a separate category from
experience pressure from their colleagues to the rest of us. The CJ is made up of people
return to their normal duties promptly, which with generally less decision-making power
is likely to adversely affect their maintenance or conventional expertise than those they are
of their ongoing involvement for a sufficient trying to influence. Some may not even have
period necessary for the long-term impact of been accepted as ‘citizens’ of a nation-state,
any PAR process. potentially leading them to feeling alienated,
The lack of institutional acceptance of even from the CJ.
PAR often fails both sides. Those commis- Jurors make their recommendations in rel-
sioning the exercise are no nearer to over- ative isolation from the witnesses who have
coming the anti-participatory inertia in their provided the information. Conventionally,
organization. Jurors and their communities these conclusions are then handed to those
are not supported in their attempt to organizations who funded the process. Yet,
promote lasting change. Referring to his any strategic long-term process of co-inquiry
experience with one such organization, would involve mixed groups of people with
development analyst Nick Hildyard has all different sorts of relationships to power,
suggested that: and with different types of specialist and
non-specialist knowledge of the subject
perhaps the first thing that agencies serious about under discussion.
participation and pluralism might take is not to Given PAR’s aim of making the development
reach for the latest handbook on participatory of knowledge more of a co-inquiry among
techniques, but put their own house in order:
to consider how their internal hierarchies, training
people from diverse backgrounds, it is perhaps
techniques and office cultures discourage recep- ironic that CJs risk reinforcing a knowledge and
tivity, flexibility, patience, open-mindedness, power hierarchy. On something as technically
THE JURY IS OUT 347
complex as genetic modification (GM) or lesbian, transgender and bisexual people, the
nanotechnology, jurors clearly need to be homeless and those with below-average
able to be equipped with the analytical tools incomes. Secondly, these marginalized groups
to evaluate the information that is provided should receive particular support to open dis-
to them. However, there are three major dan- cussions with decision-makers about more
gers that arise from the brief interaction pos- effective ways to involve them.
sible during a jury process. One is that they Two recent UK-based initiatives that are
will not be allowed the time or deliberative designed to work towards the objectives we
tools to explore the technical information have outlined here are Right to be Heard
presented to them. Another is that they are not (www.right2bheard.org) and Involve (www.
allowed the resources to analyse alternative involving.org). Right to be Heard is a net-
ways of meeting the need addressed by wit- work of people from different backgrounds
nesses, a particular failure of the juries on GM and locations who share a concern to see cur-
crops. Finally, like any of us, jurors will assess rently excluded voices influence policy via
the evidence presented to them on the basis of processes that are both participatory and
the personal dynamics they develop with a inclusive of participants and facilitators. Some
witness, rather than on the information she has of its members are also associated with a net-
put across. As a result, CJs and similar work set up by Oxfam UK, Participatory
processes can risk participants being so disem- Practitioners for Change. Involve is an organi-
powered by the experience that they reject co- zation of participation practitioners, particu-
inquiry approaches in favour of ‘leaving it to larly aimed at bringing together representative
the experts’. and participatory democracy. Both groups
aim to improve the capacity of our elected
Building Juries into Wider PAR representatives, policy-makers and the media
to engage with participatory processes, par-
Initiatives
ticularly those that involve marginalized
Whether they be local councils, private corpo- groups.
rations, national government departments or As realists we acknowledge that, for the
international agencies, large organizations foreseeable future, consultations will mostly
exist as structures of power, with procedures be initiated by organizations with an interest
that are generally unreceptive to the funda- in solving an immediate political problem of
mental challenge to their way of making policy their own choosing, rather than one chosen
that PAR-orientated CJs represent, in common by people who are marginalized from power.
with many other PAR processes. However, as In the short term we can attempt to make
large organizations are increasingly experi- these consultations a more two-way process
menting with PAR (see Martin, Chapter 26 in where both top-down and bottom-up priori-
this volume), we recommend two strategies be ties can be addressed. However, in the long
employed by facilitators working with margin- term, we believe that accessing alternative
alized communities to maximize their potential funding sources that can counter the power
impact. Firstly, PAR practitioners should work of large organizations is the only way that
to ensure that any process allows diverse issues of importance to people who have
members of marginalized communities to been denied a voice for so long can become
negotiate joint control of the participation subject to truly emancipatory PAR processes.
process with those who fund them. Ten years ago the burst of enthusiasm in the
Initiatives should prioritize people, issues UK for citizens’ juries as a participatory magic-
and perspectives typically excluded from con- bullet was based on a mixture of the naiveté
ventional consultations, including, for example, and ambition of some influential opinion-
people from minority ethno-heritage groups, formers. We believe that juries can be a legit-
disabled and young people, the over 50s, gay, imate PAR tool. We would argue that the
348 PRACTICES
advantages of those CJs that are based on PAR Crosby, N. (1995) ‘Citizen juries: one solution for diffi-
principles, particularly as part of grassroots-led cult environmental questions’, in O. Renn, T. Webler
advocacy work, outweigh the disadvantages. and P. Wiedemann (eds), Fairness and Competence
in Citizen Participation. Boston: Kluwer Academic.
But, like other approaches to PAR, CJs very
pp. 157–74.
rarely become linked to social movements that Crosby, N., et al., (1996) Citizens’ Juries British Style:
are powerful enough to act as a counterweight Features about Global Democracy. Auburn University,
to the perceived loss of control of our systems USA. [http://fp.auburn.edu/tann/cp/ juries.htm]
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Future generations may see CJs as having been the Citizens Council of NICE. Open University, Milton
little more than a gimmick – a historical foot- Keynes, UK. [http://pcpoh.bham.ac.uk/publichealth/
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php?op=modload&name=News&file=article& reflections and implications’, Action Research, 2 (1):
sid=825) 25–46.
PEALS (2003a) The People’s Report on GM (PEALS, UK) Wakeford, T., Murtuja, B. and Bryant, P. (2004) Using
(www.gmjury.org/downloads/report.pdf) Democratic Spaces To Promote Social Justice in
PEALS (2003b) Teach Yourself Citizens’ Juries (PEALS, Northern Towns. University of Newcastle: IPP. (www.
UK). (www.citizensjury.org) citizensjury.org)
Perdue, D. (1995) ‘Whose knowledge counts?’, Wallace, H. (2001) ‘The issue of framing and consensus
Ecologist, 25: 170–2. conferences’, in M. Pimbert and T. Wakeford (eds),
Pimbert, M. and Wakeford, T. (eds) (2001) ‘Deliberative Special issue of PLA Notes 40. Co-published by The
democracy and citizen empowerment’, Special issue of Commonwealth Foundation, ActionAid, DFID, Sida
PLA Notes 40. Co-published by The Commonwealth and IIED. (http://www.iied.org/NR/agbioliv/pla_
Foundation, ActionAid, DFID, Sida and IIED notes/pla_backissues/40.html)
(http:// www.iied.org/NR/agbioliv/pla_notes/pla_
backissues/40.html)
350 PRACTICES
23
Learning History: An Action
Research Practice in Support
of Actionable Learning
George Roth and Hilary Bradbury
‘Learning histories’ are an action research practice developed to capture, assess and diffuse
learning and change initiatives. The set of ideas that underpin them have developed into an
integrated set of practices used by scholarly practitioners in evaluating organizational efforts.
The chapter describes the rationale for the learning history, its background, and defining
steps, and then we describe the processes by which we have conducted learning histories to
illustrate the design. We conclude this chapter with our own reflections as to how quality is
inscribed into the learning history process.
‘Learning histories’ are an action research prac- enable a future they desire, and in so doing,
tice developed to capture, assess and diffuse create materials that allow others to learn
learning and change initiatives. The set of ideas from their efforts. Collective reflection is the
that underpin them have developed into an inte- essence of the learning history process; a
grated set of practices used by scholarly practi- process that is facilitated by co-design and
tioners in evaluating organizational efforts.1 the use of ‘shared narrative’ from participant
The goal of a learning history is to capture what stakeholder interviews. In the process of cre-
an innovating group learned and can transfer ating a learning history, outside learning his-
from their ‘new knowledge’ to other groups torians work with insiders in an organization,
and organizations. The process involves con- developing their inquiry skills and establish-
vening salient stakeholders, or those partici- ing processes that enable and support organi-
pants with a stake, to reflect on their past and zational reflection.
LEARNING HISTORY 351
Four elements taken together form the THE RATIONALE FOR THE LEARNING
design criteria for a learning history: HISTORY
1. Multi-stakeholder co-design around notable The content and process of a learning

accomplishments. history stem from insights associated with
2. Insider/outsider teams leading reflective different theoretical streams that also
interviews. explain its name. The content design draws
3. Distillation and thematic writing. on theories of learning, which stress the
4. Validation and diffusion with original partici- importance of integrating reflection and
pants and salient others. action (Argyris and Schön, 1996; Freire,
1992; Kolb, 1984; Senge, 1990), and
In combining these elements, the learning theories of social construction of reality,
history exemplifies the dimensions of quality which emphasize the importance of history
that action researchers (Bradbury and as an informant of organizational aware-
Reason, 2001/2006; 2003) find important. ness, learning, and preferred action. The
The goal of a learning history is to create the process design for the learning history is
kinds of conversations inside an organization based on premises that conversation, and
that allow its members to enact the future dialogue as a form of conversation (Bohm,
they want. A learning history emerges from a 1987; Isaacs, 1998), allow for better think-
concern for providing practical value to an ing together. Conversation has been sug-
organization, and through this orientation gested as the most appropriate mode for
and a partnership between researchers and integrating action and reflection (Baker
organizational members, it also generates et al., 1998; Ford, 1998; Roth, 2000) and
conceptual insights. Value is also created by inquiring into, and possibly transforming, the
a judicious use of rigorous and relevant values from which one is operating (Nielsen,
methods so that people are confident of the 1996; Schein, 1987; Torbert, 2001/2006).
validity of the information that they are Written texts complement conversations by
working with. Concern for disconfirmation recording conceptual and pragmatic products
and validation of data comes from explicit of dialogue. Appropriately constructed texts
use of action science methods (Argyris et al., offer a concrete platform for focused conver-
1985; see also Chapter 17 in this volume) by sation from which praxis may evolve
the insider/outsider learning historian team within communities of practice (Carlile,
when conducting interviews and facilitating 2002; Nonaka and Takeuchi, 1995).
discussions with organizational members. Noting that the work of organizational
The validity concern is also present in the learning and change occurs through conver-
verification of the information within the sation (Ford and Ford, 1995) does not cover
document itself. Finally, the learning histo- over the fact that not all people’s words are
rian team aims to embed the process of the equally heard or valued. Those with ‘lin-
learning history so as to sustain the goals of guistic capital’ (Bourdieu, 1991) speak with
the organization after the learning history is ease and authority and their words are
complete. We conclude this chapter with our accorded more value than those with less
own reflections as to how quality is inscribed linguistic capital. The former have a capa-
in the learning history process. First, we city to direct or regulate the types of conver-
describe the rationale for the learning sation considered important. They acquire
history, its background, and defining steps, linguistic capital and use it to create what
and then we describe the processes by which accords with their interests, furthering a self-
we have conducted learning histories to illus- reinforcing dynamic. The learning history
trate the application of its four aforemen- engenders a process that does not merely pro-
tioned design criteria. mote conversation, but allows an organization
352 PRACTICES
to enable its members to open up new efforts: ‘if this documentation is a part of a
conversations. learning initiative,’ she said, ‘why did the
A learning history integrates perspectives scholars’ approach not support our learn-
of scholars and practitioners, making efforts ing?’ This question raised a fundamental
to balance the distinctive interests of each issue common in all action research pur-
group. It offers an opportunity for sets of suits. ‘Objective’ evaluation is impossible,
people with their unique cultures and inter- so assessment should be located within the
ests to create common ground in organiza- change that is underway. The learning
tional life. This common ground enables history emerged in a context of responding
practitioners to ‘agree to disagree’ about to practical considerations concerning what
what requires action and simultaneously pro- action to take inside organizations, along
vides the basis for scholars to develop more with leading thinking from the application
theoretical work for academic colleagues. of social science disciplines.
Background
What is a Learning History?
Developing the ideas, forms and contents of
learning histories was itself a journey of A learning history is both a product as well as
learning and change for researchers and prac- a process. It is a process that assesses a
titioners. A group of company representatives change initiative through developing the
and ‘researchers’2 convened through the MIT capability of the people in the organization to
Center for Organizational Learning (see evaluate their accomplishments in the service
Senge and Scharmer, Chapter 17 in Reason of creating materials with which to diffuse
and Bradbury 2001/2006; Roth and Senge, their learning to other interested parties. In
1996) developed these ideas starting in 1992, combining these three elements, a learning
within a context of company-based organiza- history creates a cycle of organizational-level
tional learning projects. The researchers, con- feedback. As documents, learning histories
sultants, and company people undertaking the are typically 50 to 100 pages long, providing
organizational learning projects were unani- a retrospective account of significant events
mous in their support and accolades for orga- in an organization’s recent past. Content
nizational learning. Yet, outside of those comes from the stories, interviews, and other
directly involved, there was little observable data collected from people who initiated,
evidence of the learning taking place or its implemented, and participated in the original
tangible impact beyond the project partici- efforts, as well as non-participants affected by
pants who often experienced dramatic changes.
improvements in their individual and group
effectiveness. The personal nature of the
learning therefore created a dilemma – while DESIGNING LEARNING HISTORY
individuals were able to attest to the develop- PROJECTS
ment of their own and others’ capabilities, the
link to uncontroversial results that could be The learning history involves reflecting, cap-
reported to senior managers was unclear. turing, analyzing, distilling, writing, validating,
Initial attempts to document the learning and disseminating the collective learning.
projects were met with a range of resis- Others use the learning history to create their
tance, especially when it was ‘outsider’ own experience as they read and talk about
scholars doing the evaluation. Managers what is written in the document. In convers-
were making progress and did not need ing with one another about learning and
another person added to their team. One change, the readers work as a group to
manager’s key question helped galvanize develop a shared understanding from the past
to guide their future efforts. In the four for their training materials. Making an early
sections that follow, we describe each of the and overt effort to explain the learning
design criteria for learning histories and history, its goals, content and format,
illustrate them with examples from one engages these specialists. This early engage-
learning history project, selected from many ment develops an insider team with knowl-
available.3 This learning history is the edge regarding the learning history and its
‘Auto’s Epsilon program learning history’. process, establishing interest and confidence
in the document as a training tool.
1. Multi-Stakeholder Co-Design
Around Accomplishments The Learning History at Auto’s
Epsilon Program
Orienting Toward the Future by Making it
The learning project at AutoCo (pseudonym)
Possible to Discuss Contradictions of the
had notable successes in reaching its goals
Past
and generated enthusiasm among team
The learning history project starts with a members. Other vehicle groups at AutoCo
planning process that generates a list of what wanted to apply these learning concepts to
stakeholders consider to be the noteworthy this program, and requested training support.
outcomes of a project. A multi-stakeholder The AutoCo training and development
team is convened to establish these notable department sponsored the learning history
outcomes, as well as to define the conditions effort undertaken by the MIT Center for
for conducting the learning history and using Organizational Learning and led by the first
the document. author. It provided $60,000 designated to the
This initial phase takes considerable effort MIT research staff to support travel and
yet often seems to yield little progress. It is salary expenses. Internal AutoCo staff from
nonetheless crucially important for creating the training and other corporate departments
conditions under which the project takes place (with backgrounds in social science and
and for how the learning history will be even- organization development) worked as part of
tually used. Taking the time to develop notable the insider/outsider learning history. The
outcomes starts the co-design of the process, goal was to create a case study that AutoCo
guides the interviewing team and shapes the used in its training and that MIT might pub-
writing of the learning history document. The lish to wider management audiences (this
notable outcomes also become the basis for learning history was published with com-
inquiry from participants in subsequent mentaries in 1999 as Car Launch: The
workshops. Human Side of Managing Change, Oxford
Over the course of numerous projects, University Press).
we have learned how important it is to We have found with a few exceptions that
involve people from different departments at the planning of a learning history project
the start of the learning history. For example, falls mostly to the outside learning historians
the use of a learning history in employee ori- who do the bulk of the work, while company
entation, management training, or executive insiders offer guidance. Although insiders
development programs is often discussed. commit to helping in coding, sorting and
Large corporations sponsor learning history writing, we generally plan on outside learn-
projects to help them effectively engage ing historians still doing all this work. Most
many parts of their organization in the diffu- company people are event and activity dri-
sion of learning around a new program. ven, and can be interrupted with changing
Specialists in training departments are often priorities when efforts are needed to accu-
very detail oriented and have specifications rately and adequately code, sort or write the
354 PRACTICES
learning history. Another aspect of planning outsiders on learning history teams comes
and managing a learning history is to estab- from social science research. Spradley (1979)
lish specific budgets for the stages of learn- describes the development of ‘key infor-
ing history work. As with any research or mants’ as crucial to the ethnographic
creative endeavor, it is possible to want more research. In developing this relationship, key
time. However, skilled researchers should be informants become interested in the research;
able to adjust their work pace to the time that they become a sounding board for insights
is allotted, make trade-offs in the depth and and help to navigate the complex cultural ter-
sharpness of their analysis, and write to meet ritory. Whyte’s (1943) insights into Boston’s
milestones. street gangs were aided by the relationship he
developed with his key informant, Doc. Not
only did Doc introduce the Harvard student to
2. Insider/Outsider Team Leading people in the Italian slum, he later com-
Reflective Interviews mented on Whyte’s thinking about their
social organization. Organizational insiders
become key informants in learning histories.
Combining Practice and Scholarship
We pay particular attention to giving voice to
Through the Synergy of Managers,
their insights, choices, and abilities to
Consultants, and Researchers Collaborating
generalize from details described in vignettes.
Beyond Pecuniary Relationships
Providing a way to note these insights con-
A learning history, in seeking to engage par- tributed to the idea of writing learning histo-
ticipants in learning from experience, ries in a two-column format, which we
involves a process of capturing an organiza- describe below. [For further exploration of
tion’s learning through the lens of provoca- organizational insiders in action research see
teurs and participants. Learning historians Chapter 45.]
interview these stakeholders about their The reflective interviews are the primary
experience in an open and inviting way. It is method for data collection. In promoting
important that learning history team reflection and inquiry, they draw upon tech-
members together understand the importance niques from ethnography (Sanday, 1979;
of the breadth and depth of an organization’s Spradley, 1979; Van Maanen, 1988), oral
changes. A mixture of team member affilia- history (see Yow, 1994), action science and
tions brings the perspective of the various organizational learning (Argyris, 1990;
audiences for the learning history. These Argyris et al., 1985; Argyris and Schön,
audiences include managers and people in 1978; Senge et al., 1994) and process con-
the company, in other companies, and acade- sultation (Schein, 1987). Ethnography
mic audiences. Moreover, learning historians provides the science for cultural investigation –
operate in a mode in which inquiry itself is a an integrated approach of participant obser-
form of action. Interviews are not merely a vation, interviewing, and archival research.
means for extracting information but viewed The methods of oral historians provide a
as a powerful process that truly engages process honoring and capturing the story of
salient stakeholders. For example, by asking the narrator. Action science, organizational
someone how he or she might have over- learning and process consultation add
come an obstacle, one is also inviting him or inquiry skills and methods for developing
her to consider how he or she might take people’s capacities to reflect upon and assess
action in the future. In this sense, inquiry is the outcomes of their efforts. The transcripts
also a form of intervention. of reflective interviews, and other textual
A learning history team requires the material, create a rich database that learning
involvement of corporate ‘insiders’. The historians later distill into a coherent written
guide for good practice for insiders and document.
The AutoCo Learning History Team helped to conduct the interviews in rooms near
actual work sites, so that it was easy to go and
and Interviewing Process
see what people wanted to show us.
The learning history team for the AutoCo
Epsilon was made up of five people: two MIT 3. Distillation and Thematic Writing
researchers, two people from the training
department (both of whom were department Combining Research, Pragmatic and
veterans and one of whom was working on Mythic Imperatives to Create an
a PhD in organizational behavior at a local Interactive Text as a Part of Research and
university), and an organizational develop- Practice
ment consultant from the corporate organiza-
tional effectiveness office. The OD consultant There comes a point in a learning history
facilitated several of the team’s learning events when all the interviews are done. The materi-
and was familiar with Epsilon’s managers and als and perspectives start to feel familiar, and
engineers. there is a sense that respondents have well
Learning history team composition is described their learning. By this point, the
important. A paired team with an insider and learning team has amassed a formidable col-
an outsider generally conducts interviews. lection of notes, documents, and transcrip-
Pairing allows one person to lead the reflections. The analysis of these materials uses
tive interview while the other takes notes, traditional qualitative data analysis processes
develops possible follow-up questions, and (Corbin and Strauss, 1990; Miles and
tends to the tape recorder. At the start of the Huberman, 1994; Strauss, 1987). An empha-
interview, these roles are explained, so that sis of the analysis process is to develop
the respondent is informed of the process. grounded theory (Glaser and Strauss, 1967)
Openness and transparency in the learning based on what people said happened and how
history team help to set those conditions for they dealt with the issues that faced them.
the reflective interview. Sharing notable These ‘grounded theories’ are the themes
results, a timeline of events and interventions, around which the learning history is orga-
and asking questions for what influences pro- nized and written. Because the goal of the
duced results lets the respondent think about learning history is to reflect the insight and
the whole of the changes, and describe the learning of the organization, and not the test-
elements that he or she is familiar with. ing of theory by researchers, we use the term
In the AutoCo learning history we inter- ‘distillation’ to signify the efforts of this ana-
viewed over 30 people, each time with a lytic process to maintain the essence and
researcher paired with one of the AutoCo learn- character of the participants’ narrative.
ing history team members. The people inter- Distillation is a process for making sense of
viewed had been identified in the planning the changes an organization has gone through,
stage. They included vice-presidents responsi- drawing upon the research and intuitive insights
ble for multiple development programs, senior of the learning historians, and establishing an
personnel managers, program and engineering outline for the subsequent writing and editing
leaders on the Epsilon project and from other process. It involves working with insiders
programs, people from finance, purchasing and to understand organizational phenomena while
administrative functions, suppliers’ engineers, using the sensibilities of the outsiders to add
and manufacturing engineers and managers greater meaning and present the insights
from the assembly plant. The interviews also in universal ways. Accomplishing these goals
included several focus group sessions with is not easy, as anyone who has written up
engineering teams. The interviews took place qualitative research will know. The learning his-
over three months, with several visits made to torian group, reflecting on its own experiences
the engineering and assembly facilities. It in writing multiple documents for sponsors,
356 PRACTICES
developed a way to address the challenges of on the wall of the conference room where we
maintaining integrity of the data, capturing the met (see Miles and Huberman, 1994). When
essence of the learning story, and providing all the codes were up, we started looking for
appropriate feedback and critique to enable patterns, sorting the Post-its by stacking simi-
continued progress. It is difficult to focus on the lar concepts, and grouping them together when
minutiae of ‘research’, and make sure each the concepts were associated with one another.
branch of ethnographic description (the story) From this organization, we started to get
is triangulated by multiple sources and using clusters – concepts and patterns that were adja-
multiple methods, at the same time that you are cent and belonged together. The next step was
trying to distill a sense of the whole ‘mythic’ to think about sentences that described these
forest. And when people are told to take a cultures, and provided a thematic orientation.
‘pragmatic’ stance – to produce a one-page There was a back and forth process to try to
memo that concisely communicates lessons organize all the coded material into themes,
learned – it’s almost impossible to include the and articulate themes in a compelling way. At
detailed ‘research’ data that would explain, this point, there is an impasse – trying to be
using rigorous descriptions, why commonly true to and inclusive of all the data that under-
known remedies are consistently overlooked. lies the codes, patterns and theme, while deriv-
We found that cycling between each of ing a compelling statement that captures the
three orientations – research, mythic, and essence of that theme. As this description illus-
pragmatic, respectively – in an explicit fash- trates, it is likely to be easier, particularly with
ion is necessary in addressing the requirement researchers in the lead, to start with the
of each (Roth and Kleiner, 1998). As a team, research imperative and hold close to the data.
we each had to acquire the dispassionate However, this impasse is the mark of the time
stance and in-depth knowledge of a ‘research- to cycle to the mythic imperative, and seek to
oriented’ behavioral scientist, immerse our- express themes as archetypal stories.
selves in storytelling, resonating with the In taking a mythic stance, the learning histo-
‘mythic’ archetypal struggles of the charac- rian tries to help the organization through a
ters in epic tales, and take on the role of a catharsis. Most large organizations are ‘mythi-
master teacher, ‘pragmatically’ developing cally’ deprived; official documents and presen-
knowledge to face problems by putting your- tations are bereft of stories. Managers talk in
self through various learning experiences. terms of highly rationalized, abstract explana-
Depending upon our backgrounds, one role tions that do not typically tell how their numbers
was more natural than another, but as a team, or policies really evolved. People in organiza-
we could support and lead each other as we tions get their myths the old-fashioned way – at
cycled through these orientations in distilling the water cooler, in the washroom, over early
and writing the learning history. These three morning coffee before everyone gets in, in late
imperatives are not contradictory; they are night ‘watering holes’, at remote meetings, or in
complementary. The more you practice them the car-pool. Yet, these are the stories that have
together, the stronger you become in each. impact. To bring out the mythic force of the tale,
learning historians may amplify key details and
emotionally charged points. For example, many
Distilling the AutoCo Learning meetings go by without rancor, but the AutoCo
History Themes learning history described only the 17th, where
a breakdown occurred. A benevolent manager,
We started by coding the textual materials challenged by his subordinates for micro-
from interview transcripts and other sources managing them, shouted at them: ‘I don’t trust
(see Corbin and Strauss, 1990). Meeting as a you!’ The meeting grew more volatile, but
group, we presented the codes we created, ended with an understanding of the dynamic of
writing them on 3M Post-its and sticking them trust on that team.
Exhibit 23.1 The Six Themes of the AutoCo Learning History
1. Hard results, soft concerns. When managers pay attention to human issues like openness and foster-
ing trust, would teams be able to produce better business results? In Epsilon, the focus on how managers
think and interact started with nine months of working sessions in a cross-functional leadership team com-
posed of most of the senior functional managers in the Epsilon program. These sessions aimed to foster
shared vision and shared understanding of one another’s mental models in the context of addressing the
program’s practical problems. Thus, the senior team management began the learning process long before
the rest of the team, which enabled them to jointly design the evolution of the process.
2. Setting an example of non-authoritarian leadership. Many experts and consultants preach
the need for a more non-authoritarian and participative approach to project leadership but can offer
little help in how to develop and sustain such behavior. In Epsilon, this philosophy became reality
as project leaders’ behavior changed over time as a by-product of the tools and learning processes
employed. For senior leaders, ‘walking the talk’ is not a trivial matter. It requires concerted effort and
mutual partnership. And it can make a huge difference.
3. Introductory learning labs: teaching techniques for thinking differently. Eventually, a
two-day ‘learning lab’, taught by program managers and MIT staff, was created to introduce many
members of the Epsilon team to the learning tools and methods with which the leadership team had
been working. ‘Learning labs’ may include a variety of techniques, but the key goal is inviting more
in-depth conversation across functional boundaries, enabling people to focus on key business-
related issues in a risk-free setting accessible to all.
4. Combining engineering innovations with human relations: the Harmony Buck. Combining
new technical ideas with greater trust and new interpersonal skills (a ‘human relations’ approach) can
enable people to apply the technical ideas more effectively. The ‘Harmony Buck’ speeded up prototyp-
ing by allowing people to come together and try out new engineering solutions. But it also built on the
growing environment of involvement and openness and in turn contributed to that environment. The
result was an increased flow of information among team members testing their ideas together.
5. Partnerships. Functionally-based people were drawn together in ways that bridged differences and
focused on collaborative learning and action. An atmosphere which encourages experimentation across
traditional boundaries leads to benefits that the senior leaders can’t neccessarily predict or plan for.
6. Process innovation in the context of a large organization. Eventually, local process inno-
vations are brought into larger management forums. The larger AutoCo organization responded to
the Epsilon team in many ways, not always in ways Epsilon’s members would have wished for.
Innovative local line leaders often put their faith in proving that their innovations will lead to bet-
ter business results, and that these results will bring credibility to their efforts. This assumption
proved faulty for Epsilon’s managers. Lacking senior management partners, they also lacked counsel
on how to handle the larger system implications of their efforts.
Unpleasant ‘truths’ are not heard when they on the learning history teams, because they
are too close to the mark or so harsh or pointed know the organization’s culture intimately, to
that they trigger emotional responses. ‘Not take on the mantle of key managers they
being heard’ is the danger we actively seek to know or interviewed and project their reac-
avoid. We seek to find safe ways to bring for- tions. They can draw attention to seemingly
ward the brutal truths, a way to consider them innocuous phrases or vignettes that will have
without blaming individuals or getting swept devastating effects.
up in destructive battles. In utilizing this prag- At AutoCo, we decided not to include an
matic imperative, we test the ability to hear the example where engineers overcame corpo-
messages and take responsibility for what the rate bureaucracy. When AutoCo’s corporate
receiver’s reactions might be. We ask insiders standards prevented it, the engineers used
358 PRACTICES
corporate credit cards to purchase several a learning history. Reader-response theory is

computers and software licenses to perform based on the understanding that the meaning
helpful design simulations. Later, when the of text resides neither in text alone nor in the
corporate information technology group author’s intentions (Iser, 1989). Readers
found out, they had corporate accounting interpret and do not automatically accept
take away all the team’s credit cards. Using ‘authored’ meanings. They bring their own
this story, which involved politics, would background, experience and knowledge to
have infuriated corporate management. what they read. While writers intend one
There were other examples of innovative meaning for their words, there are likely to
approaches to constraining rules in the learn- be as many interpreted meanings of a text as
ing history, and by not including this ex- there are readers. Meaning is created by the
ample, it would improve the reception of interaction of reader, text, and author’s inten-
corporate management to all of the Epsilon tions (Yanow, 1994: 3).
team’s learning. We sacrificed including data Conversations that take place in skill
to improve the organization’s reception of building sessions are used to disseminate the
the learning history. information in learning histories. Providing a
learning history to a group of people without
giving them an opportunity to discuss its
4. Validation and Diffusion with
contents does not allow them to make collec-
Original Participants and Others
tive sense. A facilitated workshop process,
modeled on the concept of a ‘managerial
Seeking to Clarify What is Valuable and
practice field’ (Senge, 1990), has been used
Useful to Make the Learning History
to create the settings where people develop
‘Actionable’
their shared understandings of learning and
Each element in a learning history process – plan- change processes.4
ning, interviewing, observing, distilling (analyz- The checking of individual quotes in isola-
ing), writing, editing, validating quotes, tion, then in context, and developing consen-
circulating drafts, and conducting dissemina- sus for the material in the document as a whole
tion workshops – is intended to broaden and before using a learning history in workshops
deepen learning throughout the organization by helps an organization create safe and valid
providing a forum for communicating, reflect- information for learning. The learning history
ing upon, learning from, and substantiating team’s attention to rigor and validity in creat-
results. In that sense, consideration for making ing a document that is accurate, engaging, and
the work actionable is always a core facet of all complete comes up against powerful precon-
parts of these efforts. The learning history ceptions. People in organizations may be
process can be beneficial for not only the orig- reluctant to accept a document as equally accu-
inal participants, but also for those who advised rate about organizational matters as the infor-
them, and ultimately for anyone who is inter- mation they get from a ‘water cooler’
ested in the organization’s change processes. conversation. Bringing these tendencies to
The focus on broadening learning becomes a light, and the desire to create and use valid
focus in validating the document by checking information (Argyris and Schön, 1978) as the
quotes and context, and in workshops oriented basis for learning, creates the context not only
to use and diffuse the learning lessons. for using the learning history, but also for
A learning history is to be read and dis- learning more broadly.
cussed and the ensuing conversations are
understood to be the vehicle through which
Diffusion and Change at AutoCo
positive change can spread. It is important to
understand how readers make sense of text In a workshop for sponsors of the MIT
when thinking about how people learn from Center for Organizational Learning, a group
of managers from AutoCo formed into one of Results took time, and when they were rec-
over a dozen company teams. The workshop ognized, the managers and team members
involved reading a section of the AutoCo were off on other endeavors.
learning history, drawing out lessons, and The learning history and Epsilon team
linking those insights to efforts in their own faced this challenge as the learning history
company. The specific section addressed the document was completed. Individuals, in
challenges in diffusing Epsilon’s learning to context, in sections and as a whole, with the
the corporation. These AutoCo managers original and another new team, had quote
guessed that the disguised company was their checked it. Both the original and new team
own, and refused to participate. They agreed that it had important and useful
claimed that they already knew what hap- lessons for AutoCo. The members of the
pened. They blamed the Epsilon program Epsilon and learning history team, however,
manager for shortcomings, stating that there had moved on to other assignments. That sit-
was nothing that they could learn from a uation left only one of the original propo-
‘whitewashed and sanitized’ account. nents of the Epsilon learning project and one
The AutoCo managers’ orientation illus- MIT researcher to address conditions for
trates a challenge for all learners – ‘leaping broader changes at AutoCo, as well as the
over the shadow of their own experience’. As review for release and external publication of
individuals, it is difficult to see past our own the learning history. One option was to fol-
perspectives and our sense of certainty about low the skunk works approach – release the
what we know. It was easier for these man- document, let teams use it, and executives
agers to blame a few individuals for the prob- react to its implications. Another option, the
lems their organization faced than it was for one that was chosen, was to make the effort
them to examine conditions that they them- to get on the President’s calendar, and gain
selves were involved in creating. They illus- his support and approval. The learning pro-
trated the power of pre-existing biases, ject proponent worked with AutoCo’s
blaming, and stereotyping – all behaviors Human Resources Vice President to get his
that have to be ‘unlearned’ in order for new support, and a meeting with AutoCo’s
learning to take place. In the learning history President. This President read the learning
workshop, ironically, these AutoCo man- history, agreeing that the learning effort
agers were producing the behaviors that they raised important issues that AutoCo needed
claimed to be a source of problems for to address. With his support, the Senior Vice
Epsilon team. President for Product Development wrote a
AutoCo had a history of ‘skunk works’ forward to the document and sent the learn-
projects. Unofficial projects took place under ing history to all engineering team leaders.
the radar of management scrutiny. Executives
allowed efforts such as Epsilon’s learning
project to persist as long as they ‘did not ENSURING QUALITY IN LEARNING
interfere with the focus on results’. When HISTORIES
teams made changes, such as going around
corporate computer systems standards or The goal of any learning history is to
engineering change orders policies, their improve the quality and effectiveness of the
subversive actions were a part of behavior conversations people have in their organiza-
patterns that contributed to better results. tion. The quality of the conversation that is
AutoCo had no mechanisms for reflection achieved by people who read and discuss a
that questioned and changed these policies learning history is an important indication of
for subsequent effort. Rather, the opposite their abilities to manage learning and change
happened. Executives sanctioned Epsilon’s in the future. Thus, what people do in using
managers when they detected insurrections. a learning history is a criterion for judging
360 PRACTICES
the document and process that created it. An history project by creating an insider/out-
essential requirement for a learning history sider team that not only represents but
is that the process for creating it improves includes these salient stakeholders. We find it
the learning orientation. The learning history helpful at the planning stage to develop a
process is designed to create openness to map of the system and then refine the focus
inquiry and learning. Without cultivating of the learning history on areas that leverage
this willingness to learn from experience, change.
the learning history document will be inef- The learning history team brings the voices
fective and largely ignored. Just as an indi- of participants that will speak to practical
vidual and a team need appropriate attitudes value into their daily activities. Connected to
and skills to become more effective, organi- the delivery of practical value is the ability,
zations need collective processes and set- from the start, to understand the salient stake-
tings for reading, reflecting upon, and holders. While it is not possible or desirable
discussing learning histories. to include all stakeholders directly, awareness
Bradbury (cf. 2007) draws on the pragmatic of the organization’s social and political
tradition to propose core elements for assess- groupings informs the selection of appropri-
ing quality in action research. At the heart of ate individuals for a robust insider/outsider
pragmatic considerations is the consideration team. For some stakeholders, recognition is
that the learning history must be actionable sufficient to be a part of a change (especially
and moves stakeholders toward desired if they have felt ignored); for others, active
changes. Quality and actionability become participation is needed for them to feel that
synonymous, and thus can be considered by they are a part of the effort.
the ability of a learning history to: 1) add
value, 2) engage and support participation
and partnership, 3) utilize rigorous and cul- LEARNING HISTORY QUALITY:
turally relevant inquiry, and 4) create infra- WORKING AS PARTNERS
structure that leaves stakeholders stronger
beyond the effort of the learning history Participation, for action researchers, is the
itself. Each of these elements of learning vehicle by which stakeholders become
history quality is discussed in the following co-designers as well as implementers of
sections. desired changes. In their co-design responsi-
bilities, stakeholders develop and test theory.
Lewin’s famous statement that ‘nothing is
LEARNING HISTORY QUALITY: more practical than a good theory’ (Lewin,
ADDING VALUE 1951) emerged in a context of regularly
checking theory with practitioners. Participa-
Practical value presumes that people priori- tion starts with an initial crucial step of iden-
tize their attention and efforts toward causes tifying salient stakeholders and continues
that they deem worthy. The primary ques- with mobilizing those stakeholder who can
tions raised by the consideration of practical best help make changes. ‘Best help’ may
value are ‘what is needed’ and ‘by whom’. mean offering criticism. Stakeholders’
The initial planning and establishing the involvement in change leads to continuously
scope of a learning history project involves a clarifying goals. Enjoining particular stake-
collaborative process for articulating and holders to the action research project requires
organizing around these needs. In the world clarity about why some, and not others, are
of organizational realities, processes must actively involved. That clarity comes from
link research questions to organizational an understanding of project goals, and an
needs, to encourage ownership by salient involvement of stakeholders affected by the
stakeholders. It is critical to begin a learning project.
LEARNING HISTORY QUALITY: the decision-makers as early in the process as

UTILIZING RIGOROUS, VIGOROUS possible. Decision-makers might be prompted
METHODS to ask: what do we need to institutionalize
our learning? While the questions in estab-
Adequate methods are important for bringing lishing the context for a learning history
in rich and valid information. Generally, par- include ‘What information would change our
ticipation will decrease if an overly rigid minds about what we hold to be certain?’,
method is understood to offer merely ‘schol- this does not address the pragmatic concerns
arly’ insight, or lack of rigor is implied by an of diffusing new insights broadly. At the
overly pragmatic focus on ‘best’ practice. final, discussion stage of the learning history,
The consideration of adequate methods is the conversation needs to turn to what will
one of generating robust data while simulta- support people in moving from reflection and
neously meeting the needs of those providing conversation to taking action based on their
that data. The critical point is to consider insights.
how a method is used, rather than only dis- We have found it best to consider the
cussing what method is used. development of infrastructure conceptually,
Learning historians draw on a range of rather than in the context of the implications
methods. We draw especially on practices of for action from a particular question. When
qualitative researchers; however, we use the focus is on particular questions there are
these methods in ways to make them action- political implications. Every action has con-
able and collective. The learning historians sequences, and like any change, there are
understand that inquiry itself is a form of some that will gain and others that will lose
action (see Chapter 12). For example, in from change. Asking the question about
interviewing stakeholders who need to be action conceptually avoids the limitations
involved in a change, the questions asked can that come with reconciling the requirements
become vehicles for engagement and go of change with one’s personal situation. For
beyond exchanges for merely gathering example, managers might need to use or
information. Validation meetings and subse- change reward structures to reinforce new
quent follow-up processes, such as quote practices. Tracking impact – especially
checking, can also be important steps toward where qualitative and quantitative reports
developing skills and designing infrastruc- can be obtained – is particularly effective in
ture to make sure action steps go beyond providing people with a sense of progress
approving the use of quotes or the conversa- which, in turn, creates the feedback that rein-
tions in those meetings. forces a virtuous learning cycle.
LEARNING HISTORY QUALITY:

Learning Histories Advance the
LEAVING STAKEHOLDERS STRONGER
Whole Field of Organizational
Learning
How might the learning culture that has
developed in the course of the learning The planning of the learning history involves
history endure beyond the moment and con- explicit discussions of the process by which
tinue into the future? One of the missing ele- new teams learn from the original team’s
ments in a learning process in most large experiences. Establishing conditions for
enterprises is an organizational infrastructure reflecting, capturing, examining and trans-
for reflection. Designing infrastructure for ferring experience is an important aspect of
learning histories begins in its planning, the learning history planning. There have
when the stakeholders and purpose are deter- been numerous projects in which planning
mined. It is particularly important to enlist discussions surfaced preconditions for a
362 PRACTICES
learning history that did not exist. One example project, but intended to help develop knowl-
was a large telecom company in which stake- edge across organizational projects. We have
holders wanted to learn from its negotiations learned, through developing the methods and
with the public utilities commission. The carrying out projects, teaching others, and
telecom company would then use the learn- working with practitioners, that learning his-
ing history to build upon its learning in the tories can be rewarding for their practical
next round of negotiations, which would be value while they also contribute to scholar-
several years away and involve a new team ship. Learning history projects create a struc-
from the utility. The company was, however, ture for action research, and thus can be
unwilling to have their insights shared with assessed by the principles and choicepoints
the utilities commission or other companies, for quality in action research mentioned above
thus making it unsuitable for a learning (see also Reason and Bradbury 2001/2006).
history whose intent is to share and not Most organizations do not have ready
sequester learning. Another example was a places, uses, and processes for reflection.
large manufacturing company in which differ- Many individuals reflect and learn, but often
ent facilities had varying degrees of success they do so in isolation or small groups, with-
with its corporate improvement programs. out public forums in which to develop and
Some of its facilities had many units certified test their insights. Reflection is not a normal
at the top levels, and other facilities had organizational process, but one that requires
nearly all its units either not certified, or just the development of processes and tools to
achieving the very lowest level of certifica- enable it. The virtue of the learning history
tion. The sponsor for this potential study was text is that is provides a common experience
more interested in knowing why certain that can be discussed and assessed at differ-
facilities lagged behind others, so that he ent times and places. Using the learning
might gain, rather than in creating data to history text provides opportunities for teach-
engage all facilities around what helped and ing and learning action science methods –
what hindered performance improvement surfacing and making visible individual and
certification efforts. When the planning stage collective mental models that guide people’s
of the learning history process surfaced such actions.
unsuitable conditions, the researchers with- The goals for actionable processes that
drew. Like other learning tools, learning his- result from exemplary action research pro-
tories are most effective for their intended jects are interwoven into the design of learn-
purposes when they are broadly shared and ing histories. The process and skills for
discussed. It helps others learn from the orig- carrying out a learning history are something
inal team’s experience and helps the original that an organization and its members learn by
team in that it makes that team’s challenges doing. The virtue of having insiders and out-
universal – providing a sense that we are not siders on the team is that the skills associated
alone or unique, but these are common chal- with planning and carrying out the project
lenges which others can learn from. are transferred to the organization. The
people that support the learning history, in
either its creation or use, learn and help
CONCLUSION model reflective practices. The abilities to
reflect organizationally gradually become
Most learning history efforts have been inte- part of the organization’s new repertoire.
grated with learning and change interven- An important question that we have raised
tions, providing and creating opportunities in this chapter is the degree to which con-
for conversations as well as providing feed- ventional research can be used in cultivating
back to the progress of change. The learning is learning inside organizational life. We
relevant not just to the specific organizational believe conventional research provides a
solid foundation, and we draw extensively Argyris, C. and Schön, D. (1978) Organizational
from qualitative research practices. It is not just Learning: A Theory of Action Perspective. Reading,
a question of the methods, but how the meth- MA: Addison-Wesley.
ods are used. In the learning history there is a Argyris, C. and Schön, D. (1996) Organizational
balance in the attention paid to adding value Learning II: Theory, Method, and Practice. Reading,
MA: Addison-Wesley.
and the attention paid to getting the research
Argyris, C., Putnam, R. and Smith, D. (1985) Action
‘very right’. Indeed this may be something that
Science. San Francisco, CA: Jossey-Bass.
our conventional colleagues can learn from in Baker,A.C., Jensen, P.J., and Kolb, D.A. (1998) Conversation
terms of how to apportion their own efforts. as Experiential Learning (Working Paper 98–4 [4a]).
While conventional research operates under the Cleveland, OH: Case Western Reserve University,
ethics and values of doing no harm, what we Weatherhead School of Management, Department of
propose in learning histories is that there is a Organizational Behavior.
broader bandwidth for addressing issues of Bohm, D. (1987) On Dialogue, David Bohm Seminars,
quality that are ultimately more actionable. PO Box 1452, Ojai, CA, 09023.
Bradbury, H. (1998) ‘Learning with The Natural Step:
cooperative ecological inquiry through cases, theory
NOTES and practice for sustainable development.’
Unpublished PhD dissertation, Boston College.
1 Readers are also directed to Hilary Bradbury’s Available though UMI: Ann Arbor.
Chapter 29 in the first edition of the Handbook of Bradbury, H. (2001/2006) ‘Sustaining sustainable
Action Research. There the focus was on the learning development with action research’, in P. Reason and
history as part of doctoral dissertation work. H. Bradbury (eds), Handbook of Action Research:
2 Those who took part in the learning history pro- Participative Inquiry and Practice. London: Sage.
jects include Linda Booth, Hilary Bradbury, Marty Bradbury, H. (2004) ‘Varieties of action research’.
Castleberg, Brenda Cruz, Tony DiBella, Toni Gregory, Keynote address, Conference on Action Research.
Art Kleiner, Nina Kruschwitz, Virginia O’Brien, Aalborg University, Denmark, November.
Ruthann Prange, George Roth, Ann Thomas, John
Bradbury, H. (2007) ‘Quality, consequence and action-
Voyer, and JoAnne Wyer. We have also received help
ability: what action researchers offer from the tradi-
and suggestions from Ed Schein, John Van Maanen,
John Carroll, Peter Senge, Ed Nevis, John Sterman, tion of Pragmatism’, in Shani et al. (eds), The SAGE
Chris Argyris, Don Schön, Bill Isaacs, Fred Kofman Handbook of Collaborative Research (forthcoming).
and Daniel Kim. London: Sage.
3 Numerous individuals and teams in dozens of set- Bradbury, H. and Mainemelis, C. (2001) ‘Learning history
tings have conducted learning histories. Some of these and organizational praxis: non-traditional research’,
learning histories are used as company documents and Journal of Management Inquiry, 10 (4): 340–57.
available as working paper manuscripts (see www.sol- Bradbury, H. and Reason, P. (2001/2006) ‘Conclusion:
ne.org/res/wp/index.html), scholarly articles (Bradbury broadening the bandwidth of validity: issues and
and Mainemelis, 2001), dissertations (e.g. Bradbury,
choice-points for improving the quality of action
1998) and books (Roth and Kleiner, 2000; Kleiner and
research’, in P. Reason and H. Bradbury (eds),
Roth, 2001; Mirvis et al., 2003).
4 Managerial practice fields are designed learning Handbook of Action Research: Participative Inquiry
spaces where decision-makers can experiment, make and Practice. London: Sage. pp. 447–55. Also
mistakes, accelerate learning and test new behaviors. published in P. Reason and H. Bradbury (eds) (2006),
Practice fields, or ‘learning laboratories’, become an Handbook of Action Research: Concise Paperback
element of the infrastructure for learning that enables Edition. London: Sage. pp. 343–51.
organizations to develop, capture, and disseminate Bradbury, H. and Reason, P. (2003) ‘Action research:
new knowledge (Kim, 1993; Senge et al., 1994: 32–6). an opportunity for revitalizing research purpose
and practices’, Qualitative Social Work, 2 (2):
173–83.
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366 PRACTICES
24
Extending Epistemology within a
Co-operative Inquiry
John Heron and Peter Reason
Co-operative inquiry is a form of second-person action research in which all participants work
together in an inquiry group as co-researchers and as co-subjects – not research on people
or about people, but research with people. As co-researchers work together through cycles
of action and reflection they engage in an ‘extended epistemology’ of experiential, presen-
tational, propositional and practical ways of knowing. Our purpose in this chapter is to con-
sider this extended epistemology in some depth. After an introductory overview, we consider
each way of knowing in turn, first with some general remarks, then with a look at its role in
the reflection phase, the action phase and the outcomes of a co-operative inquiry, including
some examples from inquiry practice. We conclude with comments on issues of quality in the
cyclic use of the four ways.
Co-operative inquiry is a form of second- (Heron, 1971, 1996a; Heron and Reason,
person action research in which all partici- 2001/2006; Reason, 1988b, 1994, 1998,
pants work together in an inquiry group as 1999, 2003; Reason and Torbert, 2001).
co-researchers and as co-subjects. Everyone The inquiry group members work together
is engaged in the design and management of through cycles of action and reflection,
the inquiry; everyone gets into the experi- developing their understanding and practice
ence and action that is being explored; every- by engaging in what we have called an
one is involved in making sense and drawing ‘extended epistemology’ of experiential, pre-
conclusions; thus everyone involved can sentational, propositional and practical ways
take initiative and exert influence on the of knowing. Our purpose in this chapter is to
process. This is not research on people or consider this extended epistemology in more
about people, but research with people depth than in previous conjoint writings.
EXTENDING EPISTEMOLOGY WITHIN A CO-OPERATIVE INQUIRY 367
After an introductory overview, we consider statement. Practical knowing is knowing how-

each way of knowing in turn, first with some to do something. Its product is a skill, knack or
general remarks, then with a look at its role competence – interpersonal, manual, political,
in the reflection phase, the action phase and technical, transpersonal, and more – supported
the outcomes of a co-operative inquiry, by a community of practice (Heron, 1981,
including some examples from inquiry prac- 1992, 1996a).
tice. We conclude with comments on issues Everyone naturally employs these four
of quality in the cyclic use of the four ways. ways of knowing and tacitly interweaves
A useful background to this chapter is our them in all sorts of ways in everyday life. In
general introduction to co-operative inquiry co-operative inquiry they become intentional,
(Heron and Reason, 2001). While the and we say that knowing will be more valid if
extended epistemology is foundational to co- the four ways are congruent with each other: if
operative inquiry, it is clearly not limited to our knowing is grounded in our experience,
it. It can be applied to everyday knowing and expressed through our images and stories,
all forms of action research practice. understood through theories which make sense
to us, and expressed in worthwhile action in
our lives. We also think of the intentional use
OVERVIEW OF THE FOUR WAYS of the ways in terms of a virtuous circle:
OF KNOWING skilled action leads into enriched encounter,
thence into wider imaginal portrayal of the pat-
The radical epistemology discussed here is a tern of events, thence into more comprehen-
theory of how we know which is extended sive conceptual models, thence into more
beyond the ways of knowing of positivist ori- developed practice, and so on.
ented academia. These we see as based pri-
marily on abstract propositional knowledge
and a narrow empiricism. However, we note EXPERIENTIAL KNOWING
the parallel developments in what Denzin
and Lincoln (2005b) refer to as the later We start from the position that all knowing
‘moments’ in the development of qualitative is based in the experiential presence of
research practices (Reason, 2006). persons in their world. Any form of inquiry
The four ways of knowing can be briefly that fails to honour experiential presence –
defined as follows, both in terms of process through premature abstraction, conceptual-
and outcome. Experiential knowing is by being ization and measurement, or through a polit-
present with, by direct face-to-face encounter ical bias which values the experience only of
with, person, place or thing. It is knowing socially dominant or like-minded groups –
through the immediacy of perceiving, through ignores the fundamental grounding of all
empathy and resonance. Its product is the qual- knowing.
ity of the relationship in which it participates, Thus we can describe experiential knowing,
including the quality of being of those in the at its simplest, as my direct acquaintance
relationship. Presentational knowing emerges with that which I meet in my lifeworld: the
from the encounters of experiential knowing, experience of my presence in relation with
by intuiting significant form and process in the presence of other persons, living beings,
that which is met. Its product reveals this places, or things. This kind of knowing is
significance through the expressive imagery essentially tacit and pre-verbal. It is also pro-
of movement, dance, sound, music, drawing, foundly ‘real’ – sound, solid and vibrant at the
painting, sculpture, poetry, story and drama. moment of experience – yet often elusive to
Propositional knowing ‘about’ something is express both to ourselves and to others. Geoff
intellectual knowing of ideas and theories. Its Mead describes the experiential grounding of
product is the informative spoken or written his own inquiry:
368 PRACTICES
As an integral part of my being in the world, my Experiential knowing is thus a ground for
living inquiry is firmly anchored in the bedrock of the symbolic frameworks of conceptual,
my experience. … I have actively sought new expe- propositional knowing, a necessary ground –
riences and pushed my boundaries considerably in
but not an infallible one, because of the vul-
doing so, whether it be ritual menswork, separa-
tion and divorce, storytelling performances, or cre- nerability of human sensibilities. The validity
ating and delivering large-scale educational of the encounter can be described as ‘declara-
programmes for the police and other public ser- tive’. Worlds and persons are what we meet,
vices. … Without such experiential grounding, I and the reality of the relation of meeting, its
believe that action research remains as speculative
qualitative impact, declares the tangible sense
and ‘theoretical’ as its reductionist cousins. (Mead,
2001: 66) of the realness of the presence of each to each,
and of each to herself or himself, and all of
Our warrant for this assertion of the experi- this in a shared field. Two people or a group
ential as the ground of knowing is itself fun- in a meeting can open to and feel the quality
damentally experiential – although also of this shared field. We can only describe it
rooted in a participatory worldview, as we metaphorically, but we can sense its qualita-
explore below. Our work with co-operative tive shifts as the dynamic of the meeting
inquiry, in mindfulness practices, ceremony unfolds. This quality of the field, whether
and charismatic embodiment (Heron and harmonious or tense or joyful or blighted, is
Lahood, Chapter 29) and our attempts at a living key to appropriate understanding and
aware everyday living all convince us that action in the situation, and a vital component
experiential encounter with the presence of of our experience of interpersonal reality.
others and of the world is the ground of
being and knowing. This encounter is prior
to language and art – although it can be sym- Experiential Knowing and a
bolized in language and art. Our meeting Participatory Worldview
with the elemental properties of the living
world, the I–Thou encounter with a person Experiential knowledge is close to what
(or other being), cannot be confused with William James called ‘knowledge of acquain-
our symbolic constructs: If you find your- tance’, and he made the classic distinction
self doubting this, try the simple exercise of between this and ‘knowledge-about’. ‘All the
opening yourself to the presence of another elementary natures of the world’, he says, must
and compare that with thinking about her be known by acquaintance or not known at all;
or him. and it is ‘through feelings that we become
Experiential knowing is not a positivist acquainted with things’ (James, 1890: 221).
grasping of other things in the world, for we For Whitehead, perceptual knowledge by
say that the very process of perceiving is a acquaintance is rooted in ‘prehension’: a
meeting, a transaction, with what there is. direct participative, emotional rapport with
When I hold your hand, my experience the environing field of events, rooted in the
includes both subjectively shaping you and ‘withness of the body’ which is continuous
objectively meeting you. To encounter being with the rest of the natural world. Leslie
or a being is both to image it in my way and Paul, following Whitehead, talks of the inef-
to feel its presence, to know that it is there. fable bed of sentience, a primary cosmic sen-
To experience anything is to participate in it, sitivity, which gives an understanding of the
and to participate is both to mould and to interrelated web of being in which the organ-
encounter, hence experiential reality is ism is suspended (Paul, 1961).
always subjective–objective, relative both to The notion of basic, unitive engagement
the knower and to what is known. Such with the world is also important in the phe-
encounter has greater immediacy and less nomenology of Merleau-Ponty. He argues
mediation than our propositional knowing. that all language and discursive knowledge
presupposes the pre-objective world of per- Abram, 1996; Eisler and Loye, 1990; Ferrer,
ception, consciousness-world union, which 2002; Goodwin, 1999; Mathews, 2003;
is anterior to every distinction including that Skolimowski, 1994; Skrbina, 2005; Tarnas,
of consciousness and nature. It is an unfor- 1991, 2000, 2006.)
mulated consciousness of the totality which
is body-and-world, the body being co-exten-
sive with the entire field of possible percep- Experiential Knowing in the
tions, i.e. the world (Merleau-Ponty, 1962). Reflection Phases of Inquiry
Our own view builds on this tradition. We
One of the implications of this view for the
hold that the very foundation of human per-
practice of co-operative inquiry is that the
ceptual sensibility is the capacity for feeling,
co-inquirers are present, open to encounter
which we define as a participatory relation
with each other. In a successful inquiry group
with being and beings, integrating the dis-
co-inquirers will develop a sense of pre-
tinctness of knower and known in a relational
conceptual communion or resonance in their
whole. Experiential knowing is feeling
shared life-world, as a ground for subsequent
engaged with what there is, participating,
reflection together. Of course, our participa-
through the perceptual process, in the shared
tive worldview suggests that at some level
presence of mutual encounter. We see this
this communion is going on tacitly and unin-
capacity for feeling as the quintessential
tentionally as the very condition of being in a
nature of the life, the living energy, that is
world. Co-inquirers don’t have to generate it,
within us – the life that is the immanent pole
they have only to open to it, honour it and
of our embodied spirit (Heron, 1992, 1998).
enhance it intentionally and awarely. A vari-
Our notion of experiential knowing thus
ety of rituals and attunement practices can
points toward a participatory view of the
empower this natural process of mutual reso-
world. Our inherited ‘Cartesian’ worldview
nance (Heron, 1998, 1999; Heron and
tells us the world is made of separate things:
Lahood, Chapter 29).
the objects of nature are composed of inert
Inquiry groups will also need to deal along
matter, operating according to causal laws. But
the way quite explicitly with issues of inclu-
as Thomas Berry puts it, the living world is not
sion, control and intimacy (Reason, 2003;
a collection of objects: it is a community of
Srivastva et al., 1977) for which appropriate
subjects of which the human community is
facilitation may be needed. This process of
part (Berry, 1999; Reason, 2001). Reality is
interpersonal clearing can be enhanced by
both One and Many: the beings of the world
adopting further disciplines which provide a
are differentiated centres of consciousness
fertile ground for opening to communion,
within a unified cosmic presence (Heron,
practices such as meeting in a circle, sharing
1992, 1996a, 1998). Freya Matthews and other
time equally, listening attentively, and so on
panpsychic philosophers hold that our primary
(see, for example, Baldwin, 1996; Randall
relationship with our world is erotic: our
and Southgate, 1980; McArdle, Chapter 42).
knowing must be grounded in loving, not
manipulation (Mathews, 2003; Skrbina, 2005).
A group of graduate students and faculty at the
This places humans in the web of life as
University of Bath met for a workshop on Power
embodied participants, ‘living as part of the and Participation. When we turned to discuss
whole’ (Reason, 2005). Buddhist myth offers issues of power and participation within the group
the image of Indra’s net where all things both the feeling of tension greatly increased and strong
reflect and are reflected in all. Participation is feelings were expressed on both sides. We worked
hard to understand, holding two disciplines: to lis-
our nature: we do not stand separate from the
ten to each person in turn fully without interrup-
cosmos, we evolved with it, participate in it tion; and to record their experience clearly in
and are part of its creative force. (For further writing on the whiteboard. … After a while several
explorations of a participatory worldview see people commented on the shift in feeling in the
370 PRACTICES
group: we were quieter, more appreciative, more Experiential Knowing as an

deeply understanding both our differences and the
shared pattern of experience. In this sense we
Outcome of Inquiry
became more present with each other. (personal
This kind of outcome is awkward for models
notes, Reason, 2005)
of education and research which both pre-
suppose and foster the value of dissociated
intellectual excellence, but is fundamental
Experiential Knowing in the Action for whole person education, learning and
Phases of Inquiry inquiry. Clearly, if the cultivation of radical
The action phases often involve co-inquirers presence in mutual resonance with other
being busy with their individual action persons and in participative engagement with
inquiries in everyday life, apart from each the world is a basic aspect of the inquiry
other. Their inquiries will be enriched to the process, then transformations of personal
extent that they are able to deepen and extend being, and of empathic relating both with the
their encounter with their world. We see this human world and the more-than-human
as happening in three ways. First, the very world, are important outcomes.
fact of being part of an inquiry will alert These kinds of outcome are affirmed in the
them to new dimensions of their world: once Heron and Lahood inquiry into the realm of
we join a group of people pursuing similar the between (Chapter 29). Participants in an
questions new aspects of our world are extended inquiry into transpersonal activities
inevitably evoked. Indeed, it is often wise in in everyday life agreed that transformations
the early stages of an inquiry for participants of personal being – e.g. ‘a very important
simply to notice how their new world looks integration of deep face-to-face intimacy and
to them. Thus, for example, the young the transpersonal’ – were the most basic kind
women who accepted Kate McArdle’s invi- of outcome of the inquiry (Heron, 1998:
tation to join an inquiry into young women in 183). In a very different way, transformations
management simply through being part of of presence are evident as outcomes of the
that group noticed and felt more deeply the MSc in Responsibility and Business Practice
casual sexism that characterized their organi- at the University of Bath, which draws
zation (McArdle, 2002, 2004). strongly on action research and experiential
Second and most important they can prac- knowing in its educational principles
tise the bedrock skill of being present and (Coleman and Marshall, in preparation) and
open, of becoming intentional about, and make in the work of ‘learning to love our black
explicit in all its fullness, their participation in selves, described by Taj Johns in Chapter 32.
what is present. This includes open-hearted Such outcomes may be qualitatively spe-
engagement with the relation of person-to- cific to the focus of any kind of inquiry and,
person meeting, being responsive to the chang- together with the practical life-skills that are
ing qualities of its shared field as vital pointers co-involved with them, validate an inquiry in
toward relevant understanding and action in quite basic and long-lasting ways, through
the situation. And third, they need to be alert to living repercussions and ripples, even if there
a tendency to become so engrossed in their are no written or presentational outcomes of
everyday world, so engaged in the moment, any kind.
that they forget they are part of an inquiry, and
their experiential knowing reverts to becoming
almost completely tacit. When this happens, PRESENTATIONAL KNOWING
interactions later on in reflection phases with
other inquirers may enable the qualitative Presentational knowing is made manifest
impact of their experiences to be rekindled and in images which articulate experiential
revisited. knowing, shaping what is inchoate into a
communicable form, and which are expressed above – and for certain purposes (although, as
nondiscursively through the visual arts, music, we have argued, constructionist views tend to
dance and movement, and discursively in be deficient in any acknowledgement of expe-
poetry, drama and the continuously creative riential knowing; Heron and Reason, 1997).
capacity of the human individual and social The importance of presentational forms of
mind to tell stories. In all civilizations these knowing in their own right, and of releasing
products have been developed through imagi- them from overcontrolling conceptual-rational
native discipline into a wide range of sophisti- dominance, has become increasingly appar-
cated cultural forms that independently ent in the social sciences in recent years –
symbolize our experience of the human condi- notice for example Denzin and Lincoln’s
tion. Presentational knowing is a fundamental emphasis on the ‘crisis of representation’
part of the process of inquiry, and its expres- (Denzin and Lincoln, 2005a: 18). Jerome
sion is both a meaningful outcome in its own Bruner makes the distinction between
right, and a vital precursor to propositional Mythos and Logos:
outcomes.
However, the process of presentational There are two modes of cognitive functioning, two
knowing of our world, through intuiting sig- modes of thought, each providing distinctive ways
of ordering experience, of constructing reality. The
nificant patterns in our immediate experi-
two (though complementary) are irreducible to
ence, can have its great cognitive potential one another. Efforts to reduce one mode to the
constrained by the conceptual power of lan- other or to ignore one at the expense of the other
guage. The imaginal mind is continually cre- inevitably fail to capture the rich diversity of
ative in the transaction between the psyche thought. … Perhaps Richard Rorty is right in char-
acterizing the mainstream of Anglo-American phi-
and being, generating the visual, auditory
losophy (which, on the whole, he rejects) as
and tactile images that participate in and dis- preoccupied with the epistemological question of
close a world (Heron, 1992: 138–50). But how to know truth – which he contrasts with the
this imaginal participation is entirely uncon- broader question of how we come to endow expe-
scious: I am only aware of the image, the out- rience with meaning, which is the question that
preoccupies the poet and the storyteller. (Bruner,
come, and not of the imaging process.
1988: 99–100)
Moreover, I convert the image into an
appearance of a world that seems to be quite
For Bruner stories are of the essence of
independent of anything going on in me. This
Mythos, keeping the process of knowing
reification is massively reinforced by the use
open and creative. He argues that ‘It is part of
of language and the way in which its con-
the magic of well-wrought stories that they
cepts and class names become embedded as
keep these two landscapes intertwined, mak-
an interpretative layer in our perceiving. This
ing the knower and the known inseparable’
process of conceptualizing perception dis-
(2002: 27). And he makes the point that
rupts its transactional, participatory nature,
while we may ‘come to conceive of the ‘real
breaking up the primordial synthesis of per-
world’ in a manner that fits the stories we tell
ceiver and perceived, and leading to a split
about it’, it is nevertheless our good fortune
between an alienated subject and an indepen-
that ‘we are forever tempted to tell different
dent object (Heron, 1992: 25).
stories’ about the same events in the same
Once we enter the worlds of presentational
world (2002: 103).
knowing permeated by propositional know-
ing, the arguments of the language turn and
the social construction of knowledge apply Presentational Knowing in the
(see Chapter 10): knowledge mediated by
Reflection Phases of Inquiry
language is a cultural construct formed from
a certain perspective – in modern times a We argued above for the importance of co-
broadly Cartesian worldview, as mentioned inquirers developing a sense of pre-conceptual
372 PRACTICES
communion or resonance in their shared for the members of a co-operative inquiry of

life-world, as a ground for subsequent reflec- young women in management (YoWiM).
tion together. Presentational form can be of
Taking time to ‘tell our stories’ mattered, and
profound importance in shaping this commu- required much facilitative attention. … Through
nion: the possibility of mutually participative this process we were able to then create shared
open encounter will be enhanced if co- meaning and understanding around what we
inquirers meet in patterns which emphasize were talking about. This led us to move into the
equality and mutuality. This may mean meet- propositional – being able to name behaviours,
processes and actions described in the stories and
ing in a circle of chairs or cushions without to feel that we were ‘all on board’ with what these
tables; with flowers or other centrepieces; with names meant. (McArdle, in preparation)
facilitation that is light and encouraging; with
time shared reasonably equally between Often the storytelling process is power-
participants; and so on. For the patterns we fully simple.
manifest together in space and time – our
postures, gestures and spatial relationships, The co-operative inquiry into holistic medicine
sought among other things to understand the
our verbal distribution of time – symbolize
meaning of ‘spirit’ in general medical practice.
fundamental qualities of our relating, and can Diana came to the group with a deeply moving
be seen as a first, basic form of presentational account of a terminally ill woman who learned
knowing. Christina Baldwin and her col- through a dream to let go of concerns for her fam-
leagues exemplify this well in their process ily and die in peace surrounded by them. … The
of ‘calling the circle’ (Baldwin, 1996; directness and simplicity of this story produced a
prolonged silence in the group. It stimulated other
Baldwin and Linnea, 1999). Heron and doctors to remember and tell of similar quite
Lahood in Chapter 29 recount how presenta- simple times when ‘spirit’ had entered medical
tional forms of toning in mutual resonance, practice. It led the group to consider that ‘spirit in
and of posture, gesture and motion in aware general practice’ was not esoteric, but could be
spatial interaction, can open up an empower- seen as an everyday affair. (for full account of
inquiry, see Heron and Reason, 1985)
ing presence between those involved.
As the inquiry process develops, cycling
Yorks and Kasl (2002) in their review of
between action and reflection, presentational
eight collaborative inquiries stress the role of
knowing is the most basic way of making
presentational knowing in counterbalancing
sense of our experience. Often this is in the
traditional academic overreliance on critical
form of stories which we bring back to our col-
discourse and analytic forms of knowing.
leagues in the inquiry group. We will not rush
The diverse inquiries used video, film, a
quickly into propositions, but will hold open
Brahms concerto for violin, reproductions of
the presentational and imaginal space and
paintings, guided visualization, symbolic rit-
allow it to do its sense-making magic, allowing
ual movement, Black Angel cards, a game of
our stories to resonate with those of other
tag, clay sculpture, watercolour design,
group members. We can play with the stories
birthing metaphors, stories about family,
with a variety of storytelling practices (Mead,
ancestors and progeny yet to be born. Such
2001; Reason and Hawkins, 1988). We can
imaginal methods, Yorks and Kasl affirm,
draw the stories, sculpt them in clay or psy-
evoke experience, are a pathway for emotion,
chodramatically with our bodies – thus coun-
clarify and codify experience, and are pivotal
tering our tendency to attribute one set of
in providing access to holistic knowing.
meanings to experience. In some forms of
inquiry (see in particular Chapters 30, 34, 35)
the use of presentational form such as theatre Presentational Knowing in the
becomes a major vehicle for opening partici-
Action Phases of the Inquiry
pants to new ways of seeing their experience.
Kate McArdle describes the importance of Presentational knowing can help bring a
storytelling as a lead-in to the propositional quality of curiosity to the action phase of
inquiry. If we are not going to find out what the interplay of Mythos and Logos, we can
we already know, just as we must open our- see that discoveries of a co-operative inquiry
selves to new encounters and new experien- process may also be expressed in presenta-
tial knowing, we must also be open to new tional form, either as stand-alone expressions
stories and metaphors, new patterns in space or in conjunction with propositional text. A
and time, with which to give form to that number of doctoral dissertations at CARPP
experience. In order to do this we may find it include such presentational form. Geoff
helpful to experiment with new presenta- Mead (2001: 59–65) has worked this genre
tional forms in our encounters with others thoroughly, explicitly evoking the interplay
of Mythos and Logos. This thesis includes,
• Doctors in the holistic medicine inquiry experi- among other stories, ‘Postcards from the
mented with dressing informally, re-arranging Edge’ in which he seeks to ‘deftly integrate’
their offices, and with different non-medical living and telling by offering a series of
ways of asking patients to tell of their ailments. accounts of loving relationships over his life;
(Heron and Reason, 1985; Reason, 1988a) ‘The Men’s Room’, with narratives about
• The YoWiM group, seeking to engage other men’s retreats, men’s support groups, friend-
young women in the organization, changed the
ship, and a co-operative inquiry into men’s
layout of the meeting room from its usual for-
mality and decorated it with flowers and posters
development in organizations (pp. 82–121).
to create an atmosphere conducive to open con- The Leadership for a Changing World pro-
versation. (McArdle, 2004) gramme (see Chapter 28) has posted on its
• In the Realm of the Between inquiry, presenta- website narrative accounts by members of
tional forms of toning, posture, gesture, move- co-operative inquiry groups. Gillian Chowns
ment and percussive rhythm themselves worked with children to produce a participa-
constitute the charismatic action phase of the tory video (Chapter 39), and Michelle Fine
inquiry. (Heron and Lahood, Chapter 29) and Maria Torre theorize different forms of
• Jennifer Mullett, in Chapter 30, describes how visual product in Chapter 27.
art, poetry and song were used by women When co-operative inquiries are undertaken
in mid life as part of a women’s health in mid-life
within postgraduate degrees, there is a notice-
project.
able tendency for discursive presentational
outcomes, that is, stories and narratives
Action phases include keeping records of
(always together with propositonal outcomes),
actions taken and of their significance – as
to be used rather than nondiscursive ones such
reports to bring to subsequent reflection phases.
as the graphic and plastic arts, dance and
There is great and highly relevant scope here
movement, and music. It indicates once again
for the use of presentational forms: dramatic
the dominating power of the written word pre-
accounts, poetic evocations, diagrams and line
vailing in our academic institutions. The
drawings, coloured graphics, choreographed
nondiscursive forms are more freely used in
mime, audiovisual recordings, and more. These
the ongoing reflection and action phases,
are ways of keeping alive the comprehensive
where issues of readily assessing a final
qualitative richness of actions and experiences
degree-bearing outcome are not at stake.
more effectively than may be the case with the
use of nothing but spare and bare verbal jottings
in a diary. PROPOSITIONAL KNOWING
Presentational Knowing as an Propositional knowing is knowing ‘about’

something in intellectual terms of ideas and
Outcome of Inquiry
theories. It is expressed in propositions,
Traditionally, research findings are ‘written statements which use language to assert facts
up’ in propositional form with evidential sup- about the world, laws that make generaliza-
port from empirical data. If we take seriously tions about facts and theories that organize
374 PRACTICES
the laws. This is very familiar territory, as the The so-called ‘subject’ is the passive respondent
propositional is the main kind of knowledge to this attention and is seen as making no
accepted in our society – not only in acade- intelligent contribution to the research
mic theories, but in the statements of politi- endeavour. Co-operative inquiry, along with
cians, propagandists, managers, marketeers all other forms of participative inquiry, aims
and others who would define our world; and to break this ‘monopoly of knowledge’ (Fals
indeed in the more or less explicit theories Borda and Rahman, 1991); and participative
each of us carry around which define who we forms of social action, closely related to
are and the kind of world we tell ourselves participative inquiry, aim in similar fashion
we live in. In propositional form, ‘knowing’ to restore a sense of self-direction to those
easily becomes reified as ‘knowledge’; and disempowered by this kind of political cog-
in this sense ‘knowledge is power’ and con- nitive monopoly (e.g. New Economics
stitutes what Foucault (1980) described as Foundation, 1998).
‘regimes of truth’ which create our reality. In developing and using propositional
The co-operative inquiry process can be knowing we must continually remind our-
very liberating in using different terms to selves that ‘the map is not the territory’, as
‘redescribe’ experience (to borrow a phrase Korzybski pointed out to us a long time ago.
from Rorty, 1989) in ways that are both more But our tendency to confuse map and terri-
liberating and more fundamentally informa- tory is usually closely linked up with social
tive. Propositional knowledge is indeed power (see Gaventa and Cornwall, Chapter
essential for naming, in a well-rounded and 11 in this volume).
grounded way, the basic features of our
being-in-a-world in order to empower effec-
tive action in it.
Propositional Knowing in the
However, propositional knowing needs han-
Reflection Phases of Inquiry
dling with care, especially in the language-
driven worlds of late-modernity. It has great Co-operative-inquiry practice emphasizes
conceptual power to divide the world into the importance of research cycling so that
isolated mental subjects and independent non- propositions are continually tested in prac-
mental objects. This split between humanity tice and thus rooted back in experiential
and nature, and the arrogation of all mind to knowing. This counters the tendency for
humans, is what Weber meant by the disen- ideas to fly off into a life of their own and to
chantment of the world and, we would argue, is keep them grounded in experience and in
one of the fundamental origins of the current participative relationship. Emphasis is placed
ecological devastation. In contrast, writers on the epistemological heterogeneity which
since Gregory Bateson (1972) have argued the whole of the extended epistemology
that mind is immanent in ecological systems, articulates – the mutually enhancing effect
and modern complexity theories demonstrate between the four ways of knowing – rather
how the natural world is in a continual process than valuing propositional expression over
of creative self-organization, a self-creative and above the other forms.
autopoesis (Maturana and Varela, 1987). On the other hand, propositional sense-
This process of objectification has been making is important in giving the cyclic
applied also to relations between persons. process focus and clarity, in transferring
Traditional social science research is learning from a previous action cycle to fruit-
founded on the notion that the researcher ful planning of the next, and in producing
alone does all the thinking associated with carefully worded outcomes that can effec-
a research project, deciding what questions tively influence social policy and social
to explore, developing theory, asking ques- change. Charles and Glennie (2002) describe
tions, making sense of what is discovered. how the clarity of propositional knowing
re-energized a tired inquiry group exploring the PRACTICAL KNOWING

implementation of guidelines for child protec-
tion. Taking an active role as facilitators, they Practical knowing is knowing how-to-do,
encouraged the group to identify four key how to engage in, some class of action or
inquiry questions and choose one to take for- practice. It is evident in the skills and com-
ward. By doing this ‘the group started to own petencies the inquirers develop, both in
the inquiry process and steer it, directing their knowing how to do co-operative inquiry, and
energies into a sense making exercise’ (Charles in knowing how to do those transformative
and Glennie, 2002: 216). actions in the world that the inquiry is
engaged with.
Propositional Knowing as an As we have argued elsewhere, the argument
Outcome of Inquiry for the primacy of the practical owes a lot to the
philosophy of John Macmurray (1957), who
While co-operative inquiry emphasizes the holds that ‘I do’ instead of ‘I think’ is the start-
primacy of the practical (for which see ing point and centre of reference for grasping
below), nearly all inquiries have some kind the form of the personal: the self is an agent and
of informative purpose: they aim to provide exists only as an agent. The self as thinking
insight into social relations and to offer subject cannot exist as subject; it can be subject
propositions and theories that will aid under- only because it is an agent. The self as knowing
standing. Such propositional outcomes are subject is in and for the self as agent. Knowing
rarely simply descriptive but aim to be criti- in its fullness is consummated in and through
cal and emancipatory. They will resist the agency, and pure thought divorced from action
‘naturalization’ of the social order which sees leads to a lesser kind of knowing that is sec-
the ‘socially/historically constructed order … ondary, derivative, abstract, and negative.
as necessary, natural, rational and self-evi- We make a similar point that there is an
dent’; the domination of the interests of the ‘up-hierarchy’ of knowledge grounded in
powerful and the suppression of conflicting experiential knowing, which unfurls in pre-
interests; the ‘domination of instrumental sentational and then in propositional ways of
reasoning’; and the ‘orchestration of con- knowing, and is consummated and fulfilled
sent’ whereby existing power relations and through practice. Practical knowledge, the
definitions of reality are taken for granted realm of skills, is immediately supported by
(Alvesson and Deetz, 2005: 74; see also propositional knowing – i.e. by descriptive
Kemmis, Chapter 8). and prescriptive concepts and schema – but
We affirm that there are five main kinds necessarily goes beyond these into the
of important propositional outcomes of a autonomous ineffability of knacks, of the
co-operative inquiry: those mentioned above very act of skillful doing. Such practical
that are informative about the domain or field knowing is embodied in the individual; and
of inquiry; those that report on the transforma- in a shared ‘culture of competence’ in which
tive practices undertaken, and on their effects; particular practices are not only supported
those that describe the inquiry process; those and valued but are embodied in the interac-
that evaluate the soundness of the inquiry tions of a whole community (Heron, 1992,
process; and those that evaluate the soundness 1996b).
of its informative and transformative outcomes Traditional academic thinking has diffi-
(Heron, 1996a: 109–10). However, it is also culty with the notion of practical knowing,
important to note that each of these kinds because, as Rorty (1999) argues, it is
can be complemented by (as mentioned above attached to the idea of theory as representing
under presentational outcomes), or even the world. If we give up the idea of knowl-
entirely replaced by, appropriate presentational edge as an attempt to represent reality and
outcomes. argue for the primacy of the practical, the
376 PRACTICES
relationship between truth claims and the rest Active hierarchy here is the creative
of the world become causal rather than repre- leadership which seeks to promote the values
sentational, and the issue becomes whether of autonomy and co-operation in a peer-to-
our propositional knowing provides reliable peer inquiry. Such leadership is exercised in
guides to the practical realization of our values. two ways. First, by the one or more people
who take initiatives to set up the inquiry. And
second, as spontaneously emerging and mov-
Practical Knowing in the Reflective ing leadership among the peers, when any-
Phrases of Inquiry one proposes initiatives that further enhance
the autonomy and co-operation of all partici-
The reflection phases of the inquiry, where pating members.
co-researchers are meeting together, are The skill required for an individual person
important crucibles for the development of to manage these four positions, and to keep
practical knowing. As we discussed in the them in creative interplay while at the same
section on experiential knowing, the quality time interacting with several other persons
of being together in fully mutual presence each of whom is busy with the same multiple
allows for the emergence of an attitude of interplay, is considerable. While there can be
inquiry, an open curiosity toward each other agreed procedural guidelines to support the
and to the experiences each brings to the process, the challenge to each person (and
group. Group members will develop and especially initiating leaders) to modify the
integrate skills of inquiry – both personal demands of ego in the service of collabora-
skills of aware openness, reflection and tion is formidable. Hence there can be occa-
experimentation, and the skills associated sions when confusion, chaos, individual
with opening an inquiring space for others. frustration and interpersonal tension become
There is a specific way of practical know- acute – although these may also be fruitful
ing that is central to establishing full reci- opportunities for letting go of egoic compul-
procity among co-inquirers: knowing how to sions, and for remarkable liberating zest
make decisions together. This skill involves a when the breakthrough into creative and
practical interplay, within each co-inquirer, expanded social synchrony occurs.
and between all, of four basic political This practical know-how has three areas of
values: autonomy, active hierarchy, passive application in the reflection phase of an
hierarchy, and co-operation (Heron, 2001: inquiry. The first is in decisions about man-
122–3). Each person, in contributing to aging the sequence of procedures for the
group decision-making, can move freely whole phase; the second is in decisions about
between four positions, and the first three what sense co-inquirers have made of the
positions are precursors to, and components previous action phase; and the third is in
of, the culminating fourth: decisions to do with forward planning of the
next action phase of the inquiry.
• Autonomy: I can identify my own idiosyncratic
true needs and interests;
• Active hierarchy: I can identify options that pro-
mote the true needs and interests of all of us, Practical Knowing in the Action
individually and collectively; Phases of Inquiry
• Passive hierarchy: I can identify an active-hierar-
chy proposal made by someone else as one that
What skills are needed in the action phase? In
I can freely and authentically follow; the informative strand of an inquiry, which asks
• Co-operation: I can co-operate with – that is, lis- whether, in the light of our experience, the
ten to, engage with, and negotiate agreed deci- world is the way we envisaged it, we need
sions with – my peers, celebrating diversity and the skill of radical perception, being fully pre-
difference as integral to genuine unity. sent and imaginally open to our experience,
together with the ability to bracket off habitual Geoff Mead (2001) relates how the inquiry
conceptual frames and try out new frameworks, context enabled a constraining and control-
new ways of enacting the present situation. In ling manager to receive and elicit feedback
the transformative strand, we need the skill of that he could use to develop a more spacious
radical practice, the ability to maintain, while and empowering style in his relations with
we act, an alert, intentional dynamic congru- staff.
ence among the motives of the action, its goals, Important issues then arise about the relation
the strategy or means it employs, its guiding between changed individual practice and the
norms (technical and moral), its ongoing occupational culture or sub-culture within
effects, our beliefs about its context (Heron, which it is set. Traditionally there has been a
1996a). Torbert and Taylor (Chapter 16) fundamental asymmetry between an individual
describe this as congruence between the four skill and such cultural development. Any radi-
territories of experience: the outside world, cal agenda of transforming practice rested
one’s own sensed behaviour and feeling, the exclusively with the individual pioneer. Even
realm of thought, and attention/intention. where cultures of competence have promoted
On the wider inquiry canvas, there are research and development, the breakthrough
skills to exercise in our fundamental choices has come through the efforts of one or two indi-
about action phases. How many action viduals, sometimes vying with each other.
phases do we need for this particular inquiry With the advent of co-operative inquiry
and on what time scale? What is the appro- and related forms of participative research,
priate balance between action and reflection? cultures of competence can become self-
Do we use the action phases to converge on transforming as collectives. A co-operative
an increasingly focused question or to inquiry group that is busy with transforming
diverge over several main facets of the practice within a culture is involved with
inquiry topic? Shall we take a more three interdependent kinds of skills out-
Apollonian or Dionysian approach to action? comes, three kinds of transformation: new
The Apollonian mode uses the reflection skills in transformative collaborative inquiry,
phase systematically to preplan, in the light new individual and co-operative working
of a review of the previous action phase, skills, new skills in regenerating the culture
what is done in the next action phase; the of competence within which those skills have
Dionysian mode uses more presentational their home. Thus a group of doctors who par-
forms of knowing to review the previous ticipated in the whole person medicine
action phase, and intentionally allows that inquiry (Heron and Reason, 1985) went on to
learning to emerge in creative actions that found the British Holistic Medical
arise spontaneously in response to future sit- Association on participatory principles.
uations. Both have their place, and no inquiry Torbert has made a similar point in his
is likely to follow a purely Dionysian or emphasis on the development of communi-
Apollonian approach (see Heron, 1996a; ties of inquiry (Torbert, 2000, 2004);
Heron and Reason, 2001/2006 for a fuller Gustavsen et al. (Chapter 4 in this volume)
exploration of these issues). argue that action research must help develop
the wider social movement within which
Practical Knowing as an Outcome separate inquiries are rooted.
of Inquiry
The most basic, but not the only, outcome of INQUIRY CYCLING THROUGH
co-operative inquiry is a transformative one, THE EXTENDED EPISTEMOLOGY
which crucially involves individual change of
behaviour – the acquisition of new skills, new We have articulated some of the key charac-
know-how – supported by peer inquirers. Thus teristics of four ways of knowing which
378 PRACTICES
together constitute cycles of action and of individuals and more widely in cultural
reflection. Each of the ways of knowing practices that support and co-ordinate such
makes its own contribution to the quality of skills. The danger is always that individuals
the knowing that results from the inquiry and groups will fool themselves about the
cycle and is of value on its own account and efficacy of their actions and support practices
in its contribution to the cycle as a whole. for which there is no good evidence. The key
Thus quality in experiential knowing is quality question is whether, through cycles of
rooted in the openness through which we action and reflection, sufficient good evi-
encounter the presence of the world. The dence is produced to support the practical
threat to quality knowing here is that co- claims that are made.
researchers create a defensive inquiry which As we have argued, there is a strong case
guards against the discovery of the novel and for seeing practical knowing as primary, the
different, and which reproduces in encounter consummation of our inquiry as worthwhile
the habitual social and personal taken-for- action in the world, guided by propositional
granted. Quality inquiry will courageously categories, inspired by presentational forms
challenge habits, seek new encounters and and rooted in and continually refreshed
deepen contact with experience. through experiential encounter. When co-
Quality in presentational knowing arises inquirers are working together, there is a
through intuitive playfulness so that expres- dynamic interplay between their actions and
sive forms articulate experiential knowing in their state of being, mediated by intuitively
creative ways, opening inquiry both back grasping a significant pattern in their current
toward deeper experience and forward to behaviour and by conceptually naming the
new ideas and theories. The danger here is quality it reveals. Once this quality is identi-
that co-researchers will stay with the same fied and agreed, the inquirers can negotiate
old stories and images and thus recreate action to enhance or modify it. This alters
existing realities and confirm existing their behaviour and the quality of the meet-
beliefs. Quality inquiry will actively experi- ing. Co-sensitivity to the changing interac-
ment with redescription and draw on a range tive qualities within a shared field, and
of presentational forms to turn stories, co-acting to develop there an overall quality
accounts and images upside down and inside of human flourishing, are at the heart of
out in the pursuit of creative expression and excellence in a co-operative inquiry. In
imaginal range and depth. inquiry as in life, the basic call is to act intel-
Quality in propositional knowing articu- ligently, sympathetically, and creatively
lates presentational form through conceptual together to enhance the quality of our rela-
schema. It depends on clarity of thinking and tionships with each other and our world.
critical sense-making and carries with it a
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25
Action Research in Healthcare
Ian Hughes
This chapter provides specific recommendations for how to do good action research in the
context of healthcare. It links to other appropriate AR practices as well as offering guidelines
for intervention in diverse settings and questions for developing quality.
STATEMENT OF MAIN THEME physical, mental and social well-being and

not merely the absence of disease or infir-
In this chapter I attempt to provide specific mity’. Our health as individuals and commu-
recommendations for how to do good action nities depends on environmental factors; the
research in healthcare contexts, concrete qualities of relationships; our beliefs and atti-
guidelines for interventions, and explicit tudes; as well as bio-medical factors. To
links to other AR practices. Action research understand our health we must see ourselves
has applications in healthcare as diverse as as interdependent with human and non-
HIV/AIDs education in Tanzania (Mabala human elements in the systems in which we
and Allen, 2002) and Ghana (Mill, 2001) and participate. This holistic way of understand-
with prisoners in Malaysia (Townsend, ing health, looking at the whole person in
2001); improving care in nursing homes in context, is congruent with the participative
Australia (Street, 1999) and the USA paradigm informing this Handbook (see
(Keatinge et al., 2000) and in British hospi- Introduction, Chapter 1; Reason and
tals (Burrows, 1996; Crowley, 1996; Johns Bradbury, 2001/2006a). Health profession-
and Kingston, 1990); mosquito control in als, clients and communities are all part of a
Malaysia (Crabtree et al., 2001); and sup- larger system (or system of systems), which
porting community-based health initiatives we help to shape or influence through our
in all parts of the world. actions, as it shapes and influences us. We
The World Health Organization (1946) cannot frame the health professional, the
declares that ‘health is a state of complete intervention and the client as independent
382 PRACTICES
60
50
40
Studies %
30
20
10
0
Before 1980 1980–1985 1986–1990 1991–1995 1996–2000 2001–2005
Year
Figure 25.1 Publication dates of community-based participatory research

reports
Source: based on Viswanathan et al., 2004a: 59, projected to 2005
and separate entities. They are mutually each other. As I illustrate in Figure 25.2,
interdependent and participating actors in a there is not a wide gulf between positivist
larger system. or bio-medical approaches and participative
There is compelling evidence that factors approaches to research, but participation,
including poverty, inadequate housing, air action and research can be combined, merged
pollution, income inequality, racism, lack of or separated in creative and flexible ways.
employment opportunities, and powerless- Until maybe a decade ago action research
ness are associated with poor health out- and participatory approaches were a ‘hidden
comes and contribute to the growing health curriculum’ (Eikeland, 2001) in the health pro-
gap between rich and poor, white and non- fessions, with relatively few published reports.
white, urban and rural, North and South. This is changing. A systematic review of
Excluded communities have skills, strengths, community-based participatory health research
and resources such as supportive relation- in the USA shows half of all studies meeting
ships, community capacity, committed lead- their criteria have been published after 2000
ers, and community-based organizations to (Figure 25.1).
address problems and support health (Eng
and Parker, 1994). Systematic reviews
show increased use of participatory action CHOOSING ACTION RESEARCH
research (PAR) in public and community
health (Viswanathan et al., 2004a), health The contents pages of this volume show that
promotion (Green et al., 1995), hospitals action research is not one unified thing. The
(Waterman et al., 2001) and institutional path of choices towards an action research
settings to address these systemic health project cannot be mapped in a simple decision
inequalities. tree, showing binary choices among alterna-
In healthcare, the participatory world- tive ways of doing research or engaging in
view which underlies action research action. Participation, action and research are
(Reason and Bradbury, 2001/2006b) and the combined in many ways in healthcare, and
positivist paradigm underlying experimen- researchers may be confused about what
tal research are in close relationship with counts as action research.
ACTION RESEARCH IN HEALTHCARE 383
An Example The major action outcome came in the

implementation of the prevention strategies
It is not possible to present a typical example
after the end of this action research project.
of action research in healthcare, because the
There were two forms of action during the
field is too varied, and not possible to select
project. One local research group organized a
one outstanding example as criteria vary
two-day basketball tournament because they
according to the purpose and situation of
identified boredom and lack of activities as a
each project. Because there is not room for a
reason for high levels of substance abuse.
full account here, I have chosen a project
The second form of action lay in the action
which is well reported (Maglajlic and RTK
research process through which 15 research
PAR UNICEF BiH Team, 2004; Maglajlic
team members and 60 local research group
and Tiffany, 2006; Social Solutions, 2003a,
participants received support, education and
2003b; Zarchin, 2004) so that interested
empowerment (Maglajlic and RTK PAR
readers can follow up in greater detail.
UNICEF BiH Team, 2004).
In 2003 UNICEF initiated a participatory
action research project to develop communica-
tion strategies for prevention of HIV/AIDS
among adolescents in Bosnia Herzegovina. In Why Researchers Choose Action
each of three towns, the UNICEF Head Research in Health
Researcher worked with a non-government
Making a choice to use action research for a
organization, which nominated a team of five
particular project or purpose may involve:
young people as a research team. In the
research teams, facilitator roles were split into
different tasks, such as group process facilita- • Having some sense of what it might mean and its
potential benefits over other approaches.
tor, record keeper and ‘devil’s advocate’, and
• Evidence from systematic reviews, research
rotated among team members. Each team initi- reports, textbooks and other literature.
ated a local research group of 20 young people. • Information from within your organization, inter-
The average age of local research group net searches and non-peer reviewed sources.
members was 17, with a range from 13 to 19. • Opinions from peers or experts.
(Maglajlic and RTK PAR UNICEF BiH Team, • Clinical data or other information gathered with
2004). clients, families, stakeholders, or co-researchers.
A toolkit, including PAR guidelines and • Economic considerations including personnel,
workshop activities, was developed as a equipment and other resources.
resource for members of the local research
groups (Social Solutions, 2003a). Each Heather Waterman and her colleagues found
local research group, with the research five main reasons for choosing action research
team, decided what to research, how to given in 48 British reports (Waterman et al.,
research it, with whom and when. The three 2001: 21).
local research teams devised four question-
naires and surveyed adolescents (sample • The most common reasons for choosing action
size ranging from 212 to 1611). One team research are about encouraging stakeholders to
also surveyed parents; another conducted participate in making decisions about all stages
face-to-face interviews; and the third team of research, or empowering and supporting
participants.
collected data through ‘comment walls’
• Frequent reasons include solving practical, concrete
during a basketball tournament. Statistical or material problems or evaluating change.
data were analysed through SPSS, and each • Reasons associated with the research process
local research group made sense of the data included contributing to understanding, knowl-
through content analysis, and worked with edge or theory; having a cyclical process includ-
the research team to develop a proposal for ing feedback, or embracing a variety of research
a prevention strategy. methods.
384 PRACTICES
• In 29 per cent of instances action research was develop global responses to HIV/AIDS and
chosen because it educates. prepare for a bird flu pandemic it is truer
• And in a quarter, it was chosen because action than at any previous time in history that a
research acknowledges complex contexts or can
complete state of health in one place
be used with complex problems in complex
adaptive systems.
depends upon other parts of the world. PAR
can enable us to make sense of these interre-
lationships. Participatory understanding can
Ethical Choices, Aims and Purposes lead us towards a sense of universal respon-
sibility that is growing at this historical
Healthcare practice and research are ethical moment. As we all participate in webs of
activities. Hippocrates’ injunction that ‘the mutual interdependency, this universal
physician must … have two special objects responsibility is too important and too com-
in view … namely, to do good or to do no plex to delegate to professional or elected
harm (Hippocrates, 2004: 6) is cited as a fun- leaders. Each person has opportunities to
damental ethical maxim for healthcare pro- participate in building healthy and whole
fessionals. Action researchers in healthcare communities, regardless of our occupation,
should help others, or at least do no harm. formal education or health status. PAR is
Collaboration and participation are valuable one way to do this. (For a more detailed dis-
ethical safeguards. cussion of ethics in action research see
One difficulty is that bio-medical research Chapter 13.)
with obvious benefits that complies with
funding or institutional ethics guidelines may
also have effects that are harmful to some Choices about Modes of Participation,
people. Foucault (1975) and others have
Action and Research
shown how medical power and wealth are
increased by building medical knowledge. This Handbook presents a rich diversity of
Research funded by multinational drug com- approaches to action research. In addition,
panies supports an industry that distributes several authors have offered typologies of
drugs unevenly round the globe. The action research in healthcare. McCutcheon
research topics that receive funding often and Jung (1990: 145–7), Grundy (1988:
support an industry centred on professional 353), Holter and Schwartz-Barcott (1993:
interventions to cure diseases rather than 301), McKernan (1996: 15–32; Waterman
action to build healthy and flourishing indi- et al., 2001) and Masters (2000) each list three
vidual persons and communities (Reason and ‘modes’ of action research that arise from
Bradbury, 2001/2006b). Those who make three underlying paradigms (Hart and Bond,
decisions about research funding in the ill- 1995, identify four types). The three modes
ness industries have vested interests in exist- of action research can be labelled ‘technical
ing knowledge and power structures. action research or action experiments’;
Participatory action research has a capacity ‘action research in organizations or work-
to challenge these structures of knowledge places’ (see Chapter 5), and ‘emancipatory
and power. Participation of key stakeholders, action research’ or ‘community-based partic-
especially those who are usually excluded ipatory research’ (see Chapters 2, 3, 8).
from decision-making about research (such These are not different research methods.
as clients, patients and community members), The differences lie in the underlying assump-
leads to projects that are more relevant to the tions and worldviews of the researchers and
lives of ordinary people, while good PAR is participants that lead to variations in the
itself an empowering process. ways projects are designed, and who makes
In the 21st century, what happens in one decisions (Grundy, 1982: 363). Technical
part of the world can affect us all. As we action research is typically controlled by the
Action
Research
Research Action
Participative
Action
Research
Participative Participative
Research Action
Participation
Figure 25.2 Relationship between participation, action and research
researcher, in the mode of Lewin’s field health professionals or other stakeholders, and
experiments (Gustavsen, 2001/2006; Lewin, without a health intervention as an explicit part
1943). Action research in workplaces often of the same project. Participative action
involves collaboration or cooperation among research includes all three elements, system-
a group of researchers or professionals, atic inquiry, professional practice interven-
with the dual aims of increasing knowledge tion and participation in decision-making by
and contributing to improved practice. key stakeholders. These categories are not
Participatory action research includes key discrete, but continuous, and the boundaries
stakeholders, including the disadvantaged, in in the diagram are permeable or fuzzy. The
making decisions through all phases of the proportions of participation, action and
research project. research are not usually decided in advance,
A more pragmatic classification is illus- but worked out as each project is designed
trated in Figure 25.2. Following this diagram, and developed.
an example of participative action is a com- As a case in point, consider a report of
munity health programme designed and action research to improve wound care in
implemented by a coalition of professionals, paediatric surgery (Brooker, 2000). Faced
community members and other stakeholders. with increasing complexity in choosing the
Action research includes projects to improve most effective of 400 different wound dress-
professional practices through cycles of ings, nurses collaborated with surgeons and
action and reflection, and can extend to clin- other hospital staff to educate staff and mon-
ical case studies without key stakeholders itor the use and effect of each dressing.
participating in decision-making. Participative Those who were most affected by the out-
research is conducted by a coalition of comes of the research (who were also the
researchers, community members, patients, least powerful), the burned babies and
386 PRACTICES
Table 25.1 Hierarchy of levels of evidence in evidence based practice

Level 1: Evidence obtained from systematic reviews of relevant and multiple randomized controlled
trials (RCTs) and meta analyses of RCTs
Level 2: Evidence obtained from at least one well designed RCT
Level 3: Evidence obtained from well designed non-randomized controlled trials or experimental studies
Level 4: Evidence obtained from well designed non-experimental research
Level 5: Respected authorities or opinion based on clinical experience, descriptive studies or reports of expert committees
children, and their parents, were not included Evidence-based choices

in decision-making at any part of the project,
and provided data passively (which was col- Since the 1990s healthcare knowledge sys-
lected by nurses and medical staff monitor- tems known as ‘evidence-based practice’
ing progress). This project was seen as have been developed to support health pro-
having some empowerment potential, for fessionals in providing the best available
nurses in relation to senior medical staff, but care. Evidence-based medicine has been
it could not be described as empowering for defined as ‘the conscientious, explicit, judi-
the babies or their parents; nevertheless, this cious use of current best evidence in making
was a worthwhile project that produced use- decisions about the care of individual
ful practical knowledge. patients’ (Sackett et al., 1996). From medi-
Choices about participation, action and cine, these principles were extended to other
research are influenced by the available health professions and more recently, to
knowledge and information. Even with elec- include service development and manage-
tronic access to literature, the information ment (Ottenbacher et al., 2002; Viswanathan
that we act on is heavily influenced by the et al., 2004a: 59). Evidence-based practice
educational and professional networks we asserts that making clinical decisions based
belong to. A colleague who had been work- on best evidence, from the research literature
ing on a project for two years told me she and clinical expertise, improves the quality
had just realized that what she has been of care and the patient’s quality of life.
doing is called action research, and there is a Most texts on evidence-based practice pre-
body of literature to inform it. She had been sent a hierarchy of evidence (see, for example,
working in the next building, with access to Holm, 2000; Madjar and Walton, 2001;
an excellent academic library, without mak- Moore et al., 1995). Although wordings differ,
ing the connection largely because the the constructions are similar to Table 25.1.
people in her network use a different Table 25.1 presents an absolute hierarchy
approach to research. of levels of evidence in which qualitative and
Waterman and her colleagues (2001) action research approaches are ranked as
found participation was the most commonly inferior in the quality of knowledge they pro-
listed reason for choosing action research, duce to the ‘gold standard’ randomized con-
but definitions of ‘participation’ vary. Some trolled trials. The argument is that the best
institutional ethics committees ask researchers evidence that a treatment or intervention is
to refer to people whose role is to provide effective can only be obtained by controlling
data without making decisions about the all influences on outcome other than the
conduct of research as ‘participants’, not treatment, measuring the outcome and com-
‘research subjects’. Some researchers use the paring that to the outcome without treatment,
term ‘participation’ where others would especially when this procedure is repeated at
describe working with health professionals different places and times. Against this,
or professional researchers as ‘collabora- others argue that we cannot evaluate a treat-
tion’. Waterman and her colleagues comment properly unless we take the patient’s
bined these. perspectives into account and understand
Assess
ASSESS clinical or policy problems and identify key

issues;
Apply Ask ASK well-built questions that can be answered
using evidence-based resources;
ACQUIRE evidence using selected, pre-appraised

resources;
Appraise
APPRAISE the validity, importance and applicability
of evidence that has been retrieved;
APPLY evidence to clinical or policy problems.

Acquire
Figure 25.3 Evidence-based information cycle

Source: Hayward, 2005
their experiences in the context of their through different research paradigms and
everyday lives. Statistical averages obscure approaches become equally available.
important effects on some individuals in Depending on the purpose, the nature of the
some contexts, and treatments must be problem and the situation, we can look for a
adapted and tailored to each patient in his or ‘best fit’ between the question, type of evi-
her environment (Ovretveit, 1998: 36). dence and research approach. What counts as
In clinical practice health professionals good evidence, and the best ways to gather
are advised to use evidence in ways that it, depends on the context and purpose of our
reinforce the hierarchy of evidence. In the inquiry. For example, in residential care of
evidence-based information cycle (see Figure older people with dementia, the evidence of
25.3), clinicians and policy-makers are invited randomized controlled trials is relevant when
to ask questions limited to ‘questions that can recommending medication and dosage, but it
be answered using evidence-based resources’ is not helpful in considering policy or prac-
and to acquire evidence only from ‘pre- tice relating to sexual activity among older
appraised resources’ (Hayward, 2005). If people with dementia.
healthcare practice is restricted only to infor- Action researchers in health are respond-
mation available from evidence-based data ing to the challenge of evidence-based prac-
bases, fulfilling stringent criteria (that is, evi- tice in a number of ways. Hampshire and
dence from only one paradigm), this will her colleagues in the UK conducted a ran-
limit the scope of approved practice strate- domized control trial of action research in
gies (Jones and Higgs, 2000). When clinical primary health care (Hampshire et al., 1999).
decisions go beyond patho-physiological Twenty-eight general practices were ran-
concerns and when multi-professional teams domly allocated to two groups. Action
work with complex problems, new situations research to improve pre-school child health
or whole systems, evidence-based practice is services was facilitated in 14. The other 14
too narrowly defined to support credible and practices received written feedback alone
effective practice. (see Figure 25.4). Health professionals
If kinds of evidence are arranged as a con- reported improvements in all 14 action
tinuum or a menu, rather than a hierarchy research practices, and none of the others,
(Humphris, 2000; Whiteford, 2005: 39), then but formal measures did not show any statis-
practice-based evidence and evidence generated tically significant changes. The authors
388 PRACTICES
14 Action
General research + After
practices feedback measures
Before Results
measures
14 Written
General feedback After
practices only measures
Figure 25.4 Randomized controlled trial of action research
conclude that action research is a successful community health services (8%) and other
method of promoting change in primary health workplaces (see Table 25.2). Four
healthcare, but they found it difficult to mea- questions (marked with an asterisk in Table
sure the impact of action research. 25.2) relate to defining characteristics of
The work of Hampshire and her col- action research. The full report, including
leagues demonstrates some difficulties in detailed subsidiary questions, is available
conducting randomized controlled trials of online from http://www.hta.nhsweb.nhs.uk.
action research. There are recognized diffi- Guidelines for quality of participatory action
culties in making statistical measures of the research in health were prepared by the RTI
effectiveness of interventions where there are Evidence-based Practice Center at University
many variables in complex situations. The of North Carolina in a large systematic review
RCT of action research did not use action of Community-Based Participatory Research
research cycles in its own method (that (CBPR). They identified 1408 published arti-
would involve taking repeated measures of cles and, after systematically applying exclu-
both the intervention and control group). sion criteria, reviewed 185 (Viswanathan et al.,
They measured the change outcome and not 2004a). Viswanathan and her colleagues sys-
the knowledge outcomes, that is, they evalu- tematically reviewed the quality of research
ated action research as a change intervention, method, the quality of community involve-
but not as a research approach. PAR would ment, and whether projects achieved their
be difficult to study through RCT, as each intended outcomes.
local group is likely to devise a different pro- The reviewers found few complete and
ject with different intended outcomes. fully evaluated CBPR reports, partly because
length limitations in journals lead to incom-
plete documentation (Viswanathan et al.,
Choices About Quality and Rigour 2004a). Studies which they rated high for
research quality did not achieve such high
(Validity, Reliability, Relevance)
scores for participation, and from other data
The claims that multiple randomized controlled the reviewers found high-quality scores for
trials are the ‘gold standard’ of evidence about participation associated with low-quality
the value of healthcare interventions are being scores for research quality. Researchers
challenged. Waterman et al. (2001) derive 20 applying for funds often failed to address
questions to assess the quality of action conventional research quality criteria
research proposals and reports from their (Viswanathan et al., 2004a: 44). Despite this
systematic review of 59 action research stud- trend, the review uncovered several out-
ies in UK healthcare settings including hos- standing examples of high quality research
pitals (56%), educational institutions (14%), combined with high-quality community
Table 25.2 20 questions for assessing action research proposals and projects
1. Is there a clear statement of the aims and objectives of each stage of the research?
2. Was the action research relevant to practitioners and/or users?
3. *Were the phases of the project clearly outlined?
4. *Were the participants and stakeholders clearly described and justified?
5. *Was consideration given to the local context while implementing change?
6. *Was the relationship between researchers and participants adequately considered?
7. Was the project managed appropriately?
8. Were ethical issues encountered and how were they dealt with?
9. Was the study adequately funded/supported?
10. Was the length and timetable of the project realistic?
11. Were data collected in a way that addressed the research issue?
12. Were steps taken to promote the rigour of the findings?
13. Were data analyses sufficiently rigorous?
14. Was the study design flexible and responsive?
15. Are there clear statements of the findings and outcomes of each phase of the study?
16. Do the researchers link the data that are presented to their own commentary and interpretations?
17. Is the connection with an existing body of knowledge made clear?
18. Is there discussion of the extent to which aims and objectives were achieved at each stage?
19. Are the findings of the study transferable?
20. Have the authors articulated the criteria upon which their own work is to be read/judged?
Source : Waterman et al., 2001: 48–50
participation throughout the research process Choices about Complexity and

(Webb et al., 2004). High quality research is Action Research
expected in healthcare, and action
researchers may be advised to pay more Since the turn of the 21st century healthcare
attention to ways in which high quality par- researchers have begun to apply complexity
ticipation can enhance the quality of data col- theory, including the theory of complex adap-
lection and analysis to produce practical tive systems. Action research has special
outcomes. resilience and value in this emerging field
Overall, stronger or more consistent pos- of inquiry. A full explanation of complex adap-
itive health outcomes were found with the tive systems is outside the scope of this chapter
better quality research designs. CBPR can (but see, for example, Axelrod and Cohen,
also lead to unintended positive health out- 1999; Fraser and Greenhalgh, 2001; Plsek and
comes, and to positive outcomes not Greenhalgh, 2001; Plsek and Wilson, 2001;
directly related to the measured interven- Wilson et al., 2001). In brief, complex adaptive
tion. (For the guidelines that Viswanathan systems include large number of autonomous
and her colleagues propose for the quality agents (who adapt to change) and a larger num-
of CBPR please see Viswanathan, 2004a.) A ber of relationships among the agents. Patterns
more detailed checklist (though older and emerge in the interaction of many autonomous
not based on wide systematic review) devel- agents. Inherent unpredictability and sensitive
oped by Lawrence Green and associates dependence on initial conditions result in pat-
(Green and Daniel, 1995) is available on- terns which repeat in time and space, but we
line from http://lgreen.net/guidelines.html. cannot be sure whether, or for how long, they
Action researchers need to provide evidence will continue, or whether the same patterns may
of high quality in participation and action occur at a different place or time. The underly-
and research. Assertions about the value of ing sources of these patterns are not available to
PAR will not convince seasoned reviewers observation, and observation of the system may
of healthcare research. itself disrupt the patterns.
390 PRACTICES
Because the researcher is part of the complex founded on a partnership between action
adaptive system she or he studies, and because researchers and participants, is educative and
the sources of change are not all available for empowering, with a cyclical process in
observation, it is impossible for one person to which problem identification, planning,
fully describe or understand a complex adap- action and evaluation are interlinked.
tive system. We need multiple perspectives, This systematic review shows that action
and because the situation may change in unpre- research can be useful for developing inno-
dicted ways, we need repeated observations vation, improving healthcare, developing
and systematic feedback. Participatory action knowledge and understanding in practition-
research meets these complex requirements. ers, and involvement of users and staff. Their
The collaboration and participation of co- findings indicate that action research is
researchers with different perspectives and suited to developing innovative practices and
ways of understanding, as well as iterative services over a wide range of healthcare situ-
cycles of action and reflection, provide a robust ations and demonstrates how the action
model to increase our understanding of com- research process can promote generation and
plex situations, while designing and monitoring development of creative ideas and imple-
interventions. mentation of changes in practice.
Because the action research cycles build Organizational factors can facilitate or cre-
feedback loops into ongoing research and ate barriers to action research. Meyer,
action, they can be used for constant moni- Spilsbury and Prieto (1999) reviewed 75
toring of complex adaptive systems, to try reports of action research in health. Key facil-
out interventions to see if they appear to have itators and key barriers mentioned in 23 per
potential to lever disproportionate change, cent or more of reports are summarized in
and provide feedback about interventions Table 25.3. This review attended only to the
that are producing or not producing their action or change outcomes of action research
intended effects. This leads to the develop- and did not attempt to evaluate research
ment of local theories such as theories of rigour or the quality of participation.
change (ActKnowledge, 2003) or living
theories (Whitehead, 2005).
CONCLUSION
Choices About Improving
Action research is increasingly used in
Healthcare Practice
various community and institutional health-
Action research processes can be used to mon- care settings. Action researchers in health
itor and improve the quality of health services work close to bio-medical researchers, and
(Jackson, 2004). Action research cycles have paradigm wars are giving way to sorting out
much in common with the cycles of continu- the strengths and weaknesses of different
ous quality improvement which inform health- research approaches for varied purposes and
care quality management legislation in situations. Although the evidence-based
Australia, Canada, the UK, the USA and sev- practice movement has sparked new skir-
eral other countries (ACCN, 1982; ACHS, mishes between quantitative, qualitative and
1985a, 1985b; ACSA, 2001; CARF, 1999). participative approaches in healthcare
Waterman et al. (2001) undertook a sys- research, Waterman et al. (2001) point out
tematic review of 59 action research studies how action research and evidence-based
fitting their definition of action research as a practice can work together.
period of inquiry that describes, interprets We have seen that there is evidence that
and explains social situations while executing action research can combine research rigour,
a change intervention aimed at improvement effective action and high-quality participa-
and involvement. It is problem-focused, and tion. Some well designed studies show high
Table 25.3 Facilitators and barriers to action research

Key facilitators Key barriers
• Commitment • Lack of time, energy, resources

• Talking/supportive culture • Lack of multidisciplinary team work
• Management support • Reluctance to change
• Unstable workforce
• Lack of talking/supportive culture
quality on all three dimensions. Many studies social change. Guidelines to inform choices
have been strong in one dimension, and weak about the quality and rigour of action
in another, sometimes as part of an explicit research in health, based on sound evidence,
research design (see Figure 25.2). have been published and need to be tested,
Waterman et al. (2001) recommend that and further refined. This may be an opportu-
health research funding will be appropriate nity for a large-scale collaborative action
for action research to: research project. In the words of Laurence
Green: ‘If we want more evidence-based
• Innovate, for example to develop and evaluate practice, we need more practice-based evi-
new services; dence’ (Green, 2004/2006).
• Improve healthcare, for example, monitor effec-
tiveness of untested policies or interventions;
• Develop knowledge and understanding in practi-
tioners and other service providers, for example,
ACKNOWLEDGMENTS
promoting informed decision-making such as
evidence-based practice; Table 25.2 ‘20 questions for assessing action
• Involving users and healthcare staff, for example, research proposals and projects’, Waterman
investigating and improving situations with poor et al. (2001). Queen’s Printer and Controller
uptake of preventive services; and HMSE 2001. Reprinted with permission.
• Other purposes. Figure 25.3 ‘Evidence-based information
cycle’, Hayward (2005). From http://www.
Action research ‘seeks to bring together cche.net/info.asp, The Centre for Health
action and reflection, theory and practice, in Evidence, University of Alberta, Edmonton,
participation with others, in the pursuit of Alberta. Reprinted with permission.
practical solutions to issues of pressing con-
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394 PRACTICES
26
Action Research on a Large Scale:
Issues and Practices
A n n W. M a r t i n
This chapter considers the challenges of doing action research in large scale change projects and
what these challenges mean for practice in action research. Many of the demands of large scale
projects may exist in smaller projects as well – issues of power and inclusion and implementa-
tion. But these issues become more complex when the numbers of participants and researchers
increase and when the ground to be covered and understood is greater. Because the stakes are
often high, politics and power are front and center. Engaging and utilizing a great diversity of
perspectives is critical and more difficult to manage. Nonetheless, the possibilities for learning
and the options for action increase exponentially as a large scale project develops. A central con-
clusion is that these challenges, possibilities and options place greater demands on the action
research team themselves, to remain in continuous dialogue and reflection. The practice chal-
lenges are illustrated with experiences from two large scale projects in the USA.
In this chapter I consider the challenges of inclusion and implementation. But these issues
doing action research in large scale change become more complex when the numbers of
projects and what these challenges mean for participants and researchers increase and when
practice in action research. By large scale I the ground to be covered and understood
mean projects where multiple systems – and is greater. With increased numbers of partici-
large systems – are involved. These are most pants and constituent organizations comes
often community projects such as rebuilding a increased diversity in perspectives and interests.
major harbor or reconstructing the twin towers This alone presents a challenge; it becomes
in New York City might be, projects with a much harder to get our hands around the project.
wide range of constituents and the potential To begin, the matter of structuring a project
for far reaching social and cultural conse- to accommodate numerous participants and
quences.1 Many of the demands of such large systems itself becomes difficult. Because the
scale action research projects may exist in stakes are high, politics and power (and differ-
smaller projects as well – issues of power and ing perceptions of power) are front and center.
ACTION RESEARCH ON A LARGE SCALE 395
As action researchers, we need to understand police of a large city, was never framed as an
and appreciate these in order to engage all the action research project, although it was built
relevant players. For example, in whose inter- on principles of participation and inclusion
est is it not to take action? What groups in the that we think of as fundamental to action
system are without voice? Since these differ- research.
ences will be central to co-generated learning, The first project was situated in western
we need to take care as we construct – and New York State in the United States in
reconstruct – the arenas for dialogue. a region that includes the City of Buffalo,
The possibilities for learning and the options population 215,000, the surrounding sub-
for action increase exponentially as a large urbs, and rural school districts all of which
scale project develops. And so do the demands are included in Erie County. The Erie County
on the action research team members them- Association of School Boards (governing
selves to remain in continuous dialogue and boards for public schools) engaged my orga-
reflection. Given the diversity and complexity nization to research and recommend ways
of the systems, we must expect the unexpected that the 29 school districts and two providers
and mine all action for the learning potential. of special programs might collaborate to give
When there are a great number of stakeholders, every child in the region equal opportunity to
the conception of co-researchers is challenged; meet state performance standards and reach
many of the potential participants may be far his/her learning potential. Our recommenda-
removed from decision-making forums. The tions were to address ways through collabo-
knowledge held by those in the top and bottom ration and shared services to improve the
levels of the system may be disparate because efficiency, effectiveness, and equity of public
of the greater distance. However, we must education in Erie County.
include the broad range of views if we are to The second project arose out of an historical
assure that the future is built on participant community conflict in Cincinnati, Ohio. For
interests. years members of the African American com-
Finally, in large scale change where active munity in Cincinnati had alleged unfair treat-
participants may number 500 or more and ment at the hands of the city police. This
where multiple systems may be impacted, we history led to a proposed lawsuit against the
have to understand and live with, as well as police brought by the American Civil Liberties
try to manage, the iterative and developing Union and the Cincinnati Black United Front.
nature of the learning project. The judge assigned to the case sought a facili-
tated settlement of the charges, and in order to
arrive at such a settlement invited a conflict
TO ILLUSTRATE LARGE SCALE resolution consulting firm, the ARIA Group, to
CHANGE guide a process that would inform such a set-
tlement. This, then, was the project: to develop
I will use two projects to illustrate the scope a set of guidelines for the settlement that would
of large scale change. Throughout the chapter reflect the interests of parties in strong opposi-
I will refer to these and will occasionally tion to one another. Jay Rothman, president of
make reference to another large scale project ARIA, was asked by the Federal Judge to
that is described in this Handbook (see propose a process that the potential litigants
Stringer, Chapter 35). The first case, a project would find acceptable as an alternative to liti-
for the School Boards Association of 29 gation. ARIA launched a city-wide data gath-
school districts covering a population of nearly ering process that engaged eight stakeholder
300,000 and a school population of more than groups: youth, African American citizens,
40,000 students, was an action research pro- other minorities, business, educational lead-
ject. The second, an attempt to heal relation- ers, foundations, white citizens, city officials
ships between the black community and the and leaders, religious leaders, and social
396 PRACTICES
service agencies. With these groups, ARIA uncertainty experienced with imposed and
conducted what they called an ‘action evalu- undiscussable change.
ation process’ (rooted in principles of action
research and more specifically action
science, see Chapter 17) to assess the state of MAKING SENSE AND DESIGNING
affairs and define the goals for a relationship FOR PARTICIPATION AND INQUIRY
between the African American community
and the police. In large scale action research, the first chal-
lenge is sensemaking in the use Karl Weick
(1995) makes of the term: the development of
SOME ASSUMPTIONS possible explanations, not a body of knowl-
edge. Who are the players? Where is the
The action research literature does not deal power? What will motivate the larger public to
with the specifics of large scale change as a take an interest in any change? What are the
distinct approach, with the exception of what relationships among the systems? As Weick
is written about dialogue in regional indus- suggests, these are only ‘progressively clari-
trial change in Scandinavia (for example see fied’ (p. 11), not understood once, but subject
Gustavsen et al., Chapter 4). While the guid- to new insights. The second challenge is to
ing principles of action research as outlined design and implement processes that will
by Elden and Levin (1991) and Greenwood engage multiple perspectives and support
and Levin (1998) may be conceptually con- inquiry and learning within the political arena.
sistent for both small and large scale projects, I will undertake below first sensemaking and
I hold that where large and multiple systems then design parameters.
are involved, the link between inquiry, learn-
ing, and change should be made more
explicit in the field than may be necessary in 1. Making Sense of the System and
more bounded projects. Large scale change Who is in it
projects are political projects. The status quo This is really making sense of the systems, fig-
before new action relies on existing power
uring out just what systems will experience an
arrangements that will inevitably be chal-
impact from the change and, therefore, what
lenged by change. A conscious inquiry
systems it makes sense to include to understand
(research) process as in action research
the dimensions of the project. In the Erie
establishes a context for learning among
County project, a project that included over
multiple stakeholders, a pre-requisite for sus-
40,000 public school students, a city govern-
tainable change. Without this, as Dewey
ment and a county government as well as 31
argues (1946), we risk domination of
separate school authorities, each governed by
untested ideas that are held by one or another
an elected board of at least seven members, and
group in power. This risk is very great when
countless semi-public agencies from the State
the stakes are higher, as they are when large
University to the Department of Social
systems are in question. While we cannot
Services, we needed to be as inclusive as pos-
always expect participants to see themselves
sible so that the ultimate recommendations
as action researchers, we can make clear that would reflect what was actually do-able in such
we are engaging them in a mutual investiga- a broad community. But working within a very
tion and learning process. The framework of large system such as this raised a number of
learning is the core concept that will enable issues, which I will take up one by one:
participants to confront political realities,
consider redirecting power, and recognize a) Who should comprise the research team? And
and value multiple interests. Learning as how to develop a co-generative research team
the central activity reduces the threat and with these actors?
b) What about the external research team? Collaboration Team into co-design and the
c) Who would be the ultimate players? practice of ‘progressively clarifying’ (Weick,
d) Within multiple systems and a diversity of voices, 1995). In Cincinnati, the advisory group was
whose knowledge is privileged?
assembled for the purpose of ‘action evalua-
e) Who makes the decisions about how to move for-
ward with change? And what is consensus under
tion’, invited from the beginning to design a
these circumstances? local stakeholder process based on a process
f) How can we bring the players to the ARIA had used elsewhere (see http://www.
discussion? ariagroup.com/vision.html).
g) How do we treat the differences in values and per- As is often the case in action research pro-
spectives, for example across class and racial jects, the question of co-design is tricky.
divides in the inner city, the wealthy suburbs, and Insiders come to the external researcher group
rural communities? with the expectation that they will know how to
h) How do we, the external research team, manage design a change process. Of course, as action
the expectation that we are the experts and researchers, we do come with relevant knowl-
should ‘take hold’ and offer answers and
edge and experience, but local knowledge is
solutions?
essential to achieving a process that will be
meaningful locally. In large system change, it is
a) Who should comprise the research team? unlikely that this local knowledge can be pro-
And how to develop a co-generative vided by a handful of local activists. Hence, in
research team? Cincinnati the advisory group used their
In Erie County, we collected nine outside knowledge of the local social map to guide the
researchers who would bring needed skills to composition of stakeholder groups who would
the research team. We were data gatherers, define a different future. In Erie County, we
data analysts, organizational change experts, began our joint work with a daylong event to
and action researchers. Some had experience identify and map the stakeholders and their
with large group processes; some had experi- interests in school collaboration. In both cases,
ence with interest-based problem solving. these initial activities laid an essential founda-
Internally, the client for this project was tion for work in the highly politicized local
already a team (the Collaboration Team) environments.
assembled three years prior to our entry by But sensemaking required a further step –
the County School Boards Association. finding the means to access the broad spec-
Comprised of board of education members, trum of local opinions. In Erie County as
school administrators, and county and uni- soon as we had mapped the stakeholders we
versity administrators, the team had already provided the team a seminar on communica-
taken their collaboration cause to public tion in which we worked side-by-side to
forums and had framed a long list of infor- articulate just what it was we were trying to
mation they wanted the ‘hired’ researchers do in ways that we could be understood by
to gather. They believed they had made the public. In Cincinnati, ARIA invited the
sense of the landscape for their project and media to the table, briefing them carefully on
were initially taken aback when we wanted the process to occur and inviting them to
them to return to this sensemaking task cover all public meetings. In both cases, it
with us. was obvious that communication with a
In Cincinnati, ARIA assembled an advi- broader public was a strategic means to
sory group of representatives of the key liti- prime stakeholder interest and energize the
gants, the Black United Front, the American dialogue to come. And in Erie County, this
Civil Liberties Union, and the Cincinnati early work led to the first understanding by
police, to begin the project together. In Erie team members, both local and outside, of just
County, we had to teach action research from how complex the system change we sought
the very beginning, gentling, if you will, the to effect was.
398 PRACTICES
b) Some thoughts on external research often with political agendas that are tied to
teams circumstances outside the scope of the action
Working with a team of other researchers is research. So, for example, in Erie County, some
always an adventure, great fun if the team is of the policy-level decision-makers – those
generous of spirit and open to learning, who would control critical resources for change
painful when differences are hard to resolve. (superintendents of large public educational
The point in large system change is that the agencies, for example) – were beholden to a
external research team must itself be large, and state Board of Regents for their jobs and their
this inevitably ‘ups the ante’ and creates risks budgets. Others, the over 200 elected local
for collaborative learning. As director of our Board of Education members, were subject to
team in the Erie project, I began with enormous taxpayer revolts that could remove them from
enthusiasm and little self-reflection. I failed to office at the next election. Social service agen-
act on my own theory that differences should cies and non-profits that had an interest in col-
be surfaced and discussed and instead operated laborating with schools were subject to the
as if we were all in agreement. Not surprisingly, decisions of their own boards and the contribu-
given that the team included conventional pos- tions of their funders.
itivist researchers, we ended up with substantial In Cincinnati, the ultimate players were
differences over how to handle some of the data police officials and policemen, city officials, a
collection required by the project; we discov- black community action organization, the
ered through this experience (fairly late in the American Civil Liberties Union, citizens, and
project) that we understood ‘action research’ a Federal Judge. For the officials and the Black
quite differently. We could have used a good United Front, there were high stakes in being
deal more mutual reflection and clarification as perceived as strong. Their causes were being
well as dialogue to surface differences and per- argued by lawyers, also with high stakes in vis-
ceptions of power and authority in our own ibility, who did not see themselves as stake-
team before we began the project. Of course, holders and had not participated in the vision
with the large size of a team needed for large and goal setting of over 3500 stakeholders.
scale projects, such internal dialogues are com- Once the several stakeholder groups had come
plex and time consuming. up with goals, the attorneys for the parties
Although I have no data on the internal were ‘free’ to play out their own agendas.
team in Cincinnati, I can report that Jay However, Rothman makes the point that a
Rothman, the project leader, said in an inter- number of times when the negotiators were
view that he felt alone and wished he had had ready to walk away and return to a litigation
a ‘network’ of other conflict resolvers and path, the mandate of the 3500 was a powerful
mediators (Portilla, 2003: 12). This speaks to disincentive to walk. Among other motives, no
the need for reflections with others when one wanted to be blamed for the failure given
working in such complex systems. In practical so much participation (and media) attention on
terms, it not only shows the importance of a getting that far (Rothman, pers. comm.).
network of other researchers, but also of tak- An implication in both of these cases is that
ing time to create an external reference group. no matter how broadly stakeholders are
To do this requires energy and attention, but it involved in planning and considering alterna-
will strengthen the focus on research (inquiry tives in large scale change, the complexity of
and knowledge generation) that supports the the system means the action research project
active intervention in the project. may evolve in unpredictable ways. Another
implication is that such complex processes
c) Who are the ultimate players in large warrant a very close look at this question of
system change? ultimate players, or final decision-makers. In
This is the crux of the difference in large and Cincinnati, it might have been possible to
small system action research. In large, multi- forecast the lawyers’ roles and, conceivably,
layered systems, there are many, many players, had they been included in the reflection
process all along, they might have been able to see that large groups of stakeholders can
to advocate for the collaborative agreement actually decide to move ahead with change.
rather than reverting to adversarial positions The decisions do rest in the hands of the few at
(Rothman, forthcoming). the top, often politicians or others with referent
power to make such decisions, though as the
d) Within multiple systems and a diversity Cincinnati experience demonstrates, the few at
of voices, whose knowledge is privileged? the top may be significantly influenced by the
Political realities may mean that no matter attitudes and behaviors of those at the bottom.
what we do as action researchers to include Formal consensus, an ideal in participatory
all relevant stakeholder voices, someone(s) decision-making, is not possible with so many
will call the shots simply by virtue of their actors. The best we can hope for is some
position in the system. At the sensemaking groundswell of agreement on what is most
stage, it becomes essential to figure out who important. In Cincinnati, stakeholder groups
those players are and how they may become were able with ARIA’s help to come up with
open to alternative views. It is important to five principles for the agreement between the
do an interest assessment to be sure that you Black United Front, the American Civil
understand their political and social needs so Liberties Union, and the Cincinnati police.
that they can be brought in to a mutual learn- Implementation is another matter. The
ing process without fear of losing. ultimate decision-maker on that agreement
The idealized assumption that all voices was a judge, but whether or not behaviors
might be equal in a dialogue is not useful changed or will change depends on the will
here (Gustavsen and Engelstad, 1986). As of hundreds if not thousands of people. The
Rothman points out in his reflection on the judge’s decision was not and will not be the
Cincinnati project (forthcoming), where dif- whole story.2
ferences derive from individuals identities, In Erie County, our external research team
conversations may need to confront the very submitted final recommendations based on a
issue of inequality. The political arena is such ‘sense’ of what the local actors could support
that all voices will not be experienced as and develop. We built this ‘sense’ with the
equal. Our task is to figure out where they are internal Collaboration Team, but we did not
not equal so we can create a design that legit- strive for formal consensus. The decisions
imates alternative views. about what to do belong with the 29 school
In Erie County, our day of stakeholder map- boards, and implementation rests on their abil-
ping was partly aimed at this effort. We looked ity to influence other agencies. In effect, their
for what each group needed both from collab- consensus-building process is a long term pro-
oration and from the larger public arena in ject as they explore in groups of two or three or
order to feel successful. This early work four boards how they might collaborate and
guided our design, but in so complex a system share services based on the co-generated
political winds shifted continuously – elections knowledge of the combined research team.
were lost and won, budgets failed and 2000 The complexity in projecting implementa-
municipal workers were laid off, hopes for tion in large scale change means action
school tax reform waxed and waned; the researchers need to take a long view. ‘Results’
research process cannot not affect such contin- are the learning and developed capacity for
gencies, but in making sense of the system, learning that we may hope to have supported
they must be part of the understanding. through participation and inquiry.
e) Who makes the decisions about how to f) How can we get the multiple players
move forward with change? And what is to the table?
consensus under these circumstances? The choices will be guided by what is
In the attempt to make sense of decision- manageable in terms of both size of group
making in a large system I have been unable and maximizing the mix as well as who the
400 PRACTICES
stakeholders are. But strategies will also New York State and one of the poorest inner
depend on understanding (making sense of) city districts in the same state were two of the
their interests. In Erie County our mapping 31 institutional stakeholders. Collaboration
exercise stopped short of what we needed. If on any level – sharing of services, of staff, of
we had taken the map as a guide to interview curriculum, even an exchange of students –
key players before we designed stakeholder was fraught with inequalities or perceptions
meetings, we would have understood what of inequality. For example, when we held a
the project could offer each group. As it was, focus group interview with City of Buffalo
we failed at bringing business interests into the teachers union leaders, they had little to
discussions. say other than to ask sarcastically what the
In Cincinnati, recognizing that it might be wealthier, whiter suburban districts could
difficult to get youth to come together to possibly want to share with them – certainly
develop goals, ARIA took a direct approach not resources such as computers in the class-
and hired 18 field workers to go out into the room, certainly not students who would be
street to solicit interest and input from black afraid of the city environment.
youth. As a result, 750 youth shared their As a research team we watched and waited
ideals and their input influenced very directly for the stakeholders to take hold of the
the final platform that shaped the negotiation inequality issue. Finally, in a stakeholder
agenda and final settlement agreement. meeting (c. 45 people from different occupa-
tions, status, and locations around the
g) How do we treat the differences in values region), one school leader asked simply if the
and perspectives, for example across the group meant ‘all’ when they said the goal of
class and race issues of the inner city, the the project was to ‘provide more effective,
wealthy suburbs, and rural communities? efficient, and equitable educational services
In Western society, and in particular in the for all children in Erie County’. This opened
USA, we find it hard to talk face to face about a discussion that we could not have opened
our identity-based differences. In local commu- successfully as outsiders. Sensemaking
nities where there are divides along racial lines, depended very much on co-generated learn-
people seldom acknowledge these or, if they ing and, we hope, on the safety we had cre-
do, choose not to explore them in depth. Whites ated in ongoing dialogues. Once the question
are afraid of being seen as racists. Non-whites was asked, we could reflect the question
are afraid of being seen as troublemakers if back and support the stakeholders in their
they raise these issues (hooks, 1990). It is the struggle to answer it honestly. In the end, the
same with divisions across class. Those who answer was clear: ‘All means all’, a politi-
‘have’ are afraid to be seen as politically incor- cally risky conclusion, but a major milestone
rect if they mention poverty. The poor know for the project. It enabled the Collaboration
they will risk being understood as lazy or ‘beg- Team to advocate for ‘all’ in even the least
ging’ if they point out inequalities. diverse of their school communities.
Yet to enter a large, multi-layered system
as an action researcher one must make sense h) How do we, the external research team,
of the roles of class and race in the potential manage the expectation that we are the
dialogue across constituencies. And so it experts who should ‘take hold’ and simply
becomes incumbent on us to raise the issues offer answers and solutions?
and generate the conversation so that these Like many of the issues considered here, this
differences can inform action. Nonetheless, arises in any action research project in which
an outsider raising such issues risks being the participants are experienced in a hierar-
marginalized or kicked out of the project. chical mode of learning. Also, like many of
In Erie County, attitudes toward race and the issues considered here, the dilemma is
class were critical in planning for collaboration. exacerbated by the size of the project and the
One of the wealthiest suburban districts in number of arenas engaged with it. Multiple
institutions and associations touched by the large system change, so many agendas, so
project look at the time taken to connect with many players and so many levels on which to
so many stakeholders and, counting time as learn, the project can easily become daunting
money, wonder at the inefficiency. Why, they to both the external and internal participants
ask, should it stretch out for so long and on the research team. One way to manage
involve so many people when the outside this is to design for learning, making learning
experts can just tell us what to do? an explicit task of the combined team. In the
Our work then is to be persistent educa- hustle of activity – interviews, stakeholder
tors, teaching people through experience the meetings, large and small group planning
value of involving many stakeholders. In sessions – schedule regular times to reflect
practical terms, of course, the research team together and review what has been learned.
must be accessible and visible, willing to Ideally, agree that the team is itself a cooper-
hear criticism and to listen carefully. In a ative inquiry group, committing to and legit-
public process, critics often protest that they imizing the time and energy spent on mutual
know the answers even as they urge the reflection. Frame the work explicitly within
experts to hurry up and give them the answers. an action–reflection–learning spiral, and
In those ready answers may be the seeds of hold action up to that framework. In the swirl
the developing solutions. of activity and external events in a large
In The Deliberative Practitioner (2001), system, we cannot take for granted that the
John Forester tells the story of a planner learning will be captured and understood.
leading a multiparty process for design of the In Erie County we constructed joint learn-
Oslo waterfront. In describing his work, Rolf ing activities very early in our work: the
Jensen, the planner, is quoted as saying, ‘We stakeholder mapping exercise, the communi-
tried to conceive from the first day that we cations workshop, and a workshop on change
are here to listen. We are here to try to under- in which we, the external researchers, pre-
stand. But we are also here to try to tell you sented theory and challenged the internal
a story – in other words why we are con- team to see how the theory might apply to
cerned about certain things’ (p. 76). Forester their context. We sought feedback on our
labels this the (planner as ‘negotiator’). The developing ideas in public meetings. As a
negotiator role is also what is required for the joint research team of 25 we met once a
action researcher when making sense of and month to review progress and then I, as
making sense in a large multi-system, multi- leader of the external team, provided a writ-
perspective project. We do bring expertise in ten reflection on each meeting. In Cincinnati,
the form of our questions and concerns, but ARIA summarized regularly and fed data
we invite others to offer theirs as well and back to the larger stakeholder groups. This
make clear that the different perspectives are systematic approach to feedback feeds the
all worthy of discussion. cycle of action and learning..
b) Teach as you go about the co-generation

2. What, then, can be the design of learning
parameters? What does it mean to In the United States and Canada and cer-
take an action research approach to tainly in parts of Europe the public has come
to expect that ‘consultation’ around big deci-
these issues in large scale projects?
sions or changes amounts to an information
meeting – experts and/or leaders tell – with
a) Build the learning capacity of the some question period. The questions are
research team more likely to be understood as complaints
This should be a conscious, deliberate activ- rather than as recommendations for change.
ity in the research process and cannot be And so in a multi-system change process,
taken for granted. With so many variables in such as the conflict resolution project in
402 PRACTICES
Cincinnati or the recommendations for able to appreciate the productive potential in

collaboration in Erie County schools, stake- difference and work comfortably with conflict.
holders need to be educated to learn in their The scale of a large project means that
role as contributors to a learning project. In researchers should work with not just one
Erie County, the representative group of stakeholder group, but multiple stakeholder
stakeholders become an advisory group to groups, enough to make sure that representa-
the combined research team. We introduced tives from throughout the system(s) are heard
early on the concept of their expertise and and can hear. In Cincinnati, ARIA’s eight
the importance of local context for the suc- stakeholder groups were designed to cover the
cess of any recommendations that might territory of the dispute. Because the issue in
come out of the project. In fact, our mantra Cincinnati was the differences in perspective
was a quotation from the evaluation findings of these groups, they met first as ‘homoge-
of a highly regarded national education neous’ groups, police with police, African
reform initiative: ‘Local context and design Americans with African Americans, and so on.
are crucial to a reform effort’s success’ Once these initial groups had established
(Annenberg Challenge, n.d.). goals, the next step was for mixed groups with
Modeling inquiry, ARIA sent back their representatives from each homogeneous group
consolidation of the 10,000 goals to the to review the goals that had been generated
stakeholder groups for reaction and develop- and, with the help of an ARIA database, agree
ment. Rothman was explicit about their use on a narrower list of goals. Ultimately, an even
of data to learn: ‘We’re action evaluators or smaller mixed group, with one from each
interveners trying to use data to help them do homogeneous group, arrived at the five goals
the work they need to do to create the that were included in the Collaborative
changes they want’ (Portilla, 2003: 8). Agreement. Jay Rothman, the leader of the
Cincinnati project, brought with him years of
c) Design opportunities for cross-cultural, experience working with groups in conflict,
multi-perspective dialogue; be determined including Palestinians and Israelis.
and willing to take the time and expend In Erie County, we formed one large stake-
the energy to learn from differences holder group that met four times, sometimes
The complexity of large system change is in for as long as a weekend. While the members
the differences in position and perspective. The did not clearly identify as one group or
most critical role of the action researcher is to another, they did represent multiple perspec-
create a safe space for those differences to be tives and backgrounds. The group both
acknowledged and recognized, though not ne- brought in information and processed from
cessarily reconciled. In Justice and the Politics their perspectives what information we gave
of Difference (1990), Iris Marion Young argues back to them. In addition, we held several
against the ideal of community in favor of a public meetings to which stakeholders were
vision of ‘strangers in openness to group dif- invited. We supplemented these with interest
ference’ (p. 256). Given the action goal of group meetings to feel reasonably certain that
action research, the work should be grounded we had heard all perspectives. These groups
in the practical and temporal, and to assume ranged from an inner city church group to
that through the research a common ground union leaders, to student groups, to social
can be found that erases difference is neither service agency leaders, to superintendents.
practical nor temporal. Rather the goal should
be to learn enough from differences to be able d) Take advantage of large group
to find practical means to move toward action. technologies
Where there is great diversity as there is in In a large scale change process, search con-
large systems, any agreement on action will ferences, dialogue conferences, and open
have to meet divergent interests. This calls on space gatherings (Bunker and Alban, 2005)
action researchers in large system change to be offer a means to bring multiple perspectives
together and produce collective learning. But such processes as moments in the ongoing
rather than hold one such conference, in a learning process, not as ends in themselves.
large scale project, we might hold several.
Many large group processes combine small e) Allow time and space for the system to
and large group work iteratively so that there learn
is a gathering of local data from different In participatory change, there must be a con-
perspectives and a building of collective nection between top-down and bottom-up
knowledge that arises from reviewing in a thinking and activity. Each informs and inspires
large group the questions considered in small the other. Creating that connection is not just a
groups. Taking these principles, we could, as matter of creating arenas and events, but also of
we did in Erie County, bring to a larger group allowing enough time for enough of these to
the results of several smaller sessions of peer occur and reoccur so that the learning can
groups that had occurred at different times progress. The structural means toward this end
and in different places. The advantage of this in the Value Creation 2010 (VC2010) project in
more flexible approach was that we were Norway which prescribes regional networks of
able to reach many more people, and include government, labor, local industry, and universi-
more voices from each perspective than ties (Gustavsen et al., Chapter 4) is expected to
would have been manageable in even a large be nationally funded for ten years. In the Erie
search conference. project, albeit smaller than the national indus-
It is worth noting that in the East Timor trial development project of VC2010, we found
project described in this handbook, multiple one year entirely too little time to allow the lay-
community meetings were held all across the ers of interest in the system to hear and learn
country in order to develop the model for from each other.
parent participation in schools (Stringer,
Chapter 38). f) Accept, plan for, and respond to the
There is a risk in the practice of large non-linear progression of change in large
group processes such as search and dialogue systems
conferences that the client system experi- Essentially, you must design for the
ences them as ends as much as means unknown, which means to design with flexi-
(Martin, 2000). The events themselves are bility in mind and be ready to change designs
demanding and often enlightening and when the context calls for it. In Erie County,
inspiring. The results, a set of plans or agree- we were chosen as the action researchers for
ments, feel to participants like an accom- the project based on a design we submitted.
plishment. But from an action research The broad participation and co-generated
perspective, the value of these processes is in learning we proposed were appealing to
what actions result. Oguz Baburoglu et al. the Collaboration Team, but when, once
(1996) have written about the need for a ref- we’d made some sense of the system and
erent organization, preferably one that begun to extend to multiple stakeholders, we
emerges from the conference itself, to carry had to rethink our design, the team members
out whatever plans are developed. Reason were perplexed. We had planned three search
(pers. comm.) is working on a project that conferences; we held none, deciding instead
links specific issue inquiry groups in large to extend focus group interviews and bring
scale events to create a network and move- those results to the stakeholders. This
ment for change. It seems imperative to posi- redesign was as difficult for some of our own
tion events such as these within the context research team to accept as for the local team.
of the larger research process. Whether or not Everyone who worried about such changes in
you use one or several focused large group design was worried that it ‘looked like we
processes, the overall research design should didn’t know what we were doing’. This is a
include sessions and processes to follow up problem, of course, because as researchers we
on whatever emerges. In other words, position are assumed to know what we are doing. What
404 PRACTICES
I suggest here is that we be careful to define As action researchers working on large

what it is we know we are doing, which is system change, sometimes the best we can
learning in action. It won’t be useful to stick to hope for is that we come away having fos-
a design if, once in the local context, we can see tered the energy for reform and the culture of
a more effective way to proceed. Once again, I inquiry. Ideally, once the project includes
argue for an explicit learning goal. engagement of the local practitioners in
If we go to the pragmatic roots of action inquiry about their goals and process as part
research in the work of John Dewey, we find of the work, there is less resistance in the
his advice that our processes must be ‘pro- form of ‘taking too much time’ or ‘taking
gressive and temporal’ (as cited in time away from the planning’. As action
McDermott, 1981: 23) as systems are living researchers, our mission should be to center
and not static. Expanding on the idea of evaluation so soundly in the core of the pro-
research that is progressive and temporal, I ject that it becomes the avenue from one step
pick up the biological framework of François in the project to the next.
Jacob (1982), cited by Greenwood and Levin
It is significant that the ARIA project in
(1998), which suggests that social outcomes,
Cincinnati was conceived of as participatory
as biological ones, are the result of a dialogue
evaluation. The stated assignment for the
between the actual and the possible (p. 97).
stakeholder groups was to come up with goals
This dialogue is ongoing. It is especially
for the relationship between the police and the
important in large scale projects to see that
African American community in the city. Their
the process of learning and change is ongo-
process was to inquire and listen and summa-
ing and is between the actual (right now) and
rize, first in homogeneous stakeholder groups
the possible. There are too many factors, too
and then in groups that spanned experience,
many players, too many possibilities for
culture, and perspectives. In this case evalua-
change for the outcomes to be projected.
tion WAS the process.
Political vicissitudes, power players, seem-
ingly unrelated local, national, and world
events can all influence the development of What it Comes Down to:
change. What may seem impossible today My Checklist
may not be so tomorrow, and vice verse. The As I’ve written in this chapter, I’ve come to see
key, again, is that in action research these challenges for my own practice as an action
realities and the way they are perceived are researcher. It is fine that I should strive to wax
all the subject of inquiry and learning. eloquent on inquiry and learning, but what does
this mean I/we should actually do in the field?
g) Design for ongoing evaluation What is the practical value of this discussion? I
Given that the context is so rich and diverse find myself building an internal checklist,
and located in real time, it may seem obvious which is only fair to share. So, here it is:
that continuous evaluation is part of a large
scale action research project. Certainly every- 1. Spend a lot of time with my own research team
thing I’ve written here suggests continual uncovering our values and differences, defining
reassessment. But here I argue for something what we think the project calls for, what we each
more systematic that connects directly to the mean when we think of ourselves as ‘action
researchers’. And then, agree to check-in contin-
learning goals of action research. Introducing a
ually on what we see and how it fits with our
participatory evaluation report, Michelle Fine espoused theories.
says it so well: ‘Participatory evaluation 2. Learn how to ‘sell’ the significance of inquiry and
research leaves, within schools and other orga- group reflection so that these are experienced as
nizations, multiple constituencies for reform, a productive by members of client systems. In an
culture of inquiry, and a legacy of asking ques- outcomes-based western society, hold out as
tions within a “safe context”’ (Fine, 1996: 5). Dewey did for the constructive value in learning.
3. Give much more time in the beginning of a difference and create the space for learning
project to individual and/or focus interviews to from difference. As an action researcher, I am
grasp different perspectives before we gather a committed to Dewey’s project to develop a
great diversity of people together and expect more democratic society; just as important, I
them to talk across their differences. am committed to the values of inclusion and
4. Make participatory evaluation part of the project
dialogue that we can hope will lead to the
from its inception so that participants expect
society where individuals can experience more
ongoing evaluation.
5. Let go. Understand that large scale change can- power. What is most important as we con-
not be ‘managed’. tribute to large system change is that we foster
learning so that, in face of their many differ-
Action research is based on a critical ele- ences, citizen participants can see their way to
ment of faith that when the opportunity is create positive change long after we are no
opened, there is great human capacity and longer involved.
will to learn and grow, and that, given a safe
environment, people will engage in dialogue ACKNOWLEDGMENT
to learn from one another. This is certainly
present in large scale action research where
I am particularly grateful to Jay Rothman,
the project is undertaken in such a broad
who graciously supported my use of his work
arena that it may impose on the initially
in Cincinnati to illustrate my discussion.
unaware and/or uninterested participant. We
proceed in the confidence that inquiry and
dialogue will engage even skeptical partici- NOTES
pants. But this does not mean that action
researchers, no matter how well able we are 1 Of course, I could include in this list change
to understand systems or how skillful we are within large corporations. The term ‘far reaching social
in design, can project or even speculate on and cultural consequences’ would still apply in such
the myriad potential connections and discon- large systems, as would the issues considered in this
chapter, including the political dimensions.
nections that can occur in interaction among
2 To learn more detail about ongoing challenges of
players and systems. It is perhaps true in all implementing the Collaborative Agreement in
action research, but certainly true in the con- Cincinnati, email friendscollab@gcul.org for access to
text of large system change, that we have to the Collaborative Quarterly newsletter.
be content with having fostered meaningful
exchange of ideas and perspectives, an
exchange that we hope, based on our faith, REFERENCES
leads to some learning – a change or growth
in perspective. Annenberg Challenge (n.d.) Citizens Changing Their
In his 1946 essay, Dewey described as ‘the Schools: a Midterm Report of the Annenberg
problem of the public … the essential need for Challenge [www.annenbergchallenge.org/pubs/citi-
improvement of the methods and conditions of zens] (retrieved 13 April 2004).
Baburoglu, O., Topkaya, S. and Ates, O. (1996) ‘Post
debate, discussion and persuasion’ (p. 208).
search follow-up: assessing search conference based
Dewey calls for a society were there is ‘a more
interventions in two different industries in Turkey’,
equable liberation of the powers of all individ- Concepts and Transformations, 1 (1): 31–50.
ual members of all groupings’ (p. 192). The Bunker, B. and Alban, B. (2005) ‘Special issue on large
greater the size of the systems in a change group interventions’, Journal of Applied Behavioral
effort and the greater the diversity of partici- Sciences, 41.
pants, the greater is the need for inclusive and Dewey, J. (1946) The Public and Its Problems. Athens,
accessible arenas and methods. To be relevant OH: Swallow Press.
and meaningful to the publics involved, the Elden, M. and Levin, M. (1991) ‘Co-generative learning:
methods in large scale change must allow for bringing participation into action research’, in
406 PRACTICES
W.F. Whyte (ed.), Participatory Action Research. McDermott, J.J. (ed.) (1981) The Philosophy of John
Newbury Park, CA: Sage. pp. 127–42. Dewey. Chicago, IL: The University of Chicago Press.
Fine, M. (ed.) (1996) Talking Across Boundaries: Martin, A. (2000) ‘Search conferences and the politics
Participatory Evaluation Research in an Urban of difference.’ Unpublished dissertation, Teachers
Middle School. New York: City University of New College, Columbia University, USA.
York Graduate School and University Center. Portilla, J. (2003) ‘Jay Rothman, President of ARIA
Forester, J. (2001) The Deliberative Practitioner: Group, Inc’, in Beyond Intractability.Org. [www.
Encouraging Participatory Planning Processes. beyondintractability.org/audio/rothman] (retrieved 9
Cambridge, MA: MIT Press. July 2005)
Greenwood, D. and Levin, M. (1998) Introduction to Rothman, J. (forthcoming) ‘Identity and conflict: collab-
Action Research: Social Research for Social Change. oratively addressing police-community conflict in
Thousand Oaks, CA: Sage. Cincinnati, Ohio’, Ohio State University Journal on
Gustavsen, B. and Engelstad, P. (1986) ‘The design of Dispute Resolution.
conferences and the evolving role of democratic Weick, K. (1995) Sensemaking in Organizations.
dialogue in changing work life’, Human Relations, Thousand Oaks, CA: Sage.
39 (2): 101–16. Young, I.M. (1990) Justice and the Politics of
hooks, b. (1990) Yearning. Toronto: Between the Difference. Princeton, NJ: Princeton University Press.
Lines.
27
Theorizing Audience, Products and
Provocation
M i c h e l l e F i n e a n d M a r í a E l e n a To r r e
Drawing on two cases of participatory action research (PAR) – one conducted with women
in a maximum security prison and the other with youth gathered together across a set of very
diverse schools – this chapter is designed to raise questions about the politics and practice of
PAR. In particular we focus on a theory of provocation, audience and products, asking read-
ers to think with us about the kinds of ‘actions’ PAR seeks to undertake/provoke in politically
very dark times. We end with a series of questions PAR collectives might engage with, as we
seek to create PAR products as counter-hegemonic ‘weapons of mass instruction’.
Readers of this volume are well equipped with collectives deliberate together about the kinds
the historic, theoretical and political framings of change we seek, whom we are trying to
of participatory action research (PAR). This reach, and what products would most effec-
‘practice’ chapter draws readers’ attention to tively provoke action. That is, we theorize
an under-theorized aspect of PAR – questions audience, products and provocation, hoping
of audience, product and provocation. Our par- that PAR will have ‘legs’ necessary to carry
ticipatory action research projects have been research into diverse domains – to reframe
situated inside communities and institutions – social issues theoretically, feed campaigns,
prisons, schools – constituted through unjust nudge those with power and fill historic, doc-
distributions of resources, power and dignity.1 umented memory with yet another instance
Researching in collectives comprised of those of collective, informed resistance.
on the ‘inside’ and not, we interrogate the very We have designed our participatory action
fabric of injustice in the (mal)distribution of research projects to inquire about a problem
resources, respect, opportunities, shame, fail- or struggle within the very institutions that
ure and punishment and search for the tears substantial numbers of our researchers team
where resistance survives. Our work strategi- are engaged in/working for/prisoners or stu-
cally focuses on change – theoretical, struc- dents of. Thus provocation hovers as a goal
tural and practice based. Our research and danger, teasingly co-dependent and
408 PRACTICES
spiking serious ethical considerations. That is, felt the effects. Fast forward: a task force of
because our work is nested within institutions, prisoners, prison officials, community leaders
and typically launched from the perspective of and local college presidents was launched to
those with the least power, our research col- resurrect the college (for history of this amazing
lectives must continually revisit questions of collaboration see www.changingminds.ws).
the research purpose – for whom is the work Within a few months, the College Bound pro-
and toward what ends? In the ‘ghostly haunts’ gram, a consortium of colleges and universities
(Gordon, 1997) of our work, we know that donating faculty time, books, resources and
even with permissions, approvals and collabo- mentors, was established. Since this unique
rations at the top, participatory action research rebirth, women in prison who pass the college
is often quite inflammatory. And the ashes of entrance exam have been able to enroll in a BA
vulnerability – no matter how hard we try to in Sociology degree program. Those who do
anticipate them – fall unevenly. Because of not pass can enroll in pre-college until they do.
these delicacies, we must theorize audiences Pre-college serves as a crucial transition pro-
and change within, and beyond the local con- gram for the 70 percent of women at Bedford
text. In these PAR projects, the global is inti- who have neither a high school diploma nor a
mately intertwined in the local. GED (high school equivalency diploma).
We take you into two of these PAR Today more than a third of the women in
projects – one launched in a women’s prison the prison are enrolled in college, while
and one grounded in a series of urban and many of the remaining women are taking
suburban schools. In each case, we have had GED and pre-college courses. You can find
to pay close attention to questions of who study groups on Michel Foucault, qualitative
cares, who needs to know, who is vulnerable, research, and Alice Walker. One woman told
what products should be crafted, what us that on her cell block she has heard the
impact/organizing needs to happen within the staccato ticking of typewriter keys late into
place and outside of or across places. The the night; another reported that ‘young
combination of these two cases allows to us inmate[s] knock softly on [my] wall, at mid-
think aloud about the choreography of insid- night, asking how to spell or punctuate.’
ers and outsiders, as well as deep work With the return of college, a number of the
within an institution, across and way beyond. women prisoners decided that the program
needed an evaluation; college in prison could
no longer be taken for granted and its impact
PAR BEHIND BARBED WIRE would have to be demonstrated, its value
documented. After much deliberation with
In 1995, President Bill Clinton signed the the prisoners and the administration, it was
Violent Crime Control and Law Enforcement agreed that a participatory action research
Act which discontinued prisoners’ eligibility to design, while difficult ‘behind bars’, would
apply for Pell Grants, noncompetitive, needs- be essential. Two graduate students from The
based funds for low income college students in Graduate Center of the City University of
the United States. This effectively ended the New York co-taught a graduate seminar in
few federal dollars that enabled women and the prison on research methods, reviewing
men in prison to attend college. As a conse- the skills of critical research. Seven of the
quence, the vibrant, 15-year-old college pro- students in the course opted to join five
gram at Bedford Hills Correctional Facility, the Graduate Center women to form the College
maximum-security facility for women in New in Prison PAR collective.
York State, closed, alongside more than 340 The collective – Kathy Boudin, Iris
programs nationwide. Morale among the Bowen, Judith Clark, Aisha Elliot, Michelle
women in the prison plummeted, and even Fine, Donna Hylton, Migdalia Martinez,
prison administrators and corrections officers ‘Missy’, Melissa Rivera, Rosemarie A.
THEORIZING AUDIENCE, PRODUCTS AND PROVOCATION 409
Roberts, Pam Smart, María Elena Torre and women provided in communities post-release
Debora Upegui – met every two to four and the tax benefits saved by society not hav-
weeks, over the course of four years. ing to subsidize those who are reincarcerated
Hailing from New York, Jamaica, Maine, (at $30,000 per year). We refer you to the
Puerto Rico and Colombia, some of us were website for the full reporting of our methods
immigrants and some US-born. Among us, and findings, www.changingminds.ws.
we were lesbian, straight, bi and all of By the early part of year four, we had com-
the above. Some of us were victims of vio- pleted the research and we were trying to
lence, others accused of felony murder. All figure out products. We had very compelling
of us spoke English, and a number spoke data – charts, graphs, dollars, words of
Spanish too. We spent our 9–11 am ses- children, women’s poetry, testimonials of
sions laughing, discussing, disagreeing, wardens – documenting the profound bene-
gossiping and writing; negotiating what was fits of college in prison. It was now time to
important to study, speak and hold quietly wrestle with how we would write our report,
among ourselves. who we would ask for endorsements, and
We worked together for four years and where we would distribute it. Should our
elaborated a complex multi-method design audience be primarily policy-makers? What
that included archival research on years of about prisoners, college students and fac-
college records and documents; nine focus ulty? Prison activists? Should the text be
groups with current students and drop outs; written in a single authoritative voice? Or
20 interviews with former students now liv- should we create a multi-voiced work filled
ing on the outside; interviews with both sym- with the questions and contradictions of par-
pathetic and hostile corrections officers; ticipatory work? We debated between post-
surveys by faculty and university administra- structural experimentation, feminist and
tors and a focus group with adolescent critical race complexity and social science
children of mothers in the college program. hypotheses. And what about authorship?
All of these methods were co-facilitated, to Should we alphabetize? Separate prisoner
the extent possible, by Graduate Center and researchers and Graduate Center researchers?
prisoner researchers. Simultaneously, we Put Michelle’s name first in the hope of gain-
asked the New York State Department of ing ‘legitimacy’? Bury names of high profile
Correctional Services (NYSDOCS) to under- prisoners’ names to quiet concerns about per-
take an extensive, quantitative longitudinal ceptions? Or, should we place the most
analysis of 36-month recidivism rates for ‘wanted’ among us right up front to demon-
thousands of women released from prison, strate the power of our collaboration? How
stratified by those who participated in col- do we anticipate resistance? And how do we
lege and those who did not (see Fine, Torre, not romanticize women who have been
Boudin, Bowen, Clark, Hylton, Martinez, charged with violent crimes? That is, how do
Missy, Rivera, Roberts, Smart and Upegui, we re-present the women with a sense of
2001).2 The NYSDOCS analysis revealed a humanity, re-present their crimes with com-
dramatic disparity in recidivism rates: plexity, and still contextualize the mass
women without any college while in prison incarceration of men and women of poverty
recidivated at 29.9 percent over three years, and color in a larger conversation about eco-
compared with 7.7 percent for women with nomic, racial and gendered (in)justice?
some college. Our primary goal was to convince the New
The material gathered from qualitative and York State legislature to restore funds for
quantitative methods confirmed a substan- college in prison programs. But we also
tial, positive impact of college in prison on wanted to produce materials of use for col-
women, their children, ‘discipline’ in the lege campuses, other prisoners, prison advo-
prison, post-release outcomes, the leadership cacy groups, families of persons in prison,
410 PRACTICES
etc. So we decided to craft multiple products. were sequenced photographs of women’s

Our primary document would be a single lives post-release, still photos of lives in
voiced, multi-method, rigorous and profes- motion. Pages surrounding them were draped
sionally designed report, widely available as a in quotes from children: ‘Now I tell people my
website. The prisoners wanted Michelle Fine mother is away at college!’ and corrections
to be the first name, and ‘Missy’ insisted on officers: ‘I’m ambivalent about the college
using only her nickname. The report was dis- program, because I can’t afford college for
tributed to every governor in the USA and to myself or my kids. But at least I know there
every New York State Senator and Assembly will be less fighting at night, more reading …
Member. We sought to transform the public and the women won’t be coming back.’
consciousness about prisons, re-present the Mindful of the power of endorsements, we
face of women in prison, re-connect these decided to gather well known and everyday
women to the larger social communities from people: prison reform advocates from the
which they come, and influence social policy. Left, prominent ‘get tough on crime’ voices
To do so, we needed to engage and provoke from the Right, and families of murder vic-
those outside the prison – and not alienate tims interested in restorative justice. We
those (administrators) within. invited, for instance, a mother whose daugh-
The women wanted a report that was pol- ter had been brutally murdered and has
ished and beautiful. We hired a graphic become well known for her anti-parole cam-
designer who brought in a draft cover for the paigns. Though we sat on explicitly different
report with bold black lettering on a stark sides of the struggle against mass incarcera-
white background: CHANGING MINDS. tion, she appreciated, with intelligence and
Those of us from the outside loved the drama generosity, the significance of educating
of the image. The women inside were disap- those who would be released. The day her
pointed, and argued for a different cover, quote for the back of the report came across
‘Give it life, color, excitement.’ ‘Make it sexy, Michelle’s email inbox, we (María and
give it lipstick!’ ‘They already think our life is Michelle) both wept:
so drab, make it vibrant.’ We all wanted the
report to be irresistible, something people Educating the incarcerated is not an exercise in
futility, nor is it a gift to the undeserving. It is a
would want to touch, hold, place on their cof-
practical and necessary safeguard to insure that
fee tables. The text had to seduce, invite those who have found themselves without the
people to read and reacquaint themselves proper resources to succeed have these needs met
with women inside prison. Moreover, the before they are released. It is a gift to ourselves
report had to chip away at the stereotypic and to our children, a gift of both compassion and
peace of mind. We are not turning the other cheek
images of ‘Monster Women’. The designer
to those who have hurt us. We are taking their
returned to the prison a few weeks later, with hands and filling them with learning so that they
a brand new version of the report: the cover can’t strike us again. (Janice Grieshaber, Executive
colorful and strong, the text inside layered Director, Jenna Foundation for Non-Violence)
with lowered reincarceration rates; cost ben-
efit analyses; letters; photos; quotes from Changing Minds was published on 10
officers, prisoners and children – and even September 2001. The report has been distrib-
postcards. Capturing our desire for the data uted across the USA at activist and scholarly
to jump off the page and move the reader to meetings on prisons, schools, higher educa-
action, removable postcards were stitched tion and class/race/gender (in)justice in
into the report with varied messages, like: low-income communities. It has traveled to
‘Dear Senator – Did you know that college Australia, New Zealand, Wales, Alaska,
in prison reduces recidivism rates from 30 per Spain, Canada and Mexico. Members of the
cent to 8 per cent? Get tough on crime – research team on the outside have presented
educate Prisoners’. Underneath the postcards on this work to traditional non-profit and
faith-based organizations dedicated to To which one of the more progressive state

sentencing and parole reform, education reform legislators responded, ‘Doctor, I’m afraid
(both in and out of prison), humane treatment that is the point. You know that in New York,
of prisoners, etc., as well as to meetings of downstate’s crime is upstate’s industry.’
governors, legislative assistants and correc- Since then there has been some subtle
tional groups interested in ‘what works’. movement toward rebuilding higher educa-
We have published scholarly chapters on tion programs in prisons in the USA, partic-
critical epistemologies, design and methods ularly in New York State and California. This
(see for instance, Fine et al., 2003) in which reform has occurred, in part, because states
our contradictions are interrogated, and more saw their budgets depleted by the prison
recently an article on the significance of industrial complex. We find energy in these
higher education in prison as an extension of connective moments between social struggle
Affirmative Action policy (see Torre and and social policy, moments within which our
Fine, 2005). For community organizing audi- projects can enter to transform and educate.
ences, we produced 1000 organizing When we enter these spaces we always speak
brochures in English and Spanish, carrying with formerly incarcerated women, linking
the results in a strong voice of advocacy, our research to larger issues of mass incar-
demanding justice and action. ceration. With the report we show photos
In order to be globally accessible, over of our co-researchers, read their poetry,
time, we created (and have sustained for five and say aloud the names of all the authors –
years) a website (www.changingminds.ws) even those who are ‘otherwise detained’. We
where activists, organizers, students, faculty, turn now to a PAR project launched across
criminal justice administrators, prisoners and institutions – by educators and youth.
their families can download free copies of
the full report. To date, the website has
received more than 5000 hits, with the THE OPPORTUNITY GAP PROJECT
California State Department of Corrections AND ECHOES OF BROWN
ordering 50 copies of the report and feminist
and critical education faculty assigning the In the Fall of 2001, a group of suburban
report in their classes. A father whose daugh- school superintendents of desegregated dis-
ter committed suicide in prison decided to tricts gathered to discuss the disaggregated
sponsor a college in prison project, and he achievement gap data provided by the states
too ordered copies for a number of prison of New Jersey and New York. As is true
administrators in his home state. nationally, the test score gaps between Asian
Lest this sound like a narrative of political American, white American, African
victory and easy sailing, we offer a scene American and Latino students in these deseg-
from another one of our ‘products’ – testi- regated districts were disturbing. Eager to
mony at state legislative hearings. At one understand the roots and remedies for these
such hearing, the two of us (Michelle and gaps, a superintendent from one of the dis-
María) presented the findings and concluded: tricts invited Michelle and colleagues from
The Graduate Center to join the research
College in prison is morally important to individu- team. We agreed, under the condition that we
als, families and communities; financially wise for could collaborate with a broad range of stu-
the state, and it builds civic engagement and lead- dents from suburban and urban schools to
ership in urban communities. In fact, college in create a multi-year participatory action
prison even saves tax payers money. A conservative
research project. Over the course of two
Republican, as well as your more progressive col-
leagues, should support these programs … unless, years, more than 100 youth from urban and
of course, the point is simply to lock up Black and suburban high schools in New York and New
Brown bodies at the Canadian border. Jersey joined researchers from The Graduate
412 PRACTICES
Center to study youth perspectives on racial powerful thing a teacher said to you?’ and
and class based (in)justice in schools and the sensitive Likert scale items like ‘Sometimes
nation. We worked in the schools to identify I think I’ll never make it’ or ‘I would like to
core groups of youth researchers drawn from be in advanced classes, but I don’t think I’m
all corners of the building – from special smart enough’. Over the next few months,
education, English language learner classes, we translated the survey into Spanish,
gay/straight alliances, discipline rooms, stu- Haitian Creole and Braille, and distributed it
dent councils and AP classes. We designed a to 9th and 12th graders in 13 urban and sub-
multi-generational, multi-district, urban-suburban districts. At the second and third
urban database of youth and elder experi- camps, other groups of youth researchers
ences, with the intent of tracing the history of from the same schools (with some overlap)
struggle for desegregation from the US analyzed the qualitative and quantitative
Supreme Court’s 1954 decision that separate data from 9174 surveys, 24 focus groups and
was not equal in Brown v. the Board of 32 individual interviews with youth. During
Education, Topeka Kansas to date, and ana- the analysis phase, as we read what respon-
lyzing social science evidence of contempo- dents had written in response to ‘What are
rary educational opportunities and inequities the causes of the achievement gap?’, many
by race, ethnicity and class (see Fine, Bloom, of us were devastated. Racist slurs, genetic
Burns, Chajet, Guishard, Payne, and Torre, explanations and victim blaming character-
2005). Our work rested on a series of youth ized a number of the surveys. The youth
research camps that we created to develop researchers were visibly shaken as they real-
our school/district-based research collec- ized that their own peers held these pro-
tives, design our instruments, analyze data foundly biased views – of them! From our
and theorize products. PAR work in the prison we knew we had to
At our first research camp, the 50 youth address the depth of emotion that is embed-
from six suburban high schools and three ded in social justice research (see Torre,
urban schools immediately challenged the Fine, Boudin, Bowen, Clark, Hylton,
frame of the research: ‘When you call it an Martinez, Roberts, Rivera, Smart, and
achievement gap, that means it’s our fault. Upegui, 2001). One attempt to do so was the
The real problem is an opportunity gap – let’s creation of a ‘Graffiti Museum’ in which
place the responsibility where it belongs – in youth researchers could document, on walls
society and in the schools.’ And so we covered from floor to ceiling with paper, the
became the Opportunity Gap Project. Each most distressing, exhilarating and confusing
research camp was held for two days at a comments they read. They scribbled poetry,
time in a community and/or university set- sketched drawings and opened up streams of
ting. Immersed in methods training and conversation with other youth researchers
social justice theory, we deconstructed what about the data. Eventually the Graffiti
constitutes research, who can ‘do’ research, Museum became one of our most provoca-
and who ‘benefits’. The students learned tive products.
how to conduct interviews, focus groups and After the data were analyzed, teams of
participant observations, design surveys and youth and adult researchers traveled from
organize archival analyses. Together, we school to school presenting their findings to
designed a survey to assess high school stu- students, educators and community members.
dents’ views of race and class (in)justice However, as we traveled, we witnessed the
in schools and the nation. The youth limits of talk. Some principals and superinten-
researchers were given a rough, ‘wrong dents welcomed the research. Others crossed
draft’ of the survey and they dedicated a their arms and tried to rationalize away the
weekend to its revision, inserting cartoons, data. In one reporting session Kareem Sergent,
open-ended questions like, ‘What’s the most an African American junior and youth
researcher, presented a PowerPoint slide of the Though we saw most audiences nod in sol-
racialized patterns of school suspensions to his idarity, we met far too many adults – like
largely white teaching faculty: Kareem’s faculty – who refused to listen to
young people’s complex renderings of
Now I’d like you to look at the suspension data,
and notice that black males in high schools were
Brown’s victories and continuing struggles.
twice as likely as white males to be suspended, We sat inside schools where it was clear that
and there are almost no differences between black the ‘achievement’ gap – the latest face of
males and black females. But for whites, males are segregation – was fundamentally built into
three times more likely to be suspended than the structures, ideologies and practices. We
females: 22 per cent of black males, 19 per cent
of black females, 11 per cent of white males and 4
found ourselves trapped by obsessive audi-
per cent of white females. ence questions pointing to poor youth and
youth of color – What’s wrong with them?
The educators sat with crossed arms and Even in the same school building, we have a
challenged the data. Kareem continued, ‘You gap? But if we stop tracking, how else can we
know me, I spend a lot of time in the disci- teach students at their ‘natural’ levels? And
pline room. It’s really almost all black we became weary, even of sympathetic audi-
males.’ Hesitant nods were followed by ences, wondering, as we watched them tear
immediate explanations from teachers about up, if perhaps responsibility was being wiped
how in June ‘it gets whiter’, and ‘sometimes away with their tissues.
there are white kids, maybe when you’re not Kareem’s story is emblematic. A young
there’. Kareem persisted, turning to the person of color dares to raise a question
charts projected on the screen: ‘You don’t about local injustice and the audience freezes
have to believe me, but I speak for the hun- in denial. Refusing responsibility, they treat
dreds of black males who filled out this sur- the young person as though he has made it all
vey. We have to do something about it.’ up, is exaggerating or not taking responsibil-
While the session within the school was, ity. These dynamics are all too familiar. We
perhaps predictably, filled with resistance, it know well from our work, and from the work
revealed what we came to call the power of of Jeanne Oakes (2005) and Julio Cammarota
the aggregate. Youth researchers, like the and colleagues (2006), that schools, public
rest of us, found comfort and power in the institutions, and boards of education typi-
aggregate patterns that the survey and inter- cally deflect the critical commentary youth
view material provided. Frustrated with fac- have to offer. As a result, we have come to
ulty unwillingness to listen to his analysis of understand that adult researchers have a
the discipline data, Kareem tried to use his responsibility to think through and, at times,
‘personal relationship’ to the discipline room find audiences of worth – those who deserve
as a hook. When faculty resisted further, he to hear, who will respect and engage the bril-
took up the persona of the social scientist, liance and passion of youth researchers. We
simply reporting the evidence. He declared, speak here of audiences open to new and dif-
calmly, that while they might choose to dis- ferent knowledge that may destabilize what
miss his particular case, they would never- has become comfortable, audiences willing
theless have to contend with hundreds of to cross institutional lines, audiences willing
African American young men who com- to be moved to action – full bodied, not just
pleted the survey and told us the same. in the mind.
Kareem found confirmation and support in And so, in the Summer of 2003, with the
the aggregate data. But we worried about milestone anniversary of Brown approach-
school-based presentations as our primary ing, we decided to shift to performance as
product and we grew concerned about the public scholarship. We extended our Social
cognitive assumptions of social change Justice and Social Research camps into a
embedded in these data-based presentations. Social Justice and the Arts Institute. We
414 PRACTICES
recruited another radically diverse group of how youth moved from ‘personal experience’
young people aged 13–21, who were inter- to critical research and performance.
ested in writing, performing, and social jus- In the midst of one morning’s conversation
tice, and brought them together with about the expansion of the Harvey Milk
community elders, social scientists, spoken school (New York City’s school that focuses
word artists, dancers, choreographers and a on l/g/b/t youth), a heated discussion ensued
video crew to collectively delve into the data on the values and costs of ‘integration’.
from the Educational Opportunity Gap Amir, an African American senior attending
Project (Fine, Bloom, Burns, Chajet, a desegregated high school, shared his deep
Guishard, Payne and Torre, 2005); to learn disappointment with the unrealized promises
about the legal, social and political history of of integration:
segregation and integration of public
schools; and to create Echoes, a performance When we were talking about the [black] dancer
of critical research, poetry and movement [Kathryn Dunham] and how she walked off the
crafted to reflect on the 50th anniversary of stage in the South during the 1940s because blacks
were in the balcony, I realized that that happens
Brown (Fine, Roberts, Torre, Bloom, Burns,
today – with me and my friends. At my high school
Chajet, Guishard and Payne, 2004). they put the special education kids in the balcony,
Together, we studied up on the history of away from the ‘normal’ kids. They [l/g/b/t students]
Brown, Emmett Till, Ella Baker, and Bayard may need a separate school just to be free of the
Rustin; finance inequity, tracking, battles over prejudice. Putting people in the same building
buses and bilingualism; the unprecedented doesn’t automatically take care of the problem.
academic success of the small schools move-
ment; what it means to have separate schools That night he wrote ‘Classification’, a spoken-
for lesbian/gay/bisexual/transgender (l/g/b/t) word piece he ultimately performed in
students; as well as the joys, the dangers and Echoes:
‘not-yets’ of integration. We sought to create a
context in which young people could be I was walking up the street with my boy Anthony
exposed to history and contemporary research and this other kid.
and then ‘baste’ their personal experiences in Anthony was making jokes and the other kid
the seasoning of what has been, what is, and turned around and asked, ‘Are you in special ed?’
My man said, ‘Yes.’
what could be. In this week-long Summer Soon after, being in my six person class, like yes-
Institute, young people were educated along- terday I remember South Orange Maplewood
side elders. The Institute was videotaped at the School District classified me.
insistence of the young people, so that the It was 2000.
process of youth PAR could be understood She said I was ‘eligible for special ed.’
Possessing this label they gave me, I swallowed
over time in all its complexity, and so that the the stigma and felt the pain of being seen in a
work leading up to the performance would room with six people. Yeah, it fell upon me and
‘last more than one night’. the pain was like stones raining down on me. From
We struggled to help youth contextualize and the day where school assemblies seemed segre-
historicize their ‘personal experiences’ as the gated and I had to watch my girl Krystal from bal-
conies … Away from the ‘normal’ kids … to the
project was not interested in simply producing days where I found myself fulfilling self-fulfilled
a space for youth to ‘give voice’ to their ‘indi- prophecies.
vidual’ lives. Instead, we were committed, with See I received the label of ‘special education’ and
the wisdom of historian Joan Scott (1990), to it sat on my back like a mountain being lifted by an
helping youth create products that would place ant – it just can’t happen.
It was my mind’s master.
their ‘experience’ critically in a sea of knowl- It told me I was dumb, I didn’t know how to act in
edge drawn from history, politics and research. a normal class. I needed two teachers to fully grasp
The performances of two young people – Amir the concepts touched upon in class, and my
Bilal Billops and Kendra Urdang – illustrate classification will never allow me to exceed track two.
So what is it that I do – so many occasions when When we travel with youth performers, or
the classification caused me to break into tears? It
show clips from the video, we are always
was my frustration.
My reaction to teachers speaking down to careful to represent the full range of collat-
me saying I was classified and it was all my fault. eral damage suffered by those students who
Had me truly believing that inferiority was my have been unfairly marginalized and privi-
classification. leged, in order to reveal the perverse struc-
Cause I still didn’t know, and the pain WAS
tural (de)formations in which youth are
DEEP. The pain – OH GOD! THE PAIN!
The ridicule, the constant taunting, laughing socialized and presumably educated.
when they passed me by. Six months after the Summer Institute, on
Told me that community college should be my 17 May 2004, we performed Echoes of Brown
goal. for an audience of 800. It was a scholarly and
It wasn’t until Ms. Cooper came and rescued me
aesthetic experiment that challenged the
with her history class.
Showed me the importance of my history and boundaries of time, geography, generation and
told me the secrets my ancestors held. discipline, and braided political history, per-
She told me about the Malcolm Xs and the Huey sonal experience, research and knowledge
Newtons. from a generation living in the long shadow of
She told me to speak out because this is the
Brown. Guided by youth concerns about the
story of many and none of them are speaking.
And the silence is just as painful. fleeting nature of performance, we used the
videotaped material from the Summer
Amir’s work provokes recognition of the Institute to create a DVD and book, Echoes:
sustained weight of oppression on those most The Legacy of Brown v. Board of Education,
adversely affected and the power of a single Fifty Years Later (Fine et al., 2004). The DVD
educator to interrupt and transform history. holds 4 –2l hours of video, interviews with
In crafting a purposely diverse research team, youth, elders and educators about the persis-
we consciously invited young researchers/ tent and growing (opportunity gap). The book
performers from positions of substantial contains photos; interviews with youth, elders
advantage to challenge the shiny armor of and educators; youth spoken-word perfor-
privilege they enjoyed in their schools. mances; statistical analyses of our research on
Kendra, a white, South African-Canadian-US the ‘six degrees of segregation’; and a list of
student, created a spoken word piece about the activist organizations committed to work on
racialized politics that constitute the tracking the opportunity gap. Paralleling the Graffiti
[leveling] in her desegregated high school. An Museum, that was recreated as a portable
excerpt of ‘Go Blue!’ reads: graffitti wall for the night of the performance,
there is an internet-based chat room dedicated
and in the classrooms, the imbalance is subtle, to ongoing conversation among educators and
undercurrents in hallways. organizers who have used the video or clips
AP classes on the top floor, special ed. in the from the DVD in their classrooms and in com-
basement. munity settings. We have placed the book in
and although over half the faces in the yearbook
mainstream bookstores, selected excerpts for
are darker than mine,
on the third floor, everyone looks like me. use on websites (teacherscollegepress.com
so it seems glass ceilings are often concrete. and whatkidscando.com), and published on
…. the work with students and educators. As with
so let’s stay quiet, ride this pseudo-underground the prison study, we have spent much time
railroad,
strategizing how to position texts, talks and
this free ticket to funding from the board of ed.
racism is only our problem if it makes the front page. performances into the hands and hearts of
those most intimately and adversely affected
although brown faces fill the hallways,
by injustice … as well as those who naively
administrators don’t know their names,
they are just the free ticket to funding, believe they have been untouched by
and this is not their school. the severely inequitable distributions of
416 PRACTICES
educational resources, opportunities, hopes being converted into lockstep curricula,

and dreams. With creative products and checklists and structured principles. In the
processes we seek to break open a small space memory of Freire, I/we have long resisted
in the fabric of global injustice, where young creating such a list for PAR.
people can study, speak back, perform and And yet, we have learned much and made
provoke for justice. mistakes about how to engage PAR projects
with young people, and have come to think
that there are a series of inquiries – conver-
CREATING WEAPONS OF MASS sations that action researchers and participa-
INSTRUCTION WITH PARTICIPATORY tory action researchers should engage in as
ACTION RESEARCH they move toward PAR with youth. We offer
these questions in pencil, to help midwife
Since our work in the prison and Echoes, we thoughtful conversations about participation,
have been invited to collaborate with groups products and provocation.
of youth nationally and internationally who
are working on PAR projects through NGOs,
on college campuses, suburban schools, Audience
community based organizations (CBOs), jail Participatory action research pivots toward
cells, urban schools and on the streets. Youth change, but the question of who needs to be
are crafting participatory research and orga- educated, mobilized, encouraged, convinced
nizing projects with activists, scholars, foun- is rarely asked. We suggest that PAR collec-
dations, CBOs, and progressive educators, tives spend time thinking through audience
which critically investigate the social poli- by considering:
cies that construct and constrict their lives.
Most exciting, they are taking this mix of l. Whom do you want to reach, touch, mobilize,
activism and research and designing educate, provoke to action?
provocative products ‘of use’ (Cahill, 2004; 2. What are you asking readers/audiences to do?
Cammarota, Ginwright and Noguera, 2006; (For example, guilt is not a stance from which
action is easily elicited; but collective responsibility
Torre and Fine, 2005). Through our research
may be.)
with the youth of the opportunity gap, 3. What resources have you provided to help shift a
Echoes and the women of Bedford Hills sense of collective responsibility into collective
Correctional Facility, we have come to action?
understand that these provocative products 4. What are the spatialities of change you envision?
of PAR are essential in this most discourag- In other words, where do you want to incite
ing political moment. Products are signifi- change – in theoretical framing, in the next gen-
cant to motivate a PAR collective toward a eration and elders, in community and institutions,
common end and products are crucial for in the local space of your work, across sites
establishing a material base that can be mobi- and/or beyond?
lized and expanded for future action.
Many have asked us to construct guide-
Products
lines for PAR with youth. We typically
decline. PAR is a deeply contextualized Just as audience is a critical dimension of
process for democratic and justice-based PAR, so too is the language and shape of
work that does not lend itself to a checklist of your products. In what language will you
practices. Indeed, I (Michelle) recall having a produce your work? Will it be performed
conversation with Paolo Freire during one of and/or presented as scholarly, policy study?
his visits to New York when he confided that Will it be narrated in a voice of outrage or
a great sense of sadness overcame him when distanced rationality? Who will be positioned
he realized that his radical teachings were as the speaker(s)? More specifically,
5. In what discourse do you choose to provoke – view of the state and the market have been
science, art, law, outrage, contentious politics? represented as self-evident through a ‘sym-
6. In whose voice(s) do you write/perform/publish/ bolic inculcation in which journalists and
reveal the depth of injustice?
ordinary citizens participate passively and,
7. Have you represented both the coherence of your
collective and the rich differences among you?
above all, a certain number of intellectuals
8. How can you combine sharp social critique with participate actively. … This kind of symbolic
an energizing sense of possibility? drip feed to which the press and television
9. How might your work be misused and how can news contribute very strongly … produces
you caution people against such misuse (For very profound effects. And as a result neo-
example, warning labels that read: this report liberalism comes to be seen as an inevitabil-
should NOT be interpreted to suggest that ...) ity’ (1998: 30).
Bourdieu insists, as do we, that social
researchers have a public responsibility to
Provocation disrupt the sense of inevitability – that bad
people do bad things and deserve to end up
And then, finally, we encourage critical in prison; some student will always fail,
deliberation about the ethics of provocation they just don’t care about school – and to
and the uneven distribution of vulnerabili- engage with communities around questions
ties. We recognize that all research is politi- of justice and the inequitable distribution of
cal. However, PAR is explicitly political. The freedom, goods and opportunities. Critically
task of provocation within PAR is always engaged, PAR has the potential to do just
double – a goal and a danger. In this spirit we that. Whether launched in schools, commu-
invite PAR collectives to consider: nities, or prisons – around kitchen tables or
in social movements – PAR provides a vital
10. Who is made vulnerable by the very products way of resuscitating and maintaining a
you have designed? questioning and participatory democratic
11. How does your project attach to other, ongoing
practice, one with the potential to unleash a
struggles for social justice?
12. What happens to co-researchers and col-
diaspora of radical struggle, hope and
leagues who are located squarely in the institu- possibility across generations. Participatory
tion under scrutiny, the morning after? Are they action research is a strategic tool by which
connected to each other, to other social move- researchers’ collectives can interrupt the
ments, to people in power who will protect drip feed, engage critical questions, produce
them? new knowledge, provoke expanded audi-
ences, and ask, in the language of the poet
This is a most treacherous political Marge Piercy (1973), how can we ‘be
moment for participatory research work. The of use?’
relations of social research to social policy
are badly misaligned – reflecting the severely
strained relations between social policy and NOTES
social justice (Fine and Barrerras, 2001).
Locally and globally, the state has walked 1 Over the past decade, a loose and growing PAR
collective has sprung up at the Graduate Center,
away from the needs of individuals, families CUNY. Each project has developed a unique set of
and communities, particularly those who are situated, tailored products, designed to organize,
poor, working class and of color. We face shift public policy, provoke outrage and/or shift the
what French theorist Pierre Bourdieu has epistemological grounds of social research. In addi-
called ‘a crisis of politics … [in which we tion to the two projects described in this chapter:
Monique Guishard coordinated a project with moth-
encounter] despair at the failure of the state ers and youth in under-resourced communities of the
as guardian of the public interest’ (1998: 2). Bronx organizing for educational justice, designing a
Bourdieu argues, further, that the neo-liberal compelling website on the history of educational
418 PRACTICES
organizing in the South Bronx (Guishard et al., Fine, M., Roberts, R.A., Torre, M.E., and Bloom, J.,
2003; www.mothersthemove.com). Yasser Payne Burns, A., Chajet, L., Guishard, M., and Payne, Y.
and the Street Life Collective researched men who (2004) Echoes: Youth Documenting and Performing
lead a street life, producing a series of street con- the Legacy of Brown v. Board of Education. New
ferences, and presentations in public schools
York: Teachers College Press.
(Payne, 2006). Caitlin Cahill, working with young
women from the Lower East Side of New York,
Fine, M., Torre, M.E., Boudin, K., Bowen, I., Clark, J.,
researched and contested the stereotypes of their Hylton, D., Martinez, M., ‘Missy’, Rivera, M., Roberts,
being ‘at risk’ that litter their neighborhoods, and R.A., Smart, P. and Upegui, D. (2001) Changing
in response launched a massive sticker campaign in Minds: The Impact of College in a Maximum Security
which the stereotypes were exposed and chal- Prison. New York: The Graduate School of the City
lenged (Cahill, 2004; www.feduphoneys.org). University of New York.
Roger Hart collaborated with youth in Nepal who Fine, M., Torre, M.E., Boudin, K., Bowen, I., Clark, J.,
participated in the design and construction of their Hylton, D., Martinez, M., ‘Missy’, Rivera, M., Roberts,
boys’ and girls’ clubs (Hart, 2002). And María Elena R.A., Smart, P., and Upegui, D. (2003) ‘Participatory
Torre just completed a participatory project with
action research: within and beyond bars’, in P. Camic,
students at an elite university, ostensibly working
on ‘diversity’ issues and racism, where they spon-
J.E. Rhodes and L. Yardley (eds), Qualitative Research
sored a massive speak-out on students’ experiences in Psychology: Expanding Perspectives in
with racial, sexual, class and disability-based injus- Methodology and Design. Washington, DC: American
tice (Torre, 2005b). Psychological Association. pp. 173–98.
2. Following normal publication conventions this Gordon, A.F. (1997) Ghostly Matters: Haunting and the
reference would be cited as (Fine et al., 2001). At Sociological Imagination. Minneapolis, MN:
the request of the authors we have intentionally University of Minnesota Press.
broken with this convention to counter the privi- Guishard, M., Fine, M., Doyle, C., Jackson, J., Roberts,
leging of the academic voice and to emphasize the R., Staten, S., Singleton, S. and Webb, A. (2003) ‘As
fully participatory nature of this research. The first
long as I got breath, I’ll fight’: Participatory action
citation in each case lists all authors while subse-
quent references follow the normal publishing
research for educational justice’, The Family
conventions – Eds. Involvement Network of Educators. Harvard Family
Research Project. [http://www.gse.harvard.edu/hfrp/
projects/fine.html]
Hart, R. (2002) Mirrors of Ourselves: Tools of
REFERENCES Democratic Self Reflection for Groups of Children
and Youth, Katmandu, Nepal. New York: Children’s
Bourdieu, P. (1998) Acts of Resistance: Against the Environments Research Group and the Save the
Tyranny of the Market. New York: New Press. Children Alliance.
Cahill, C. (2004) ‘Defying gravity? Raising conscious- Oakes, J. (2005) Keeping Track: How Schools
ness through collective research’, Children’s Structure Inequality . New Haven, CT: Yale
Geographies, 2 (2): 273–86. University Press.
Cahill, C., Arenas, E., Contreras, J., Jiang, N., Rios- Payne, Y.A. (2006) ‘Participatory Action Research and
Moore, I. and Threatts, T. (2004) Makes Me Mad: Social Justice: Keys to Freedom for Street Life
Stereotypes of Young Urban Women of Color. New Oriented Black Men’ in J. Battle, M. Bennett and A.J.
York: Center for Human Environments at The Lemelle, Jr. (eds), Free At Last? Black America in the
Graduate School of the City University of New York. Twenty First Century. New York: Transaction
[www.fed-up-honeys.org] Publisher. pp. 265–80.
Cammarota, J., Ginwright, S. and Noguera, P. (2006) Piercy, M. (1973) To Be of Use. New York: Doubleday.
Youth, Democracy and Community Change: New Smith, L.T. (2001) ‘Troubling spaces’, International
Perspectives in Practice and Policy for America’s Journal of Critical Psychology, 4: 167–82.
Youth. New York: Routledge Press. Smith, L.T. (1999) Decolonizing Methodologies: Research
Fine, M. and Barrerras, R. (2001) ‘To be of use’, Analyses and Indigenous Peoples. London: Zed Books.
of Social Issues and Public Policy, 1: 175–82. Torre, M.E. (2005a) ‘The alchemy of integrated spaces:
Fine, M., Bloom, J., Burns, A., Chajet, L., Guishard, M., youth participation in research collectives of
Payne, Y. and Torre, M.E. (2005) ‘Dear Zora: a letter difference’, in L. Weis and M. Fine (eds), Beyond
to Zora Neal Hurston fifty years after Brown’, Silenced Voices. Albany, NY: State University of New
Teachers College Record, 107 (3): 496–529. York Press. pp. 251–66.
Torre, M.E. (2005b) What’s Your Issue? Questions of Torre, M.E., Fine, M., Boudin, K., Bowen, I., Clark, J.,
Diversity and Democracy on a College Campus. Hylton, D., Martinez, M., Roberts, R.A., Rivera,
New York: Eugene Lang College. M., Smart, P. and Upegui, D. (2001) ‘A space for co-
Torre, M. and Fine, M. (2005) ‘Bar none: extending affir- constructing counter stories under surveillance’,
mative action to college in prison’, Journal of Social International Journal of Critical Psychology, 4:
Issues, 61 (3): 569–94. 149–66.
420 PRACTICES
28
Taking the Action Turn: Lessons
from Bringing Participation to
Qualitative Research
Sonia Ospina, Jennifer Dodge, Erica Gabrielle
Foldy and Amparo Hofmann-Pinilla
This chapter tells the story of our decision to introduce participation as a key feature of a
qualitative research project about social change leadership. We analyze the context that influ-
enced our choice to create a ‘hybrid’ design; discuss the subsequent choices we made about
our ‘positionality’ vis-à-vis research participations and the kind of knowledge we produced;
and reflect on the tensions these choices created with respect to control over the research
process, its action orientation, and whose voice was represented. Embracing participation
enriched the research but also provided hard-earned lessons about the trade-offs of taking
the action turn.
This chapter tells the story of our explicit research in their work, yet this marriage is
decision to introduce participation as a key not straightforward. We provide hard-earned
feature of a large-scale, multi-year, US-based insights about the trade-offs of combining
research project to study social change lead- these approaches.
ership. We invited those who would have The research took place as part of a foun-
been the ‘subjects’ of the research to co- dation-funded recognition program for social
inquire about their experience of leadership. change leaders. Our decision to make the
Embracing participation opened up and research participatory grew out of our posi-
enriched the research in many ways. It also tion at the center of several competing inter-
generated tensions and challenges that would ests: of participants, ourselves and our
have been absent had we followed a more research community, and the funder.
traditional qualitative research path. Given Choosing to honor each of these relation-
the action turn, more and more qualitative ships led to a hybrid design that combined
researchers are including elements of action elements of action research and traditional
TAKING THE ACTION TURN 421
interpretivist qualitative research. In this organizations that effectively address critical

chapter we discuss the origins of the tensions social problems with a commitment to social
we encountered, how they manifested them- change. Their work spans a broad range of
selves in the day-to-day life of the project, how policy domains, including community devel-
we handled them, and their consequences. opment, the arts, human rights, the environ-
This chapter begins by describing the insti- ment, sexual and reproductive health, youth
tutional context of the research and the development, and education, among others.
research design we created as a response to They also combine, in differing degrees, at
that context. We then discuss how that design least four types of activities: service delivery,
resulted in choices we made related to ‘posi- organizing, advocacy and community building
tionality’ (Herr and Anderson, 2005) and to (Ospina and Foldy, 2005).
the nature of knowledge that we wanted to pro- Competing Demands Emerging from
duce. We then explore how these choices cre- Program Context. This context influenced our
ated tensions with respect to control over the choices and contributed to three competing
research process, the action orientation of the demands we faced as researchers. First, in addi-
research, and whose voice is represented – tion to recognizing leadership for social change,
critical issues within the contested terrain of the LCW program creators wanted to dissemi-
qualitative research paradigms (Guba and nate the notion that ‘leadership comes in many
Lincoln, 2005), and within conversations forms and from many different communities’
around the nature and practice of action research (Leadership for a Changing World, 2006).
(Gaventa and Cornwall, 2001/2006; Heron and Therefore, our research was meant to change the
Reason, 2001/2006; Park, 2001/2006). way the broad public, as well as public officials
and policy-makers, think about leadership. The
research was part of an intervention for social
SETTING THE STAGE: HOW HISTORY change grounded on explicit value commit-
AND THE INSTITUTIONAL CONTEXT ments (Toulmin, 1996) favoring the poor and
CREATED COMPETING DEMANDS disenfranchised, and supportive of social justice
approaches. These requirements placed us
Our study grew out of the Research and closer to action research and other ‘new para-
Documentation component of a national, digm’ qualitative approaches that have taken the
ongoing program called Leadership for a action turn, rather than to mainstream qualita-
Changing World (LCW), funded by the Ford tive research, whether interpretivist or positivist,
Foundation. The goal of the program is to ‘rec- which assumes value neutrality as the starting
ognize, strengthen and support leaders and to point (Guba and Lincoln, 2005).
highlight the importance of community leader- Second, because we came to this context
ship in improving people’s lives’ (Leadership located within an academic setting, schooled in
for a Changing World, 2006). It recognizes and the conventional demands of social science
provides a financial award to individuals and research, we wanted to influence the academic
teams in social change organizations. one as well. Both our school and the leadership
Program participants have included 165 indi- field were clearly dominated by positivist ori-
viduals across 92 social change organizations, entations where objectivity, validity, and gener-
recognized in cohorts of 17 to 20 organizations alizability reign. Moreover, as interpretive
from 2001 to 2005. These award recipients qualitative researchers, we were attuned to the
were selected because they demonstrated lead- standards required by our own professional
ership that is strategic, is sustainable, bridges dif- codes. For these reasons, we wanted to work
ferent groups of people, and gets results. They with both conventional standards of qualita-
participate in the program for two years, and tive research and at the same time meet the
engage in various activities, including the additional standards demanded by the action
research. Recipients represent community-based turn (Dodge et al., 2005).
422 PRACTICES
Finally, the award recipients brought their as the collective achievement of a group,
own interests and demands. For most of rather than as the property of an individual
them, engaging in research meant an oppor- (Pfeffer, 1977; Smircich and Morgan, 1982;
tunity to learn more about the issues they Hunt, 1984; Tierney, 1987; Drath and Palus,
were passionate about: how to mitigate the 1994; Meindl, 1995; Pastor, 1998; Drath,
effects of toxic sludge in their rivers, how 2001). Based on the notion that leadership
best to design employee ownership pro- emerges from the constructions and actions
grams, or the economic consequences of of people in organizations, our main research
passing a living wage bill. While some also question was ‘In what ways do communities
had questions about leadership practice and trying to make social change engage in the
welcomed the opportunity for inquiry into work of leadership?’
this dimension of their practice, others were Research Focus. This theoretical under-
disappointed that research resources would standing had important implications for the
not be directly and immediately applied to focus of the research. If leadership is shared
advance their own particular mission. and relational, then research should focus on
Placed at the center of these competing the work of leadership, as evidenced in col-
demands – from the funder, academic collective action, rather than the behaviors or
leagues and program participants – we devel- characteristics of individual leaders. For us,
oped a hybrid design that, as much as possible, this meant collecting data from a wide vari-
balanced these various interests. In the next ety of individuals involved in each organiza-
section we describe the overall design and the tion, rather than just the award recipients
specific choices arising from it. themselves, and inquiring about how organi-
zational members made sense of and carried
out activities to exercise leadership in partic-
CHOOSING A HYBRID RESEARCH ular arenas.
DESIGN Methods. We did this work by creating a
multi-modal design with three parallel
Since research methods must be ‘appropriate research methods: narrative inquiry, ethnog-
to the subject matter and interests at stake’ raphy and cooperative inquiry. Offering par-
(Toulmin, 1996: 204), our design considered ticipants an opportunity to choose their
the broader institutional context within degree of involvement (given their limited
which it existed. Our theoretical framework, time to engage in co-research while doing
research focus, methods and research stance their regular work), we hoped that each par-
reflect our attempt to create a hybrid ticipant (or a member of their organization)
approach that brought participation to the would agree to participate as co-researcher in
center of our practice. In turn, this choice had at least one method.
consequences for our positionality as The narrative inquiry involved site visits
researchers and for the nature of the knowl- and extended interviews with participants
edge we produced. and their colleagues focused on their work,
Theoretical Framework. Dominant, posi- in order to learn about aspects of leadership
tivist theories hold up a ‘heroic’ version of that the organization exemplified. These
leadership that is largely drawn from were summarized in a ‘leadership story’ for
research in corporate and governmental orga- each group. In the ethnographic inquiry,
nizations (Allen, 1990; Fletcher, 2004; ethnographers located near the organization’s
Alimo-Metcalfe and Alban-Metcalfe, 2006). community worked with selected partici-
In contrast, our work focused on social pants and their colleagues, for about three
change organizations and drew on a con- months, to paint a portrait of particular leader-
structionist approach to leadership (Ospina ship issues or practices; cooperative inquiry
and Sorenson, 2006), which views leadership groups, made up of six to eight participants,
engaged in cycles of action and reflection to insiders in collaboration with outsiders, so they
explore a burning question of their practice. could use the research to investigate particular
We then integrated the fruits of all three questions generated by their work. The foun-
streams, weaving together lessons from across dation’s original ‘request for proposals’ framed
methods and cohorts of participants, to the invitation to do research about leadership
develop a deeper understanding of practices as outsiders collaborating with insiders, or the
involved in social change leadership. fifth positionality. It encouraged outside
In sum, this multi-modal design gave researchers to draw extensively from partici-
program participants, in theory, various ways pant practice to create new knowledge in the
of engaging in the research process. Each voice of the researcher.
method afforded a unique angle from which Considering the context, we proposed the
co-researchers could reflect on their experience stance of co-research, inviting participants to
and offered opportunities for different degrees study with us their experience of leadership.
of participation. Incorporating a participatory Doing so, we shifted the nature and goals
perspective into our qualitative research had of the research component from practice-
important implications for our research prac- oriented research (to learn from the practice
tice, in particular our ‘positionality’ as of the LCW program participants) to a partic-
researchers vis-à-vis research participants. ipatory research (to learn with LCW partici-
Our position in relation to the research pants). The foundation welcomed this
participants. Viewing action research as a reframing. We thus aspired to take the fourth
broad concept covering many research prac- positionality Herr and Anderson (2005)
tices, Herr and Anderson (2005) use the term describe: an ‘insider/outsider reciprocal col-
‘researcher positionality’ to describe the dif- laboration’, which we felt provided the best
ferent stances researchers can take toward response to the competing demands from
research participants. They propose a contin- participants, academics and the funder.
uum of positions that range from (1) an However, despite valiant attempts at consis-
insider studying her own practice to (6) an tency, our footing has varied – ranging at dif-
outsider working with insiders. Between ferent stages from ‘insiders in collaboration
these extremes, are other positions. From with outsiders’ to ‘reciprocal collaboration’ to
‘the inside’ toward ‘the outside’, these ‘outsiders in collaboration with insiders’ and
include: (2) insiders in collaboration with even ‘outsiders working with insiders’. These
other insiders; (3) insiders in collaboration shifts resulted from our responses to the inter-
with outsiders; (4) insider/outsider teams ests of the various parties and the particular
working in reciprocal collaboration; and (5) kind of knowledge most useful to each.
outsiders in collaboration with insiders. We found our positionality shifted most
While our understanding of our own posi- often in response to three specific tensions
tionality was implicit as we moved through which we turn to now: control over the
the research process, we have used the con- research process, the action orientation of
cept to more fully understand our experience the research, and the voice represented in the
in the research. Our positionality was com- production of knowledge.
plicated by the competing demands we faced
from the three major interests we wanted to
honor. The conventional academic perspec- LIVING A HYBRID DESIGN:
tive suggested taking the sixth positionality, IMPLICATIONS FOR CONTROL,
that of outsiders with a neutral stance con- ACTION AND VOICE
trolling the research, but this was inconsis-
tent with our interpretivist approach and with Both action and qualitative researchers must
the demands of the program. Many LCW address several difficult issues: who has
participants preferred the third positionality: power over the inquiry, how the research
424 PRACTICES
does or does not support action for change, also Reason, 2006; Reason and Bradbury,
and whose understandings are reflected in dis- 2001/2006).
seminated materials (Fals Borda, 2001/2006; Indeed, in some instances, we have
Hall, 2001; Guba and Lincoln, 2005). Like engaged in genuine reciprocal collabora-
Guba and Lincoln (2005), we acknowledge tions. However, given the complexity of our
that these issues of control, action, and voice institutional context, we did not fully realize
are interdependent, but we will look at them this aspiration. As expected, different indi-
separately for analytical purposes. Below we viduals and leadership teams responded to
provide a conceptual description of each the invitation to participate in different ways,
issue, the choices we made to respond to each from full participation and engagement in
issue, the advantages and disadvantages of some cases, to willing collaboration in
our choices including how they affected our others, to partial and at times reluctant coop-
positionality and, at the end of each section, an eration in yet others, to non-participation in a
overall assessment of they way we approached few. Given these choices, more often than
the issue. not, we have been ‘outsiders doing research
in collaboration with insiders’. To respond to
both the participants’ interests in social
change practice and the broader program’s
Control of the Inquiry
interest in generating new knowledge, we
Control relates to the question ‘how is had to make choices about which research
knowledge created?’ and to the interconnec- activities would prioritize practitioners’
tion between knowledge and power. Such needs or academic needs. Importantly, these
issues as ‘Who initiates [the research]? Who choices impacted positionality and who
determines salient questions? … [And] Who would control which streams of research.
determines how data will be collected?’ need For example, in cooperative inquiry, the
to be addressed (Guba and Lincoln, 2005: projects were almost entirely driven by par-
202). Engaging participants in research – ticipants and required a significant time
sharing control with them – redefines the commitment from them. They reflected col-
knowledge production process and outcomes lectively on burning issues from their prac-
in ways consistent with the quality standards tice and worked with facilitators over five
of action research and its goals of ‘participa- cycles of action and reflection to refine the
tion and democracy’ (Reason and Bradbury, question and answer it. The cooperative
2001/2006). inquiry groups generated reports of their
Our research in practice: Tensions around findings to contribute to knowledge produc-
control. In general, we aspired to generate tion in the project, sometimes written by
what Herr and Anderson (2005) label the participants, sometimes by facilitators, and
fourth positionality, ‘reciprocal collaboration sometimes by both.
among members of an insider/outsider team’ In contrast, participation in the narrative
(p. 31), or what Chataway (1997) refers to as inquiry stream varied, from participants who
‘mutual inquiry’, which implies sharing con- shaped the inquiry from beginning to end, to
trol equally. Herr and Anderson (2005) those who only provided foci for the inter-
acknowledge that in an ideal world, this posi- view protocol, suggested interview partici-
tion represents the most democratic approach. pants, and gave us feedback on our analysis,
Yet they also state that, because ‘the notion then left it to the researchers to implement
of insider and outsider is often a matter of the rest. Even those quite involved in this
degree’ (p. 38), in practice each position offers stream did not participate in ‘cross-site
an equally respectable way of producing analysis’, a piece of the research based in
actionable knowledge, as long as the implica- more traditional qualitative research prac-
tions of one’s choices are considered (see tices that looks for common themes across
organizations. The core research team and who would make decisions about which
managed and carried out this process: we aspects of the research.
identified key themes, carried out coding and This challenge was intensified by the spe-
analysis, and wrote academic articles, as well cific context of the broader program. New
as developed a model of social change lead- participants arrived every year, triggering
ership (Ospina and Foldy, 2005). anew the trust building process and requiring
Advantages. One of the key advantages of negotiations around control. Furthermore,
sharing control with participants is that the the fact that the research was commissioned
research process becomes more democratic, by a foundation influenced early decisions
a worthwhile aspiration in itself. Given our associated with control. For example, because
theoretical, practical and philosophical moti- the research was part of a broader funded
vations, we viewed program participants as intervention, we had to determine the general
owners of the experience of leadership rather parameters of the research activities before
than holders of attributes worth studying participants arrived. The foundation’s request
from afar. Therefore we saw the value of for proposals required well-structured plans,
working with them to create knowledge, and once we were recruited, they asked us for
viewing them as insider ‘agents’ of the even further clarification of activities, sched-
research project, rather than as ‘objects’ to be ules and products before the program started.
studied by outsiders. Under these conditions, our original invita-
A related advantage was that democracy tion for co-research was interpreted as
also enhanced the quality of the knowledge imposing a rigid research design that was
generated. Given the scant availability of contrary to genuine collaboration and co-
knowledge about leadership produced by production. The first group of participants
applying a constructionist lens, we decided fought hard during the first program meeting
that it made sense to work with participants to make it clear that they would not accept a
in the research, to share control over the position as unequal partners under a ‘dis-
research process so they would be involved course’ of co-research (Ospina et al., 2004).
with us in defining relevant research ques- Given our position in relation to the various
tions about leadership, choosing the best program stakeholders, we had to directly
ways to carry out the research, and offering address suspicions that we were exploiting
different ways to interpret findings. For participants rather than engaging in a recip-
example, in a summary report of all of the rocal relationship that would add value for
ethnographies we had done to date, we wrote everyone.
about the power of this type of leadership for Assessment. We were most successful in
constructing social worth where others only sharing control with participants in coopera-
saw problems. Because we created space for tive inquiry and ethnography, where there
participants to identify topics of interest to was more room for negotiation over the
them and propose ways to study them, we insider/outsider collaboration, and where
were able to learn about the important ways participants could create and use knowledge
that they discovered and nurtured hidden that would directly contribute to their work.
assets to create positive social change in the As for narrative inquiry, while many partici-
most difficult circumstances. pants appreciated it, in general they found
Disadvantages. On the other hand, sharing the overall process and product more
control required us to spend additional energy removed from the urgencies of their daily
doing tasks that, while present in more con- work and felt less interested in participating
ventional qualitative research, are relatively in all of its stages. We had most control over
bounded. Using participatory research meant the cross-site narrative analysis, given our
ongoing negotiations over who would do interest in producing public knowledge that
what, who would take ownership over what, met academic standards, and participants’
426 PRACTICES
lack of interest in engaging in this type of in applied and pragmatic research (Park,
inquiry. 2001/2006). Guba and Lincoln (2005) see a
Though we strived to be egalitarian trend in qualitative research as it moves from
(Toulmin, 1996), we did not fully achieve it. ‘interpretation and Verstehen, or understand-
Ultimately the initiative to do research did ing, toward social action’ (p. 201). Their
not come from participants nor was it orga- description of a ‘mandate for social action,
nized to primarily help their work. Moreover, especially action designed and created by
the basic structure and methods through and for research participants with the aid
which the inquiry was conducted were and cooperation of researchers’ (p. 202,
largely in place before the participants emphasis added) illustrates how the action
became involved. Also, as a result of the pro- turn is bringing qualitative research and
gram’s broader institutional context, the core action research closer together.
team ultimately responsible for the research Our Research Practice: Tensions around
kept authority over resources designated for Action. The relevance research has for action
research. is influenced largely by the kind of knowl-
Yet there were clear advantages to our edge produced. This distinction between
hybrid approach. In sharing authority and ‘local’ and ‘public’ knowledge is central
control over the research agenda we engaged here. Local knowledge is narrow and specific
participants more fully, made the process and is designed to support action at a partic-
more democratic and developed insights that ular place and time. Public knowledge con-
we would not otherwise have done. Further, sists of conclusions that are transferable to
we created different kinds of knowledge, other contexts (Cochran-Smith and Lytle,
some of which has been directly useful to 1993; Herr and Anderson, 2005).
participants’ work. In the next section, we Participants in our program were most
explore how well these processes and prod- interested in producing local knowledge that
ucts helped to create actionable knowledge. would enable them to advance the particular
issues that drove their work – such as rights
for day laborers or housing for people with
INTEGRATING ACTION AND INQUIRY HIV/AIDS. This would require a positional-
ity of mutual collaboration. But the funder
Answers to the question of ‘Knowledge for wanted public knowledge with broad appeal,
what?’ bring to the forefront concerns about even if it had no direct consequences for any
the extent to which inquiry and action are given participant’s work. Academics require
integrated or separated. In conventional a particular subset of public knowledge that
social science research, action happens after is created according to particular rules of
the research is finished, by persons external rigor, and that generalizes to either a popula-
to the inquiry (Ospina and Dodge, 2005). tion (positivist research) or a theory (inter-
Applied researchers who advocate for ‘prag- pretivist research) (Rubin and Rubin, 2005).
matic science’ (Hodgkinson et al., 2001) may Conventional researchers tend to choose the
call for collaborating with those interested in more traditional positionality of outsiders
future action, but even there, the expectation working with insiders for this work.
is that inquiry and action are distinct. In con- Our goal was to develop both local and
trast, action is an integral part of the action public knowledge. We wanted to support the
research process; the purpose is to make pos- work of participants, find applications to other
itive change in the world, by developing social change contexts and contribute to the
local knowledge through participation theory of leadership. We believed we could do
(Toulmin, 1996; Reason and Bradbury, 2001/ this by engaging in ‘practice-grounded
2006). This way, the process and products of research’, that is, research grounded in the per-
action research are distinct, even from those spectives of practitioners – independent of
whether it is led by insiders or outsiders – but relevant for practitioners because they are
aimed at better understanding leadership prac- based on participants’ insider perspective.
tice in a way accessible to others outside the Advantages. The most significant advan-
inquiry process. For the most part, our multi- tage of this approach was that we have suc-
method design allowed us to generate local cessfully developed materials tailored to
knowledge for action while creating opportu- very different audiences: participants them-
nities to build public knowledge, like other selves, practitioners more broadly, and acad-
action research techniques do (see Roth and emics. One cooperative inquiry group
Bradbury, Chapter 23 in this volume). explored how they, as community organizers,
Cooperative inquiries and collaborative could effectively help others become more
ethnographies allowed participants to pro- strategic, conceptual, and creative thinkers
pose questions of relevance to their work, (Kovari et al., 2005). They remarked in their
thus integrating research and action. One of report on the importance of the inquiry for
the collaborative ethnographies grew from developing their own individual practice:
an agreement between two LCW organiza-
tions to document the factors that facilitated We had originally asked how we could teach
and hindered their efforts to engage in col- people to be more strategic, creative, and concep-
tual. What we began to understand during our
laborative work given their differences – one inquiry was the importance of engaging others in
worked with Latino immigrant workers to the experience of strategic thinking. Our own
protect their rights; the other with a largely actions and relationships with them would be part
white, middle-class base that advanced the of the equation. To help people learn to be more
rights of gays and lesbians. The final narra- strategic, creative, and conceptual, we would
have to be intentional about being more strategic,
tive, however, provided insights about lead- creative, and conceptual in relationship with
ership and collaboration beyond the them. (p. 14)
particular case.
Narrative inquiry, on the other hand, more The group finished the report by reflecting
directly addressed the need to produce knowl- on how the ‘cooperative inquiry process …
edge for external practitioner and academic had enabled these personal transformations’
audiences. In our analysis of narrative tran- to take place (p. 15). While this inquiry was
scripts, we searched for patterns across organi- immediately useful to its participants, we
zations using more conventional qualitative have several testimonials from non-LCW
techniques. Our goal was to produce knowl- practitioners indicating their interest in this
edge about leadership that contrasted with the and other materials. For example, a nearby
heroic view that has guided previous research. consultant who was advising a different
We still sought to support action by producing coalition in the region found a document we
public knowledge about a breadth of activities had written about fostering deep partnership
that contribute to leadership. For example, in collaborative contexts, based on the narra-
one of our papers explores how intensive dia- tive data, very useful for understanding how
logue with constituents experiencing a given the collaboration operated (Dodge et al.,
problem leads to creative, grounded solutions 2004). This transfer of knowledge relates to
(Dodge and Ospina, 2004). While still con- Gustavsen’s (2001/2006; see also Chapter 4
necting inquiry to action, action was one level in this volume) notion of knowledge develop-
removed from participants’ practice, and the ment in large-scale action research projects.
researchers’ positionality shifted from insider- He argues that knowledge is transferred when
outsider collaboration to outsider research in people begin to reference ideas that they
collaboration with insiders. The findings of learned from the work context of others. This
this ‘cross-site analysis’ transcend the is knowledge in action and represents a rela-
uniqueness of each context, and represent the tional logic to knowledge development.
perspective of outsiders, though they are still Finally, we have contributed to academic
428 PRACTICES
conversations about leadership with multiple removed from each local site as we strived to
conference presentations and published manu- ensure that our findings would be transfer-
scripts. This work is ongoing: we continue to able to other contexts and generalizable to
develop materials for all three audiences. (For the theory of leadership. Our positionality
other examples, visit our website at www. moved closer to traditional forms of qualita-
wagner.nyu.edu/leadership). tive research: outsiders working with insid-
Disadvantages. While our multi-modal ers. However, we still wanted to honor the
design enabled us to flexibly respond to the participatory spirit of the research by feeding
different interests in the program, not all prod- this public knowledge back to the partici-
ucts were successful with participants. For pants who made it possible. We are now
example, we hoped that the ‘leadership story’ beginning this process by translating some of
for each organization, produced during the our academic papers into practitioner-
first stage of the narrative inquiry, would be friendly formats. As we continue writing, we
useful for marketing or fund raising. Indeed, are faced with challenges of voice and repre-
some participants reported using them or sim- sentation, a task we take up next.
ply enjoying seeing the portrayals of their
work. However, based on participants’ feed- Voice and Representation
back, we decided that the stories’ contribution
did not warrant the labor involved. While issues of control, action and voice are
A second disadvantage of our action orien- deeply inter-related, perhaps the hardest dis-
tation, given our position within an academic tinction is between control and voice since
institution, is that many of our colleagues whose voice is represented is generally
view the separation of action and inquiry as decided by those who control the process.
essential to rigorous scientific research. In We distinguish them by relating control to
taking the action turn, we risked facing chal- the process and voice to the product of
lenges to the academic legitimacy of our research. Voice and representation raise
research findings, and our standing as social questions about ‘knowledge from whose per-
science researchers within our own commu- spective?’ As Guba and Lincoln (2000) indi-
nity of practice. cate, ‘Today voice can mean … not only
Assessment. Balancing needs for local and having a real researcher – and a researcher’s
public knowledge risked the development of voice – in the text, but also letting research
materials that satisfied neither academics nor participants speak for themselves’ (p. 183).
practitioners. Keeping this in mind, we For action researchers, voice relates directly
developed different materials to serve differ- to power, with some equating action research
ent audiences rather than cross-over materi- with ‘the right to speak’ (Hall, 2001).
als that might potentially reach across Referring to representation, Gaventa and
audiences. While we were satisfied that we Cornwall (2001/2006) argue that in participa-
addressed the needs of the different stake- tory research ‘writing … emphasizes the
holders in the research, we were still disap- importance of listening to and for different
pointed that we were not able to produce versions and voices’ (p. 74). While our discus-
products that could simultaneously serve dif- sion of control described decisions about how
ferent audiences. we created knowledge, in this section we
As the research project moved from data describe what knowledge we created: the
collection to integration – of the insights research products, the range of issues they
learned across organizations, research meth- explore, and the tensions over the material actu-
ods and participant cohorts – we became ally included in these documents. (The question
increasingly aware of our overarching charge of ‘What knowledge is created’ also invokes a
to change the public conversation about lead- discussion of validity requirements in conven-
ership. This meant becoming increasingly tional and new-paradigm qualitative research
as well as in action research. For space by our research team, these products were
reasons we will not engage this relevant rich in quotations, and in some cases were
discussion. For our approach to validity in written by participants.
this project, see Dodge et al., 2005.) Ethnographies included topics such as
Our Research Practice: Tensions around leadership development among community
Voice and Representation. With each docu- members (Weinberg et al., 2005) and the
ment we created, we had to decide whose practice of shared leadership (Hufford et al.,
voice and whose representation of the world 2003). While these products were written by
would dominate. While we designed a researchers, the process was directed by par-
process to engage many voices at multiple ticipants who exercised considerable control
points, each final product represents choices over their representations in final reports.
that inevitably excluded some representa- Cooperative inquiries explored issues such
tions. And here our positionality became par- as opening spaces for individuals to take up
ticularly acute. Positionality represents their leadership (Altvater et al., 2003) and
power: who has the power to make those using the arts to support social change work
final choices? That question has arisen over (Aprill et al., forthcoming). These products
and over in our work. Our choice to take the are mostly written collaboratively among
action turn influenced decisions that ranged participants, and although in some cases the
from what topics to pursue to what findings group authorized the researchers to write
to make public and how, and who, would final reports, they have done so in close col-
author and write publications. laboration. As a consequence, participants’
Because we wanted to learn from partici- voices have clearly been represented in
pants’ direct experience, we designed the research products.
research to give participants great influence In contrast, in the cross-site analysis used
in the data collection process by naming the to develop academic papers, the research
aspects of their work they felt deserved team identified the topics for further explo-
study. We wanted this diversity in topics ration, like the use of cognitive framing in
because it would allow us to cast a wide net, social change leadership (Foldy et al., forth-
and inductively identify issues relevant to the coming), and the paradoxes of managing col-
work of leadership rather then behaviors and laboration within coalitions (Ospina and
characteristics of individual leaders. We also Saz-Carranza, 2005), and took responsibility
opened up the writing process in different for writing these products. We also integrated
degrees to ensure that the voices of partici- the learning from across our data set in a ten-
pants were represented in final products. The tative model of social change leadership
diversity of topics reflects a diversity of per- (Ospina and Foldy, 2005). For the most part,
spectives; the process allowed new voices to as we moved toward cross-site analysis and
represent their worlds in spaces previously writing, our positionality has been that of
closed to them. ‘outsiders working with insiders’ and our
Indeed, participants suggested and pur- voice has been dominant. In a few cases, we
sued a wide variety of issues that loosely fall have successfully woven together the voices
under the larger umbrella of leadership. The of insiders and outsiders in academic work,
focus of the leadership stories from narrative by inviting participants to write their per-
inquiry included topics as diverse as how spective into articles (Ospina et al., 2004;
participants developed and worked with Yorks et al., Chapter 33 in this volume). We
unlikely allies (Walters et al., 2003a), the also continue to create opportunities for par-
importance of cultural identity (Walters ticipants and other social change leaders to
et al., 2003b) and the way day laborers are reflect on our interpretations, so that we can
invited to use their voice at the policy table integrate their perspectives. For example, we
(Walters et al., 2003c). While mostly written have presented the social change leadership
430 PRACTICES
model at several practitioner forums which knowledge that was ultimately drawn from
have included both LCW participants and the research.
other activists. Input from these sessions was This challenge manifested itself particu-
folded into future analysis. larly in materials describing a single organi-
Advantages. This approach had advan- zation. We decided early on that materials of
tages related to both the quality of the prod- this type must be approved by the organiza-
ucts as well as the research process. In tion since they could potentially be dam-
relation to our products, we brought an often aging. Occasionally, this meant avoiding
excluded voice, that of community-based material that participants felt was inaccurate,
leaders, into the public conversation about misleading or potentially harmful to their
leadership. The diversity of voices allowed work. For example, one ethnographer
us to capture the complexity of the experi- deleted a section of the report which included
ence of leadership. Also, because of our com- information that participants felt could harm
mitment to include relatively unmediated a collaborative process that was underway.
representations of participants’ voices, many We also chose not to make public several
of the products use a language, style and per- leadership stories that participants ultimately
spective that are more accessible to other decided did not accurately represent their
members of the same communities. In other work. We also ran into difficulties in one of
cases, we used photography and video to our cooperative inquiries when participants
showcase participants more directly. Both of one group excised entire sections of the
these strategies increased the likelihood that report that they felt represented the facilita-
the knowledge created would be of direct and tor’s point of view and not their own.
immediate use to those involved. Finally, this An additional constraint had to do with the
approach enhanced validity, since those with fact that the design of our research favored
the lived experience had an undeniable positive assessments of the participants’
expertise. Regarding the research process, work. Participants in LCW were chosen
producing interpretations and conclusions because they were exemplars of outstanding
that were sanctioned by participants reduced leadership. In our narrative research we used
the likelihood of exploitative research that appreciative inquiry (see Chapter 19 of this
used people’s experience and knowledge volume) to surface what they were doing
toward an end they did not support. right, to better understand how effective
Disadvantages. One significant challenge leadership happens. The generative approach
of our hybrid design, given the goals of shar- helped us connect to participants and over-
ing ownership and honoring a broader range come suspicions they had of us, as well as
of voices as relevant for the research, was bringing depth and richness to the inter-
that we had less autonomy to interpret data views. But it also determined the types of
and draw conclusions. Of course, as in more stories that we heard. Sometimes an appre-
conventional qualitative inquiry, we were ciative approach was confused (by partici-
constrained by the rules of our research com- pants as well as by members of the research
munity to ensure that interpretations were the team) as an invitation to whitewash the
result of a systematic process. But traditional messiness of real experience by downplaying
qualitative researchers, like their quantitative its problematic dimensions. In addition,
counterparts, have more degrees of freedom while we encouraged participants to invite
to pursue their own understandings of the stakeholders who might be critical of their
data than action researchers do. By develop- work into the conversation, we ultimately
ing a hybrid approach, we were accountable spoke to the people that participants sug-
not just to the data, and not just to standards gested, thus missing an opportunity to repre-
of quality, but to participants who had a sent the work of leadership in contested
vested interest in research findings and the contexts. We would have had difficulty
establishing trust with the participants in any multiple interests, each of which may have
other way, but it does represent a limitation had a strong stake in what was concluded.
of our approach. Action research and qualitative research can
Moreover, the very diversity gained by diverge here, with each favoring a different
making room for multiple voices and topics stakeholder. While hybrids are certainly pos-
made generating clear and cogent learning a sible, they may fall short of the exacting
daunting task. Integrating the knowledge standards of each type. Researchers entering
gained within each method, across the three this territory should take care to craft appro-
different methods, and across the cohorts of priate standards that draw from each
LCW participants to generate transferable approach (Dodge et al., 2005), and be satis-
public knowledge has been very challenging. fied that they will not be able to live up to the
A more traditional design would have gener- separate standards of each.
ated comparable local knowledge in order to
produce a straightforward comparative
analysis. Doing so would have made integra- CONCLUSION
tion easier, but would have failed to capture
the richness we gained. In other words, We have told our story, of qualitative
adopting a participatory approach – in terms researchers deciding to adopt participatory
of producing multi-vocal local knowledge – practices, in an effort to develop more
has added interpretive complexity to gener- insights about the very real challenges of
ate public knowledge. combining action research with traditional
Assessment. Action researchers have sug- qualitative designs (for a discussion of other
gested that success of the research depends challenges related to doing action research
on the ability of practitioner-participants to see Chataway, 1997; Kemmis and
bracket their insider perspective and take the McTaggart, 2005). As we have documented,
position of an outsider, thus being able to we began knowing that we had to satisfy
view themselves in a different light (Heron three very different audiences with very dif-
and Reason, 2001/2006; Kemmis and ferent interests and preferences. We have had
McTaggart, 2005). But this can require sup- to meet the demands of the funder for public
port from skilled researchers, based on a sus- knowledge; we have had to establish trust
tained and intimate trusting relationship. In with the participants, many of whom were
our case, while we were able to establish suspicious of academia and craved immedi-
this type of relationship with some partici- ately practical insight; and we had to answer
pants, the scale of the project precluded this to the research requirements of an academic
across the board. For this reason, we have community distrustful of participatory
wondered about the advisability of ‘doing research. For the most part, we succeeded.
action research with a large N’ as one team While there are moment-to-moment deci-
member put it. The depth and quality of rela- sions we would love to revisit, we do not
tionship that was necessary to maintain a believe that a significantly different design
critical stance while holding to the fourth could have satisfied these divergent set of
positionality – ‘reciprocal collaboration’ – requirements. But we wanted to clearly illus-
suggests working with a much smaller num- trate the very real tensions that such a path
ber of groups. brings with it. Calls for qualitative research
In sum, issues of voice arise in several are- to take the action turn may inadvertently sug-
nas. Inviting multiple voices enhanced the gest that such research involves a set of dis-
diversity and richness of the data, but also creet, relatively straightforward decisions
posed challenges in creating a clear and con- rather than an ongoing and intense grappling
sistent argument around the overall findings. with competing demands that involves con-
Ultimately, those multiple voices represented tinual self-reflection, group discussion, and
432 PRACTICES
stakeholder negotiation. The issues of ACKNOWLEDGEMENT

positionality and knowledge production
point to the complex political landscape Our experience in the Research and
researchers enter by taking the action turn. Documentation component of the Leadership
In addition to illustrating the trade-offs of for a Changing World (LCW) program
moving towards more complex and respon- informs the ideas we have developed in this
sive research, we also want to contribute to the article. We would like to acknowledge the
development of more democratic research many contributions of LCW co-researchers
practices. Respect and appreciation for the and our partners at the Advocacy Institute
diversity of paradigms to approach research who, over the course of the years, have been
problems was a pre-condition for crossing active participants in shaping our learning.
the boundaries to produce the hybrid research We would also like to thank the Ford
practice we believed would help us accomplish Foundation for its generous support of the
our research goals. In doing so, we embraced LCW research.
Toulmin’s (1996) notion of ‘methodological
democracy’ and, like him, rejected a fixed defi-
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PART THREE
Exemplars
INTRODUCTION TO EXEMPLARS: modes of inquiry, level of impact and order

VARIETIES OF ACTION RESEARCH of change. We hope they are useful for begin-
ning to see how work that is marked by
In this section we see how action researchers divergence can indeed sit under the umbrella
take a variety of practices that are oriented term of ‘action research’.
around grounding philosophies and use them to The context label refers to the different
bring desired change to a particular system. In types of places and organizations in which
doing the work, action researchers engage the action research takes place. By leadership we
relevant stakeholders so that there is a seam- mean the core group of movers in the action
lessness between planning and execution or research projects. We note throughout that
reflection and action. The ordering of chapters first-, second-, third-person modes of inquiry
suggests the varieties of scope, scale and inter- often co-exist in one project. Nonetheless,
mingling of first-, second- and third-person for the sake of overview we find it helpful to
practices that co-exist in the action research note which predominates as the cause of the
world. It also illustrates the variation in size of project’s impact. The level of impact refers to
the research team, research impact and the the place in a system where impact is felt
degree to which the outcome brings relatively from individual, small group, organization,
immediate results and/or brings about the unit of community, to whole society. Finally,
deeper but slower change in belief structures we suggest looking at the order of change.
and cultures. First-order change or single-loop change
refers to the degree to which concrete results
are experienced by project participants.
THEMES FOR CONSIDERATION Second-order or double-loop change refers to
the change occurring at the level of operating
We have looked across the varieties and won- theories and values from which results come.
dered how to offer themes that allow us to In addition to the chapters in the Exemplar
see the individual chapters both for them- section that follow, the chapters in other parts
selves and in relation to other chapters. We of this Handbook contain both small and large
came up with the following set: context, examples of action research. Ludema and Fry
leadership, first-, second-, third-person in Chapter 19 offer an account of their practice
436 EXEMPLARS
within a business organization that not only especially with the cooperative inquiry groups
brings about first-order improvements in described by Heron and Lahood, Chapter 29;
practice, but changes the relationships and Taj Drum and Lyle Yorks et al., Chapter 33.
communication patterns among management, However, in cases where larger groups were
unions, employees and customers. Martin in convened, a leadership group was separate
Chapter 26 refers to two projects where quite from the original team of designers. This is
large scale change is facilitated through especially evident where large groups of
action research. Gustavsen, Hansson and people were affected by the work, as in Ernie
Qvale in Chapter 4 give an account of devel- Stringer’s project in East Timor (Chapter 38)
opments in Scandinavia over many years. and Meghna Guhathakurta’s project (Chapter
And Brown and Tandon in Chapter 15 35) that affected multiple Bangladeshi
describe their practice of creating an inter- villages. We see that the most common mode
organizational structure that opens up larger for action researchers is to work either alone
scale or ‘third-person’ possibilities. or in small teams at the start. For the novice
this may seem like a contradiction to the prin-
Context ciple of participation, but in fact it simply clar-
ifies that as with most (research) projects, a
The diversity of contexts in which action core group of accountable people are leaders
research is undertaken is really rather huge. of the effort. These action researchers function
Moreover, we see how truly international the both as designers and conveners of the work
community of action researchers is. We know to which they then attract co-inquirers from
that action research is happening in private the relevant set of stakeholders. The first-
spaces (see Heron and Lahood in Chapter 29 person challenge is then to provide leadership
and Inj Drum), urban communities (see Yorks in a fashion that facilitates the emergence of
et al, Chapter 33.) and the ministerial offices participative inquiry.
of nation-states (see Stringer, Chapter 38). We
know action research is happening in develop-
ment contexts (see Guhathakurta, Chapter 35 Degree to Which Co-inquirers
and Castillo et al, Chapter 36.) and that it Co-design
engages change in physical as well as cultural
aspects of citizens’ lives. We know it is hap- Leadership in participation leads then to an
pening in healthcare contexts (see Chowns, important distinction concerning design. The
Chapter 39; Chui, Chapter 37; Kowalksi, work of John Heron and Taj Johns perhaps
Chapter 34) and that we can see it engaging best exemplifies action research in which
different parts of the healthcare system, the co-participants are simultaneously co-
children of patients, patients and healthcare designers of the process. Their meeting and
providers, respectively. Finally, we know it desire to work together precedes a decision
is happening in the business world (see about how to work together. We also see that
Kristiansen and Bloch-Poulsen, Chapter 31 and this is not that common. The other chapters
Dymek, Chapter 40), both because of what out- exemplify how the action research core team
side consultants bring in and because managers designs with various degrees of participation
inside can use it to develop desired results. from co-inquirers. Generally speaking, the
larger the impact is in terms of scope, the
smaller the proportion of co-inquirers are
Leadership in Participation involved as co-designers. The core researchers
must attend especially to questions of part-
In some cases those who led and generated the nership and participation later on as is well
original design for the action research were exemplified by Castillo et al.’s work
those who also experienced it – as is the case (Chapter 36) with residents of a town in
INTRODUCTION 437
Mexico and Lai Fong Chui’s work (Chapter 37) the villages. Infrastructure building happens
with healthcare consumers. As noted in the ‘in situ’ – that is, in the work of the theatre
Introduction, action research projects are itself. A large number of people are directly
often emergent and so too design can emerge impacted.
over time. Early design may be simply to
open communicative space into which co-
design can later develop. First-, Second-, Third-Person
Inquiry Modes
Degree of Distance from Design
We see that there is often a primary but rarely
As a rule, one may say that to the degree the one exclusive mode of inquiry – be it as first or
level of desired system impact is removed second person – in all the projects. More gen-
from the leadership team, then participative erally, we find that that it is unusual for a pro-
co-design is limited to those stakeholders who ject to contain an equal focus on each mode.
can carry the work into the larger system. We are seeing an increase in attention to first-
Ernie Stringer’s chapter perhaps best exempli- person inquiry as a foundation for other modes
fies this to the degree that the national level and it is safe to assume it is operating even
(school system in East Timor) was impacted where the focus of the report does not much
by working with a small set of stakeholders mention it. In the concluding chapter we note
that included ministers and other key decision- an important trend of action research is to
makers. In Stringer’s example the carriers of embrace first-person inquiry mode as the basis
the work are trained inside the original effort; of the work, its seed of quality, so to speak.
the impact is thus made more directly by those Much as great effort in the objectivist natural
who carry the message from the original sciences is placed on the development of ever
research team onwards. In the original Hand- more refined measurements and instrumenta-
book referred to this as ‘creating infrastruc- tion (e.g. microscopes), in action research the
ture’ for the future, in which the seeds of the instrument of inquiry is understood to be our-
later expansion of the work are designed in selves, the action researchers. Taking time to
from the start. If there is no distance between reflect on self might be therefore seen as the
core team and those impacted (as in Heron equivalent to updating lab instrumentation in
and Lahood’s and Taj John’s chapters), the the natural sciences.
issue of building infrastructure is moot, as the We see examples of first-person work that
action research project itself is the place in form the basis of their contribution in
which the stakeholders are left stronger and Kristiansen and Bloch-Poulsen’s reflection
reach their desired goals. on their work with managers, as well as in
Meghna Guhathakurta’s chapter is particu- Mullett’s work with women in mid life and
larly rich from the vantage point of lever- Heron and Lahood’s deeper exploration of
aging small groups’ efforts for a higher level everyday life. In each case the first-person
impact. In it we see a small group of action inquiry anchors the action researchers’ abil-
researchers design the work of participative ity to bring significant change to the culture
theatre and then carry it themselves, village to in which they find themselves. The other
village, thereby making it an example of the chapters place a great emphasis on second-
migration from second- to third-person modal- person research practice.
ities. As a theatre piece it then attracts and
engages many scores of people in participative First-, Second- and Third-Order
inquiry on the treatment of minorities. There is
Change
little co-design inside the participatory theatre
in the sense that the theatre stories are created If first order change refers to change that
at one point in time and then brought to operates at the level of changing the results
438 EXEMPLARS
that participants can experience as a benefit of between action research and outcome.
action research, then we see that Chris However, we are also seeing more attention to
Dymek’s chapter illustrates how a successful concern for first-order change, in which direct
IT system can be developed and that it offers results of action research are evident. The
good return on investment too. Similarly premise is to leave the co-inquirers stronger
Ernie Stringer’s chapter describes first-order after the action research. What we may take
change in the sense that the specific result of from this is to keep our eye on the elements we
designing a new educational system was the build into our work, all the time asking if we
goal of the action research – but see above that are best meeting the needs of the co-inquirers.
first-person changes lead inevitably to second- For example, there is no reason why first-order
person shifts in relationship and framing. change – because it is often more rapid – can-
Generally, though, we see that second- not be built into a second-order change project.
order change is most common in action Key elements to consider are the degree to
research endeavors, where second-order which we are operating with regard to leader-
change means that there is a questioning of ship and design, first-, second-, third-person
the original conditions in which results were mode and level of impact, and first- and or
expected. In Taj John’s chapter, there is a second-order results.
transformation of the experience of being One might suggest that a better balance
black in America, from the objectification of between first- and second-order outcomes
racism to self-definition. Similarly in would really help to commend the action
Jennifer Mullett’s chapter we learn of research approach to practitioner partici-
women’s work at the intersection of ageing pants. We need to be able to show evidence
and sexism as they transform their own of results (or change practices) as well as
image away from the objectification offered provide opportunities for changes in the
in popular media. deeper currents of thought and culture.
As a general rule, action research operates We have noted before that the best way of
as a second-person practice, with increasing understanding action research is to be
attention to first-person practice. Moreover, it immersed in a project. Perhaps the second
operates as a mode in which second-order best is therefore to read rich descriptions of
change is invited through reflection and dia- exemplars. We commend the following to
logue. Thus there may be a time delay between our readers as a way of deepening their own
reflection and action and therefore consider- practice wherever they find themselves on
able difficulty in tracing cause and effect the action research journey.
29
Charismatic Inquiry in Concert:
Action Research in the Realm
of ‘the Between’
John Heron and Gregg Lahood
We report on long-term peer group action research in the realm between persons where a
sacred presence may manifest. We characterize the core method as charismatic collaborative
action inquiry and define what we mean by ‘charismatic’ and ‘sacred’. We consider various
forms of relation between spirituality and action research, and suggest that action research
itself can be seen as a form of participatory and relational spirituality. We describe the gen-
eral format of our charismatic inquiry meetings, outline the model of decision-making used,
analyse the basic and supporting elements of the main inquiry process, and depict two forms
of ancillary, structured co-operative inquiry which are used intermittently. We identify parti-
cipants’ perspectives on, and five primary kinds of outcomes of, these three interrelated kinds
of inquiry, and then consider a wide range of issues about the quality and soundness of what
we do. We end the chapter with an overview of related contemporary developments in the
practice of embodied spirituality, and in transpersonal anthropology.
Denzin and Lincoln, in the closing chapter of Bradbury (2001/2006: 3–4) include spiritual
their qualitative research handbook (1994: practices and transpersonal sciences in their
583), assert that concerns of the spirit are overview of various approaches to action
returning to the human disciplines and that a research. Standing in these opening doorways,
sacred science is certain to emerge and make this chapter is about a form of action research
itself felt. In their introductory chapter to the which is a spiritual practice, one possible
first edition of this Handbook, Reason and primitive prototype of a sacred science.
440 EXEMPLARS
OVERVIEW SPIRITUALITY AND ACTION

RESEARCH
We report on long-term peer group action
research in the realm between persons where a In preparing this chapter it has been suggested
sacred presence may manifest. The group has to us that there may be many action
been meeting regularly since 1995 (for 11 years researchers who draw on different spiritual tra-
at the time of writing) for two hours in the ditions in their work, but usually conceal this
evening, currently every two weeks, with a because it is difficult to write about and people
five or six week break in the summer. Gregg, a feel vulnerable. However, some practitioners,
transpersonal anthropologist (Lahood, forth- we have also been told, will talk openly: some
coming a, forthcoming b), joined the group meditate, some go to church, some pray, some
in 1996. For a detailed history of its founding talk about transpersonal experiences, and so
and early years see Heron (1998: 225–9). on. An important distinction here is between
The core method is collaborative action bringing a spiritual practice to action research
inquiry, an innovative variant of Torbert’s (Coghlan, 2005; Nolan, 2005), and action
action inquiry (2001/2006; Chapter 17 in this research itself, as such, being a spiritual prac-
volume). It entails a spontaneity of toning, per- tice, a sacred science (Reason, 1993).
cussion, posture and movement that is interac- One difficulty in construing action
tively modulated by the participants, as in an research itself as a spiritual practice is the
improvisatory session of singers/musicians/ subtle Cartesianism of recent transpersonal
dancers. The purpose of this is both to generate studies. This tacitly assumes that spirituality
and be moved by, and thus inquire through is a subjective experience, within a nonspa-
this co-creative action into the nature of, a tial individual consciousness, of transper-
shared occasion of sacred presence in which we sonal objects which transcend the everyday
all participate and which is between us. We public space of social interactions (Ferrer,
sometimes refer to such action as ‘charismatic’, 2002). By contrast, we take a non-Cartesian
by which we mean ‘characterized by creative view of spirituality as a shared transforma-
spontaneity and depth’. By ‘sacred’ we tentative event, a shared occasion of enhanced
tively mean ‘a combination of hallowed, holy, human flourishing. It is generated by collab-
blessed, whole, generative, engaging, nourish- orative action for change taken together, the
ing, nurturing, intimate, inclusive, numinous, action itself in part shaping, and in part dis-
awesome, mysterious’. closing, inquiring into and being shaped by,
Our report covers the following: some the reality of the relational event. On this
background comments on spirituality and account spirituality is manifest in flourishing
action research; a general account of the for- and liberating participatory events which
mat of meetings; elements and properties of persons-in-relation co-create with the reality
the main inquiry process; the three types of of the presence between them in their situa-
inquiry process; participants’ perspectives tion (Heron, 1998; Ferrer, 2002).
and outcomes; issues of quality and sound- The public event may be a shared transfor-
ness; related contemporary developments. mation of behaviour into resonance with the
Our group has agreed a principle that any presence of the between as such, as in our
member can present a personal perspective inquiry, or it may be a shared transformation
on our inquiry, at the same time making clear of behaviour into greater organizational
the degree to which other members of the inclusiveness and empowerment as in other
group have or have not collaborated. This kinds of action research. In short, we do
chapter is the integration of John’s and not believe there is necessarily any radical
Gregg’s perspectives, grounded on a compre- spiritual discontinuity between the unusual
hensive conceptual map of our inquiry inquiry reported here and the inquiries
process co-generated by the whole group. reported elsewhere in this Handbook
CHARISMATIC INQUIRY IN CONCERT 441
(Chapters 30–44). From our perspective, all of follows Shekinah refers to the spiritual
them may be nascent and widely divergent presence between humans, and between
approaches within a non-Cartesian spirituality humans and presences in other realms. It is
of participatory events. In other words, all may the spiritual heart of the relation of mutuality,
be implicitly co-creative, in various liberating in both these horizontal and the vertical
ways, with the reality of the presence between dimensions, which the procedure we follow
all the persons involved in the situation. seems progressively to reveal.
This approach to spirituality in terms of As people arrive and gather we socialize
participatory, relational and transformative with cups of various kinds of tea. All kinds of
events has a resonance with Senge’s account enlivened conversations occur, some sponta-
of ‘presence’ in terms of a group collectively neously using language to seed the ground
and consciously participating in a larger field with transpersonal potentials, giving them
for change (Senge et al., 2005). Buber (1937) room to grow; others are simply hilarious.
was a modern pioneer of relational spirituality, When we are well settled in, round a low
stressing the primacy of the I–Thou relation, table with candles and other items, someone
the realm of the between, for attuning to the proposes or starts a check-in round. This
real. Authentic community, he held, is an round accommodates a whole diversity of
event that arises out of the Centre between options: simple reportage of current life-
persons. This is echoed in the peer spirit cir- events, routine, joyful, challenging or trau-
cling of Christina Baldwin and Ann Linnea matic; an account of current spiritual, psi,
(2000). Also relevant is Hanh’s (1995) notion psychological, interpersonal, energetic/
of ‘interbeing’; and an ancient precursor is the sexual/somatic dynamics; a cathartic release
Shinto religious attitude and practice of inti- of some current and/or archaic distress with
macy (Kasulio, 1990). There is not space here self-generated insight; self-transfiguring
to explore all these and other ramifications of spiritual assertions. Group members support
relational spirituality, but we value the and bear witness to the person checking-in,
Gergens’ account of the significance of rela- but rarely interact or comment, because the
tional processes (Chapter 9 in this volume). check-in is directed to what is between us.
There may then be a period of silence, or this
plus someone stroking the rim of a Tibetan
THE GENERAL FORMAT OF MEETINGS bowl with a stick of wood to produce a tone.
At a certain point there is a distinct, spon-
We describe here the process in our fortnightly taneous qualitative shift in the group energy
two hour meeting in terms of Shekinah. Each field. One or two people are moved, and
person in the group has their own experien- gradually and idiosyncratically each one is
tially-grounded belief system about what we moved, to open their bodily, incarnate energy
do. There is no one correct account, but a fam- to the living presence within and between us,
ily of related accounts with varying degrees of and between us and presences in other
mutual overlap and resonance, and yet, we realms, by posture and gesture, by move-
believe, with a central core in common. This is ment, by vocal toning, by rhythmic sounding
but one member of the family. of a diversity of rattles, drums, bells, tam-
Shekinah in Hebrew means ‘residence’, bourines, etc. This is both an opening of the
‘dwelling’. In Jewish tradition it is the heart and an exercise of alert discrimination.
name for divine immanence, for the divine The posture, gesture, movement, toning and
presence as it makes itself known in the sounding are improvised in the moment out
material world, ‘overshadowing’, ‘hovering’, of a heart-communion with, and an aware
‘indwelling’. It is also associated with the inquiry into the nature and credentials of, this
feminine aspect of the divine, concerned living presence – a marriage of appreciation
with interpersonal relationships. In what and inquiry (Chapter 12).
442 EXEMPLARS
This dynamic, charismatic, inquiring a minority of those who reject or are

heart-opening goes on for a considerable ambivalent, they speak to their position. This
period – on average about 45 minutes – with may cause some of the majority to change their
series of crescendos and diminuendos which position, in which case another arm vote is
are potently co-created with the rhythmic life taken. Once unchanging positions are estab-
of the between. lished, and the minority acknowledge they feel
There is an unmistakable final diminu- heard and understood and are open to accede
endo. We become entirely still. We draw to the majority, the majority vote holds. In our
together and hold hands, or sit silently apart, decisions, we are committed to celebrate diver-
and for a long period feast on, and probe with sity and variety in what individuals or sub-
the soul, the extraordinary depths and pres- groups may choose to do, as well as corporate
ence of Shekinah, also aptly named by one of and concerted actions.
our members as ‘the band of golden silence’.
This also has a clear ending. It may, or may
not, be followed by a sharing, an affirmation,
and a inquiring review, of what has been ELEMENTS AND PROPERTIES OF
going on. Then we close the meeting and THE INQUIRY PROCESS
people depart for their homes.
What may be interwoven with the above are This research is a mode of collaborative
spontaneous episodes in which one or more action inquiry in which our basic energies as
members speak out of, and speak as, archetypal embodied vital beings are opened up by
powers and presences interfused with the event. spontaneous action to manifest, celebrate and
If we are currently engaged in a co-operative inquire into the living spirit within and
inquiry (see below) into spiritual activities between us, and between us and the wider
undertaken in everyday life between our fort- reaches of being. The basic elements are:
nightly meetings, we will make space during
the session for each person to report on and • Posture, gesture, facial expression, movement.
review the previous two weeks of activity, • Toning, with cycles of spontaneous crescendo
and in the light of that plan the next two and diminuendo.
weeks. • Musical rhythms with a variety of percussion
As well as the two-hour fortnightly meet- instruments.
• Mutual resonance, with creative mimesis –
ings, we also meet for a three-day gathering
building on what others do.
at least once a year, for more intensive cycles • Erotic energy as a component of mutual
of inquiry as described in a later section, and resonance.
for attending more fully to personal and • Relative position between us in the space of the
interpersonal dynamics that may be clouding room.
the charismatic process. • Speaking out of altered states.
As a professed peer-group, our model of • Mutual trust.
decision-making seeks a creative balance • Exhilaration.
between hierarchy, autonomy and co-operation. • Silent hand-holding after the charismatic expres-
It is open to anyone to exercise a hierarchical sion, to bear witness to, be enfolded in, and
or leadership initiative and propose some inquire into the sacred presence between us.
• Charismatic disinhibition of these several modal-
activity or direction for the group as a whole.
ities to open to the living spirit as it moves within
Issues to do with the proposal are discussed, and between and beyond, and this includes con-
with time for each member to clarify their tinuous internal adjustments of awareness –
autonomous response; a vote is taken with inquiring discrimination in keeping open to what
arms more or less up, more or less down, or there really is, locating and dissolving blocks,
horizontal, to indicate degree of support, aligning energies, modulating idiosyncratic
degree of rejection, or ambivalence. If there is expression, attuning with others.
Supporting elements are: knowing (encounter with each other and with
that which is, Chapter 24; Heron, 1998:
• A check-in round early in a meeting. 228–9). It is conceptually elaborated in shorter
• Freeform conversation, and structured dialogue. and longer periods of reflective review, which
• Feedback, conceptual review and authenticity occasionally involve a whole evening.
checks. The second type of inquiry we use in our
• Peer decision-making, as described above.
annual three-day meetings. This is a struc-
tured piece of co-operative inquiry (Heron,
Our practice has at least six basic properties. 1996; Heron and Reason, 2001/2006) built
It is relational: it involves charismatic round our collaborative action inquiry
hybridization, that is, transformative mutual (Reason, 1994). We co-decide an intentional
resonance with each other, and with what there project beforehand about how, and with what
is. It is embodied: it opens up the fundamental end, we do our charismatic expression, then
energies of being embodied – standing, postur- do this, then share feedback on it and build
ing, gesturing, moving, breathing, sounding, this review into planning a second action-
perceiving, sensing – as gateways for the liv- reflection cycle, and so on.
ing spirit in which they are grounded. It is The third type embraces a series of struc-
autonomous: it regards teacher, tradition and tured co-operative inquiries, which bridge the
text as secondary to the primacy of the dis- gap between the fortnightly meetings and our
criminating inquiring authority within each engaged life in the world. Each of them runs for
person. It is peer: it proposes that hierarchy a specified period of time, involving several
rotates among peers to facilitate, sustain and cycles of reflection and action, and they have
enhance the flourishing of co-operation and occurred intermittently over the years. Part of a
creative autonomy as interdependent values. It fortnightly meeting is used to plan individual or
celebrates diversity in unity: honouring idio- agreed spiritual practices to be taken as an
syncratic creativity and heterogeneous per- action inquiry into daily life before the next
spectives within an allowing and liberating meeting, when each of us report back on our
whole. It is political: it is committed to make a action strand and develop a plan for the next
difference in our daily engagement with social two weeks of application. Shared topics, all
action in our lives. focused on application in living, have been:
transpersonal activities in everyday life,
empowerment in everyday life, coming into
THREE TYPES OF INQUIRY PROCESS being, gender issues, Shekinah in everyday life,
presences and authentic intuition, authentic
We engage in three types of inquiry. The first authority, terror, speaking from the heart. As
is our bedrock: the collaborative action well as the corporate topics – which individuals
inquiry which is the core of every fortnightly explore in their own way – there have also been
meeting. It is the active discrimination, exer- a range of entirely idiosyncratic individual lines
cised on-the-hoof – during our mutually of action inquiry into transformations of daily
resonant toning, percussion, posture and living.
movement – with regard to what we are
expressing, how we are doing so both indi-
vidually and in concert, and in relation with PARTICIPANTS’ PERSPECTIVES
whom or what, that is, with what presences AND OUTCOMES
or presence. This intuitive discrimination
subsumes the continuous interplay of practi- When we review and make sense of what we
cal knowing (skilled action), presentational experience during the procedures of our fort-
knowing (symbolic forms of sound, music, nightly meetings, there is a convergence of
posture and movement) and experiential meaning in the various terms different
444 EXEMPLARS
members use to name the process: communion, Reclaiming my individual and collective spirit,
tuning into the subtleties of how transpersonal
attunement, resonance, alignment, and such
spirit is brought forward, engaged with and
like. There is a basic common ground about expressed through sound, replenishing my essence
what this process engages with, particularly in the process.
in the period immediately following the ton-
ing, percussion and movement. This was
named by one of us ‘the band of golden We identify five outcomes of this kind of
silence’ – the sense of sacred presence relational inquiry, and believe them to be
indwelling the between, as we put it. Each interdependent and mutually supporting
person mediates their own nuanced account (Heron, 1996). (1) Basic are the transforma-
of this. There is also considerable diver- tions of being which it brings about in the
gence, involving both overlaps and varying participants, and which they have variously
connotations of the terms used, about other named as attunement-alignment-harmoniza-
aspects of being we engage with. So we tion-communion, bliss, softness, satisfaction,
have: one’s inner self; each other; powers fulfilment, peace, nourishment, grounded-
and presences in complementary realities; ness. These transformations, we believe,
the human race; nature/the biosphere/the have a strong element of intersubjective
earth; the solar system; galactic conscious- hybridization, mutual cross-fertilization. (2)
ness; extraterrestrials. Intimately associated are the autonomous
Many of us experience the procedure as a and co-operative skills acquired to effect
nonverbal, non-doctrinal version of worship, such transformation, and (3) the idiosyn-
praise, high prayer, and dynamic meditation. cratic insights into the nature of reality which
One or two have expressed the theurgical the aesthetic-expressive movement, toning
view that our encounter with the divine and mutual resonance reveal. (4) An impor-
changes the nature of the divine. tant applied outcome is charismatic face-to-
Here is an abridged account, from the face transmission and transformation of
notes taken by one of us, of impromptu dec- practice in relation to those we live, work,
larations, made on 6 August 2004, of some socialize and play with. This may be sponta-
individual perspectives on what we are neous or part of intentional practice within a
doing. Each paragraph is a different speaker: type 3 inquiry as described earlier. These
practical outcomes in everyday life are rich
and complex and deserve a paper in their
Ethereal alignment through sound.
Invoking/inviting potent powers and presences. own right. One common thread is a sense of
Culminating in co-dwelling in an in-between wholeness and groundedness which empow-
immediate sacred presence. ers whole relations with others. (5) Another
Inquiring into how we can be together in many important kind of public outcome are the
dimensions of living – from the practical to the
conceptual formulations which we make in
transpersonal – and into how what we are doing
here contributes to the wider society. our review sessions to clarify what we do,
A celebration of resting in my heart with others how we do it, what we encounter, and with
resting in their hearts; the ground of my human what soundness, which participants can share
spirituality is between us as well as internal. in the wider world, as in this chapter. Finally,
A multidimensional attempt to create distress-
we hypothesize, cautiously, about the possi-
free spirituality, to explore ritual life, how power is
distributed, contested and re-contested, to feel the bility of subtle activism: the unknown (to us)
holding and support of others who are living a possible effects at a subtle level on the imme-
transpersonal life. diate locality, and more widely on human
Collectively touching into heartland, a shared affairs in this, that or the other respect (cf.
intimacy generating a nectar-like quality, an
Kelly, 2005). All these outcome claims are
alchemical exchange with a larger system of
awareness, everyone distilling different metaphors subject to issues of quality and soundness
and experiences. discussed in the next section.
ISSUES OF QUALITY AND soundness, for the most intimate and authentic
SOUNDNESS embrace with the presence between.
Shared enthusiasm without psychic colo-
Reason and Bradbury (2001/2006: 450–4) nization The subtlety of listening and yield-
propose five issues of quality: relational ing to the experience of others, through
praxis, practical outcome, plurality of know- mimetic linkage, while at the same time
ing, significant work, enduring consequence. hybridizing it with one’s own version, is at
To take these in turn, our group, as we see it: the heart of relational spirituality and its co-
maximizes participation of the humans creative intersubjectivity. A declaration in
involved in its core process and engages the any way nuanced with an authoritative voice,
participation of wider reaches of being; has, with tacit appeals to some authoritative spir-
as important practical outcomes, the libera- itual tradition, blocks others from joining it
tion of participants from past spiritual colo- and letting it blend with their imaginal
nization and the empowerment of their worlds. By contrast, a ‘clear’ enthusiastic
authentic spirituality in daily life; deepens declaration, free from spiritual imperialism
and integrates multiple ways of knowing in and the colonizing of consciousness, empow-
appropriate methodology; affirms the signif- ers others actively to yield: it invites a subtle
icance of the sacred; and has sustained and mutual penetration and co-dwelling analo-
developed its process for 11 years. gous to an erotic process (Lewis, 2003).
The devil’s advocate will insist this is far Authentic co-creation flourishes when it
too sanguine. ‘Just how deluded and fanci- steers clear of pontification and the coloniza-
ful,’ he or she will ask, ‘is the co-creative tion of consciousness on the one hand, and
enterprise of the fortnightly meetings? Is it overly inhibited performances on the other.
simply a piece of improvisatory theatrical Dionysian and Apollonian approaches Our
moving and toning without any ontological inquiry is spanned between the poles of the
reference beyond what is evident to the Dionysian emergence of our process and the
sense-perception of anyone present in the Apollonian preplanning of it (Heron, 1996).
room?’ Here are a range of considerations Over the years it has moved between the poles,
that bear on these and other questions that always involving some degree of each. Of our
relate to the five issues above and the sound- three types of inquiry referred to above, type 1
ness of what we are about. inquiry is Dionysian, types 2 and 3 Apollonian.
Declarative validity Subtle realms, their Too much Dionysian enthusiasmos and we are
resident powers and presences, sacred pres- devoured by the divine, too much Apollonian
ence-as-such are what we meet in our state- preplanning and the spirit is unable to blow
specific enactments. They declare their where it listeth. Learning to engage with the
ontological validity in and through these power of this polarity, in order to deepen the
enactments. Crudely put: worlds, entities, soundness of what we do, is a major dimension
presence-as-such are what we meet through of our inquiry.
our co-creations, and their reality is within Group process and life process Another
the relation of meeting. Try it all and see. closely related basic polarity of our inquiry,
Critical subjectivity and intersubjectivity which bears on soundness, is the group
The relation of meeting is itself constructed process within our meetings, and the life
out of a dynamic discernment, an on-the-hoof process in our daily existence between them.
expressively adjusting alignment, which Over the years we have moved between com-
involves both individual participative know- bining our group process action inquiry with
ing and – by virtue of mutual resonance – planning and reporting on our life process
co-operative participative knowing. Singly action inquiry, and just doing our group
and together, in and through our moving and process without the life process planning and
toning, we test for high quality ontological reporting – the assumption here is that the
446 EXEMPLARS
life process is then emergent. The soundness housecleaning. Personal and interpersonal
of the whole inquiry is critically to do with tensions triggered by our inquiry process,
how the group process and the life process possibly distorting it in unacknowledged
enhance each other, ways, pose a special challenge. It is an open
Consensus collusion We occasionally use a question how far these tensions are resolved
devil’s advocate procedure to raise questions by the transmutative effect of our charismatic
about possible forms of unaware consensus practices, and how far they both distort and
collusion that may have us in their grip. One are buried by the practices. Very little explicit
recent candidate was whether we were savour- healing is devoted to them in the two-hour
ing Dionysian type 1 inquiry – our charismatic fortnightly meetings. One purpose of the
moving and toning – in part as a way of not annual three-day gathering is to provide
engaging more fully with Apollonian type 3 much more time for such work. And
inquiry – applications in everyday life – members do take material aroused in the
although, as already noted, these applications group to sessions elsewhere. During the
still go on in emergent, Dionysian mode. meetings we also use agreed nonverbal signs
Another issue with which we confront our- to give each other instant feedback about the
selves is the degree to which we have inter- felt quality – positive, ambiguous, negative –
locking structures of charismatic inhibition, of our individual behaviours. In all these dif-
that is, the extent to which we collude in the ferent ways, constant vigilance is required,
limits we set to our charismatic disinhibition. continuously assessing our fluctuating levels
Balance of hierarchy, co-operation and of emotional and interpersonal competence.
autonomy The model of peer decision- Primacy of the practical and the correla-
making we use seeks a balance of these three tive primacy of the between In our group
dimensions, as described in the section above process, the primacy of the practical – our
on our procedure. John’s role has shifted moving and toning – is grounded in the cor-
from taking strong hierarchical initiatives in relative primacy of meeting – the experien-
setting up the series of inquiry workshops tial relation/the mutual resonance/the
from which the group emerged, to a more presence, between us, and others gathered
ambiguous status as an intermittently influen- with us. Practical and experiential knowing
tial peer, while hierarchical initiatives also constitute primal poles of knowing, with
move spontaneously among others in the imaginal knowing, as gestures in space and
group. Our model sometimes works superbly, patterns of sound, mediating between them.
sometimes relatively well and is sometimes – In inquiry as in life, the basic dynamic is act-
especially in the three-day gatherings – ing to enhance the quality of a shared life-
relatively chaotic with ego-burning confusion, field. Co-sensitivity to the changing state of
tension and frustration. We have learnt to the between-field and co-acting to enhance
hang in with the chaotic phases. In burning its overall flourishing, together entail cross-
up egoistic dross, these phases can presage fertilization of co-inquirers’ qualities and
both issues being disowned and denied, and perspectives. This is at the heart of excel-
also possibilities for the emergence of new lence in a collaborative action inquiry into
and unexpected kinds of luminosity and embodied group process as a gateway to
order. There also times when the model is communion with what there is.
underused and habitual practice rules. We are
still in the very early stages of developing
peer decision-making as a fundamental kind RELATED CONTEMPORARY
of relational spiritual practice. DEVELOPMENTS
Personal and interpersonal tension A high
percentage of the members participate in There is space briefly to mention some related
a local peer self-help counselling network approaches, alongside those in the opening
and so have access to regular emotional section above. That the vital energies of the
body can evoke the living spirit in which they theory (Heron, 1992, 1998; Ferrer, 2002).
are grounded, and whence they issue forth, is Tambiah writes, ‘participation is very much
demonstrated in distinctive ways in each of the in place’ in the world of qualitative science,
following: the holotropic breathwork of Stan and is pre-eminent ‘as a mode of relating to
Grof (1988) and the wide range of subtle and and constructing reality’; this pre-eminence
spiritual states it delivers; the paratheatrical finds its zenith ‘when describing aesthetic or
research of Antero Alli (2003) with its compre- religious orientations’ because of its ‘holistic
hensive phenomenology of physical behav- and configurational grasping of totalities as
iours for cultivating ‘resonance with vertical integral to aesthetic enjoyment and mystic
sources’; charismatic education and training awareness’. The bridge to this mystical par-
(Heron, 1999) in the context of a dipolar ticipation, he says, is to be found in the inter-
account of spirit (Heron, 1998); aspects of the connectedness between persons and nature
integral transformative practice of Leonard and (1990: 106). This hybrid space of the
Murphy (1995); the interactive somatic between is an important research focus in
inquiries proposed by Marina Romero and both anthropology and co-operative inquiry.
Ramon Albareda (Ferrer, 2003) in their work The concept of hybridity draws from horti-
on a fully embodied and vitalized spiritual life; culture, meaning grafting or cross-pollination
the work of Michael Washburn (2003) assert- of two species to form a third, ‘hybrid’
ing spiritual as well as instinctual energy in the species. Nineteenth century eugenics theory
Dynamic Ground of the human being, which held that human cross-breeds and half-castes
can be awakened as an enlivening and guiding watered down an original pristine biological
force within our bodies; Jorge Ferrer’s (forth- condition – the descent of white races from
coming) considered affirmation of embodied Adam and Eve. This dominant patriarchal
spirituality. idea of ‘pure origins, pure lineages’ in ‘lan-
There are also relevant developments within guage, religion, nation, race, culture, status,
anthropology. The once frowned upon going class, gender … was preoccupied with divine
cognitively native has now become a major or sacred origins’ (Pieterse, 2004: 94).
innovation, completely departing from early With the development of Mendelian
anthropology’s monophasic bias – the gather- genetics in the 1870s, cross-breeding, cross-
ing of data in the Eurocentric cognitive domain fertilization, polygenetic inheritance are seen
(Laughlin et al., 1993). There is a willingness as advantageous, invigorating and ‘valued as
to abandon early anthropology’s spiritual or enrichments to the gene-pool. Gradually this
religious frigidity (Turner, 1993: 7), and to has been seeping through into wider circles;
enter into states of consciousness, outlawed by the work of the anthropologist Gregory
scientific rationalism, as a demanding form of Bateson (1972), as one of the few to connect
participant observation (Jules-Rosette, 1975; the natural sciences and the social sciences,
Peters, 1981; Laderman, 1991). Contemporary has been influential in this regard’ (Pieterse,
transpersonal anthropologists, interested in 2004: 71). The Creole, the half-caste, the
the field of waking dreams, make efforts to cross-breed, the hybrid, find new status and
enter the alterity-scape of their host culture, have come to be valorized by many contempo-
seeing the experience as bearing essential rary social theorists: Homi Bhabha has argued
forms of ethnographic data (Laughlin, 1994). that all claims to the inherent purity and origi-
They submit themselves to a profound process nality of cultures are in fact ‘untenable’, and
of cognitive re-structuring in a cultural milieu that all cultural systems and articulations are
remote from secular materialism, and so constructed in what he names as the ‘Third
embrace, in their direct knowing, a participatory Space of Enunciation’ (1994: 209).
epistemology. It can be argued that this third space of
This participatory turn in anthropology the between, the space of hybridization, is
(Jackson, 1989; Tambiah, 1990) resonates where, largely unrecognized, the whole
with the participatory turn in transpersonal development of transpersonal theory and
448 EXEMPLARS
practice has been occurring. Within the Denzin, N.K. and Lincoln, Y.S. (1994) ‘The fifth moment’,
micro-culture of our inquiry group, we seek in N.K. Denzin and Y.S. Lincoln (eds), Handbook of
to make it central in our co-creativity. This Qualitative Research. Thousand Oaks, CA: Sage.
Ferrer, J.N. (2002) Revisioning Transpersonal Theory: a
moment is akin, we believe, to what Bhabha,
Participatory Vision of Human Spirituality. Albany,
citing Salman Rushdie, calls ‘the unstable NY: SUNY Press.
element of linkage’, the indeterminate tem- Ferrer, J.N. (2003) ‘Integral transformative practices: a
porality of the in-between, that has to be participatory perspective’, Journal of Transpersonal
engaged in creating the conditions for ‘new- Psychology, 35 (1): 21–42.
ness to come into the world’ (1994: 227). Ferrer, J.N. (forthcoming) ‘Embodied spirituality: now and
then’, Tikkun: A Critique of Politics, Culture & Society .
Grof, S. (1988) The Adventure of Self-Discovery. Albany,
CONCLUSION NY: SUNY Press.
Hanh, T.N. (1995) The Heart of Understanding.
Berkeley, CA: Parallax Press.
The dynamic, charismatic format inaugurated Heron, J. (1992) Feeling and Personhood: Psychology in
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Heron, J. and Reason, P. (2001/2006) ‘The practice of co-
immanent spirit becomes manifest, through
operative inquiry: research “with” rather than “on”
collaborative action, as relational and situa- people’, in P. Reason and H. Bradbury (eds), Handbook
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Bateson, G. (1972) Steps to an Ecology of Mind. San Laderman, C. (1991) Taming the Wind of Desire:
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crises’, Journal of Near Death Experience. CA: Sage. pp. 324–39.
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experience: a biogenetic structural account of the Handbook of Action Research: Participative Inquiry
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science’, Journal of Management Inquiry, 2: 10–27.
450 EXEMPLARS
30
Presentational Knowing: Bridging
Experience and Expression with
Art, Poetry and Song
Jennifer Mullett
This chapter describes the necessity for, and the effect of, presentational knowing.
Participatory action research to educate women in mid-life about their choices for health
evolved from straightforward community education into a deeper, more significant project.
How and why creative forms of engagement such as art, song and poetry were crucial for
subtle transformations in thinking in the action and outcome phases of the project are illus-
trated in this chapter.
Women between the ages of 45 and 65 lead I will describe how the project morphed
very complex and sometimes very stressful from an educational awareness and capacity
lives. The women’s health in mid-life project building initiative into a deeper purpose, one
was designed to assist women to make that aimed to reconstruct for the women their
informed choices in managing key mid-life vital place in their communities. I focus on
health issues through health education and key creative events that utilized presenta-
community action. The project followed the tional knowing in the action stages and then
classic cycles of iterative action research pro- I describe how in the latter stages we strug-
gressing through the stages of: developing gled to convey the full realization of empow-
inter-sectoral partnerships, collecting informa- erment and capacity building, the outcomes,
tion through various participatory methods, cre- in the form of presentational knowledge to
ating educational workshops and developing other audiences. Although this is a project
community supports in the action stages, and concerned with women’s mid-life health, the
reflecting on the actions to plan for the future in larger message is universal – it is about
repetitive cycles of reflection and action. change, loss of self and transformation and
PRESENTATIONAL KNOWING 451
the need to ‘forge deep new purposes and Canada, tendering a ‘call for proposals’ for
bonds’ in the developmental stage known as community agencies/groups to engage in a
mid-life (Friedan, 1993: 499). In attempting two-year women’s health in mid-life project.
to articulate the process of the transformation Six community groups were subsequently
I rely on the theoretical principles of funded based on successful competitive pro-
Vygotsky as they relate to the internalization posals. I was asked to conduct a collaborative
of social dialogue. action research evaluation across the six com-
munity projects in participation with the pro-
ject coordinators from the communities (some
PRESENTATIONAL KNOWING projects already had participatory action
research in their plans). Such an approach
In Chapter 24 Heron and Reason describe, as is described by Reason and Bradbury as: a
part of an extended epistemology, four kinds participatory democratic process in which
of knowing. This chapter is concerned with practical knowing is developed through the
presentational knowing, the knowing that is pursuit of practical solutions and the flourish-
the bridge between experience and the for- ing of individuals and communities (Reason
mal or discursive expression of our knowing. and Bradbury, 2001/2006). I was responsible
Woven throughout this chapter are descrip- for a final report on the outcomes to the
tions of the evolving recognition of a devel- Ministry of Health.
opmental life stage. This understanding is
expressed in the form of stories. In addition,
and at the heart of this exemplar, are ex- OBJECTIVES OF THE PROJECT
amples of how other forms of expression
such as music and poetry were used to
The four objectives of WHIM were: raise
engage women and audiences in experienc-
awareness and empower women to take more
ing this understanding.
responsibility for their own health; educate
women about health issues related to
menopause; raise awareness of the range of
THE PROJECT options available to women; increase women’s
confidence in discussing these issues with care
The women’s health in mid-life project professionals and build capacity in the com-
(nicknamed WHIM) began in a similar fash- munity to enhance women’s health. As the
ion to most other community health educa- coordinators met with women in their com-
tion/action projects. There are commonly munities to identify areas of focus they heard
three strategies. The first is providing infor- not only lists of physical and social health
mation about health risks and how to avoid issues but, more importantly, they heard a
them with the hope that individuals, once profound sense of isolation, emptiness and
informed, will change their attitudes or worthlessness. From the very beginning it
behaviour; a second approach recognizes the was clear that the purpose of the project
need to provide information and, in addition, needed to expand beyond the four objectives
to enhance personal motivation for change described.
through self-empowerment; and, third, are
community development approaches that
seek to create contexts or supportive envi-
ronments that facilitate change (Campbell, THE CONTEXT AND THE
2004). The community action initiatives to COORDINATORS
be described incorporated all three of these
strategies. WHIM originated with the The projects took place in small towns where
Ministry of Health in British Columbia, the closest ‘big’ city is several hundred
452 EXEMPLARS
kilometres away. Average population of the were advertised in a magazine developed for
towns is 10,000 with the largest having a pop- mid-life women and through the local media.
ulation of 77,000. In rural settings, the found- Four gathering sessions were held with
ing ‘industries’ in the early 1800s were fur approximately 60 women attending each.
trading, gold mining, agriculture, ranching and Using the open space concept (Owen, 1997)
forestry. Because they are stunningly beautiful women identified the main issues that con-
locations, tourism and the resident colonies of cerned them: for example, communicating
artists now draw people to these areas as well. effectively with physicians; a more positive
Some of the coordinators were already outlook in society towards mid-life; and a
engaged in projects related to women’s health more positive image of mid-life women.
and were very committed to women’s issues.
Two of them were nurses, while the others
were experts in community development work. Nelson
In the interior of the province, 10 community
meetings were held and advertised through
GETTING STARTED the local media. As a result of these meetings
14 women volunteered to sit on a steering
At the beginning stages of the project the six committee and various sub-committees to
co-ordinators and I met on a monthly basis help organize events. Participants suggested
either in person or by telephone. The six the following main issues for which educa-
small communities were located several hun- tional events or materials should be devel-
dred kilometres apart in the province. The oped: alternatives to pharmaceutical therapies;
project had a main co-ordinator, Lenore prevention for mid-life health; wise women
Riddell, at the BC Women’s Health Centre in circles; stress, humour and life transitions
Vancouver. An electronic ‘list serve’ service and a question and answer column to be cre-
was created to share ideas and resources as ated in the local newspapers that included
they were developed. At the first meeting I ‘real women’ in addition to professionals as
presented the purpose and process of action the respondents.
research methodology and ethics for data
gathering. One of the projects was primarily
concerned with identifying needs and will Vernon
not be discussed here.
Community meetings and kitchen-table dis-
cussions (the coordinator went to women’s
homes) were held to establish a wise woman
FIRST STAGE OF COMMUNITY network. Participants at the gatherings were
ACTION WORK: INITIAL DATA asked to suggest five names of women in the
GATHERING community whom they considered to be
wise. Those women whose names recurred
There was a great variety in the methods of on the lists were invited to form a wise
data gathering. Each community used a women network. This network constituted a
method that was appropriate to their purpose focus group that provided advice for further
and population. development of the project.
Williams Lake Prince George

In this small northern town and its surround- A diverse group of women were identified
ing small communities, gathering sessions through existing networks and trained and
supported to design and implement health to hear how used up, isolated and discon-
education activities in their small communi- nected from their communities the women
ties surrounding Prince George. In prepara- felt. For example:
tion for these activities community meetings
produced the following as issues of focus: 11 We haven’t had respect from the medical commu-
nity and haven’t felt empowered to take care of
physical health issues followed by psycho-
ourselves – everything was medicalized. We
logical and emotional issues such as ‘body learned to do on a need to know basis. It is not just
image, depression, grieving and major life us and the way we think but the way we have
changes, isolation and the invisibility of been treated. With a forum of women there is
older women, mood swings, stress and guilt trust for each other, everything can be talked
about so learning is maximized.
(the superwoman myth), self-esteem, and
I am so tired of being ‘invisible’.
substance misuse’. Another group of issues
characterized as ‘social health’ included The coordinators, all experienced commu-
acceptance, being a care giver, elder abuse, nity workers, knew that what they were hear-
employability and responsibility in the ing was more than women expressing their
‘sandwich’ generation (looking after elderly educational needs; they recognized that the
parents while still caring for children and planned venues would have to affirm and
sometimes a spouse as well), self-esteem and reconnect women in mid-life as vital, con-
youth worship (Anderson, 1999). tributing members of their communities. The
events would have to help women recon-
struct a visible life for themselves.
Sechelt
In the area known as ‘the Sunshine Coast’ the
coordinator held small seminar and discussion PRESENTATIONAL KNOWING IN THE
sessions in Sechelt and on a smaller island. ACTION PHASES:
Through their already successful Sechelt
Mature Women’s Group, they were also able The first workshops developed in response to
to consult with the women who met regularly the data gathering sessions covered a broad
to identify the issues of interest in their com- range of topics. Some were presented in such
munity. Finances and housing were two topics a way as to evoke experiences that would, as
of primary concern to the mature women. An Heron and Reason describe in Chapter 24,
art therapist who had been working with some ‘provide access to a greater understanding of
of the women asked them to rank topics of themselves’ for example, inspirational work-
concern. The top four items were health, self- shops designed to inspire authentic self-
care, spirituality and creativity. expression through creativity with writing,
painting and dance. There are many details of
The Message Across the the excellent community action initiatives
created by the coordinators and their com-
Communities
munity partners that must be omitted due to
Across the five projects women said it was space limitations.1 Instead, two communities
important to hear and learn from other are highlighted here as examples: Prince
women; take more control of their own George and Sechelt.
health and make informed choices; and gain
more understanding and validation of normal Prince George
cycles and symptoms. The realization that
they should take time for themselves was a A workshop specifically targeting body
significant outcome of the sessions. At the image included ‘toe painting’, a variation
same time, the coordinators were distressed on finger painting for children. Different
454 EXEMPLARS
coloured paints were spread on the floor. The future. At the end each woman told the story of
women created a painting by walking her life line to others. Women wore their ‘life’
through the paint then standing on a piece of with pride throughout the two days and shared
paper or paper pie plate. This encouraged their stories with each other.
new ways of moving one’s body to create
‘art’ (and a lot of laughter). Another session
was held with an artist and photographer to
REFLECTION STAGE
celebrate ‘the wise woman within’. Women
were asked to bring ads from magazines as
At each of the above events, evaluations
well as their own photograph and talk about
were conducted by written questionnaire or
their favourite and their least favourite ads.
group discussion. In our monthly meetings
They then created from their photo and art
the coordinators told stories of the women’s
materials a representation of themselves in
experiences with the project and added their
their ‘own reality’ for an art exhibit. This
observations or interpretations. In this way
exhibit was displayed at the same time as the
we developed a collective knowledge of the
artist/photographer’s work, a creative combi-
nation of artistic representations of body issues but, more importantly, through the sto-
parts juxtaposed with mirrors that distort ries we came to a greater understanding of
your shape. some women’s suffering. We heard that some
women associate the word menopause with
‘old, dying, useless and no sex’. Also women
Sechelt appeared desperate for information. In almost
every community the venues were over-
A two-day retreat at a camp on the ocean whelmed by the number of women who
brought women together to experience being wanted to attend them. For example, over
creative and to try new forms of expression. 200 women attended a forum held in
There were mini workshops on drumming, Williams Lake in a church basement while
singing, crafts, meditation and a massage ther- 80 more were turned away at the door. In one
apy called ‘Niha’ that is done by oneself by small remote town in the north, women
lying on the floor with tennis balls. Everyone drove 5 hours over icy roads to attend a sym-
was rotated through each of these workshops posium. In Vernon there was a 16 week wait-
after one hour. The women were hesitant at ing list for the educational materials at the
first in some of the workshops but were library. It was clear that the women were
quickly involved by the facilitator. I attended learning a lot and, more importantly, were
the two-day retreat to observe and interview enjoying the opportunity to learn from and
women who had agreed to tell their stories. I with each other.
was struck by the effectiveness of the craft
workshop in facilitating connectedness.
In this workshop women created a ribbon,
two feet long by two inches wide to wear FINAL PHASES OF ACTION
around their neck for the duration of the
retreat. From bits and pieces of materials In the last stages of the project the coordinators
everyone had brought, we glued, sewed or planned the final events, some of which were
pinned artefacts on to the ribbon to create a life large gatherings. I will describe one particu-
‘line’. The artefacts represented important larly successful activity from a large forum in
phases in our lives, for example where we Williams Lake: an unfashion show (Prince
were born, what type of work we did, children George also used this activity successfully).
we had, traumatic or dramatic events in our This event was videotaped, enabling us to
lives and what we looked forward to for the view it later at our monthly meeting.
The Unfashion Show at their feet screaming and laughing. They

Williams Lake embraced the ‘life is good’ spirit.
This hilarious and liberating beginning
The ‘unfashion show’ was designed to cele- was followed by presentations from an
brate women in mid-life. A local storyteller expert panel on sexuality, bone health, and
was hired to work with women in the com- the pros and cons of both hormone replace-
munity who volunteered to be ‘performers’. ment therapy and alternative approaches.
She helped them to develop a short biogra- Many questions from the audience of women
phy of their experience of mid-life, or to focused on sexuality. The coordinator was
write or find a poem that represented them. convinced these questions would not have
The ‘performers’ chose from their own cloth- been asked if the women had not experienced
ing something symbolic of themselves. the exhilaration of the unfashion show (based
The storyteller began the show with an on her experience with the other events). In
amusing story of how she became a ‘crone’. evaluation forms from the event and in later
She then introduced and narrated for the interviews, women said that in this confer-
others. As each woman came down the run- ence ‘learning with other women was a spir-
way, the storyteller read her biography or itual experience’. In all of the projects the
poem. The women strutted, walked or educational materials were useful and helped
danced down a runway lit with lights to their women to make significant changes, but pre-
favourite piece of music. Two women in par- sented on their own they may not have been
ticular ‘brought down the house’. The first as effective.
person to come down the runway was a
woman dressed in jeans and her favourite
t-shirt. She was heavily built, with a natural PRESENTATIONAL KNOWING
complexion devoid of make-up. She defi- AT THE OUTCOME STAGE
nitely was a contrast to a commercial image
of a slim, young model. She danced down the Follow-up research to discern the effect of
runway to a popular rock song with such all this activity yielded 41 interviews, two
energy and joy that women howled with focus groups and nine personal case stories
laughter while others cried with the impact of as sources of data. In addition, evaluations
seeing such fun from a mid-life woman. Her had been collected throughout the project at
short biography spoke of her love of life, her all of the events. There were 388 of these
pride in having produced her wonderful evaluations. We focused on what the women
children ‘with the midriff to prove it’ and the had learned, how their thinking had changed
delight she has found in only looking after and if they had made changes in their
herself now that her children are grown. lifestyle. The coordinators and I discussed
The next ‘model’ was the local minister how these ‘results’ could be presented at an
who came out of the wings wearing her white upcoming women’s health conference in
ministerial robes, holding her hands as if in Victoria. We knew that it would be easy to
prayer. At first, she danced slowly to the tune lose the power of the projects to transform
‘I believe in miracles’, but when the lyrics thinking if this information was presented in
reached the part: ‘you sexy thing’ she ripped the usual conference presentation format.
open her gown, stripped it off to reveal her Also, collapsing the results of each commu-
favourite sweater and jeans and threw the nity into an aggregate of achievements was
robe into the audience in mock imitation of a likewise not appealing. Our first choice was
stripper. She danced in a fast tempo for the to recreate an unfashion show for the audi-
remainder of the song. The effect of seeing ence. We knew that the music, poetry,
their minister let loose brought the women to humour and storytelling aspects of this
456 EXEMPLARS
medium would be entertaining, but we did not vivid truthfulness that the lines of the poem
feel we could represent other women’s biogra- are somehow able to communicate’ (1990:
phies and it certainly would not make sense to 71). Each artistic medium has its own lan-
do our own (only two of us were in mid-life). guage of expression whether it is visual,
Also, when it came down to it some of us tactile, auditory, etc. (Van Manen, 1990).
lacked the courage of the community women We reflected on which ‘language’ would
to dance down a runway in front of an audi- best convey the ‘results’ or our presenta-
ence! Conference sponsors generously included tional knowledge.
the travel costs of the coordinators but not
women from the communities. Also, the
unfashion show might have been amusing but COORDINATORS CONCEIVE A
would not have indicated the effects of the pro- FORMAT FOR THE CONFERENCE
ject. The coordinators were justifiably proud of
what they had achieved, in particular the The coordinator from Vernon came up with a
empowerment of the women in their commu- song to represent the transformation in her
nities. We convened another meeting to con- region. The others liked the idea and created
sider other ideas. a song for themselves. We decided on one
We were stuck on two points: We knew song that combined the elements of the
from the follow-up research that the women others. At the conference, to introduce the
had experienced a profound transformation project each coordinator gave a short presen-
in their thinking about their health and them- tation on her community complete with
selves. We also knew from the follow-up photographs and a geography lesson and an
interviews and our own reflection discus- overview of the activities. All of us then sang
sions that women said repeatedly that they the song with the audience as follows. The
found being with other women and learning audience was taught to sing a simple blues
together in a community of women a spiritual bar ‘Ba BA ba bum’. As we sang the song the
experience. How could we represent this so audience sang the blues bar as a chorus at the
that the significance of it was recognized? end of each line. The audience was hesitant
What medium would do justice to the depth at first but sang stronger with each repetition.
of the women’s experience? How could we Here is the song:
represent their discussions of such phenom-
ena as love, grief, sickness, fear of loss of Now ladies please listen
sexuality, self-esteem and dependence? We don’t want to confuse
These were the representational issues with Our message is simple
And it’s not in the news
which we struggled. We needed to be able to
Gotta look for some wisdom
tell a story. Phenomenologist Van Manen Some stories and clues
(1990) described the importance of reading Now’s the hour, find your power
others’ stories: ‘we may be able to experi- In these marvelous mid-life blues
ence life situations, events and emotions We’re tired of the culture
that we would normally not have … the that says we’re all through
opportunity of gaining insight into certain The ads and commercials
aspects of the human condition’. In describ- The big companies too
They see us as profit
ing the significance of poetry for under-
Just want us to buy
standing he captures the gist of what we We want respect, want to connect
were struggling with: ‘A poet can some- With a fabulous mid-life high
times give linguistic expression to some
aspect of human experience that cannot be The audience was thus engaged in singing
paraphrased without losing a sense of the ‘the results’ of the project with us. They
Figure 30.1 Singing the ‘presentation’
paid close attention to the words, the added to the sense of celebration of being a
rhythm and the hand gestures of the coordi- woman at a women’s health conference.
nators. No longer in the passive state of
‘audience’, their senses were alert with
anticipation, waiting for their cue, waiting GOING SOLO WITH THE RESULTS:
to be part of the production. We were PRESENTING NARRATIVES
attempting to achieve what Heron and
Reason have described in Chapter 24 as the The project ended, the final report was sub-
purpose of presentational knowing: ‘co- mitted and the coordinators and I went our
inquirers … develop[ing] a sense of pre- separate ways. Yet I felt there was more for
conceptual communion or resonance in me to learn about presentational knowing
their shared life-world’ (p. 369). In singing and there was more in the women’s stories to
the song in unison with each other and on tell. I continued to investigate how to repre-
cue with us, the presenters, all of us tran- sent the results at other conferences. I read
scended the duality of our roles. Riessman’s (1993) monograph on narrative
In addition to our presentational knowl- analysis. She describes the definition of a nar-
edge format we were very fortunate that the rative as talk organized around consequential
Women’s Conference had engaged a events. According to Riessman tellers take
women’s art cooperative to display their art their listeners into a past world and in the
throughout the conference centre. The art telling of what happened to them make a
depicted women’s bodies in a wide range of point about their experience. Particularly
metaphorical representations. One life size pertinent to this chapter, Riessman suggests
figure of a plump woman was made of clay that respondents often narrativize their expe-
(mother earth) while another was a woman’s rience when ‘there has been a breach
torso decorated with flowers and gossamer between ideal and real, self and society’
wings (Figures 30.2 and 30.3). All of these (1993: 3).
458 EXEMPLARS
Figure 30.2 Mother Earth greeter Figure 30.3 Fairy poised to soar
(Women’s Art Cooperative) (Women’s Art Cooperative)
Nine personal narratives were told to me great sense of humour, was obviously liked by
for the purpose of understanding how the others in the community and appeared to be
women became involved in the project and laughing the entire weekend, but her story was
what it had meant to them. I felt these stories quite different than her current happy state
were illustrative of transformational change. would suggest. It is her story that I felt would
Riessman’s rendering of a story into poetic best be told in poetic structure. She began by
structures seemed to be the language that saying: ‘I was ignorant, sick and going crazy’.
might better convey the emotional impact of Applying Reissman’s technique I created the
the women’s story. As one who writes poetry following poetic structure. I intended to illus-
myself I was intrigued. In fact, this project trate her transformation as she became con-
had inspired me to write a series of poems nected to the women’s health centre through
about mid-life that focused on disappearance the pot luck lunches for mature women.
and becoming invisible.
I was going down
into a depression
and heading for Prozac
EXAMPLE OF A WOMAN’S STORY I was going through the change
IN POETIC STRUCTURE – menopause – was irritable
The following is an example of a short narra- My mother bounced off walls

threw things,
tive told to me by a woman at the two-day
no one to turn to.
retreat at Sechelt (some of the other coordina- Afraid I was going there
tors attended this event as well). She had a Hard time of life
Diagnosis of osteoarthritis transformative aspects. The following haiku

and a lump in my breast
is in response to the question: ‘What issues
Just moved to the area, have you become aware of with regard to
Hard at this age your mid-life health through this project?’
had to meet new people
I am too fragile,
I was in denial develop emotional
Now, menopause is a pleasant thing And renewing self
I am living healthier, walking more
I am going to be more creative
And another:
Audiences at conferences are quiet for the Alone as a choice
first few minutes after the reading of this A companion to oneself
poem. The first, standard part of my presen- Viable, valuable
tation explains the purpose of the community
action and some of the detailed activities but In answer to ‘Has this project changed the
this woman’s poem allows the audience to way you discuss things with your doctor?’, a
feel her emotion and her fear of mental ill- response in haiku form is this:
ness, particularly when read with dramatic
As I Doctor shop
inflection. On the first line: ‘I was going More power, more personal
down’, the audience is immediately atten- My health is my say
tive. Through the reading some female audi-
ence members have been moved to tears Through this form an audience can experi-
while others, not so visibly moved, have con- ence the essence of the project. In a recent
fessed later to being affected. In the act of class presentation a student (male) said that
empathy, evoked by the artistic form, the audi- the rhythm of the poem draws you into the
ence experiences the life world of the woman. emotion. Van Manen (1990) suggests that in
I was inspired to investigate how the inter- most research the results can be severed from
views might be made more compelling. the process of the research whereas in the
presentation of phenomenological research
‘you will listen in vain for the punch line, the
THE INTERVIEWS IN POETIC
latest information or the big news’ (p. 13).
STRUCTURE
He said that phenomenology like poetry tries
an incantive, evocative speaking, a primal
Follow-up interviews with women asked them telling wherein we aim to involve the voice
what issues they had become aware of with in an original singing of the world (Merleau
regard to mid-life health. I had amalgamated Ponty, cited in Van Manen, 1990: 13). While
the responses into themes but the spiritual this study was not a phenomenological study
connection that they experienced was lost and the coordinators and myself discovered
the women’s transformation trivialized in the experientially the meaning of Van Manen’s
coldness of academic discourse. They became and Heron and Reason’s ideas as we strug-
soulless pieces of data. I experimented with gled to represent what we were discovering
different forms of poetic structures. about women’s (human) consciousness.
A haiku poem is composed of three lines
which often do not rhyme. The first line has
five syllables, the second line has seven and
the last line has five. I removed the extrane- CONCLUSIONS AND REFLECTIONS
ous parts of the sentences and left the feel-
ings, the actions and the thoughts in the form The WHIM project attempted (and succeeded)
of the haiku poem in an attempt to reveal the to change the women’s perception of mid-life
460 EXEMPLARS
and health by developing their self-esteem, social marginalization. As we reflected on the

their sense of empowerment, by increasing discussions with women we wondered how
their knowledge and therefore choices and their some had developed the idea that they were
connectedness to each other. The community used up and finished, a perception that was dis-
coordinators, the main coordinator and I tressing to witness. How is it that these older
responded in particular to descriptions of the women came to feel so disenfranchised and
projects as ‘a spiritual experience’ and we disconnected from their community? Russian
wondered what it was about these events that developmental psychologist Vygotsky is cred-
was so powerful for women. Although we dis- ited with explicating the process of internaliza-
covered that there was a lack of information on tion, the developmental relationship in which
menopause and mid-life health, it is doubtful external processes are transformed to create
that the women on their own would have internal processes. The Vygotskian formula-
sought it or known what to do with it even tion centres on two premises: internalization is
where it was available. Learning with other primarily social and semiotic mechanisms
women and from other women seemed to be (language) mediate the social and individual
more significant than the content of the educa- functioning (Wertsch and Stone, 1985).
tional sessions. Women needed first to find the Interpsychological functioning becomes intra-
joy in this life phase or, in Reason and pyschological functioning as the external
Bradbury’s words, how to ‘flourish’. This social dialogue becomes internal conscious-
appeared to motivate them to learn more in ness (Wertsch and Stone, 1985). In this project,
order to enjoy this developmental stage. the women felt stigmatized by negative views
As a community psychologist I was partic- of mid-life and by a society that they perceived
ularly interested in what Sarason (1974) has engaged in youth worship. The negative social
called ‘the psychological sense of commu- (external) dialogue on ageing becomes inter-
nity’ that appeared to be missing for these nalized as a plane of consciousness so that the
women and their feelings of marginalization. inner dialogue with oneself about oneself is
Sarason suggested if we are to effect change negative. Vygotsky conceptualized internaliza-
we need to understand how the nature of our tion as a ‘set of social relationships transposed
culture produced this reduced community inside’. This internalization is greater than
feeling. One woman explained to me that as simply a cognitive reflection of the environ-
young women we make connections through ment but instead it is structurally dynamic with
our children or through our work but for an emphasis on a person’s ‘interaction with the
older women there are no natural connec- socially organized environment’ (Valsiner,
tions. Nelson and Prilleltensky (2005) 1988: 142). We recognized that the women
describe this phenomenon in stronger terms. needed not only information for health but a
They refer to it as a social marginalization way to find meaning in their lives at mid-life
that can occur as individuals cycle through and to be engaged in a more positive social
the life stages. They describe marginalization dialogue about mid-life.
as being fundamentally related to the ‘very Similarly, for Brazilian educator Paulo
meaning of what it means to be human’ Freire, social dialogue is the mechanism by
(p. 299). For those who are ‘severely and which human beings develop and progress
involuntarily marginalized their selfhood, (Gadotti, 1994). Freire developed educative
their humanity is threatened’ (p. 300). strategies to bring the internalized thoughts
to the surface of consciousness to be exam-
ined reflectively and critically. According to
Reflecting on internalization of Freire, any educational strategy if it is to be
social dialogue liberating has to create authentic reflection
on people and their relations with the world.
The Vygotskian perspective percolated for me Traditional didactic education is aimed at the
as we tried to understand the nature of this submersion of consciousness while Freire’s
pedagogy of liberation strives for the emer- types of relationships and expectations for
gence of consciousness (Freire, 1970). The themselves. They were able to examine their
key is to develop within people the ‘power to old roles and develop new ones in the safety
perceive critically the way they exist in the of a community of other women through art,
world with which and in which they find poetry, music and laughter. This in turn
themselves’ (p. 64). Freire achieves this inspired them to care for themselves and to
through the use of ‘triggers’: words, pictures, become more fully a woman in mid-life.
or any medium that begins the act of dia-
logue by bringing into consciousness that
which has been internalized. He refers to this ACKNOWLEDGEMENTS
as ‘conscientization’, the process of learning
to perceive social, political and economic This project had heart and soul because of the
conditions and to take action. community coordinators. They are Linda
Anderson, Heather Gordon, Barbara Levesque,
Joan Meister, Patti Murphy, Carel Scott, and
Reflecting on Community Celeste Wincapaw, and the main coordinator,
In this project, the creative art forms, or Lenore Riddell. The two reviewers of this
Freirian ‘triggers’, used in the events facili- chapter, Hilary Bradbury and Rita Kowalski,
tated this awakening to internalized attitudes gave excellent advice, detailed comments and
and ways of being. The coordinators found enthusiastic reviews. Many thanks to all.
ways to inspirit the women with a new life
force. But there was another facilitator at work NOTE
in this process: becoming part of a community
through the process of engaging in the produc- 1 Other sessions or classes included Celtic dance, Tai
tion of presentational knowing, or as Heron Chi, self-defense; drop-in ‘pot luck’ lunches and noon
and Reason describe it in Chapter 24, hour walks; healing circles, activities aimed at raising
‘develop[ing] a sense of pre-conceptual com- self-esteem. Practical issues such as financial planning
and discussions of treatments for physical symptoms
munion or resonance in their shared life-
were discussed at other workshops in more traditional
world’ (p. 369). formats. Concurrently participants received specific
A structural invisibility of the women at information on depression, nutrition for health, exer-
mid-life occurs as they lose their connections cises and ageing, menopause and hormone replace-
to societal institutions, for example their ment therapy (facts and myths), bone health, sexuality,
work and their children’s school, etc. pros and cons of alternative therapies and some inter-
active media.
Through coming together for this project and
the exploration of presentational knowing the
women gained a connectedness in their com- REFERENCES
munity. Sarason (1974) articulates the charac-
teristics of this psychological sense of Anderson, L. (1999) Women’s Health in Mid Life: a Report
community as the perception of similarity to on Activities in the Northern Interior. Northern
others, an acknowledged interdependence Secretariat, Prince George, British Colombia: BC Centre
with others. McKnight (1996) calls for a for Excellence for Women’s Health.
regeneration of community, a return to depen- Campbell, C. (2004) ‘Health psychology and community
dence on the collective efforts of citizens to action’, in M. Murray (ed.), Critical Health Psychology.
New York: Palgrave Macmillan. pp. 203–22
provide support and comfort to each other
Freire, P. (1970) Pedagogy of the Oppressed. New York:
instead of an individualistic reliance on pro- Continuum.
fessionals and institutions which in turn rely Friedan, B. (1993) The Fountain of Age. New York:
on consumers (clients) for their existence. Simon & Schuster.
This project facilitated the emergence of Gadotti, M. (1994) Reading Paolo Freire: His life and
women out of their social marginalization and his Work. Albany, NY: State University of New York
gave them the opportunity to develop new Press.
462 EXEMPLARS
McKnight, J. (1996) The Careless Society: Community Sarason, S.B. (1974) The Psychological Sense of
and Its Counterfeits. New York: Basic Books. Community: Prospects for a Community Psychology.
Nelson, G. and Prilleltensky, I. (eds) (2005) Community San Francisco, CA: Jossey-Bass.
Psychology: In Pursuit of Liberation and Well-being. Valsiner, J. (1988) Developmental Psychology in the
New York: Palgrave Macmillan. Soviet Union. Bloomington: Indiana University
Owen, H. (1997) Open Space Technology: a User’s Press.
Guide. San Francisco, CA: Berrett-Koehler. Van Manen, M. (1990) Researching Lived Experience:
Reason, P. and Bradbury, H. (eds) (2001/2006) Human Science for an Action Sensitive Pedagogy.
‘Introduction: inquiry and participation in search of a London, ONT: Western University Press.
world worthy of human aspiration’, in P. Reason and H. Vygotsky, L.S. (1978) Mind in Society. Cambridge, MA:
Bradbury (eds), Handbook of Action Research: Harvard University Press.
Participative Inquiry and Practice. London: Sage. Wertsch, J.V. and Stone, C.A. (1985). ‘The concept
pp. 1–14. Also published in P. Reason and H. Bradbury of internalization’, in J.V. Wertsch (ed.), Culture,
(eds) (2006), Handbook of Action Research: Concise Communication and Cognition: Vygotskian
Paperback Edition. London: Sage. pp. 1–14. Perspectives. Cambridge: Cambridge University
Riessman, C.K. (1993) Narrative Analysis. Newbury Press. pp. 162–179.
Park, CA: Sage.
31
Working with ‘Not Knowing’ Amid
Power Dynamics Among Managers:
From Faultfinding and Exclusion
Towards Co-learning and Inclusion
Marianne Kristiansen and Jørgen Bloch-Poulsen
The overall purpose of this chapter is to show how power manifested itself as an excluding
and faultfinding discourse in a group of managers in a Danish company and how they and
we changed this power mechanism towards co-learning and inclusion by means of dialogic
inquiry. This cultural pattern emerged during the process when the managers were trained
as mentors and had ‘messy stuff’ to deal with. Among other things, we learned to listen to
our self-referential, emotional reactions when confronted with power mechanisms and to
use them as points of departure for co-changing their culture.
This chapter is based on a videotaped, empowering the managers as mentors

dialogic action research project that we car- (Kristiansen and Bloch-Poulsen, 2005).
ried out with a managerial group within the The overall purpose of this chapter is to
Research & Development Department of a show how power manifested itself as a fault-
major Danish company that produces televi- finding discourse (Schiffrin, 1994) in the
sions, loudspeakers, etc. The executive direc- group of managers and how they and we
tor, his two senior managers, their 22 dealt with and tried to change this disempow-
managers, and some employees participated in ering mechanism.
the project. The main goal was to enhance First, we illustrate how this faultfinding
employee involvement by training managers as pattern became apparent during the process.
mentors, i.e. to empower the employees by Managers and employees who, for example,
464 EXEMPLARS
admitted insufficiencies were excluded from alignments and relations, i.e. a strategic,
being listened to or promoted. In line with relational and dynamic concept – or a spe-
Lewin’s dictum (1948) that you get to know cific regime of truth (Foucault, 1978, 2000;
an organization when trying to change it, we Gaventa and Cornwall, 2001/2006; Chapter
happened to come across this pattern when 11 in this volume; Rouse, 1994). In our
we began training managers as mentors. We understanding, the consequences of power
conceptualized this pattern as a power mech- can vary to comprise excluding, constrain-
anism by means of which the managerial ing, empowering, and including.
group maintained its own discourse of nor- In the following, we give a presentation
mality (Foucault, 1978, 2000), thereby creat- that reflects the action research process itself.
ing a distinction between the included and We do hope, though, that you will not lose
the excluded. the big picture, as we often did during the
Second, we show how the faultfinding pat- process! We believe action research can be
tern was not only co-created between man- developed through concrete descriptions,
agers and employees, but also between them where we show changes in praxis, when
and us (Kristiansen and Bloch-Poulsen, things are messy and hurt; where we might
2006). Our first-person inquiry (Torbert, experience happiness, co-create new con-
2001/2006; Torbert and Taylor, Chapter 16 in cepts, models, and theories, when we our-
this volume) demonstrates how we did not selves are put at stake as persons, a place in
understand this discourse at the beginning of which the distance between success and fail-
the project, but adopted it due to our self-ref- ure seems minimal.1
erentiality (Kristiansen and Bloch-Poulsen,
2004). Without knowing, we did not question
our own a priori categories and ways of relat- EMERGENT, MUTUAL INVOLVEMENT
ing. Changing the pattern of faultfinding
meant changing our self-referentiality, too. The development process we worked on was
Third, our second and third person inquiry convened to address the large personnel
demonstrates how we worked with the man- turnover in the software group of the R&D
agerial group to collaboratively change the department particularly. By means of a Future
power mechanism from faultfinding and Lab (Jungk and Müller, 1990) involving all
exclusion towards co-learning and inclusion. employees and managers, it became clear that
Later in the project this happened by chang- within this project organization the employees
ing the relations among them and between missed a managerial function dealing with
them and us into a dialogic inquiry where we their long-term personal and professional
all began problematizing the apparently nat- development. The Future Lab was organized
ural, basic assumptions of their ways of liv- because, alone, neither management nor we as
ing in organizational power mechanisms. action researchers could produce an adequate
The authors’ conceptual framework answer to the challenge of personnel turnover.
changed during the process, too. We origi- It had to be the result of a joint effort involving
nally understood power negatively as a the employees, too. Accordingly, the Future
juridical, positional concept, i.e. as an indi- Lab decided that the managers were going to
vidual possession, for example located in the be trained as mentors. The concept of mentor
executive director, enabling him to constrain was not co-produced until this moment. It
the scope of actions of his managers. Today, described the wanted, but until now missing,
we also conceptualize power as a cultural management function.
pattern manifest in and co-produced by the During this project, we began conceptual-
discourse of all the managers in the depart- izing our approach as emergent, mutual
ment and by the interaction between them involvement (Kristiansen and Bloch-
and us. It is a distributed network of social Poulsen, 2005). It is about being open to
WORKING WITH ‘NOT KNOWING’ 465
emerging, burning challenges dealing with intended to involve them, but the question
job tasks and cooperation in ways that inte- created a subtle shift in the energy level in
grate organizational development as we tried the room, as if the room stopped breathing
to do with the Future Lab. The approach also for a moment. One of the two senior man-
implies co-developing concepts and models agers looked at the executive director in a
with the participants as illustrated by the conway Jørgen interpreted as if something was
cept of mentoring. Thus, we did not bring wrong. Jørgen did not pay particular atten-
ready-made theories and models to be imple- tion to this reaction because he was used to
mented in the programme. constantly being evaluated as a consultant.
It is our experience that no matter how Marianne reacted by internalizing their reac-
well we prepare ourselves, we can never tion and began wondering if she could live
know what will emerge in the process. To us up to their standards. Thus, we did not ques-
action research is about giving up the power tion our self-referentiality, but adapted to the
of knowing in advance, albeit resting on situation, because deep down we were
many years of scholarship, inquiry and scared. Moreover, we did not have a plan for
engagement with the questions of organiza- how to intervene when the going got tough.
tion change, and instead being prepared to We were starting the process and were in
meet what is unexpected as, for example, the doubt about the timing of our interventions.
faultfinding pattern. Originally, we under- What did we dare to say without jeopardizing
stood this as our naiveté, now we call it ‘pro- the whole project?
ductive not-knowing’. We consider this to be In retrospect, it has become clear to us that
a central part of emergent, mutual involve- already at this time we met with an example of
ment more in line with a dialogic tendency what all of us later termed a faultfinding pat-
within organizational development than with tern within the managerial group (see the
a strategic and instrumental one (Deetz, section on ‘The red pen’ and onwards). We
2001). were being tested, although it was commonly
known within the group that we had already
done successful work with the organization
DON’T ASK: ‘WHAT IS A GOOD which some of them had even participated in.
MANAGER?’ We began realizing that the faultfinding pat-
tern was not only out there between them, but
Already at our first training module with the also co-created in the relation between them
25 managers of the R&D department after and us. We might, for example, have inter-
the Future Lab, things were easier said than vened by questioning the subtle shift in energy
done. We met in the HR rooms of the com- and by asking whether we were up for a test
pany where we articulated our purpose and because we experienced that we were being
presented a preliminary outline of the judged. By doing so, we could risk being
mentor-training programme, which had been excluded from their culture, but we might also
fine-tuned with the director and the two have started a dialogue about it. We under-
senior managers. stand this as a dilemma of courage and timing
We experienced the atmosphere in the of when to use the relations between them and
room as ranging between positive expecta- us as a possible mirror of their culture. We
tions and skepticism, e.g. when we began chose to tiptoe on the tension.
negotiating an idea of videotaping the whole At a later training session, one of the
process as a means to develop concepts and senior managers confirmed that at this
train the managers as mentors. We balanced moment they had been about to ‘flunk’ us,
expectations and continued asking: ‘What is because they were tired of consultants
a good manager – especially a good mentor – merely asking questions. In the meantime,
according to your understanding?’ We we had observed a meeting where all the
466 EXEMPLARS
managers discussed possible candidates for ‘self-starters’, i.e. to take more initiatives
the next downsizing. Our feedback to them without depending on Børge. The purpose is
dealt with how managers asking open ques- to increase the efficiency of his project orga-
tions received no eye contact, were inter- nized teams in the R&D Department:
rupted by judgemental statements, and not
listened to, while those with unambiguous Asger: And why [waves left hand] do you think Karl
was unable to feel like a self-starter on this
points of view accompanied by humour were
occasion? [quick smile]
mentioned in the minutes of the meeting. We Børge: [wry smile] I’m afraid that was perhaps
experienced first hand that productive because I piled on too much pressure, that
inquiry (Isaacs, 1999) worked as a way of I’m too ambitious ... that he perhaps says:
being excluded from the managerial group, ‘OK, Børge has a grip on that, I can hear
from Børge that he knows all about that, so
because practically all questions were
I agree that something has to be done.’
ignored. Asger: [knits brows]
Without our knowing, mentor-training in Børge: But he does nothing because he knows that
dialogue and coaching could be experienced I’ll do it.
as a provocation to their culture. They were Asger: Does this mean that you take over and solve
not used to asking for help and asking ques- the task for him instead?
Børge: Yeah ... maybe [wry smile; nods], I do it, yes
tions. In their daily work they acted mostly as I do [looks up].
advisers or experts. Would they respect help Asger: [leans over the table; smiles] Is that the
from a person (coach/dialogue partner) who mechanism?
did not know the right answer in advance? Børge: Yes, I probably do that ... I probably do
Would they respect us, if we practised dia- [smiles; looks up and then at Asger].
Asger: Have you been out and had a go at the
logues and asked questions like ‘What is a machine?
good manager?’, or would we be excluded? Børge: Yes, I have [looks down]
We did not grasp, then, the possible impact Asger: [looks at Børge]
of the disturbance created by the mentor- Børge: as recently as yesterday [laughs].
training project (Bateson, 1972). Asger: [laughs aloud; looks out into the training
group – they/we laugh too] ... So it could be
In the next section, we unfold the fault- the mechanism [looks straight at Børge]
finding pattern between the managers and which comes into force that means Karl
between them and us. doesn’t take it?
Børge: [nods; looks straight ahead; moves body
back and forwards] It could be ... it could be
[5 secs.]. I don’t know why [looks at Asger;
with a wry smile].
CAN A MANAGER LOSE FACE Asger: [laughs; leans back]
IN AN ORGANIZATION? Børge: I have to honestly admit.
In the mentor-training, the managers dealt There is a double asymmetry in this con-
with their daily, burning issues and were versation. Asger is a coach and the executive
simultaneously trained as coaches and dia- director, too. The training group are
logue partners based on concepts developed observers, managerial colleagues and com-
during the process. In the following clip from petitors, too. Besides, some of them refer to
a coaching session, the coach, Asger, is also Asger as their day-to-day director. In this
the day-to-day director of Børge, the problem way, the training context is already integrated
holder or focus person. Their colleagues are in the organizational context.
gathered around them. They observe the con- Asger keeps checking his notion that Børge
versation and give feedback to both parties solves a task for Karl (‘Does this mean … ?’,
afterwards. One of us is present, too. Børge’s ‘Is that the mechanism … ?’, ‘Have you been
overall goal is employee involvement. He out … ?’, ‘So it could be … ?’). His repeated
wants his employees, e.g. Karl, to become check is accompanied by loud laughter and
eye contact with the training group laughing our emotional reactions as a vehicle for
back. Børge answers by shifting between co-changing their culture.
downgrading replies (‘perhaps’, ‘maybe’, In the following sections, we describe how
‘probably’) and admissions (‘I do’, ‘Yes, I we worked with the managerial group to
have’, ‘I have to honestly admit’) at the same collaboratively change the power mechanism
time smiling wryly and making a long pause from faultfinding and exclusion towards co-
before his final admission. learning and inclusion.
It is our interpretation that this conversation
is turned into a disclosure of the insufficien-
cies of Børge in front of his colleagues and THE RED PEN?
one of us, Jørgen. Four times, Asger asks the
same Socratic question about Børge’s possible The faultfinding pattern is brought into the
shortcomings. A nonverbal alliance seems to open in the following clip which presents a
be created in the training room between Asger, feedback conversation between Asger, the
the training group, and Jørgen, by means of executive director, Leo, one of his experi-
laughter and eye contact. By admitting a con- enced managers, and the two of us. We talk
tradiction, Børge seems to be losing face about their video-taped annual employee
within the managerial group (Goffman, 1967). appraisal conversation. Along with Leo, we
In these ways, the conversation becomes an question Asger’s ‘red-line-behaviour’:
example of a faultfinding discourse. Asger
and the training group can be interpreted as
JBP: The comments that we had written to you
insiders and Børge as an outsider whose real- about that you – like me – sometimes
ity does not count (Chambers, 1995, 1997), appear to be evaluating, do you have any
but is met with laughter. Both the training comment on them?
group and Jørgen become co-witnesses to the Asger: Yes, well, it is, of course, correct [all laugh]. I
can’t help evaluating and judging people.
disclosure of Børge. What was intended to be
Leo: We tease Asger a lot with a red pen.
a helping or a generatively facilitated conver- Asger: I don’t have a red pen, they’re all blue
sation in the training context became a disclo- [laughs]. It’s nonsense.
sure in the organizational context.2 Leo: It’s again the phenomenon that no matter
Even though the situation happened some what we show you, you just can’t help it ...
it’s again the bit about making it even better
years ago, Jørgen remembers it as if it were and developing it, eh? You add a line there
yesterday. At that time, he was puzzled. The and a dash there and then a bit over here
same evening we watched a videotape of the [illustrates on a piece of paper]. And then
conversation. It was not until Marianne you see what comes out of it. And we all
exclaimed: ‘What is this laughter about?’ that know Asger’s attitude is positive. But if you
are a fusspot, then it isn’t so easy. But if you
Jørgen was able to express his discomfort have found out that he really does it because
and shame at having co-witnessed Børge’s he genuinely means well, then it’s great. But
disclosure without intervening directly in some people will think: ‘that was pretty
the situation. As a consequence, the manage- cruel, there isn’t much left there.’ But I think
rial culture seemed to be repeated in the you know that yourself, you know, it isn’t
unknown for you?
training context. Was this due to Jørgen’s Asger: No.
unconscious identification with the faultfind- MK: But I was thinking that if you are not like
ing tendency of the executive director? Leo, but a bit more reticent ... then I think a
By asking this question, we began problema- person would have to push hard to make
tizing our own a priori ways of relating, i.e. himself visible to you?
Asger: [nods]
our self-referentiality. Today, we would
MK: You get on best with strong employees?
probably have intervened by expressing our Asger: Yes, I don’t think the others have a chance. I
discomfort and checking what the special don’t notice their qualities … That’s probably
quality of this laughter was all about, using right.
468 EXEMPLARS
Earlier, we mentioned Jørgen’s possible HAS HE BEEN JUDGED FOREVER?

identification with the faultfinding tendency of
the executive director, Asger. By using himself The following clips are from a group feed-
as an example, Jørgen shares his perspective back conversation between seven managers,
with Asger and Leo and dares problematize Ivar, the senior manager of some of them,
Asger’s faultfinding pattern (‘The comments and the two of us after a coaching session
that we … on them?’). Asger and Leo con- that we have all observed on the last training
firm this pattern and Leo elaborates on it. module. The executive director is not pre-
Marianne changes perspective and questions sent. Bjarne, the focus person, is the day-to-
whether some of Asger’s more reserved day manager and mentor for a male
managers experience his red marks as signs employee who is very experienced, but ‘on
of exclusion or as invitations to learning. festive occasions he goes right at the women
Asger confirms that he does not notice the who happen to be present’, as Bjarne men-
reticent managers. Our inquiry is accompa- tions with a wry smile. The employee has
nied by laughter and we speak on an equal applied for a job as a manager. Bjarne doubts
footing. Thus, we conceptualize this conver- whether is it in tune with his ethics to pro-
sation as an example of a dialogue. We mote an employee with such behavior. The
define dialogue as a collaborative inquiry faultfinding pattern is here enlarged to
characterized by sharing, daring and caring embrace the culture in the whole department:
(Kristiansen and Bloch-Poulsen, 2005). In
Bjarne: But this is problematic ... What has hap-
this dialogue, we share our points of views, pened right now is that the man has no real
we dare to problematize the red-pen ten- chance of becoming a manager here, ever,
dency of the executive director, and we care because we all share the same knowledge
to become wiser together. This dialogue ... Right now, I have a guilty conscience
could also be understood as an example of because I have in fact exposed the man. …
JBP: Let’s just look at that. What do you mean by
experiential knowing (Heron and Reason, your guilty conscience?
Chapter 24 in this volume). Bjarne: Yes, it means there might never have been
Leo understands Asger’s red pen as a anybody who has pointed this out to him
means of constantly developing projects and before. I’ve decided to go in and do that.
ideas in the R&D department (‘ … it’s again But before he gets the chance to sort of do
something about the situation, then he’s,
the bit about making it even better and devel- perhaps we’ve judged him in advance. And
oping it, eh?’). In their daily work, faultfind- I’m the reason he’s being judged. ...
ing seems to be an important competence. JBP: Who has judged him?
We think Leo’s remarks about the red pen Bjarne: Well, I have a bit, haven’t I, by involving you
illustrate a dilemma for this managerial so he can be judged by you, too.
JBP: OK. We can check that. Has he been? [asks
group. On one hand, the red pen might func- the group]
tion as faultfinding exclusion of the more Ole: Well, he isn’t the first employee to have
reserved managers. On the other, Leo and made a right mess of things.
people like him might experience it as Bjarne: No, he sure isn’t.
knowledge sharing inclusion. In this way, Ivar: And we don’t necessarily judge them all.
Ole: We’re all human beings, we can all mess up,
Leo moves the perspective on power etc.
from Asger’s individual psychology to the Bjarne: Yes, OK. ...
consequences of the red-pen tendency on Ole: So I don’t think so.
managers. Bjarne: How many of you sitting here have really
We comprehend this red-pen dialogue as messed up?
Ivar: I could name a few of us.
an initial, joint step of transforming their Ole: But they have managed to move on.
managerial faultfinding culture from an JBP: I’ll just check, is there anybody who judges
excluding towards a more empowering one. him?
Leo: We could perhaps turn it around and say, different consequences for them and their
why is it now Bjarne thinks the way he employees. It is no longer only a question of
does? … Once we have heard something,
whether Bjarne is going to use his power by,
we can’t avoid judging. And it’s almost
impossible not to. for example, rejecting the promotion of the
Ole: We’re bad at that, you’re right. employee. Thus, we began to conceptualize
MK: Does that mean that if you make a couple the faultfinding pattern as a shared culture in
of mistakes, you’re out? the department.
Leo: No, one is enough actually, I’d say.
We intervene by checking: ‘Who has judged
MK: One’s enough?
Leo: Yes, if you can remember it then it’s enough. him?’ … ‘OK. We can check that. Has he been
(judged)’? This is an example of a dialogic
In this dialogue, Bjarne co-reflects with his competence we came to call scanning, i.e.
colleagues and us on the consequences of checking of ideas followed by perspective
sharing his knowledge about the employee in reflection in a mutually affirming atmosphere.
the training group. The conversation inquires We also intervene by asking: ‘Does that mean
into the same questions from different per- that if you make a couple of mistakes, you’re
spectives. Is the employee now excluded from out?’ This second loop question addresses a
becoming a manager (‘I have in fact exposed basic assumption about how many errors one is
the man’)? Is it possible to share such knowl- allowed to commit before being excluded and
edge within the managerial group? not promoted in this culture.
The conversation starts out as an inquiry into We remember a shift in energy or atmos-
Bjarne’s ‘guilty conscience’. Jørgen practises a phere when asking this question. Marianne
dialogic competence that we call tracking. This felt all of a sudden alone in the group and
is questioning a key expression, ‘guilty con- began wondering if her question was wrong.
science’, that Bjarne has just used, followed by We have had similar feelings in other groups
perspective reflection in a mutually affirming when questioning basic assumptions about
atmosphere. We co-developed the concept of power mechanisms. We experience these
tracking and other dialogic competencies second loop questions as trespassing an invis-
during the project (Kristiansen and Bloch- ible border you did not know existed until you
Poulsen, 2005). Leo asks a perspective ques- asked the question. We have learned it is
tion: ‘why is it now Bjarne thinks the way he important to be courageous, to keep sitting in
does?’ He understands Bjarne’s way of think- the fire (Mindell, 1995), and continue the dia-
ing as an example of a judgmental tendency in logue. As shown, this was not possible for us
the managerial group (‘Once we have heard in the beginning of the project. At the
something, we can’t avoid judging. And it’s described moment, we had co-operated for
almost impossible not to’). Ole confirms this. some time, developed mutual trust, and suc-
By changing from an individual to a man- ceeded in co-establishing what we call a car-
agerial, group perspective, the group begins ing container (Kristiansen and Bloch-Poulsen,
to inquire into the faultfinding discourse of 2005), i.e. a dialogic space and rhythm where
their managerial culture and to question it becomes possible to meta-communicate
whether an employee is being excluded about power mechanisms.
forever by them. Thus, the problem is no
longer understood as only Bjarne’s. It
belongs to all of them. In the conversation CATCH 22?
above, we reached a new understanding of
power, because Leo helped us again. Power The group ends the conversation by conclud-
changes from being conceptualized as an ing that Bjarne and they are caught in a Catch
individual possession to also being under- 22. No matter what Bjarne does, there will
stood as a discursive regime of truth with still be a problem:
470 EXEMPLARS
JBP: The bit about your guilty conscience. faultfinding discourse of their management
Where is it now? Would you raise similar meetings. This decision was made at a ple-
matters again?
Bjarne: Hmm ... yes, well, I think, it has been a
nary at a training module, where it turned out
good experience to bring it up, so as far as that it was not only us who experienced a
that is concerned, then I would probably ... judgemental atmosphere at their meetings.
But I would have to be very, very sure of my Some of the more reticent managers began
case, before I began to bring it up. talking about their stomach pains, their ner-
Ivar: Why is that, Bjarne?
Bjarne: Yes, well, because if I’m more unsure of my
vousness and physical discomfort when tak-
case, then there’s a risk of the injustice ing part in the meetings. These ‘new voices’
being even greater, if we judge him, eh? ... also said that colleagues in other departments
Aksel: But seen from the other side, if you, Bjarne, felt as if they were being ‘thrown to the
didn’t tell anybody else about it, you were lions’ when they made a presentation in front
alone with it, and you decided to try it out
on him, then you would also have a guilty
of the group, as we felt in the beginning of
conscience about that, I think. the project.
Bjarne: Yes, because then I would not feel so clear Others remembered their feelings of being
in my head. ashamed at not intervening directly, when
Aksel: So you would not know whether you really Asger used ‘the red pen’ against one of their
had any back up for doing something.
Ivar: So it’s hardly surprising that it gives you a
colleagues in a meeting. They felt the
guilty conscience, no matter what you do. responsibility of co-witnessing, as they
themselves were part of the managerial
Again, one of the managers, Aksel, changes group.
the perspective of the conversation: ‘But seen Consequently, they decided to organize
from the other side …’. If Bjarne had not future management meetings by using a fish-
shared this knowledge, he would not have bowl model presented in the training. They
‘any back up for doing something’. We inter- would take turns as bystanders giving feed-
pret Leo and Aksel’s change of perspectives back regularly on communication patterns
accompanied by confirming replies (‘We are based on a more dialogic code of conduct
bad at that, you are right’, ‘Yes, because then written on a big poster in their meeting room.
I would not feel so clear in my head’) and per- Collaboratively, we thus tried to organize
spective reflections as examples of a dialogic their managerial meetings in new dialogic
use of the faultfinding pattern within the ways by moving their power mechanisms
group. They question the limits of what they from an unspoken to a legitimate and open
dare share in the training group without nega- part of the agenda (Kristiansen and Bloch-
tive consequences for their employees. In this Poulsen, 2000).
way, they problematize the boundaries of dia-
logues in organizations.
Apparently, we can change a cultural pat- LEARNING THROUGH CHANGING
tern by co-developing dialogues in the train-
ing context when we dare to share in a caring Changing the faultfinding pattern was not
way, but this context is already integrated in part of the mentor-training programme origi-
the organizational context, so there seems to nally – it emerged during the process. The
be a limit for dialogic action research, too. managers and we changed this all-embracing
pattern by practising dialogues. This meant
bringing the pattern into the open, question-
CHANGING MANAGEMENT ing our self-referentiality, problematizing
MEETINGS basic assumptions, and co-creating new ways
of organizing their management meetings.
Towards the end of the programme, the The power mechanism was not suspended,
management group decided to address the but the faultfinding pattern was redirected
from an excluding towards an including NOTES

power mechanism.
Leo and Aksel helped us to look beyond an 1 In this chapter we have chosen not to enfold
individual concept of power. Other managers three major theoretical questions, which are present
in embryo. They are about how to understand the
also helped us to understand their culture – relation between communication and organization,
from ‘the red pen’ to being ‘thrown to the between the participants and us, and between
lions’. In future projects, we will pay even dialogic change and organizational inertia.
more attention to the participants as our co- 2 As we did not ask the managers about their
researchers and teachers. experiences, we cannot know if our interpretation is
valid. However, when combined with the subsequent
Power is one of our teachers, too. In paragraphs where the managers validate the pattern,
future projects, we expect to meet power we think our interpretation offers the most compre-
mechanisms in organizational groups when hensive understanding (Kristiansen and Bloch-
questioning basic assumptions. We learned Poulsen, 1997).
that it is important to listen to our (initial)
self-referential, emotional reactions when
confronted with power mechanisms and use REFERENCES
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Chambers, R. (1997) Whose Reality Counts? Putting the
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We learned that action research is an ongo- Foucault, M. (1978) The History of Sexuality, Vol. I: an
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shown, this is sometimes a subtle, sometimes Foucault, M. (2000) Power: Essential Works of Foucault,
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ancing between courage, mutual trust, pro-
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we gradually dared to share our reactions and Practice. London: Sage. pp. 70–80. Also
with them, even when this contributed to cre- published in P. Reason and H. Bradbury (eds) (2006),
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began acting in dialogic ways towards each to-Face Behaviour. London: Penguin Books.
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they said they were able to help their er sandheden. En videnskabteoretisk debatbog
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on Group Dynamics. New York: Harper & Brothers.
32
Learning to Love Our Black Selves:
Healing from Internalized
Oppressions
Ta j J o h n s
This inquiry did not begin as an action research project. Many years ago, I began to explore
the effects of racism on my personal development. This exploration led me to seek out others
who were struggling with how living in the United States as an African American affects per-
sonal growth and esteem. In this chapter I use the lens of action research to explain how my
personal quest expanded to encompass both second- and third-person inquiries. My co-
inquirers named our group SASHA, an acronym for Self Affirming Soul Healing Africans. The
SASHA process that resulted from our inquiry is culturally specific to the needs of African
Americans toward reducing the consequences of racism on their lives.
When I began my journey I was a victim of inter- ways that help liberate other marginalized
nalized racism. I had internalized the system’s groups. This chapter is based on data I col-
beliefs about me, judging myself from the domi-
lected systematically from the SASHA
nant culture’s standard. I did not feel worthy of
love or respect. (Journal entry, 1989) archives, formal and informal interviews
with SASHA participants, my own journals
I begin by sharing a quotation from my per- and finally my continued work on bridging
sonal journal, which describes the mindset cultural differences.
that our work aims to address in the African I frame our work in two related ways that
American community. This chapter describes extend and contribute to action research
SASHA, an acronym for Self Affirming Soul theory of practice. The evolution of SASHA
Healing Africans that refers both to a group was an organic interplay among the three
of people and to a healing process they cre- levels of inquiry in action research which
ated. By telling SASHA’s story, I hope that correspond to first-, second-, and third-person
others may learn from us and use our work in inquiry. Our SASHA experience provides
474 EXEMPLARS
a robust illustration of the extended required on the farms that bolstered the
epistemology described by Peter Reason and Southern economy. A system of chattel slav-
Hilary Bradbury in this Handbook’s intro- ery was established for this purpose and
duction. Our SASHA inquiry, which Africans were assigned to this system of
emerged from our experience and deep need servitude. As chattel, Africans were the prop-
to change our lives, engaged us in a wide erty of European colonists who bought them.
variety of presentational ways of knowing. History reports many indignities associated
This inspired us to create a model that con- with chattel servitude such as women being
ceptualized how our SASHA process seen as a commodity to produce more slaves
addressed the effects of internalized oppres- and children taken away from their families
sion on our community. The SASHA process and sold to other colonists. African slaves in
changed all of us profoundly in the way we America were treated as savages, as less than
live our lives and carry out our work in the human.
world. On 1 January 1863, as the nation approached
The SASHA process is an experiential the third year of civil war with the Southern
model. Participants are encouraged to engage states, President Lincoln signed the Emanci-
in a series of exercises such as breathing, pation Proclamation outlawing bondage. The
expressive movement, song, dance and giv- proclamation only applied to the Southern
ing voice to the stories that inform their states, which allowed slavery to continue in
worldviews. Sometimes participants just sit the north. By the time that the proclamation
quietly in meditation, finding ways to inte- was ordered, the practice of racism was part
grate their new knowledge. These exercises of the American social structure. Africans in
are what distinguish the SASHA model from America were still faced with the attitudes of
other cultural models that label stages of whites who continued to have the belief that
racial identity, but do not provide instruction we were less than human. Brutality against
for how to move through these stages. blacks is still documented today with the
famous trial of the Los Angeles Police
Department convicted of brutalizing Rodney
King in 1992 and the brutal killing of James
A BRIEF HISTORY OF AFRICANS IN
Byrd in Jasper, Texas, on 1998.
AMERICA African American leaders during the
emancipation and continuing to the present
After 246 years of enslavement, many African
Americans had internalized the negative images day worked to create structures that could
and ideas advanced by white preachers, writers promote racial equality. These structures
and scientists. The sum total of their experience involve establishing economic independence,
was the substitution of physical enslavement with social/political access, and educational oppor-
a new system of mental enslavement. Embedded
tunities. Movements to institute these strate-
in the new system was the idea of white superior-
ity and ‘black’ inferiority. (Molefi Kete Asante, gies were formed based on the assumption
1995: 317) that by providing access to educational, eco-
nomic and social/political opportunities,
A brief review of African Americans’ history African Americans would gain equal status
in the United States is essential for the reader with whites and share in the American
to appreciate why healing models such as dream. There are two reasons these strategies
SASHA are necessary. This brief history failed to produce the desired outcomes. First,
shows how the components to oppress were the institution of racism did not offer the
established, eventually leading to internaliza- same opportunities and justice as provided
tion of that oppression. for whites; secondly, the consequences of
During the development of America, slavery had a profound effect on the psyche
human labor was needed for heavy work of the now free African.
LEARNING TO LOVE OUR BLACK SELVES 475
In the modern era, these movements brought me into first-person action inquiry. I
continue in parallel with other efforts. The begin the SASHA story with my personal
‘Black is Beautiful’ movement in the mid- story to bring to life some of the history
1960s was an attempt to nurture the self- described above.
esteem of blacks (within a culture in which When I was 13 years of age, I was trans-
only white people’s images were seen, where ferred to an all white school where I would
most dolls extolled European features). spend the next three years of my life living in
Affirmative action was an effort to offer pref- shame and embarrassment because of place-
erential access to African Americans to edu- ment exams that assigned me to a slow track
cational and employment opportunities and for my junior high school years. Although
one aspect of the civil rights movement this was just three years of my life, it was an
focused on strengthening voters’ rights and experience of shame that colored my life for
access to political institutions. This history the next 40 years. At my young age, I did not
suggests that the descendants of chattel want to admit there was a difference created
slaves continue to suffer from the burdens of because of my skin color. Many years later a
institutional racism, racism and internalized conversation with my therapist began to alter
racism. Institutional racism refers to the sys- the way I look at the world and myself.
tematic practices of institutions that create
disadvantages for certain racial and ethnic Me: I remember feeling the embarrassment
groups. Racism is the belief that racial differ- of being placed in the lower educa-
ences create a superior or inferior trait in a tional track throughout middle school.
I was in classes with people who could
particular race. Internalized racism refers to
not tell you the days of the week.
the way people come to believe the deroga- These were people who could not
tory messages about their racial group that read. I was in an all white school
are perpetrated by the dominant group. Once except for five other Black students
accepted as true, these messages lead to self- and me. I think all but two of us were
doubt and self-hatred. Ella Bell (2001/2006) in the lower tracks in this school. I
suggests ‘We must find new ways to disman- made ‘A’s’ the whole time, all three
tle both systemic and social dimensions of years. I don’t know why someone did
racial oppression’ (p.56). I offer the SASHA not come and get me from these
process, as an action research method, to classes. When I went to high school, I
begin dismantling the lingering effects of made all A’s and B’s except in Civics.
Therapist: It sounds like you were a victim of
historical oppression.
institutional racism.
Desire to overcome the effects of racism Researcher: I can’t accept that. In order for me to
both in my life and in the lives of 13 other accept that is to say that it was inten-
African Americans was the reason SASHA tional. That people actually treated me
was formed. We worked together for ten this way because I’m black.
years. As we worked it became evident that Therapist: It is racist. (Journal entry, 1989)
our stories of marginalization and judging
ourselves by taking on the perspective of our My daily work was to find my way out of
oppressor is a story common among African the maze of my secretive internal dialogue
Americans who have internalized the oppres- that said, ‘You are not smart and have noth-
sion foisted on them by the larger society. ing worthwhile to contribute to society.’ I
struggled with proving to myself that I am
worthy of my life. In an attempt to eliminate
MY STORY these feelings I have spent most of my adult
years in school. I thought if I got enough edu-
My feelings of unease with how racial stigma cation, I would be acceptable to myself and
affects my personal progress in the world everyone else. Sitting quietly in a corner
476 EXEMPLARS
trying to understand some educational In January 1991, when we convened the

concept, I was constantly plagued with the first meeting of our group, which would
feeling that I was not enough, I did not eventually evolve into SASHA, we knew
belong, and that I was stupid. nothing about action research. Four women,
The reframing of my educational experi- in our late 30s and early 40s, had come
ence began my first-person inquiry. In order to together to write a book about black women
understand my feelings of inadequacy, I began in recovery from racism.
to attend workshops about self-improvement, Isis organized the first meeting with the
on Adult Children of Alcoholics, and for self intention of bringing the voice of African
re-parenting. One process professed that this Americans into conversations of recovery.
would be the last therapy you would ever We used the term recovery, which is usually
need. After that workshop I attended another, associated with addiction. We began to rede-
which claimed to help me embrace my inner fine this word to capture something different
child. After that I tried meditation in order to for ourselves. By recovery we meant recov-
eliminate my negative thoughts and construct ery from feeling the emotional control of
a reality that was self-loving. internalized racism. As Mariah would say
I continued to work hard – taking expres- ‘We were recovering from white people.’ We
sive writing classes, joining a Buddhist com- knew that racism moved us away from our
munity, and learning Tai Chi. I was never goals. We all had a stake in the problem,
able to eliminate the feeling of not deserving which was feeling the limitation and effects
to be successful or belonging in this world. that racial stigma, racism and stereotyping
After years of trying, I was still left with the had placed on our lives.
question, ‘What can remove this feeling of We all lived in the San Francisco Bay area.
being a mistake?’ Isis and I were in unstable relationships and
What was not present in my first-person were also single parents. Mariah and
learning was an acceptance of my reality that Fateema did not have children. Fateema was
race influenced the way I was treated in the in a 15 year relationship with Harold. Later
educational system. I never understood that Harold would join our community and begin
racial inequities impacted the way I perceived another group called the Black Men’s
the world. Although I was on a journey that Support Group. Three of us had family
offered increasing access to self-reflection within 60 miles of where we lived; Fateema’s
and new ways of thinking about the world I family was from the Midwest where she was
had not developed, in Peter Reason’s term, raised until she was in her mid-20s when she
‘critical subjectivity’ but continued to sup- moved to the San Francisco Bay area.
press acknowledging the impact of institu- Through our evolution we discovered that
tional racism on my development. racism was the underlying facet of our recov-
ery. We discovered that our ability to stay
connected in body, spirit and mind was chal-
FROM FIRST- TO SECOND-PERSON lenged each time we encountered a racial
INQUIRY episode. We discovered through our work that
when faced with racial issues (any type of
After two years of struggling to understand traumatic situation) there are three possible
how my life was shaped by race, I found three reactions to the event. The mind can react by
other women who were engaged in similar interrupting or denying the experience; the
struggles. Even though we all had rewarding body may take a fight or flight stance; or the
careers, we felt something restricted us from spirit may cause one to feel hopeless. These
feeling complete or successful, so we wanted encounters offered temptations to numb or
to understand the habits of mind that created withdraw from the experience by using addic-
our restrictive worldview. tive patterned responses. We identified racism
as the common variable that we needed to and purposes as a white girl in black skin. I had
reframe. Identifying racism had become the become frozen in my confusion, shame and pain
of my blackness. (Journal entry, 7 January 1992)
impetus that would begin our recovery and
reconstruction of feelings of self-worth.
After working together for five months,
As we continued to meet, the other women
our group of four women became more sys-
began to speak of concerns that revolved
tematic in trying to understand how racism
around being a strong black woman at the
affected our lives. I think of this as a time
cost of our femininity, difficulties in learning
when my first-person inquiry shifted into our
to love our black men, understanding the
shared second-person inquiry. Our face-to-
impact of racism on our sexuality and a gen-
face encounters stimulated our empathy for
eral sense of self-hatred. In one of Fateema’s
each other through our stories that echoed
reflections (from the SASHA archives) she
each other’s truth. Self-hatred, learning to
wrote about her lonely feelings that arose as
love ourselves, our community, and a sense
she attempted to heal from internalized cul-
of a loss of our femininity and sexual expres-
tural hatred. She wrote:
sion were common themes. The most pro-
I was born and raised and continue to live in a found discovery that would guide us to our
country that hates me because of my African next learning was our shared history of
American heritage. All of my life I have been sensi- attending workshops centered on recovery
tive to this hatred. The color of my skin, the texture and race in what were essentially white are-
of my hair, the size of my lips all became badges of
nas. From these endeavors, we all expressed
shame. I had internalized the dominant culture’s
negative beliefs about my Africanness. My journey feeling unsafe or, feeling we had to suppress
of healing my self-hatred and learning to love our views. Isis recalls:
myself as a black person has been a solitary one.
Whenever you began to do your work, you had to
defend what you felt around white people. They
Although I had not seen my journey as one of
were quick to say, ‘I am not responsible for what
recovery because I never saw racism as a my great grandparents did to your ancestors,’ or
phenomenon that required recovery, I soon ‘Why don’t you all just let that go and live from
discovered that I would spend the next years today?’ We did not have a space to explore our
of my life ‘recovering from white people’ own experiences. (Archives, 1992)
and the restraints of oppression. I realized
during several reflection cycles that many of It was apparent that we were trying to
my years were spent evaluating myself from recover in a setting where participants did
a white standard, a standard that influenced not know how racism had impacted and con-
my relationships, my presentations in the tinued to impact our community. In addition,
world, and my love of self. In the following their desire to deny racism left a subtle
quote I expressed the pain of my high school imprint, suggesting that our experience was
years when I wanted to be accepted by not important or valid, thus causing further
whites and did not understand or appreciate confusion and injury. We realized we needed
the additional heritage I carried with my to create our own space if we were to heal.
blackness. These interactions raised the question of why
white people’s resistance in accepting our
In high school I can now see I was an ‘assimilated
perspective was important to us. As we con-
Negro’. (Assimilated Negro was a term used by tinued the conversations with ourselves we
some Black people in the 1960s and 1970s to began to see that our attitude regarding
describe blacks who choose to deny their culture, whites’ resistance was yet another example
striving to live by the standards dictated by the of our need to recover from white people. We
dominant culture.) My internalized hatred of my
blackness forced denial of my blackness. I felt, ‘I
were still seeking acceptance and validation
am not like them, and cannot connect with them from outside ourselves. We had been meeting
(black people).’ I had been socialized for all intents for five months when Fateema said:
478 EXEMPLARS
We need to continue our healing before we can of using outside facilitators is similar to
write a book about recovery. We have a big wound insider/outsider research teams. ‘[Insiders]
that we carry with us from racism. We will not be
interpret what the language, terms and even
healed until we heal that racial wound. There
is something about these racial issues we have acronyms used in the [group] mean … they
internalized. help to frame and provide an understanding of
why certain results are important’ (Roth and
This epiphany redirected our learning and Bradbury, Chapter 23 in this volume). Isis and
precipitated a new phase of second-person Fateema were our insiders, with knowledge of
inquiry. This is how SASHA One was born. the work we wanted to embark upon while
Amber and Geo were the outsiders. As out-
siders, Amber and Leo were able to objectively
BIRTH OF SASHA observe our reactions to exercises, offer insight
as to how we interacted with each other and
Fateema and Isis had participated in a maybe deepen our understanding of how our
woman’s healing circle that used Radiance reactions to racism were stored in our body’s
Breathwork, a body-centered therapy created memory. Isis recalls: ‘Our training of them was
by Gay and Katherine Hendricks. Some of very empowering because we were still in
their technique derived from the work of charge of how we wanted our healing to be
Wilheim Reich. Radiance Breathwork is a and where the places were that needed to be
process that encourages one to look at and explored. We were taking our healing seri-
release blocked energy through a series of ously. We were very serious.’
breathing techniques. Fateema had made a Once we were satisfied that they under-
connection with Amber and Leo, two white stood our goal of uncovering and confronting
Breathwork facilitators, who agreed to work the effects of racism, we hired them to begin
with us on our issues of oppression. For years teaching us how to use Breathwork.
each of us had worked individually with tra- Ultimately, we wanted to develop this skill
ditional therapists attempting to understand so we could begin to use breathing tech-
ourselves from a cognitive perspective. niques in our community. This was a differ-
Breathwork seemed inviting because it ent approach for reframing the impacts of
offered insight about our body’s memory, a racism. From conversations with friends,
memory most of us had not explored. The families and acquaintances, we knew they
approach was holistic and could address our also were longing for some alternative way
usual pattern of response which created the to reduce the impact of racism on their lives.
mind, body, spirit separation. We invited ten other African Americans
Amber and Leo had little knowledge of the who were friends or acquaintances willing to
Black American experience. We suggested participate in the discourse and commit to the
several books that we felt help explain the process of deconstructing old paradigms of
African American’s experience, such as Black self-hatred. As a group, these 14 African
Rage (Grier and Cobbs, 1969), Ain’t I a Americans would work together for the next
Woman? (hooks, 1981), The Color Complex year to support each other’s, as well as their
(Russell et al., 1993), and There is a River own, growth and racial healing. Our four
(Harding, 1983), just to name a few. These person inquirer group had become a 14 person
books would offer an appreciation for our inquiry group.
struggle. In addition, Fateema and Isis engaged Our group was not immune from the
Amber and Leo in long conversations, educat- dynamics that permeate similar groups. We
ing them on how we wanted them to work with uncovered ways in which people’s hurts
us around racism. We came to understand and associated with skin color, relationships and
appreciate that the expertise we needed really power were affecting the group. There were
came out of our own experience. The approach three biracial women, who were untrusting of
their darker complexioned sisters. Common influence the way we react in the world. She
experiences of the biracial group as children states:
were taunts by their darker complexioned
school mates; this mistrust was carried into the We know that every hurt or mistreatment, if not
discharged (healed), will create a distress pattern
group. Similarly, five men expressed a mistrust
(some form of rigid, destructive, or ineffective feel-
of all black women regardless of complexion, ing and behavior) in the victim of this mistreat-
which impacted how they related to women in ment. This distress pattern, when restimulated, will
the group. A heterosexual couple disclosed tend to push the victim through a re-enactment of
conflicts with their relationship, one of the the original distress experience either with some-
one else in the victim role or, when this is not pos-
issues we collectively felt was a concern in our
sible, with the original victim being the object of
community. We struggled to remain objective her/his distress pattern. (p. 1)
with their conflicts. Often among the group we
dismissed each other’s experiences because This distress pattern of reaction was
our own seemed more traumatic. And there observed by many members of the SASHA
were issues of power. Two of the women were community. Mtundu, a carpenter and
friends and sometimes would join together to SASHA participant, recalls this pattern as a
influence the group focus. By directly naming frequent experience as explained in the fol-
these dynamics, which usually cause discord lowing story.
in the African American community, we were
able to use these issues as catalysts for our I was in a hardware store in a small town south of
healing. We were a microcosm of the larger San Francisco. I saw this employee was not busy so
African American community. I walked toward him for some assistance. He
We met one Sunday a month for the next quickly turned and walked in the other direction. I
really felt my body becoming tensed. You know
year. Mariah recalls, ‘We became committed when we go into stores we either get followed or
to our own healing, but this was just the we get ignored. Now I don’t know if he just did
beginning of our commitment.’ On these not want to help me because I am Black, or if that
Sundays we would engage in breathing ses- is just my thought because it happens so often. All
sions and the process of integrating new I know is that it really makes me feel bad and sorry
for myself that I have to deal with those feelings
information about ourselves. Each month we again.
would return to our communities, attempting
to live from this new information. Once a After two years of working with Amber
month we would return to our developing and Leo, we ended our relationship with
community to talk about our experiences in them and began to facilitate our own ses-
the world. We were able to see where we sions. We paid ourselves, as we had paid
needed work and modify how Amber and Amber and Leo. We used this money to fund
Leo worked with us. These cycles served as a yearly retreat. During one of our retreats
an analysis that prompted a re-evaluation of Harold suggested that we read an article by
our intent. In breath sessions, we gave voice Lipsky (1987) in which she wrote:
to our anger, our rage and sense of power-
lessness; however, our reflections unraveled Internalized racism has been the primary means by
the knowledge of how our internalization of which we have been forced to perpetuate and
racism was prominent in causing a continual ‘agree’ to our own oppression … Patterns of inter-
nalized racism have caused us to accept many of
reaction to the subtle racism that bombarded
the stereotypes of blacks created by the oppressive
our daily worlds. majority society … internalized racism … has given
Our reflections revealed that our internal rise to patterns which cause us to mistrust our own
world was limiting our abilities to feel satis- thinking. (p. 1)
faction in our lives. Susanne Lipsky from Re-
Evaluation Counseling (1987) implies that During our reflection we all agreed that there
the internal world holds distress patterns that was a component of racism we had internalized.
480 EXEMPLARS
We had all spoken of failed relationships, Community; Experiencing a Disorienting

questioned why we were hyper-vigilant or Experience; Feeling the Vulnerability;
overly cautious and, most importantly, won- Experiencing Body, Mind and Spirit Split; A
dered why we did not feel satisfied with our Culturally Corrective Experience; Body,
lives, at the same time accepting these feelings Mind and Spirit Wholeness; and Entering a
and attitudes as part of being Black in America. New Vulnerability. The first four stages are
known as self-affirming, acknowledging that
This has been a problem that no one has been able the subtle and obvious racial experiences
to solve and over which many have despaired.
Some patterns of internalized racism had become are/were real. The subsequent three phases
so familiar that we, ourselves, accept them as part are known as the soul healing part of the
of our ‘black culture.’ We attribute them to ‘the equation, where there is an acceptance that
way we are.’ (Lipsky, 1987: 2) ‘Whatever one did to survive racism is okay.’
The SASHA process employs a series of
exercises that support participants in access-
SHARING THE FRUITS OF OUR ing their frailty to historical racism. These
SECOND-PERSON INQUIRY exercises help the participant access feelings
associated with habitual stereotyping, soci-
Our new clarity sustained us for many years etal alienation, and customary marginaliza-
as a self-supporting group. After our first tion because of skin color. SASHA is a
year of working together we decided to call body-based model that can be used for any
ourselves Self Affirming Soul Healing type of recovery by any group, but the tech-
Africans (S.A.S.H.A.) in tribute to my niques we developed focus on the specific
daughter Sasha, who had died a year earlier. concerns of African Americans. From our
We were so inspired by our progress after our experience we discovered a way to express
years of working together that we decided it our internal confusion. We found that when
was time to reach out to the larger African we sang together using ‘call and response’
American community in order to help others (an African tradition which involves an
learn how to use the SASHA process. interchange between the speaker/singer and
Eventually a second group was formed. We the audience) we became aware of how our
then called ourselves SASHA One and the own isolation from community hurt us at the
new group SASHA Two. same time this technique assisted us with
As action researchers, our SASHA One building community; when we used drums
group was now engaged in third-person we unlocked our internalized thoughts of ‘I
learning because we were now working with should have rhythm, I am not black enough’;
a larger community. Because this process had when we lined people up according to skin
grown out of our own experience, we were color tones, we saw how we isolated our-
using it intuitively to help others experience selves and devalued our natural beauty;
the same learning that had changed our lives. when we told stories drawn out by our
We had developed a process, but decided that breath sessions or meditation we began to
if we wanted to be most effective in instruct- appreciate our culture. We found knowledge
ing others how to use the SASHA process, in our bodies that could help us heal from
we needed a road map. Thus, we began the our oppression. This holistic approach
hard work of distilling our intuitive knowing invited the community members to retell
into conceptual understanding. We gradually their story with a blend of song, dance, cog-
realized that we were using a process that nitive process and meditation. Our emphasis
was actually systematic. The result of our on body was so important – we were
effort is the SASHA model. reclaiming our whole.
Figure 32.1 describes the SASHA model One of the underlying beliefs of SASHA is
which is a seven phase process: Building that racism will always be present in the
Figure 32.1 The S.A.S.H.A model
world and that we will always be vulnerable this openness comes an awareness of when
to racism. The SASHA model permits those this state of harmony has been interrupted by
who use it to be aware of a new type of vul- a racist action. While this awareness allows
nerability. With this new vulnerability, participants to realize their choices, more
instead of being reactive in response to racial importantly, there is a high probability that
stimuli, one is open to receive and participate they will not store the memory in their bodies
in life. The new vulnerability is an openness or internalize the racial experience.
in one’s self that brings heightened awareness Participants realize that they are open to
and understanding of individual choice. You choices, to alternatives and, hence, to new
develop a closer relationship to the internal opportunities. Thomas Parham (1993) put it
body process and remain connected to your this way: ‘You are now vulnerable to a differ-
feelings. There is a heightened sense of inter- ent conceptual understanding of both your
nal harmony and humanness, a positive feel- predicament, as well as your choices to be (as
ing of being energetically vulnerable. With Spike Lee would say) “mo betta”’ (p. 3).
482 EXEMPLARS
OUR LEARNING PROCESS Although the positioning of our bodies

was not similar to any of the available pic-
There are several exercises that are docu- tures depicting the positioning of slaves on
mented in our archives, and as we continue to the ship, the closeness of our bodies seemed
offer workshops we discover others that are to elicit a similar response. During our
developed spontaneously and intuitively. For reflection time, the discussion focused on
this exemplar I focus on the spooning exer- what seemed for all of us slave ship memo-
cise. I selected this exercise because it ries. We had all begun to imagine what it was
demonstrates the power of an extended epis- like having to travel in close quarters for
temology that guided all of our learning as many months, what it felt like to live in
well as our work in facilitating learning for vomit, and smell urine. What fear smelt like
the larger African American community. as the prisoners tried to understand what was
When we first experimented with the happening and what would happen to them
spooning exercise, there were ten of us in from day to day. These fears, although not as
attendance that day. Two members of our pronounced, sometimes parallel the fears we
group facilitated this exercise. Participants face today as African Americans.
were instructed to find a position on the Further dialoguing led to integrating the
floor, while the facilitators led us in a breath- experience. Isis recalls that in our particular
ing meditation. Once relaxed we were told to group individuals had difficulty with physi-
form a line, lying stomach to back, stomach cal closeness. She states:
to back, until all of us were in a single row
Chinese Americans can stand on the bus and be
along the floor.
inside anyone’s personal space. At the market
As we held on to one another we listened place you can see Middle Eastern people touching,
to ‘Amazing Grace’ being sung by Aretha holding hands while they are shopping. You very
Franklin. We thought this was just a connect- seldom see any of these behaviors with us, if you
ing exercise that would bring us back into ever see it with us at all.
our bodies while allowing us the experience
of connecting with other people. As the song Watombu recalls the experience:
progressed, the words ‘Amazing grace how It was a unique way to experience our history.
sweet the sound that saved a wretch like me’ Being great great grandchildren of slaves, we were
filled the room, we held each other feeling able to access and release deep feeling about slav-
closeness. More words: ‘’Twas grace that ery. It was as if our souls were remembering our
ancestors. What was remarkable for me was that
taught my heart to fear, And grace my fears there was a collective spirit, a oneness of our spir-
relieved’; we held on to one another with its and it came up in all of us as individuals and as
more force as if we were holding on for dear a group.
life. I remember feeling this was becoming
my only connection to life. The words con- The spooning experience revealed something
tinued: ‘’Tis grace hath brought me safe thus to Watombu that he felt was very important
far, And grace will lead me home.’ I remem- to relate to the African American community.
ber my eyes filling with tears because I was His individual experience told him that this
having a body memory of being in this posi- very negative experience of slavery was
tion once before. I felt the body of the person being held in our bodies and we needed to
I was holding, heaving with a release of see that as a community in order to heal from
tears. I felt the person holding me responding racism. He stated:
in a similar manner. In a few moments we all
were in tears, the sounds of sighing were rip- We need to take professors, teachers, therapists
and social workers through this exercise. They
pling throughout the room. The song per- would understand our condition and know why
sisted until the end: ‘The Lord has promised young people act so ugly. They would have com-
good to me, His Word my hope secures.’ passion for them and us.
Watombu felt hope – it sparked a dream, it response that is elicited becomes an opportu-
fed his enthusiasm, he wanted to get the nity to address life events that have shaped
word to the people. Watombu’s job allowed our worldviews. The spooning exercise was
him to work with an understanding of his a form of presentational knowing that served
experience and model the truth he discovered as the impetus for the surfacing unconscious
for himself. In addition to relaying the new emotional material. Some psychologists
information through modeling in his work would call our collective response a collec-
setting, he was able to model for his two sons tive consciousness event.
the release experienced by the spooning
event. He was able to establish communica-
tion with them that guided them through IDENTIFYING SASHA’S OPERATING
challenging times. Watombu remembers: PRINCIPLES
The experience and knowledge I obtained from
spooning could not have come out in words during During our time of working together, we four
therapy. Our collective experience, our feelings, our women continued to meet, always exploring
feeling the slave dungeon really moved me and methods on how we could improve the work-
taught me a new way of feeling the world.
shops. Mariah had learned a technique called
Remarkable.
The Café. The Café is a method used to cre-
We began to explore the effects of the ate ‘collaborative dialogue around questions
Diaspora on our abilities to be emotionally that matter’ (Whole Systems Associates,
and physically close; to show affection and 2002). At another yearly retreat we used this
experience intimacy. With more discussion technique to elicit ideas from the SASHA
and integration, we began to reclaim our participants on what they felt was necessary
closeness with one another. This physical for them to feel safe doing this deep emo-
closeness led to trust, which deepened our tional work. The ideas coalesce into themes
commitments to each other. The structure of that helped us understand our effectiveness
SASHA allowed us to go out into the larger in the blossoming community. From an
community to share and live this new knowl- intensive reflection process, evaluating our
edge. It was safe to question others about experience, we identified four components
their experiences and share our knowledge that made the experiences a success: 1) our
because, next month, we knew we could willingness to commit to our healing, 2) our
return to the safe community of SASHA. ability to be compassionate with ourselves
We used the spooning exercise in several and others, 3) self-awareness of our percep-
SASHA community workshops, always cre- tions, and 4) honesty and courage to speak
ating a response similar to our own. the truth. These became the guiding princi-
Spooning is effective in releasing a collective ples of our work. Figure 32.2 explains the
memory as well as an individual emotional significant of each principle.
release. The experience is an example of a After three years of being in charge of our
collective culturally corrective experience, own learning and racial healing, which
which is the fifth phase of the SASHA involved many cycles of culturally provoca-
model. This phase addresses soul healing, tive actions and critical reflection that helped
where participants are given the opportunity us integrate new information, our SASHA
to understand a meaning scheme that has group experience led us to share our learning
formed some aspect of their worldview. Thus with the African American community.
a culturally corrective experience is actually Through our action of offering our model to
the integration of that new information. We the larger community, we moved the fruits of
arrive at this point by applying a planned our second-person inquiry once again into
stimulus that elicits an emotional and/or third-person learning. These third groups of
physical response from the participant. The participants were called the Weekenders.
484 EXEMPLARS
Figure 32.2 Principles for the S.A.S.H.A process
Our community expanded to include com- and recovery. We wanted to liberate our
munity workshops, lectures and writings minds of the internalized oppression that pre-
about internalized oppression and the SASHA vented us from living and participating fully
model. The SASHA Ones became the plan- in the world. My connection with these
ners, learners and facilitators of the process. women expanded my first-person inquiry
The SASHA Twos began, independently, to into our second-person inquiry. Our lack of
continue their first- and second-person learn- knowledge of a body-based technique we
ing. Finally, as a strong community we collec- decided to use for addressing oppression led
tively worked with the Weekenders. us to an insider/outsider relationship with
two white facilitators. After three years of
being in charge of our own learning and
A SUMMARY VIEW OF OUR racial healing, which involved many cycles
EXPERIENCE of culturally provocative actions and critical
reflection that helped us integrate new infor-
In 1991 four women convened a meeting to mation, our SASHA group experience led
address our personal unrest regarding racism us to share our learning with the African
American community. Through our action of Even though we knew nothing about the
offering our model to the larger community, process of action research, we were in fact
we moved the fruits of our second-person following a participative methodology that
inquiry once again into third-person learning. resulted in creating a conceptual model
We called these third groups of participants allowing our experiences to be carried into
the Weekenders. the larger community. We incorporated our
As our community grew, our work on cultural experiences to bring our model to
internalized racism continued to include a life. Our approach to the question of inter-
model that others could use who were nalized oppression was holistic. We wanted
involved in a similar healing process. to address all aspects of the participants,
SASHA Ones and Twos began to work instead of the traditional cognitive approach,
together, continuing our first-person and with a focus on body-based interventions.
second-person learning. We developed a We drew on the work of the action research
community that could now offer third-person community showing how issues such as
learning as we collectively gave birth to racism can effectively be addressed from a
Weekenders. holistic approach. Although the SASHA pro-
For the next seven years, each member ject placed more emphasis on a holistic
was going into the world to practice new approach to practical concerns, which is
skills. Our commitment to heal our commu- unusual in action research, this work offers
nity fueled our commitment to the process. another perspective that hopefully con-
Although we have since stopped meeting, tributes to the action research community.
our commitment is still strong in our com-
munity. The four women and two of the men
continue our work. Mariah has organized ACKNOWLEDGMENT
several Black health fairs, Fatima is a body-
based therapist, Isis participates in a national Thanks to Elizabeth Kasl, who helped me
Black women’s support group dealing with understand action research, Jeanette Madden,
issues of racism, Mtundu does work with graphic designer, and to all the members of
alcohol recovery groups, Watombu trains the SASHA community.
disabled people and I am a diversity trainer
and community organizer. We all say that the
SASHA work influences how we are in the
world today. Isis explains: REFERENCES
With my personal life SASHA really helped me Asante, M. (1995) African American History: a Journey of
value my opinions and my sensitivities and passion Liberation. Maywood, NJ: The People Publishing
for my own personal growth and the growth of Group.
people around me. Bell, E.E. (2001/2006) ‘Infusing race into the discourse
of action research’ in P. Reason and H. Bradbury
While Watombu offers: (eds), Handbook of Action Research: Participative
Inquiry and Practice, London: Sage. pp. 48–58. Also
I have a way of looking at things because of the published in P. Reason and H. Bradbury (eds) (2006),
[SASHA] process. And that’s changing me, that’s Handbook of Action Research: Concise Paperback
changing the way I deal with myself and others in Edition, London: Sage. pp. 49–59.
the world, and even with working out there with dif- Grier, W.H., and Cobbs, P.M. (1969) Black Rage. New
ferent disabled people, I do things to try to enable
York: Basic Books.
them. I know we are all human beings – I believe
that any human being, regardless of what they have,
Harding, V. (1983) There is a River. New York: Random
have the potential to achieve and improve, and I’ve House.
seen it since I’ve been doing this work with SASHA. Hendricks, G. and Hendricks, K. (1994) At the Speed of
So I’m more about pushing the right buttons to keep Life: a New Approach to Personal Change through
myself and people moving forward. Body-centered Therapy. New York: Bantam.
486 EXEMPLARS
hooks, b. (1981) Ain’t I a Women? Cambridge, MA: Russell, K., Wilson, M. and Hall, R. (1993) The Color
South End Press. Complex. New York: Anchor Books.
Lipsky, S. (1987) ‘Internalized racism.’ Seattle, WA: Whole Systems Associates (2002) ‘The World Cafe
Rational Island Publishers. [http:/www.rc.org/publica- presents … ‘ [ww.theworldcafe.com]
tions/journals/black_reemergence/br2/br2_5_sl.html]
Parham, T.A. (1993) Psychological Storms: the African
American Struggle for Identity. Chicago, IL: African
American Images.
33
The Tapestry of Leadership: Lessons
from Six Cooperative-Inquiry Groups
of Social Justice Leaders
L y l e Yo r k s , A r n o l d A p r i l l , L a D o n J a m e s , A n i t a M .
Rees, Amparo Hofmann-Pinilla and Sonia Ospina
This chapter extracts lessons about social justice leadership and about the use of cooperative
inquiry as a vehicle for conducting participatory social research from six cooperative inquiry
(CI) groups comprised of awardees from the Leaders for a Changing World initiative that
honors and convenes innovative, under-recognized social justice leaders, with the express
intention of creating insight into the nature of effective progressive leadership. Three of the
participants in the CI groups joined one of the facilitators in identifying themes and creating
a tapestry of social justice leadership from the reports of six cooperative-inquiry groups. Three
patterns are present in the tapestry: (1) developing democratic identity; (2) developing demo-
cratic agency; and (3) sustaining democracy, presented in eight values threads and six action
threads. Lessons about the process of CI and insights into the motivation of participants are
also discussed.
What can we learn about effective models of participatory social research from six cooper-
leadership from social justice organizations ative-inquiry (CI) groups comprised of pro-
that work collaboratively with broad-based gram participants from the Leaders for a
grassroots constituencies? And, what can Changing World initiative.
we learn about cooperative-inquiry as a valu- Leaders for a Changing World (hereafter
able practice for this kind of leadership? called The Program) is supported by the Ford
This chapter extracts lessons about social Foundation for honoring and convening
justice leadership and about the use of cooper- innovative, under-recognized social justice
ative-inquiry as a vehicle for conducting leaders, with the express intention of creating
488 EXEMPLARS
insight into the nature of effective progressive character of individuals as the source of the
leadership. The Program works in partnership success of their organizations.
with the Research Center for Leadership in A more recent stream of literature focuses
Action (hereafter called The Center) at the on leadership as a characteristic of a social
Wagner School of Public Service, New York system (Drath, 2001), while recognizing the
University. CI is one of three research compo- roles played by leaders in sustaining systemic
nents in The Program – the other two being leadership (Ospina and Sorenson, 2006; Palus
ethnographies and narrative inquiries focusing and Horth, 2002). It is this perspective that is
on leadership in the organization receiving the a key premise of the research component of
award (see Chapter 28 by Sonia Ospina et al. The Program (Cohen, 2005). The Center under-
in this Handbook). stands social change leadership as a collective
Cooperative-inquiry groups were formed achievement resulting from the meaning
among the program participants to provide a processes that a group of people committed to
systematic structure for learning from experi- social justice successfully engage in to address
ence through a process of co-inquiry. Two a targeted social problem in the world (Minieri
inquiry groups were formed from each of three et al., 2005; RCLA, 2005).
years of program participants, 2001, 2002, and
2003 respectively. Participation in these
groups was voluntary. There is a political WHY COOPERATIVE-INQUIRY?
dimension to the principle of co-inquiry that
maintains that people have a right to partici- Cooperative-inquiry is a method for conduct-
pate and express their own values in the design ing participatory research and facilitating
of an inquiry into their experience. Participants adult learning through experience. The epis-
organize themselves in small groups to address temic assumptions of CI have been devel-
a compelling question that brings the group oped by John Heron and Peter Reason
together in order to construct new meaning (Heron, 1992; Heron and Reason, 1997;
related to their question through cycles of Chapter 24 by John Heron and Peter Reason
action and reflection and practicing validity in this Handbook). Broadly defined, CI ‘is a
procedures (Heron, 1996; Heron and Reason, process consisting of repeated episodes of
2001/2006; Kasl and Yorks, 2002). reflection and action through which a group
of peers strives to answer a question of
importance to them’ (Bray et al., 2000: 6).
WHY STUDY SOCIAL JUSTICE This approach to developing new under-
LEADERSHIP? standings of practice grounded in a broad
base of practitioner knowledge explicitly
The Program is built on the premise that the enacts the values of the leaders in The
images of leadership in the popular media Program (Ospina and Schall, 2000).
and leadership structures promoted by social There are remarkable parallels between
hierarchies are problematic for the creation the process of CI and the form of leadership
of democratic culture. Popular images of described in the inquiries. These parallels
leadership tend toward cults of personality. are rooted in values of building human capa-
And while there is a vast academic leader- city through seeking connectedness while
ship literature, much of it focuses on persons embracing the diversity in human experi-
defined as leaders, describing their role, their ence, finding meaning through relationships,
actions and behaviors, and/or the sources of and affirming the right of people to be effec-
their influence and authority on others. The tive. We will return to these parallels at the
popular business literature has largely uncrit- conclusion of this chapter. First we provide
ically applauded successful CEOs, ascribing an overview of the CI process as it was
to them in a very idiosyncratic manner the enacted in The Program. Then a summary of
THE TAPESTRY OF LEADERSHIP 489
the analysis and insights that emerged from on The Center website (http://Leadershipfor
our meaning making from the learning from change.org/insights/research/cooperative.
the six groups. php.). Additionally, a series of booklets sum-
marizing the lessons learned from the
inquiries is available from The Center at the
THE SIX CI GROUPS COMPRISING Wagner School, NYU.
THE BASIS FOR THIS CHAPTER Forming the groups in the context of the larger
Program was in and of itself a learning journey
Each of the six groups came to be known by for The Center’s staff. Program participants were
an identifying name related to its inquiry exposed to the concept of cooperative-
question: The Dance (How can we create the inquiry during the first program-wide meeting
space/opportunities for individuals to recog- of their group, with the decision regarding
nize themselves as leaders and develop lead- whether or not to join one of the groups being
ership?); The Council (How do we as made at a subsequent meeting. Many of the pro-
grassroots community organizers keep our gram participants harbored a suspicion of the
organizational autonomy and build a wider research agenda, concerned that they were in
movement to bring justice to our communi- fact subjects of research (Ospina et al., 2004).
ties?); Strategy (How can we help people For many participants, the decision to join the
learn to be more strategic, conceptual, and CI process in The Program seems to have been
creative in their thinking?); Discovery (What a combination of interest in a compelling ques-
makes social change leadership successful tion put forward by one of their peers in The
and what values are held in common across Program who would recruit other participants,
such diverse leaders and organizations?); The interest in who was going to be at the table dis-
Arts (How and when does art release, create, cussing it, and the idea that resources were
and sustain transforming power for social being made available. The relative balance of
change?); The Movement (How do we these factors in motivating participation varied
engage and sustain a social justice movement with different participants. The words of Vicky
that seizes power?). (member of the Strategy Group), who initially
The groups met five or six times for about did not plan on participating in a research option
two days over the course of approximately of The Program, capture the interconnectedness
nine months, with each group determining of these factors as well as the initial skepticism
the location and timing of meetings, as well about research:
as their overall process for inquiring into
their inquiry questions. The meetings I remember my initial resistance to this whole
[research] process and CI. There wasn’t a compelling
included visits to sites that illuminated the question, I didn’t have a relationship with the people
group’s inquiry questions, discussion and who were making the invitation and at that point …
analysis of the group’s insights into their Then Larry came up to me with this idea and I am
inquiry questions, and reports on new actions thinking that is something I can get my teeth into.
Because he had an interesting question it drew me
taken by group members based on insights
in …. Plus the other people who would be around
from their collective discussion. Each CI the table talking and taking action on the question,
group had a university-based facilitator I could see that as being valuable.
whose role was to support the richness of the
discussion rather than to serve as a discus- As the program evolved over the three-
sant. Each co-operative-inquiry group pro- year period, concerns over the issue of being
duced a report on their findings. Yet, as our ‘research subjects’ became lessened by
analysis demonstrates, commonalities about the experience of the CI participants in the
the role and characteristics of social justice proceeding groups, who were willing to
leadership emerged across the groups. Their speak about the co-inquiry aspects of the
full co-operative-inquiry reports are posted process and their learning. Also The Center’s
490 EXEMPLARS
facilitators evolved an open process for we know, what we think we know, and what
facilitating the emergence and integration of we know we don’t know; Stewart, 1997;
potential inquiry topics during a program-wide Yorks, 2005), and the ladder of inference
meeting. This process involved open brain- (what we have observed – first rung of the
storming of potential topics that were subse- ladder; what interpretations we have made –
quently integrated through dialogue and second rung of the ladder; attributions that
discussion into two topics that held broad are the basis for these interpretations; and
interest as a basis for organizing a CI group. generalizations we are making – fourth rung
The experience of each of the CI groups of the ladder; Argyris, 1993). The goal was to
was unique and varied as a function of how develop a group culture of transparency.
they were initiated, the mix of participants, The diversity of the groups was important.
and the focus of the question. Most broadly Some of the richest insights come from
the process unfolded along three phases. The groups with participants from different are-
first phase involved refining the topic into an nas of social justice practice. In the arts
inquiry question that resonated with all of the group, this was reflected in the mixture of
members of the group. This could take one or artists, organizers, and those playing mediat-
two meetings and involved open dialogue ing roles between the two. In the Strategy CI
and discussion about possible phrasing of the there were organizers, and a participant with
question and what was engaging to each par- foundation experience. One of the partici-
ticipant. The second phase involved develop- pants was transitioning to teaching and was
ing a deeper understanding of the question making creative connections between orga-
through activities involving sharing materi- nizing and teaching. In another group there
als and experience among participants, visits were people working on human rights, and
to exemplary field sites relevant to the others on sustainability. The diverse perspec-
inquiry question, and with participants start- tives provided by different practices, but
ing to ‘experiment’ through taking actions sharing a common vision and set of values,
between meetings. This would typically start seems fundamental to the process of engaging
with the second meeting and continue in critical reflection. The distinct perspec-
throughout the remaining meetings. The tives offered by these roles added richness to
third phase involved sensemaking, through the conversations about the experiences of
cataloging their learning, developing a report the groups.
and other materials about their experience. The facilitators had to pay careful atten-
These were not discrete, linear phases, but tion to providing light control (Cumming and
emergent and somewhat iterative processes. Collier, 2005) or light touch (Yorks and
The motives, experiences, personalities, and Nicolaides, 2006), offering enough structure
domains of work among the participants to sustain the dynamic and inviting the free-
within each group were diverse. dom that surfaces innovative responses to the
There is no ‘orthodox’ way of conducting experiences participants were having to the
a CI group, although the epistemic (Heron various activities and actions being experi-
and Reason, Chapter 24) and political foun- enced. Relationships are at the heart of light
dations are critical. Some of the groups touch, with participants and facilitators
strove to incorporate all four kinds of know- establishing boundaries that are mutually
ing into each meeting. Other groups had the beneficial for all concerned. Essentially the
various ways of knowing emerge across the facilitators were holding the space for the
meetings. Attention was paid to use of inquiry process to unfold. The reports reflect
inquiry methods. Some groups adopted the value of establishing and sustaining a
metaphoric learning practices such as refer- ‘learning space’ or ‘container’. In the words
ence to the learning window (what we know of one of the members of the Strategy CI:
‘These meetings have become an important gave more meaning to them in terms of action-
place for stepping out of my hectic life and able knowledge. This took place in the context
connecting with ideas and thinking about of three separate meetings. Along the way,
what I have been doing.’ The Discovery CI numerous stories and reflections on The
writes about how the CI allowed them to ‘see Program experience were shared. This was a
our work both ‘up close’ and ‘from a dis- process of inductive analysis and comparative
tance’. Abby (a member of the Arts Group) dialogue based on synthesized experience, pro-
reflected on the experience: ‘All of us are viding a degree of ‘analyst triangulation’, but
extremely strong-willed people … and we not a formal process of inter-rater reliability.
were all grateful, I think, to have the time to
reflect on the work that is at the center of our
lives. We grooved on each other’s ideas, and THE TAPESTRY OF LEADERSHIP
the conveners of the group did not interfere.
They nicely restated things, reminded us of Two frameworks for analyzing the content of
forgotten insights, but respected our power.’ the reports emerged: the first framework pro-
duced by Lyle and Arnie involved eight themes
naming goals, purposes, and values of social
MAKING MEANING ACROSS justice leadership, and the other framework
THE SIX INQUIRIES produced by LaDon and Anita involved eight
themes naming actions, strategies, and behav-
CI is both an adult learning strategy and a iors inherent in social justice leadership. The
research strategy (Yorks and Kasl, 2002). two frameworks are inextricably interwoven,
The Group for Collaborative Inquiry and from which an insight emerged that progres-
thINQ (1994) have argued that failure to sive leadership is a ‘tapestry’ of interdependent
communicate findings from such inquiries to patterns, consisting of threads of values, and
the outside world unintentionally impover- actions, like the bands of color in a family
ishes fields in which the experiences of prac- plaid (Table 33.1). Amparo and Sonia
titioners should be part of the knowledge reviewed the emerging ‘tapestry’ in addition to
base that informs theory. This chapter repre- contributing to the narrative.
sents a process of learning from a secondary The three identified patterns created by the
analysis of the written descriptions and find- interwoven threads were: (1) developing
ings of the CI groups by one of the lead aca- democratic identity, (2) developing democra-
demic facilitators, and three program tic agency, and (3) sustaining democracy.
participants who had participated in the CIs The ‘Values’ threads were: (1) building and
and expressed an interest in being part of this acting on democratic capacity, (2) role
analysis process. The analysis was comple- migration, (3) leadership as a relationship,
mented with feedback and comments from not a personality, (4) thinking and speaking
two members of the team that lead the critically, (5) seeking connectedness, (6)
research component of The Program. embracing broad diversity as an essential
The process involved each participant in asset, (7) affirming the right to be as effective
the analysis independently reading the as we actually are, and (8) hope.
reports, and marking themes around the The ‘Actions’ threads were: (1) shared learn-
questions of ‘characteristics of social justice ing, (2) shared experience, (3) building the
leadership embedded in the reports’ and broader community/connecting to something
‘reactions of participants to the CI experi- bigger, (4) action planning and message devel-
ence’. These themes were then compara- opment, (5) movement, (6) space for develop-
tively discussed. Later, they were organized ing and sustaining leadership, (7) continuous
under a framework of broader themes that base building, and (8) celebration.
492 EXEMPLARS
Table 33.1 The tapestry of social justice leadership – an analytical framework
Pattern DEVELOPING DEMOCRATIC IDENTITY

Values Actions
Building and acting on democratic capacity • Sharing learning
• Sharing experience
Embracing broad diversity as an essential asset • Sharing learning

• Sharing experience
• Continuous base building
Seeking connectedness • Continuous base building

• Building the broader community/connecting with
something bigger
Pattern DEVELOPING DEMOCRATIC AGENCY

Values Actions
Leadership as relationship, not personality • Space for developing and sustaining leadership
Role migration • Space for developing and sustaining leadership

• Movement
Thinking and speaking critically • Action planning and message development
Pattern SUSTAINING DEMOCRACY

Values Actions
Affirming the right to be as effective as we actually are • Affirming the right to be as effective as we
actually are
Hope • Celebration
Just as a tapestry cannot be reduced to its threads [shared learning, shared experience,
threads and maintain its essence, neither can and connecting to something bigger as well
the holistic nature of leadership be captured as creating space], the group goes on to
by these patterns and threads alone. The pat- argue that ‘where older models emphasize
terns and threads of values and actions that the leader as one who knows the most and
emerged from our analysis, while distinct, empowers followers, the Council emphasizes
are also interdependent. that the leader must constantly learn’.
Looking at the connections among the pat- Elsewhere they write that:
terns and the threads reveals the nature of pro-
gressive leadership, which in turn can be In reference to the idea of ‘building’ a wider move-
discussed in terms of the stories reflected in the ment … the group is committed to being very clear
reports. For example, in discussing how lead- on the idea that a movement is not theirs to build.
ership is embedded in relationship and not The group feels that leadership is part of a move-
people, the discussion by the Council makes ment – inside it, not outside it, and in that sense
so-called leaders can only ‘help to build’ a move-
clear this goes beyond providing people with a ment in order to maintain a way of life. An alter-
‘feeling’ of involvement. In two statements native metaphor is ‘growing with a natural
that illustrate the interconnection between movement’.
THE FIRST PATTERN: DEVELOPING experience – the river flows in all directions. In
DEMOCRATIC IDENTITY an interestingly coincidental way the action of
cutting edge effective leadership mirrors the
Building and Acting on Democratic principles of co-inquiry and honoring learning
Capacity derived from lived experience, and is open to
diverse ways of thinking. These threads are
Effective social justice leadership derives its expanded by continuous base building among
power and capacity from the life experiences diverse communities. Broad diversity sus-
and consequent learning that people can offer pends time, balancing innovation with the
to a group or community – especially the life lessons of tradition.
experiences of those who are marginalized
by the dominant culture in society. All people
need opportunities to enact their power and Seeking Connectedness
capacity, and to assume responsibility for
Effective social justice leadership involves
and to make choices about actions that
resisting fragmentation. There is a connected-
matter. All people are equally valuable.
ness to the natural world, to other people and
Everybody’s story counts. Close examination
to each other’s work. There is a growing recog-
of the rationale underlying the inquiry ques-
nition of the importance of systemic connect-
tions defined by these groups reveals that the
edness, connecting movements. Building this
value structure embedded in this theme is
connectedness among movements is a lead-
central to social justice leadership. This
ership challenge for these leaders. Social
value system is reflected in how the groups
justice movements work in varied arenas,
pursued their questions and in the meaning
and can find themselves competing for the
they made from their inquiry. Simply put,
attention of funders, the public, and politi-
these groups pursued participation that was
cians. They are continually wrestling with
inclusive, not exclusive.
the challenge of building the broader com-
Valuing and building on shared learning
munity – connecting with something bigger.
and shared experience provide the substance
The Discovery Group developed a model a
for building democratic capacity and utilizing
‘we-ness and bridge building’ represented by
broad diversity. The Council noted an orga-
a series of concentric circles of the individ-
nizer ‘must constantly learn and investigate’
ual, interpersonal relationships, and public
and learn ‘from the people you work with’ …
coalitions.
‘plans and actions are shaped by the result of
learning rather than the other way around’.
THE SECOND PATTERN: DEVELOPING

Embracing Broad Diversity as an DEMOCRATIC AGENCY
Essential Asset: Innovation and
Tradition Leadership as Relationship, Not
Personality
Effective social justice leadership draws on the
creativity inherent in both innovation and Across the CI reports is the theme that
the wisdom inherent in traditions. Inclusiveness ‘Leader’ is a role people assume to assist the
of marginalized populations includes honoring enacting of leadership, but ‘leadership’ is
and learning from the wisdom of diverse actually enacted by communities. Through
traditions as well as engaging in innovative the inter-relationships of their members com-
actions. The embracing of broad diversity munities take the initiative and develop the
is more than issuing an invitation to join, political will to solve problems. When we
but is a process of shared learning and say there is no leadership in a particular
494 EXEMPLARS
community, we may mean the lack of an accomplish, who was going to do what, but
organizing figure, but we are actually com- no scripts. People had to think about what
menting on the obstacles to the community’s they were going to say.’ Understanding the
marshalling its collective capacities. Leadership systemic nature of leadership and movement
as a phenomenon exists in the space between among roles provide what the Council
and among people, not in the individuals describes as ‘unity of view’ and the Strategic
themselves. The quality of its character is Learners called ‘a sense of shared fate’.
determined by the nature of the interaction
among the roles that people enact. Creating
space for developing and sustaining leader- Thinking and Speaking Critically
ship and movement enact the power of lead- Effective social justice leadership supports
ership as a relationship and support role all people in developing an analysis of power
migration. relations, including its own. Special attention
is given to the power of language, and to who
controls expression. Effective social justice
Role Migration
leadership sees and says what needs seeing
Effective social justice leadership, recogniz- and saying, and supports its communities
ing that capacity can only be developed by in deconstructing propaganda, including
being enacted, facilitates fluid movement its own. It speaks to power and speaks out
between roles for all people, from follower to against injustice. CI offers a model of leader-
leader, from teacher to learner, from expert to ship that is a cycle of investigation, planning,
novice, and back again. The leader models action, reflection, and investigation.
growth by becoming a learner, learning with
and from the community.
The CI group The Dance goes on to THE THIRD PATTERN: SUSTAINING
describe this shift in the leadership relationship DEMOCRACY
as a process of ‘stepping back and stepping
up’. This is something other than traditional
Affirming the Right to Be as
notions of delegating. Rather there is ‘a gen-
uine shift in the relationship, in which some- Effective as We Actually Are
one steps back (whether they do it consciously Effective social justice leadership involves
or not) and someone steps up (in our conversa- not getting skewed from the core values of
tions we’ve termed the latter crossing over)’. their movement by funders, institutions,
politicians, and other structures of the domi-
Crossing over is different from being empowered.
It is not something that is granted by others, but nant culture. There is a demand that the
something that we claim for ourselves. Once authority and expertise of diverse peoples be
people claim a space by crossing over there is a re- recognized.
framing of the way they see themselves in the Arnie, a member of the Arts CI, coined the
world. They have taken up their authority to influ- term ‘pralicy’ as a companion term to
ence others.
‘praxis’, capturing the group’s belief that
The theme that runs throughout the Strategy practice should influence the content of
CI is the need for fluidity between roles. policy – a counter point to research influen-
‘You can’t just tell them’ is repeatedly cing and shaping policy.
emphasized. One of the members talks about
the importance of ‘getting people to work Hope
without a script’. In describing a meeting
with the Mayor he states: ‘We know what the There is a belief in the capacity and power of
outcome should be, what we were trying to people to think critically, to solve problems,
and to be expressive and caring. Social to individual behaviors and contributions. In

justice leadership trusts in the power of the the words of the Council, ‘leadership is part of
persistent human longing for a humane a movement – inside it, not outside it’. Many
world and acts out of a hopeful vision for the traditional models place leadership in the con-
human condition. Celebrating and believing text of supporting and sustaining hierarchical
in the dignity of people, and their capacity to structures – corporations, military, foundations,
bring about change, is perhaps the corner- and universities. Leadership is mixed, inter-
stone sustaining social justice leadership. twined with a focus on control and manage-
This translates into hope and, in the words of ment of resistance. Social justice leadership is
the Discovery Group, ‘hope sustains us, hope more fluid and embedded in emerging relation-
compels us, and hope brings us together’. ships. In summarizing the overall analysis,
Arnie comments that ‘the main strength
of social justice leadership is its distributed
nature – drawing on broad bases of capacity. …
COOPERATIVE-INQUIRY AS
It has more engines.’
DEMOCRATIC LEADERSHIP
One can speculate that there are underly-
THROUGH INQUIRY ing sociological forces working here derived
from our epistemic assumptions in the pri-
As mentioned in the introduction to this macy afforded to conventional models of
chapter, there are remarkable parallels leadership. It is beyond the scope of this
between CI and the framework of leadership chapter to explore this speculation. What has
that emerged from our analysis of the six CI emerged is the value of creating space for
reports. These parallels reveal the reach of inquiry and learning for both understanding
culturally embedded epistemic values in and building social justice movements.
society. The extended epistemology of co-
inquiry (see Chapter 24 by Heron and
Reason) is the foundation for the belief that
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34
The Workplace Stress and
Aggression Project: Ways of
Knowing – Our Rosetta
Stone for Practice
R i t a K o w a l s k i , L y l e Yo r k s a n d M a r i a n n J e l i n e k
This chapter discusses how university- and organization-based researchers, working collabo-
ratively, discovered how presentational knowing provided a key to transferring knowledge.
Recognizing the importance of all forms of knowing helped generate knowledge about our-
selves, the academic–practitioner collaboration, and the organization. To build capability and
to apply learning, we had to accept individual voices and emotions along with academic
theory. The chapter discusses how we as researchers accepted the changes co-inquiry and
collaboration required and discovered that transferring our knowledge was not about main-
taining an objective distance, but embracing all forms of knowing (experiential, presenta-
tional, propositional, practical). Using a descriptive voice, a personal voice and a collective
voice, we recount how the discovery of the ways of knowing and, in particular, the power of
presentational knowing unlocked a key to learning, knowledge creation and application in
the world of practice.
Voices are central to our story, so it is impor- member in 2001. Mariann Jelinek is a uni-
tant to know something about the authors and versity researcher who watched the project’s
the voices used in this chapter. Rita Kowalski evolution and who has helped the project
is an organizational researcher who partici- team reflect and place in perspective its
pated in the first discussions about the pro- experience.
ject in 1998. Lyle Yorks is a university A descriptive voice begins our brief pro-
researcher who introduced the learning prac- ject overview, discussing the organization,
tices to the project and became a project team the project team and the project’s evolution.
498 EXEMPLARS
A personal voice, that of a practitioner, then employees and leadership, plus good com-
sets the stage, for the introduction of ways of munications skills. The action teams briefed
knowing into the project. The last voice is a employees about the project, distributed and
collective voice, representing the project administered a survey, analyzed results, pro-
team, whose experiences and voices often vided employees with feedback, designed
blended as our knowing became more holis- and implemented interventions, and evalu-
tic, more aware of the importance, in action ated results (Kowalski et al., 2003).
research, of using all forms of ‘knowing’ The project used cycles characteristic of
(experiential, presentational, propositional, action research (Greenwood and Levin,
practical; Heron and Reason, 2001/2006, 1998), involving the project team and actions
Chapter 24 in this volume). We conclude teams in action and joint reflection about
with lessons learned from our work. interventions and cycles involving individuals
and teams, as they became more conscious
and disciplined in engaging their voices. As
A BRIEF PROJECT OVERVIEW the project matured, it evolved into a partici-
patory action research project. This evolution
The US Department of Veterans Affairs (VA) is occurred in direct response to deepening per-
the project’s setting. The VA is the second ceptions about the project’s nature, various
largest department in the US Federal presenting problems (and thus their likely
Government, employing over 220,000 people, solutions), as well as deeper understanding of
with an annual budget of over $50 billion. It has where important data might reside – both
three major service lines that provide US mili- about our own tensions, as a team, and about
tary veterans with financial assistance through the issues facing VA. Seeing ourselves as a
disability compensation and pensions, educa- proper focus of study if we were to affect VA
tion and home loans; a broad range of medical, was itself an important insight.
surgical and rehabilitative care; and burial ser- Project results for VA included significant
vices. Our project’s ultimate objective was reductions in workplace stress, and in all
improving care and service to veterans by forms of aggression; a reduction in many of
improving the working environment. It the behaviors related to occupational worker’s
involved 11 pilot (experimental) sites with over compensation and equal opportunity claims;
7000 employees, 15 comparison (control) facil- and a substantial increase in employee satis-
ities with over 6000 employees, and a highly faction at the pilot sites (Harmon, 2004;
diverse governing project team. This team Keashly and Neuman, 2004; Neuman and
included a physician executive responsible for Keashly, 2005, forthcoming). Project team
a network of medical centers, three practition- outcomes included a much deeper under-
ers with extensive experience in human standing of organizational action from
resources management, and four academics diverse viewpoints. The action teams
from different universities. The project team adopted and adapted inquiry and learning
interacted with pilot site action teams com- practices, which added to the project’s rich-
posed of local site employees. ness, providing participants with practices
To become a project pilot site, both man- that changed their ‘conversation’ during the
agement and the union had to agree to partic- course of the effort. This new discourse cre-
ipate and jointly selected action team ated a special and highly effective ‘space’ for
members who represented a cross-section of addressing difficult issues (Yorks, 2005) and
the organization. Among the selection crite- enabled the project team to address sensitive
ria were such things as an action orientation, issues involving gender and interpersonal
a commitment to learn, credibility with behavior (Reid-Hector, 2006).
THE WORKPLACE STRESS AND AGGRESSION PROJECT 499
Variation in approaches and results evi- participants ‘created a lot of trust … every-
denced across sites deepened the project’s body knew what was on the table that we had
generated learning. The sites implementing to balance’. However, the initial project
the learning practices most deeply were the design was not action research; it was quite
most successful. Implementation was not traditional in its use of time one and time two
uniform. One site even dropped out of the quantitative survey data. The design fit the
project. (These issues of varying engagement organization as VA was data-driven, expect-
involve what Reason and Bradbury ing numbers to support a business case.
(2001/2006) refer to as ‘building infrastruc- Indeed, ‘evidence-based medicine’ was a
ture’ are issues we are currently dealing with, deeply woven cultural theme inside VA.
and we will not address here.)
THE CHANGE TO ACTION RESEARCH

PROJECT EMERGENCE
Between August 1999 and January 2000, the
University research did not initiate this pro- project changed. One reason involves the
ject; it began quietly in the middle of the project team’s willingness to ask questions
organization. In 1998, a long-time VA and involve outsiders to hear their questions
employee (an insider working in human and suggestions for improvements. The
resources who handled disciplinary and second was a very practical driver of change –
adverse actions against employees) became the need to fund the academic researchers.
frustrated at having spent years providing In August 1999, we attended a pre-
advice on how to discipline employees conference action research workshop at the
whose behavior and actions were inappropri- Academy of Management (AoM), where
ate and finding, despite his actions, inappro- practitioners brought projects for discussion
priate behavior reoccurred. Determined to with university action researchers. A work-
find a remedy for the recurring pattern of shop discussion facilitator (Hilary Bradbury)
aggressive behavior, he tapped into a asked, ‘Where is the action in your research?’
network of diverse contacts to investigate It was clear that our initial approach was cast
what was known about behavioral change in as ‘a study’ that might not affect employees’
organizations. Psychological research on behavior. Reflecting, the VA members
workplace violence and emotional abuse attending realized that talk, study, or even
caught his attention. He shared his findings data were insufficient; to make a difference
with two other VA practitioners; one sug- inside their organization, they would have to
gested contacting faculty from the Center for model the behaviors of openness and partici-
Human Resource Management Studies pation that their project espoused to demon-
(CHRM) at Farleigh-Dickinson University, strate as another way of being. Thus, the
which encouraged collaboration between acad- project’s initial design had to fundamentally
emics and practitioners. This led to a meeting alter. A conventional research project would
in February 1999 of some 20 academic only provide the organization with yet
researchers and VA practitioners to discuss another study that would sit on a shelf, use-
developing a proposal. While a number less except as a citation in subsequent studies
decided not to participate, this initial meet- on the same issue. For the organizational
ing’s openness and willingness to listen to change impact sought, we needed to signifi-
diverse views remained an enduring project cantly involve people at each site – in analyz-
characteristic. One project team member ing data, developing and implementing
present at this meeting commented that interventions, and evaluating results. After
500 EXEMPLARS
all, their understanding and behavior was the not surprising that our multidisciplinary,
intended target of change. Reflecting on the multi-organizational team struggled for some
question (‘Where is the action in your time with a high-participation research
research?’) made us aware of the value of model’s meaning and implications. Taking
diverse voices potentially present in partici- the project to the AoM during its formative
patory research. We had experienced this at stage was a critical event that gave rise to
our first meeting, where divergent disciplines another key operating behavior and value. We
spoke; now we wanted diverse, participative were willing to expose our thinking, learning,
voices built into the project. and uncertainties to critical questions and
This change to a more openly participatory comments from the outside (Neuman, 2004;
model, using collaborative action inquiry, Yorks, 2005). The questions we heard helped
while a significant design improvement, also us to inquire, both individually and as a team,
created tension within the project team. into where we were and how we could
Those attending the AoM meeting had improve what we were doing to meet emer-
largely made the decision to change without gent realities and circumstances we were
the input or understanding of those univer- facing. In retrospect, the benefits of such
sity-based researchers not present. So much openness became apparent; thus we actively
for modeling participation! Moreover, the sought to replicate it in subsequent action.
academics were quite focused on quantitative Our need for project funding had an unin-
data analysis, while workshop attendees tended consequence that proved to be invalu-
were more responsive to qualitative phenom- able; it resulted in our formally adding the
ena. This may seem surprising, but it is learning practices to the project’s design. We
important to understanding how greatly we submitted a proposal to the National Science
changed and how much we learned. An aca- Foundation (NSF). The NSF approved the
demic project team member who realized the proposal in April 2000 to assess the effec-
organizational implications for the project tiveness of organization change interventions
team itself vigorously urged the addition of designed to reduce workplace stress and
learning practices, such as the Ladder of aggression and improve performance, and
Inference, Stop and Reflect, and the Learning examine whether (and how) using ‘collabo-
Window (see, for example, Bray et al., 2000; rative action inquiry’ leads to organization
Roth and Kleiner, 1999; see also Chapter 46). learning and change (Harmon, 2000). Our
The practices enabled the team to discuss and team never anticipated how deeply inquiry
eventually deal with the fallout from the fun- and reflection would transform our view of
damental shift in the research design (Reid- collaboration, challenge our assumptions
Hector, 2006) – and to affect the client about the roles of researchers and practition-
organization as well, in ways alternative ers, and serve as a significant transforma-
research designs would not permit. tional intervention (Reid-Hector, 2006). This
We want to be transparent about team ten- decision to formally design assessment com-
sions, and admit that the issue festered for pleted the transformation of the project’s
months, until a feedback session conducted design to an action research project using
by a doctoral candidate and another academic inquiry and learning practices. Another acad-
in October 2002. After interviewing project emic interested in organizational learning
team members, they fed back data to the helped write the NSF grant, became our
team, using the project’s own processes to learning coach, and joined the project team
frame the discussion and help the project (Yorks, 2005).
team candidly discuss their tensions. Working The more traditional university-based
collaboratively across disciplines and involv- researchers later commented that they felt,
ing academic researchers and organizational when they read the proposal, as if the ‘project
researchers as co-creators are difficult, so it is was hijacked’ away from the focal issues of
workplace stress and aggression that had learning and findings available to nonprofes-
initially attracted them. Ironically, the shift in sionals as well, although it was not until later
focus extended the inquiry on stress and that we came to appreciate storytelling’s
aggression into our own team. The new implications. Because of our multidiscipli-
approaches provided a highly effective way nary team and array of methods for external
to discuss project decisions, tensions and validation, we were able to meet the often
conflicts (Reid-Hector, 2006). As a result, we divergent interests of those interested in
became aware, as the project unfolded, that science, those interested in business results
the presenting topic of stress and aggression and those interested in learning. These char-
was also an issue we faced within the team; acteristics’ importance became more appar-
one that we would have to resolve if we were ent in each action cycle, as we learned more
to be successful. about participation and ways of knowing. In
During the feedback session, what crystal- short, in contrast to the stereotypical model
lized was how action research’s emphasis on of research as driven by a priori theory, arm’s
participation and co-creation had affected the length data gathering, and hypothesis confir-
relationship between the groups we had ini- mation, our project was characterized by an
tially called ‘the academics’ and ‘the practi- iterative series of theory, action and reflec-
tioners’. We explicitly discussed our roles and tion cycles that adapted the project to
how they had changed as we worked together. insights and contexts as these emerged. The
Recognition of this shift occurred when one project and researchers both changed,
university-based researcher wondered aloud enhancing project outcomes as well as
about the project team’s role, purposes and researcher capabilities. It seems self-evident
function: ‘Is it to run the project? Is it to that the outcomes achieved were unattainable
supervise the research?’ We saw that we in any other way.
allowed natural leaders to emerge as issues
and needs arose. Learning to share leadership
and recognize how we each contributed took WAYS OF KNOWING AND THE
time. We were experts or novices depending PROJECT
upon the task, situation, or point in time.
From the beginning, we exhibited a will- Heron and Reason (Heron, 1992, 1996;
ingness to listen, a desire to be participatory, Heron and Reason, 2001/2006, Chapter 24)
reliance upon asking questions, a willingness provide an epistemology applicable to our
to take our work to outsiders for their reac- work, going beyond the traditional proposi-
tions, and a desire to learn: all elements that tional academic knowledge to include other
correspond to choice points for action relevant and important ‘ways of knowing’.
researchers, as discussed by Bradbury and Addressing the nature of knowledge is espe-
Reason (2001/2006). Unwittingly at first, we cially important for researchers concerned
were enacting action research. We chose to with human action, understanding, and infer-
be participatory, both in respecting the views ence and their interactions. The Heron/Reason
of other academics and in deciding to involve model moves from ‘experiential knowing’
all stakeholders as project participants. We (occurring through direct face-to-face
also chose to go beyond our initial network encounter with person, place or thing), to
with our ideas and questions, expanding the ‘presentational knowing’ that draws upon
project’s participants, both directly and expressive forms of imagery (e.g. art, stories,
peripherally. We were learning, and wanted music, drama, etc.), to ‘propositional know-
to share how we learned and what we learned ing’ using ‘ideas and theories, expressed in
with others, inviting them to reflect on what informative statements (e.g., books, speeches,
they heard. We also began increasingly to use etc.), moving finally to ‘practical knowing’
stories to explain our work, making our that involves applied knowledge – the tacit
502 EXEMPLARS
‘how to’ knowledge seen in a skill or compe- meeting my expectations. However, there were
unexpected outcomes as well – additional benefits
tence (Heron and Reason, 2001/2006: 183).
to me, personally. Reflection on the project, due
As the project became more collaborative, to the nature of our presenting problem (stress
we became increasingly comfortable with and aggression), required acknowledging emo-
multiple forms of knowing: their value for the tions and naming dysfunctional behaviors, so that
work was constantly reiterated. In the begin- we could improve our interactions and work. To
hold my own and contribute to our work, I read
ning, we seemed to be using a traditional
more theory. These actions grounded my practice.
propositional academic epistemology. Initially, As I incorporated inquiry in my practice and
we all encountered forms of experiential and engaged my academic colleagues in my explo-
what could be considered more propositional rations, I made a discovery that improved my prac-
knowing in completing tasks and attending tice, strengthening my contributions to the
project. Several events prepared me for the dis-
project events, but our emotional reactions
covery of my key to application and practice. Each
were implicit; our learning from and about was transformative, reframing my views of emo-
them unexpressed – indeed, inexpressible, tions and of the place of creative arts in action
because all but illegitimate under traditional research.
propositional academic norms of ‘objectivity’. The first took place in September 2001
at the Society for Organizational Learning’s (SoL)
To reduce workplace stress and aggression,
Greenhouse where SoL invited groups to bring
however, emotional reactions were the heart of new and ongoing projects for discussion and
the matter. We had to improve and increase our learning. To encourage interaction across the pro-
ability both to express and explain emotions, jects, teams were formed consisting of people
thinking about how these affected our own from different projects. Each team was asked to
develop a movie poster explaining a specific pro-
learning and our knowing, as well as that of
ject. I left my home group to work on another pro-
organizational members we hoped to affect. ject’s poster. When I rejoined my project team
This realization grew slowly, but was eventu- members who had stayed behind and saw the
ally central to our project. poster, I was speechless. While the project team
had talked about the impact of our own negative
behaviors, seeing the poster was disconcertingly
direct (see Figure 34.1). The poster touched upon
AN INTERLUDE accountability and each person’s contribution to
workplace behavior’s dark side. I loved the poster’s
clarity, but did not yet see its potential for knowl-
As we have described the project so far, our edge creation.
voice sounds detached. This descriptive In January 2002, back at the VA, the project
voice is important, but to understand how the team began to use visual mapping to feed back a
project opened new ways of knowing to us, story we heard from action teams’ members
you need to hear a personal voice. Rita’s during site visit interviews. My first site feedback
session using the map was the second transforma-
story will provide a framework for our dis- tive event. While the map looked complicated, the
cussion of ways of knowing and learning team, and every other team we visited afterward,
from the project. responded to maps based on their input with
energy and appreciation for what they accom-
plished. My analytical mind recognized a research
Rita’s Story artifact. I also saw how one word picture explained
a site far more comprehensively and evocatively
How does a practitioner become an organiza- than a bulleted PowerPoint presentation, but I did
tional researcher? Not intentionally in the begin- not understand how it worked.
ning, but very deliberately as I began learning how The next transformative event was our two-hour
to notice, inquire and act. When we began, I in-house VA broadcast in December 2003, pre-
assumed that we would provide the sites with ‘the senting a panel discussion and action team activi-
answer’. After all, wasn’t that what research ties from the sites. We hoped that the broadcast
does? I wanted the project to provide evidence would help us spread the word, giving us more
about how aggressive, abusive behavior affected credibility and support. I was skeptical, but I
business results. agreed to work on this effort. We sent crews to
The project did build a business case for tape interviews and events with action team
addressing workplace stress and aggression, members at three different locations. They told
Figure 34.1 Rita’s poster
their stories about stress, aggression, and chang- project team member who had brought the learn-
ing those behaviors while the camera caught them ing practices to our project. We discussed my
interacting, laughing with and caring for veterans. quandary. In passing, Lyle mentioned John Heron,
As we worked with the producers for the live whom he said was a major influence in his own
broadcast, they led us through several cycles of work.
reflection and inquiry, refining the broadcast’s The next week I read Heron’s Co-Operative
message, reviewing the video clips and preparing Inquiry and then wrote the proposal in one sit-
the panel for the live broadcast. Sitting in the ting. This book introduced me to the four ways of
broadcast booth, I watched the producers and the knowing, giving me a way to integrate my expe-
crew work with the video and our panel. I saw riences, my feelings, and my intellect into my
the play within the play, liberating our work. I practice. Bringing these insights back into the
knew that the tape would help us spread our project helped me work more confidently with
work, but I still did not get it. the conference’s design team. We decided to
Immediately after this broadcast, we began tape the conference and to conduct interviews
working with action team members to plan the with action team members during the conference
knowledge transfer meeting. This meeting’s to discuss project learning. We used these tapes
purpose was to share and learn together, reflect- as part of the four, 30-minute broadcasts to visu-
ing on what we had accomplished. I was not only ally display the conference’s creativity, action and
working with the teams to plan the meeting, but energy.
was asked to develop a proposal for four new The ways of knowing became my Rosetta
taped broadcasts about our learning. I had no stone, enabling me to translate what I intuitively
idea about how to write the proposal, or how to felt into action. I finally had a key to solving my
incorporate the conference into the design. I had frustrations with transferring knowledge and
questions I could not answer, so I took the subway practices across an organization. For years I had
up to Columbia to meet with Lyle Yorks, the been coached to rely solely on objective data, and
504 EXEMPLARS
being totally dispassionate. This approach was forms of presentational knowing uncon-
rewarded, but overlooked the fact that organiza- sciously. Through the reflective practices,
tions consist of people with emotions and feel- we were noticing more frequently not only
ings. For any behavioral change project to be
successful, emotions and feelings that drove
what we were doing, but its affect on our-
behavior were central. We could not ignore their selves and others. Our reflection suggests
existence and impact, if we were trying to learn that as we became more comfortable with
about ways to reduce workplace stress and the first and second voices of research
aggression. Each of us had to learn from experi- (Torbert, 2001/2006; Reason and Torbert,
ence, from emotions and from conceptualization,
if we wanted to develop ‘know how’ and impact
2001; Chandler and Torbert, 2003; see also
practice. Chapter 16), we also became more comfort-
able with the presentational ways of know-
ing that provided a key to the emotional side
of our personal (first-person) and team
THE PROJECT TEAM AND WAYS OF (second-person) learning, which in turn
KNOWING made us more willing to bring our work to
the outside world (third-person). With pre-
The project team, as it gained experience sentational knowing’s key, we were better
with the learning practices and action able to explain to others what we had done
research, began to ask questions about partic- and experienced, and why it mattered.
ipation, co-creation and knowledge. Action Our insight’s impact was not limited to
research cycles required the team to pause emotions. We also became better at telling
and notice what it was learning. Because of stories – accessing the qualitative data that
the presenting problem, issues involving illustrated the quantitative data we had col-
aggression and stress within the team leaped lected – which emerged as a critical skill. A
into prominence and provided a practice field major crisis took place when we conducted
as the team learned how to walk the talk. our first action team training sessions. First
Learning to deal with emotions construc- impressions are important, and what the
tively and to explain how they impacted our action teams saw was a project team in con-
work were major challenges. They added flict. When responding to a question about
dimensions to our research that our original the survey being planned, one of the university
design would not have noticed, or would researchers responded for the team, without
have de-legitimated as we strove to enact an consulting another university researcher
impossible ‘objectivity’. more directly involved with content and
Making ourselves the subject of part of design. The pilot site action team members
our exploration forced us to confront our saw the anger that resulted. Our expert
own tensions, enabling us to understand and didactic design was also not working, as
also to demonstrate in action the new project team members not directly present-
behaviors we were asking organization ing material engaged in side bar conversa-
members to accept. ‘Knowing by doing’ tions at the back of the room – an action
also made the team credible role models: we distracting at best, but ironically aggressive
served as an existent proof of the efficacy of and rude for an ‘expert’ team trying to
the new behaviors.1 Learning to embrace reduce workplace stress and aggression.
four ways of knowing and, in particular, After the session, our discussion of what
acknowledging presentational knowing had happened deteriorated dramatically. We
opened up a new way to explore ourselves. continued bickering over dinner at a restau-
As in Rita’s story, the project team’s experi- rant. Finally, an organization-based researcher
ence and comfort with presentational know- held up a pepper shaker and said, ‘This is
ing evolved over time. We first began to use our talking stick. Whoever holds it is the
only person who can talk.’ The pepper Having seen how interacting with
shaker took on a life of its own, as people at researchers outside the project enhanced our
first unconsciously, then deliberately, spoke project, we returned to the AoM in 2001. At
into it like a microphone, while others lis- a symposium about the project we spoke
tened. This experientially-cued ‘stop and from a half circle and told our stories about
reflect’ short-circuited the bickering and first steps, conflicts, tensions, disagree-
interruptions, helping us change what we ments and solutions. Our modified ‘fish-
were doing. Clarity and agreement around bowl’ design allowed a free flowing
necessary workshop modifications emerged discussion that touched upon tensions deal-
rapidly. We quickly agreed to share with the ing with project design, control, and evalua-
action teams what we felt was a ‘break- tion, while the academic audience observed
through’ experience, in an effort to be trans- and then asked questions about our work,
parent and model the learning behavior we challenging us and making us more critical
espoused (not an easy decision for those of of our work.
us still concerned about maintaining some In 2003, at another AoM symposium, we
semblance of ‘expert’ status with an audi- consciously turned the presentation into the-
ence accustomed to such distinctions from ater. We began with a grounded presentation
their ‘trainers’). of theoretical models, but also included our
The next morning when we met with the first person reflections in small set pieces,
action teams, the same organization-based where we played out the tensions we felt as
researcher who had suggested using the team members, interacting in the second
pepper shaker openly acknowledged to the person mode. Our scripted presentation
action teams our difficulties the day before. contained notes specifying ‘exaggerated’
He held up the pepper shaker and told the dialogues at key points. We wanted to
story of our using it at the restaurant. He depict the emotions and tensions surround-
acknowledged our dysfunctional behavior, ing co-creation with researchers drawn from
and discussed how the pepper shaker helped different disciplines, experiences and orga-
us reflect on and reshape our work. nizations. At rehearsal, we talked about
Throughout that day, we noticed teams where and how to add ‘drama’. During the
passing around crushed cans or bottles that presentation, somewhat to our surprise, we
they called ‘pepper shakers’ as they enacted found ourselves reliving our moments of
our procedure to integrate ‘stop and reflect’ tension and discovery. One organization-
practices into their own behaviors (experi- based researcher reflected,
ential knowing). Our story (presentational
knowing) became a way for them to absorb I remember listening to [a university researcher]
the transferred lesson about reflection, and talk about the need to maintain the purity of our
to immediately apply it (practical knowing). survey process. … I got so caught up … I became
angry again. I sat down surprised. … I let our lis-
Acknowledging our own dysfunctional teners see and experience the emotions sur-
behavior and explicitly dealing with it, and rounding the debate. We could have read a
then publicly sharing that acknowledgment paper, but we actually let them experience our
and response, let them see us learning in anger and frustration about methods and control
action, warts and all. It vividly demon- issues.
strated that such issues occurred (even
among experts), and that they could be pro- Without the emotion, these issues are
ductively addressed. This positive experi- abstract at best; in practice, because organi-
ence encouraged us towards further displaying zational participants have a genuine, very
our own process issues as they arose, to personal stake in the outcomes, these issues
communicate and foster learning. acquire power, salience and meanings almost
506 EXEMPLARS
wholly invisible in traditional research para- sheet of paper and have someone read it, but
digms. By scripting the presentation, we we are dealing with people and relation-
were able to articulate and vividly share ships and emotions.’ The teams’ skits,
important facts of field research of critical which portrayed the things they felt and
importance to organizational research. In this what they saw people doing, conveyed
sense, presentational knowing moved well information far more powerfully that any
beyond what is possible in more traditional report possibly could. One team, depicting a
research presentations. monthly meeting between randomly
Our insights have had further impact. Rita’s selected employees and a senior leader,
story mentioned the ‘movie poster’ that visually acted out dysfunctional behavior. A univer-
explained personal accountability for dysfunc- sity-based researcher reflected, ‘people
tional behavior with an unsettlingly direct were having fun, but they knew serious
humor, tapping into emotional responses. learning was going on. … we are laughing
Another organizational researcher began using … while … learning the message the team
this poster in presentations to leadership groups wanted to communicate to us.’
within VA. After seeing the poster, group partic- Not all of the skits were positive. One
ipants first were silent, uncomfortable, and action team faced organizational barriers and
resistant – but then they began conversations leadership resistance. Their skit showed
about interactions they have faced with a fresh organization leaders holding hula hoops
honesty. We were learning that the poster tapped high in the air as the action team members
into emotions and made legitimate discussions tried jumping through them. Characterizing
otherwise typically disqualified as inappropriate organizational hurdles as ‘hula hoops’ chal-
in organizational settings. We incorporated lenged the relevance and legitimacy of resis-
movie poster development into the project’s tance by leaders to changes others viewed
‘close-out’ conference in 2003, as a way for as constructive. The enacted metaphor con-
everyone to jointly and publicly evaluate their veyed powerful emotions, making them
experience. Members from both the project directly accessible to those who watched.
team and action teams were randomly chosen to Collectively, the skits created ‘a life story’
join in workgroups to develop the posters. about the project, creating a ‘communicative
Figure 34.2 is an example. When the designers action’ that made sense of the project, its
presented their poster, an uncomfortable initial interventions, and all of our experiences
silence ensued; then it generated discussion that (Shaw, 2002: 104–5). They added enor-
some found unsettling because it raised hitherto mously to the discourse and to a broader
‘unidiscussible’ topics, about perceptions and understanding of organizational life and to
emotions within the organization. the participants’ ability to engage in mean-
The final project close-out session ingful interventions.
demonstrated how far the project team’s Rita’s story discussed the broadcast series,
concept of co-researchers had changed, as a form of presentational knowing. These
well as how far the action teams had come. broadcasts captured the project’s experiences
The local pilot action team members were through selected interviews, narrated
now involved in the meeting’s design. They glimpses of interventions and of the skits,
brought more aspects of propositional posters and across-team learning sessions at
knowing to the design; because of our learn- the close-out conference. We developed the
ing as a project team about collaboration broadcast design using a series of reflection
and ways of knowing, we encouraged and cycles culminating in a broadcast presenta-
relished their ideas and energy. We knew we tion that caught the emotions and learning
had moved our work to a new level. As we that emerged ‘as it happened’. This experi-
later explained in a broadcast describing ence was a new way of going to the third
this meeting, ‘We could have just used a person voice that captured experiences
Figure 34.2 A movie poster
through images and stories far more power- naturally and ‘taught’ new teams by embody-
fully than written words. ing the practices ourselves, without prior
explanation, demonstrating the learning we
wished to convey. The ‘ways of knowing’
OUR LEARNING provided a theoretical framework that made
application to practice possible. Without the
This chapter helped us realize that without safety that reflection and testing assumptions
presentational knowing, we would have seri- provided, we would not have made this con-
ously restricted our ability to affect practice nection. The learning practices became our
and leave a legacy. We know now that the way of talking with new teams, not telling
chosen presenting problem gave us an advan- them but talking with them using our behav-
tage, because human beings have a visceral iors. We learned to do this from having dis-
reaction to aggression and stress. We realized covered how the action teams had naturalized
as we worked together over time that dealing the learning practices. When we modeled the
with our own aggression and stress – on the practices, we found that in a matter of hours,
project team and with the action teams – a new team would mirror them back to us.
helped us develop the ‘know how’ to explain We learned how to accelerate this process
and transfer what we learned to others. experientially, in a way we would never have
In the past, we would have trained teams envisioned from within the traditional objec-
through lectures about learning practices, or tive research paradigm.
about stress and aggression. Instead, we In retrospect, we seem to have done
learned how to use learning practices more this using the first voice of research to ask
508 EXEMPLARS
questions of ourselves individually, and using the Principal Investigator for the NSP grant
the second voice to discuss what we jointly whose insistence got the learning practices
had learned. We used the third voice not only into the design, Loraleigh Keashly and Joel
to share what we had learned, but to engage Neuman, the university researchers who
the outside world in our work. Because we brought their knowledge of workplace
learned to bring the emotional side of our aggression to the project, and Daniel
work in through stories, maps and posters, we Kowalski, the organization researcher, who
enriched our third–person conversations, drew upon his knowledge of Native
hearing new questions, which began our Americans to introduce the ‘talking stick’
cycle of action research and discovery again. (pepper shaker) to our campfire.
The ‘ongoing research’ paradigm of action
Figures 34.1 and 34.2 reprinted with
research seems to have improved our research
permission.
capabilities in real time, on the fly, even as
our theoretical understandings deepened.
We never made this connection until we NOTE
spent time reflecting on our work together
and its implications. We are just beginning to 1 Embodying a new vision of being, ‘walking the
appreciate how presentational knowing not talk’, has also been identified as an important com-
only helps us apply what we learned in actual ponent of charismatic and visionary leadership
(House and Shamir, 1993; Boal and Bryson, 1987).
practice, but also to transfer our tacit knowl-
edge to others. As we have talked with others
about our work, they often remark about our REFERENCES
candor. We acknowledge our research prob-
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little – because we have learned that open- ship: a phenomenological and structural approach,’
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journey as researchers was both hard work Lexington, MA: Lexington Books. pp. 11–28.
and unique. Would we start a project like this Bradbury, H. and Reason, P. (eds) (2001/2006)
again, knowing what we know today? Maybe Handbook of Action Research: Participative Inquiry
and Practice. London: Sage.
not; however, we are still together after five
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and still making discoveries. practices’, Qualitative Social Work, 2 (2): 155–75.
Bray, J., Lee, J., Smith, L. and Yorks, L. (2000)
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ACKNOWLEDGMENTS and Making Meaning. Thousand Oaks, CA: Sage.
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Work on this project was partly supported by inquiry and action: interweaving 27 flavors of action
grant # 0080676 from the US National Science research’, Action Research, 1 (2): 133–52.
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Division. Findings do not necessarily represent Action Research: Social Research of Social Change.
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Action Science to Enhance Organizational Change
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510 EXEMPLARS
35
Theatre in Participatory Action
Research: Experiences from
Bangladesh
Meghna Guhathakurta
This chapter describes and analyses the premises, processes, challenges and impact of
interactive theatre used in conjunction with participatory action research (PAR) in Bangladesh.
Research Initiative Bangladesh (RIB), a research support organization, has been employing
PAR as a way of self-inquiry and self-development leading to holistic awareness and collec-
tive action to reach out to the marginalized in society. RIB found itself in a pioneering role of
encouraging this kind of community-based research in what are often termed ‘missing
communities’ – missing, that is, in terms of their absence in mainstream development agen-
das. As a consequence of this RIB also found itself having to engender a growing corps of
new researcher-animators, who will take it upon themselves to ‘animate’ the underprivileged
people to regard themselves as principal actors in their lives and not as subordinates to other
social classes.
This chapter will describe and analyse the at how interactive theatre has been adapted in
premises, processes, challenges and impact combination with PAR. Third, I will see how
of interactive theatre used in conjunction this practice has evolved within some of
with participatory action research (PAR) in the marginalized communities with whom
the context of Bangladesh. It will also criti- Research Initiative Bangladesh (RIB) has
cally engage with the discourses of transfor- been working. Finally, I will try to reflect
mation that such work is producing or upon and generalize about some of the
helping to produce. First I will trace how the lessons learnt regarding discourses of trans-
concept of PAR had been used in the formation that the element of theatre intro-
Bangladesh context and, second, I will look duces to the praxis of PAR.
THEATRE IN PARTICIPATORY ACTION RESEARCH 511
CONCEPTUALIZING AND ACTIVATING classes. ‘The central spirit behind this con-
PAR IN BANGLADESH ception of animation is the view of women
and men as creative beings and the desire to
One of the foremost exponents of Participatory see the creative possibilities of the underpriv-
Action Research (PAR) from Bangladesh has ileged people released’ (Rahman, 2004: 19;
been Md. Anisur Rahman (see also Chapter 3 see also Tilakratna, 1987). RIB has been
in this volume), who writes that his own initia- working in this approach and building the
tion in PAR has its roots in the 1971 Liberation capacities of local animators in marginalized
War of Bangladesh which made him want to communities such as the Bedays (river
see the people of Bangladesh engage in carving gypsies), Dalits, Sweepers, Rishis (leather
out their own paths of development with col- workers), Kewras (pig-rearers), Mundas,
lective creativity (Rahman, 2004: 5). While in Bunos and may other Adivasi communities.
the post-independence period in Bangladesh a PAR has also been used very effectively to
space was found where various spontaneous understand the problems of women and men
attempts at collective participatory action could in small cottage industries like mat weaving,
be recorded, subsequent developments in the silk sari weaving, wood-cutting or subordi-
larger political scenario were not conducive to nate labour activities like women working in
its continuation. In the year 2000, when some jute mills and tanneries or low cost restaurant
eminent citizens including Md. Anisur Rahman workers. Apart from such communities, sev-
established Research Initiatives, Bangladesh eral projects have been devoted to refining
(RIB) to promote research on poverty groups, it the conceptual parameters and exploring new
adopted as its founding philosophy the idea of dimensions of animation techniques and ped-
humanizing the poverty discourse. Through agogic processes, like the capacity-building
this perspective RIB sought to veer away from of animators’ projects conducted by Alaudin
existing trends in poverty research, which reify Ali in Nilfamari district in northern Bangladesh
the poor in terms of physical subsistence – in and using interactive theatre in combination
other words, treat them as ‘livestock’ to be kept with PAR as a tool of animation conducted
alive to produce milk, eggs and flesh for the by Rajib Parves in the district of Kushtia in
‘non-poor’ (RIB, 2003: 6). western Bangladesh. It is the latter project
Participatory action research or its Bengali which I will focus on and elaborate here
equivalent Gonogobeshona, as a way of though lessons from the former project will
collective self-inquiry and self-development be referred to as well.
leading to holistic awareness and collective
action, therefore came to play an active part
as one of the many ways in which the mar- THE ROLE OF INTERACTIVE THEATRE
ginalized in society could be reached and IN DEEPENING EXISTING TRENDS
awakened. RIB found itself in a pioneering IN DEVELOPMENT THEATRE
role of encouraging this kind of community-
based research of what are often termed The works of Augusto Boal and Paolo Freire
‘missing communities’ – missing, that is, in have been an inspiration throughout the
terms of their absence in mainstream devel- world to animators who have sought to work
opment agendas. As a consequence of this with the underprivileged and oppressed.
RIB also found itself having to engender a Bangladesh has been no exception. Augusto
growing corps of new researcher-animators, Boal’s (1985) theatre of the oppressed with
who will take it upon themselves to ‘ani- its diverse forms such as forum theatre and
mate’ the underprivileged people to regard invisible theatre and Paolo Freire’s (1974)
themselves as principal actors in their lives pedagogy of the oppressed with its emphasis
and not as subordinates to other social on dialogue, praxis, conscientization and
512 EXEMPLARS
lived experience have found their place in of British colonial power, the Indian
the practice of different theatre groups in subcontinent was divided into two nation-
Bangladesh, more specifically in the realms states largely on the basis of religion, Hindus
of development. Popular theatre, puppet in India and Muslims in Pakistan.
theatre, experimentation with indigenous Bangladesh, as the erstwhile eastern wing of
forms like pala gaan (storytelling through Pakistan at the time of Partition, had a
songs) and kobi gaan (interchange between Muslim preponderant population but also a
two rival bards and their respective teams) sizeable number of Hindus. However, with
have been used quite effectively by existing the increase of state-instigated violence
development agencies, to raise awareness of against the religious minorities, more and more
issues like family planning, education, Hindus – especially from the middle class –
immunization and health issues. migrated to India. Currently, in the indepen-
However, whereas most developmental the- dent state of Bangladesh, there are about 10
atre offered solutions to existing problems per cent of Hindus still remaining, and a large
and spectators remained passive observers, proportion of them are from the lower rungs of
Rajib Parvez, a young theatre activist trained the Hindu caste hierarchy. Although the caste
in Boal’s forum theatre techniques, sought to system is originally derived from the Hindu
use both theatre and pedagogy for the identifi- religion it has become integrated with the
cation of problems by the people themselves social system practised over the years. As such,
and thereby to develop a consciousness with although the Hindu middle class has migrated
the potentiality to transform. In Augusto Boal’s to India, the Muslim powerful elites who took
language, therefore, all human beings become over in the rural areas continued the discrimi-
Actors (they act!) and Spectators (they natory practice against them. Thus in many
observe!) in brief ‘ Spect-Actors’. areas of Bangladesh, sweeper communities
Rajib Parvez, with the support from and others like them are not treated equally in
Research Initiatives Bangladesh (RIB), has public places, for example not allowed to sit
been able to break new ground in this area. with others in restaurants and schools.
Rajib’s work received new impetus from the The sweepers’ community is a marginal-
parallel work on PAR (Gonogobeshona or ized, impoverished community in Kushtia, a
people’s research) being supported by RIB. district in western Bangladesh. They have
As Executive Director of RIB it has been my been called Harijons (children of God) by
pleasure as well as those of others in RIB to M.K. Gandhi, but they often reject this
see his work develop from experimenting nomenclature. I will therefore call them the
with this form within the confines of an sweeper community. They were stigmatized
existing project in the sweepers’ community by society because they performed menial
to a project designed for refining, broadening tasks such as sweeping and cleaning.
and deepening skills and techniques of ani-
mation and sharing it with a team of fellow
actor-animators. It was a learning process for
all of us and as such it gives me great plea-
INTRODUCING AND ADAPTING
sure to share moments of this with a broader INTERACTIVE THEATRE AMONG
community of people. THE SWEEPER COMMUNITY IN
KUSHTIA, BANGLADESH
RAJIB’S PRELIMINARY WORK WITH A local NGO known as the Friends

THE SWEEPER COMMUNITY Association for Integrated Revolution
(FAIR) decided to investigate the inhuman
Bangladesh is a country populated by a conditions of the lives and livelihood of this
Muslim majority. In 1947, after the withdrawal community. It was also their intention to
follow the principles of action research in which were gendered and intra-caste. The
raising consciousness, awareness, self- animators were well aware of this divide and
reliance, self-motivation and confidence to effort was taken to constitute separate groups
fight for their basic needs and fundamental among women and men so that issues would
human rights as a community. In order to fore- be discussed openly within each group and
ground them into the existing development then aired generally in larger all inclusive
discourse, their participation was considered groups. It was interesting, though, that it was
essential. This was brought about by initially through facing the challenges of intra-caste
employing a variety of methods like focus hierarchies that the thought of a theatre
group discussions, workshops and seminars workshop was borne.
bolstered by vocational training programmes, In one of the PAR discussions held among
advocacy and cultural activities. the community it was suggested that some of
In preparing to work with the community the funds allocated for livelihood training as
Dewan Akhtaruzzaman, the principal barbers be diverted to constituting a theatre
researcher from FAIR, invited some of the group for the youth since no one was inter-
Board members of RIB to visit the commu- ested in being a barber. When probed further
nity. During this visit the Chairman, Shamsul it became apparent that it was due to the fact
Bari, and Anisur Rahman learnt of the trials that barbers constituted one of the lowest
and tribulations of the community from close rungs in the intra-caste hierarchy (even lower
quarters. They learnt that the community than sweepers) and hence no one was inter-
faced problems in sustaining their livelihood ested in taking up this vocational training.
not only because they were considered finan- When the idea was proposed to the RIB
cially poor but also because of the social Secretariat, we found the idea of the theatre
stigma attached to their profession that an interesting prospect but we made it a con-
limited their acceptability and led to discrim- dition that the transfer of funds take place
ination against them. They were thus pre- only if this issue of intra-caste hierarchy be
vented from participating fully in society and addressed in PAR groups and also in the
contributing to it as full citizens. As a result training of theatre activists. This was
of this conversation, the Board Members accepted by FAIR and Rajib Parvez, whose
were more than convinced that (a) the project training in forum theatre techniques was
should be designed on the model of partici- brought into the picture.
patory action research (PAR) whereby the However, since Rajib and his team were not
primary objective should be to get the com- informed of the practices of PAR it was sug-
munity involved in determining their priori- gested that Rajib could get acquainted with the
ties, (b) the animator at FAIR should be principles and theory behind the process by
assisted and guided by a resource person. In visiting Alaudin Ali’s field in Nilfamari. Rajib
this respect the name of Alaudin Ali came up. was therefore included as a member of a team
He was involved in the project to help create of potential researchers who went to observe
animators in North Bangladesh. PAR as it was practised in the field in Alaudin
The PAR exercise among the sweeper com- Ali’s project area in North Bangladesh. It was
munity in Kushtia bore fruit. Through the help expected that as a dialogue with this process,
of Alaudin Ali, who came to Kushtia to hold a the ideas of PAR would be enriched and
series of workshops on PAR, a batch of anima- strengthened in diverse areas as well as a net-
tors were created among the sweepers them- work built among PAR researchers. After the
selves who successfully guided the process workshop Rajib started to apply himself to
of self-development among men, women and adapting his theatre techniques alongside the
children of their community. This was not an practice of PAR and an amazing synergy
easy task, as there were hierarchies embedded emerged in the form of what he now called
within the sweeper community, hierarchies interactive theatre.
514 EXEMPLARS
In applying his theatre techniques to this 3rd step: Transformation: To transform these
young group of adolescents whose problems problems into a story or representation, one
ranged from drug addiction to truancy, Rajib that is realistic. To discuss what aspects
met his first challenge of organizing these of development we should give priority to
rather undisciplined and unpunctual youth. and to construct a story on that basis.
Rajib describes in his own words the steps he 4th step: Change the story or representation: At the
time of presenting the story to the commu-
took to concretize this process: ‘Some youth
nity, the story will be changed according to
from the community came from another area the suggestion of the audience. As a result
and asked me whether they could do some- of this collective inquiry, the potential for
thing. They were an unruly lot, who were change will become clearer.
renowned in their area for truancy and addic- 5th step: Return to reality and change: The theatre
tion. They had at one time even created hin- group will assemble once again to dis-
drances for the community in their PAR cuss the potentialities for change and to
activities.’ Rajib decided to take them on as a take steps to bring about change in the
challenge. He thought that it was because of community through self-transformation.
a dearth of cultural outlets that the youth of
this community was festering in negativity. The first three steps were taken during the
The creation of a theatre group among these 15-day workshop, while the second two were
youth would be one way to address this part of the performance and its aftermath.
problem and also to take the confidence- During the workshop Rajib also introduced
building measures among the community elements of acting, drama, composition,
one step further. But the task would be an up movement, singing and choreography to the
hill one. The time for rehearsals were fixed youth. For example, he would show the par-
from 7 to 9 pm, yet no one appeared. All ticipants how to form a bridge by using their
kinds of excuses were given. Rajib then used combined bodies, or a tubewell (hand pump).
an animator from his team who was younger After this stage he would ask them to form
and could become friends with them. He groups of four or five and discuss the prob-
started to present the work so that it would be lems they faced in their day-to-day lives. The
of interest to them. He got them to discuss youth have come up with problems like hav-
themes which they thought were problems in ing to use a single tubewell for the whole
their society. Once they came up with the community and hence stand in a long line
themes he got them to portray them with just to brush their teeth, or they mentioned
action. Gradually their appearances increased how their leader would cheat them of their
and became more punctual. They started daily wages because they did not know how
showing commitment towards the develop- to read or write. After presenting their prob-
ment of their own community, which went a lems in the form of ‘scripts’, each group
long way in enabling them to come up with a would be asked to enact them as a perfor-
significant production. mance. Dialogues would be free flowing.
Rajib held a 15-day workshop with these Rajib would guide only some of the actions
youth. In his report to RIB he elaborated the to help make them more expressive.
steps that he followed in his workshop:
1st step: ‘Our’ (the community’s) Poverty: Review

THE THEMES OF THE PRODUCTION
the current situation of the Sweeper
Community and discuss whether this
could be changed. In a series of discussions the youth groups
2nd step: Do we want change? If so what kind of decided to call their production ‘Alor
change and how would we bring that Shondhaney’, literally meaning ‘In Quest for
about? Light’, and implying their search for
self-knowledge or raising their self-awareness; scenes into better outcomes for the community.
the following theme or themes for the produc- As it stands, they speak of the negative sides
tion also emerged from these discussion: of the life of the sweeper community. The
title speaks of the wish of the youth and com-
Scene 1
munity members to change this situation, to
Ram Lal was a sweeper in a large office. He wished
to make his son Hari Lal into a high official. He aspire for a world without discrimination and
sends his son to school after asking the blessings humiliation. As Rajib says, ‘for the real
of his grandfather. development of villagers, “problem identify-
Scene 2 ing” theatres are more important than
But at school other boys refuse to sit next to him. “problem solving” theatres. This is because
One boy makes him sit in the back-bench. A more the audience, in this case, the community,
progressive school-teacher intervenes and makes takes initiative for collective inquiry into
him sit in front. Another hot-tempered teacher,
their problems and enters into dialogue with
however, beats him and is lazy in his teaching
methods. Generally there are no external markers the actors to change the situation. This boosts
to say that he is from a sweeper community but in their morale and self-confidence. Through
a closely-knit community one generally knows the this process, therefore, the theatrical method
background of each person. gradually becomes an “incessant social
process” of problem identifying dialogues’.
Scene 3
After returning from school, Hari starts to play
marbles with his friends. At one point they start
fighting. EXAMPLE OF AN ACTUAL
Scene 4 PERFORMANCE
In another scene the marriage ceremony of Chanda
is enacted. Here Hari Lal is sitting with others at the To demonstrate how the interaction between
wedding feast. But he is not allowed to sit and eat
together with others even in his own community the audience and the actors may generate a
(this was the issue of intra-caste discrimination men- new discourse, I will draw some instances
tioned before, one that sparked the whole idea of from an actual performance.
demanding a theatre) as there is also an internal In scene one, when Ram Lal was sweeping
ranking system whereby some castes are considered the floor of the office of his boss, his boss
more untouchable than others.
scolded him in foul language for not doing
Scene 5 his job during ‘Holi’, which was, as it turned
At the wedding ceremony, many in the sweeper com- out, one of their most important religious fes-
munity celebrated by drinking alchohol. One of them
brought with him a friend called Proloy. But Proloy tivals. Someone in the audience pointed out
comes from the elite strata of society and refused to that they did not get any official holiday
shake hands with the rest of the community. during Holi, so technically the office was not
Scene 6 closed. The boss then pointed out that if he
The next scene is of a grandfather who gets had known it was ‘Holi’ he would have let
depressed when telling stories to his grandsons him off for that day, but Ram Lal did not
because the sad ending of his stories are too real notify him. Ram Lal was therefore asked to
for him. notify on such occasions, so that his boss did
Scene 7 not need to scold him again. In scene one,
Several young boys were involved in gambling. when Ram Lal sent his son Hari Lal to
They get into a wild fight and one boy gets killed. school, Hari went to get the blessings of his
grandfather. But the grandfather was scepti-
As any theme in forum theatre should be, cal. He muttered that this should not be.
these scenes were simple, rough-shod and From time immemorial they were sweepers,
end in disastrous consequences. It is up to the and a sweeper’s son is destined to be a sweeper.
audience and the animator to transform these Why waste time on education. A woman and
516 EXEMPLARS
girl in the audience protested and stopped the issues. In his experimentation, Rajib has
scene at this point. They reasoned with the deliberately chosen his animators from dif-
grandfather to send his grandson off with his ferent sections of society – teachers, stu-
blessings, since times have changed, and edu- dents, musicians, and folk theatre artists – so
cation can change one’s destiny. It was espe- as to be able to reach different socio-
cially interesting and quite overwhelming to economic groups. In the section below I will
see two women come and argue on stage with outline Rajib’s efforts in his development of
the grandfather in a community, which was still forum or interactive theatre.
very much steeped in patriarchal values. It
should be mentioned that women generally do
not have a voice in this society, but they were PERSPECTIVES FROM THE FIELD
gradually becoming vocal about their rights
during the discussions held in their PAR In the following section, I offer some obser-
groups. They raised the question as to why it is vations from a field visit I made to Rajib’s
only men who decide for the whole community ongoing project. Rajib and his team of ani-
as elders. mators continued to work from Kushtia, but
In scene 2, almost everyone in the audience this time instead of a specific community, his
stopped the scene when the Harijan boy was field constituted a rural setting at the one-
asked to sit at the back of the class. Here the village union of Haripur, a kilometre or so
animator, Rajib himself, came forward and across the sand-filled banks of the river
took advantage of his special audience from Gorai. Haripur, as we heard later, was a huge
RIB and asked Professor Anisur Rahman, who village consisting of 28,000 voters and many
was in the audience, to give reasons as to why neighbourhoods. As it was in commuting dis-
he thought that the boy should be allowed to sit tance with Kushtia, there was a large number
with others. This created a warm feeling among of professionals and small businesses in the
the audience as they felt that their guests too area. Families like these were well educated,
were included in their collective inquiry. It gave but in poorer neighbourhoods illiteracy went
a special meaning to their efforts. hand in hand with a high prevalence of
dowry, child marriage, gambling, addiction
and rape. It was reported that when gambling
THE CREATION OF dens sit together, creditors lie in wait for
ACTORS-ANIMATORS THROUGH people to lose so that they give them imme-
INTERACTIVE THEATRE diate credit to make good their losses. This
has also been a theme for theatre activists to
Rajib’s success in the sweeper community explore.
inspired him and RIB to undertake a follow After introductions with his team of ani-
up project where Rajib, with the help of his mators cum artists-musicians, Rajib showed
institution Centre for Development Theatre us a video of the processes through which he
(CDT) based in Kushtia, would develop a gains validation from the people about the
body of animator-actor-musicians who theme of his drama. The themes of his plays
would engage themselves in participatory are usually drawn from real life situations,
action research as well as experiment in which surface in the discussions held by par-
adopting the techniques of forum theatre to ticipatory action research groups. We were
the rural Bangladesh scene by incorporating supposed to witness one such validation of a
different indigenous folk elements like theme, the theme of a rape and consequent
Kobigaan (a battle of wits through music suicide of a 12-year-old girl. This was to be
between two bards) and Palagaan (songs followed by a discussion with the animators.
through which a story is told) and by using After lunch, we were then to see the actual
invisible theatre in buses and trains on public performance of an interactive drama called
Putuler Biyey (literally Doll’s wedding, a students returning from school and even
drama against child marriage). This too was teachers from the adjacent madrasah
to be followed by a discussion. (Islamic school) joined the crowd. We heard
In order to gain credibility in the village later that the four rapists were also present
Rajib had befriended the household of Omar during the play but had left just as the anima-
Chacha (Uncle Omar), who has a tea shop out- tors started seeking validation from the audi-
side Rajib’s office in Kushtia and is a resident ence. The mother too had shifted to the back
of the village. Whenever doing a show, Rajib of the audience, peering out between two
and his team use his house as an anchor point. women to see the play. During the validation
They also practise in a space which they rent the animator asked the question whether such
out from a private coaching centre, whose an incident was true in their lives and society
teacher is one of their animators. All this gives and whether this should be turned into a play
them a platform in the village. Rajib has delib- so as to prevent it from happening again. The
erately chosen his animators from different audience all replied in the affirmative. One
sections of society so as to be able to reach dif- man and woman whose daughter had suf-
ferent socio-economic groups. fered such a fate three years ago and were
still fighting a case in court in vain started to
speak out, but their voices were restrained by
THE VALIDATION OF A THEME the animator. Rajib later told us that they
were poor and were under threat from the
Rajib and his team usually validate the theme powerful elements in the village, and too
of his drama from the area where the real life much exposure on their part would endanger
incident actually occurs. Rape is quite a com- their position. They were sensitive to their
mon occurrence in that area. The issue of rape situation.
first surfaced in a PAR group discussion when After the validation, we met with the mother
a 12-year-old girl was gang raped by boys of the girl. She was in tears, but spoke of the
linked with the power structure. It seems that it incident. She kept lamenting that she could
was not an uncommon occurrence in that do nothing to prevent her suicide. Threatened
village due to the near total absence of law and by the rapists, both mother and daughter had
order. Lacking a support system, which could been intimidated and had kept the incident to
give her some form of justice or reprieve, the themselves and hence had felt isolated. It
girl committed suicide seven days after was only during the PAR discussions that
the rape. Daily, the mother was seen crying in these issues had been raised in public. If con-
the spot where she was raped. One day some tinued, it is expected that the PAR groups
persons brought her over to the group and could act as counselling and solidarity
asked her to tell the story. The theatre team then groups to prevent future incidents like these,
enacted the story in a play. though one may also need counselling
It was this play for which Rajib’s team support or capacity-building workshops.
sought validation in the same neighbourhood
where the incident occurred. Although the
drum beats and the fanfare drew the crowds EXAMPLE OF AN INTERACTIVE
together rapidly, there was tension in the air. THEATRE PERFORMANCE
We were told that the mother of the raped IN A VILLAGE
girl, clad in a black burqah (Islamic dress),
was in the audience. The crowd watched the Rajib has been experimenting with different
play as if in a trance. Effort was made to keep forms of drama. One of the standard forms he
a light tone at the beginning in order to give had been using was a modified and adapted
some relief and this contrasted with the tragic version of the forum theatre. He had further
end of the play. By the time the play ended, adapted this form into the Bangladesh
518 EXEMPLARS
scenario by incorporating folk forms such as with his father urged him to level with him in
pala gaan (where a story is told through his own terms. The theatre therefore demon-
songs and dialogue). The essence of interac- strated that some women in the audience as
tive theatre is the interaction with the audi- well as the future generation had a positive
ence, where the audience, after having seen attitude towards the banning of child mar-
the unfolding of the plot, then identifies the riages. Men were more ambivalent about it.
problem and helps to change it for the better.
The plot enacted that day was about child
marriage. Two friends decided to get their DISCUSSION OF THE
teenage son and eight-year-old daughter mar- PERFORMANCE
ried off without consulting their near and dear
ones and even coerced the Imam Shahib After the validation and play, discussions
(Islamic priest) and Union Parishad (local gov- were held with the animator-actors in a
ernment) chairman into performing the nearby coaching centre. The discussions
marriage ceremony. Both bride and bridegroom after the play were especially interesting.
were oblivious about what they were doing. As While everyone agreed that the form that
years went by the teenage boy grew up and Rajib used was highly effective, they never-
developed relationships of his own, thus dis- theless had many questions relating to it.
carding the early marriage by sending divorce Some were more specific to the play, others
papers to his hapless ‘child bride’. The anima- had more generally to do with method.
tor then asked the audience whether they had It was pointed out specifically that though
seen this happen in their lives and whether they the drama had ended on a positive note as a
could change the turn of events. result of interaction from the audience, the con-
As the scenes were re-enacted the audi- clusion did not make it clear to the audience
ence stopped at the scene where the fathers that the law of the land in fact forbade child
had decided to marry their children without marriage. Rajib replied that this was possibly
consultation with anyone else, especially the due to the way the scenes were constructed and
mother of the bride. Some people thought played out. Because the first scene depicted the
that mothers should be consulted. But the social pressures of child marriage, the resolu-
actors playing out their role contested and tion veered towards a more social solution
provoked the audience. Security of the girl- rather than a legalistic one. This could be
child, her sexuality and, women’s decision- looked at in a positive light as well and would
making power were all brought out as issues. have been ideal if it would have supported an
This set off a heated discussion about already legally aware constituency rather than
women’s sexuality, where men became being placed at the cost of it.
openly aggressive and abusive in their views This led to the discussion as to how much
about women who do not observe purdah an animator or animator-actor should retain
(i.e. segregation). But the day was saved by control in the interactive phase. Often it was
both Rajib as animator and a level-headed found that the interaction led to a wide num-
13-year-old girl from the audience (later ber of issues, which in turn led the discussion
joined by another girl of her age) who argued astray from the problem originally posed to
logically with the bride’s father and the the audience. A balance needed to be struck
groom and stopped the marriage from hap- between discussing the core issues and other
pening. Incited by the animator, she played issues relevant to the core ones. It seemed
out the role of a friend to the child-bride to be that no one strategy would be adequate, but
and went in search of the young groom to rather that the animator needed to retain a
dissuade him from taking a step he did not degree of flexibility as well as a conceptual
fully comprehend. They urged him to continue grounding of the issues being raised. In order
his education and instead of getting angry to do this effectively, it was felt that the
animators needed some reading materials Animation Techniques and Processes

and discussions with resource persons in this Unique to Interactive Theatre
matter.
The participatory element in Rajib’s PAR Rajib has used the mirroring principle as a
practice was also discussed. Although empa- central concept in sharpening his animation
thy with the audience constitutes the epitome technique. This has been at the core of the
of such practice, it was found that emotion- problem-identifying nature of interactive the-
ally high-strung individuals often got atre. The audience observes the enactment of
overexcited in their animation work. This the scenes as in a mirror. The scenes reflect
had a tendency to impede participation. As what happens in reality. They are therefore
many observed, the animators were often representations, which because of their close-
taking on too many issues all at once, often at ness to reality elicit emotional responses from
the cost of going in depth into one particular the audience but, because they are representa-
issue. It was felt that follow-up discussions tions, may be intervened with, stopped at any
among animators would help resolve this stage and changed for the better. Such change
dilemma. may then be carried out by the audience
members themselves through the continuing
practice of PAR in the area.
CHARACTERIZING INTERACTIVE
THEATRE AS A DISCOURSE OF Adaptation of Folk Forms
TRANSFORMATION
In order to help the audience relate more
Rajib’s experiments with interactive theatre closely to the performance Rajib has adapted
in the Bangladesh context seem to have con- many indigenous folk forms into the perfor-
tributed towards the construction of a dis- mance because folk theatre in the rural scenario
course of transformation. First I will outline is often the only means of entertainment.
some of the characteristics of Rajib’s interac- People therefore only accept it on its enter-
tive theatre, which have underpinned such a tainment value. Rajib has therefore tried to
discourse. I will then go on to conceptualize retain the entertainment even in sequences
as to those components or elements of theatre which are grim and serious, such as the con-
that have actually catalysed such discourses sequences of rape or child marriage, in order
of transformation and, as such, have criti- to draw the attention of the crowd. Rajib also
cally enhanced the traditional practice of found a way to draw the attention of the
PAR. First, the characteristics: crowd in the first place. When going to a
location to perform, the group is usually
accompanied by drummers. The sounds of
Interactive Theatre Situated the drums not only act as an announcement
Within the Context of PAR of their performance but, while drumming
The experiments of interactive theatre have and dancing, they create a space for the per-
been situated within the context of PAR. In formance to take place as crowds gather
both the case of the sweeper community as round them.
well as in the village of Haripur, the practice
of PAR had to be introduced prior to or at Self-Transformation of Animators
least simultaneously with interactive theatre and Catalysts
practices. Thus it is important to realize that
interactive theatre in both cases was not prac- It was mentioned before that Rajib chose his
tised in isolation but within a culture which animators from all walks of life, some pro-
engenders an ‘incessant social process of fessional musicians and actors, some teach-
problem identifying dialogues’. ers, in order to gain acceptability among all
520 EXEMPLARS
strata of society. But whatever their back- follow-up mechanisms. Two kinds of follow-
ground, they were all required to be animators up may be mentioned. One is the follow-up
and performers. Each had to animate and per- immediate to the performance. Here some
form in turn, so that no division of labour was kind of follow-up mechanism could be
imposed. Some refused to perform in the begin- found, when the audience continued to dis-
ning, but had to give in to the requirements of cuss the play in their daily conversations as
the group. Later they developed into excellent part of the process of collective inquiry.
performers, since what they were doing was so Where PAR groups were already meeting,
close to real life, and the characters they repre- the discussions were more structured with
sented were really inside them and around them the potential of resulting in collective or
so that the expression of their traits became remedial action. The second kind of follow-
almost effortless. It must be mentioned that up referred to the phase when Rajib and his
there was no learning of lines and the actors team would withdraw from the area. In nei-
were only given a sketchy outline on which ther area where Rajib had operated were
they were asked to improvise. One of the per- there any signs of the performances being
formers confided to us that he had no inkling of continued after his departure, even when
acting before he came and was hesitant in ven- there were trained actor-animators around.
turing into this field. But this very same person However, there has been an area where
gave such a brilliant impersonation of a cun- Rajib’s effort has been successful, and that has
ning and devious Union Parishad (local gov- been the practice of interactive theatre in
ernment) chairman that his appearance at once another of RIB’s PAR projects, among the very
brought out vile words from the villagers. On oppressed youth groups of the Rishi commu-
probing deeply he revealed to us that he had in nity (leather workers), who like the sweeper
his mind a close uncle who had acted as his community have been structurally marginal-
prototype! ized and discriminated against in mainstream
Apart from the actors and performers, Rajib society. Rajib has been asked to offer the
came across many people in the field who were teenagers of Paritran theatre a training work-
touched both personally and professionally by shop and in barely six months they have given
his work. One such person was Forhad over 20 performances in various districts in
Hossain, the Social Welfare Officer of their area and have recently been invited to
Meherpur Thana (Police Station), who accom- perform in Italy! Needless to say this was their
panied Rajib in all his performances. He con- first ever trip abroad. But more important for
fided that he had dabbled in left politics during their development was their success in helping
his student days, spurred on by idealism to do to project the problems of the Rishi commu-
good for people. In his current position as nity to villages near and far, thereby gaining
social welfare officer his enthusiasm had been support and solidarity for their cause.
ebbing. Seeing Rajib’s theatre technique gave
him new impetus in his work. He was con-
vinced that this was an ideal way to reach the
ordinary people of Bangladesh. He admitted CONCEPTUALIZING INTERACTIVE
that he was so caught up with this endeavour THEATRE AND PAR IN A DISCOURSE
that he often spent more time with the actor- OF TRANSFORMATION
animators than he did with his two-year-old
daughter at home. Both interactive theatre and PAR have com-
mon objectives. They aim to transform or
change. Both employ the critical role of the
Follow-up Mechanisms
animator and both engage collective and dia-
Perhaps one of the weakest points in Rajib’s logic reasoning as opposed to individual
experimentation has been the dearth of rationality. But what are the components of
interactive theatre which, through catalysing powerful than their PAR counterparts and
processes of change, have critically therefore have to be more careful and skill
enhanced the praxis of PAR? about using such powers. But if skill orches-
First, the element of role-playing, which trated, the interaction may be very fulfilling
engages both audience and actors in a dia- in achieving the right result, as was the case
logue is critical to the process of transforma- in the example portrayed earlier.
tion. Generally in a PAR session, even Finally, as much as theatre enhances the
familiar issues are often discussed with a expression of different emotions, and thereby
general sense of distance or objectivity. One provides a site for catharsis, it also gives a
loses this sense when one plays the role of kind of protection to actors and audience
a victim of rape or discrimination. The person’s alike to express those emotions in a safe
being is therefore transformed. This is true manner. For theatre is after all a representa-
both for actors and spectator. Moreover, the tion, not reality. In enactments of rape or
constant switching of roles, as in the case of violence in a rural setting it is possible for the
the spect-actor, brings about a fluidity, which audience to become visibly disturbed, but the
may be compared with the process of praxis presence of actor-animators are there to
in PAR. In PAR the cycles of reflection– ensure that such expressions are conducted in
action–reflection which constitute praxis are a safe atmosphere. Since the theatre takes
deliberated over a long period of time. In place in a public setting, where the general
interactive theatre the timescale is reduced. In trust normally prevalent within PAR groups
a matter of moments the spectator (observer) is absent, this is no doubt a more challenging
turns into an actor and back into a spectator. As and risky task for the actor-animator but one
such there is rapid movement from reality to that is greatly rewarding.
representation and back to reality. This is a
mental exercise which can greatly contribute
to an ongoing practice of PAR.
REFERENCES
Second, theatre implies an embodiment of
emotion and drama, both of which are forms
Boal, Augusto (1985) Theatre of the Oppressed. London:
of expression. In PAR the animator’s role Pluto.
is to assist the breaking of mental barriers Freire, Paulo (1974) Pedagogy of the Oppressed. New
and thereby reveal possibilities of change. York: Seabury.
Animation is effected through enabling Rahman, Md. Anisur (2004) Participatory Action Research:
a rational dialogue. Actor-animators, how- Learning from the School of Life. Dhaka: RIB.
ever, have the freedom to use emotions RIB (2003) Conception and Research Ideas of Research
and a heightened sense of drama to engender Initiatives. Dhaka: RIB.
and enable expression of views among Tilakratna, S. (1987) The Animator in Participatory Rural
the audience. Thus in a way they are more Development (Concept and Practice). Geneva: ILO.
522 EXEMPLARS
36
Changing the Culture of Dependency
to Allow for Successful Outcomes
in Participatory Research: Fourteen
Years of Experience in Yucatan,
Mexico
M a r í a Te r e s a C a s t i l l o - B u r g u e t e , M a r í a D o l o r e s
Viga de Alva and Federico Dickinson
We report about a 14-year-long participatory research (PR) process in a coastal village in Yucatan,
Mexico. In this process we identified several factors and dimensions that strengthen the PR
process and should be taken into account when developing PR: communication and conscious
interrelation between PR agents; visualization of the PR process from different points of view;
recurrent and systematic motivation and empowerment. We also experienced some factors that
limit attaining proposed PR objectives: patronage relationships; gossip; lack of seriousness; and
technical errors made by us. After the analysis of this process we conclude that: (1) a long-range
approach is useful in PR for understanding how the learning acquired in the process is applied to
the facets of daily life; (2) young people use PR learnings to change their reality; (3) interdiscipli-
narity is highly useful since the problems addressed with PR are typically complex, involving social,
political, economic, cultural and environmental aspects; (4) participation is part of a community’s
cultural capital; and (5) PR process agents must invest abundant time, effort and feedback to pro-
mote horizontal, multiple leaderships, manage resources, negotiate agreements, account for
actions, understand group norms, patterns and behaviors, and facilitate learning in action.
In this chapter we report on and discuss a 14- small coastal village in Yucatan, Mexico, the
year-long, participatory research (PR) project. 586 inhabitants of which share a strong
This process was implemented in The Port, a Mayan cultural ancestry. Our main goal is to
CHANGING THE CULTURE OF DEPENDENCY 523
identify the strengths and weaknesses of the team. The project was planned as a long-term
PR process, as well as some of the variables (10-year) applied human ecology program,
that supported or undermined what we sug- and included participative research (PR) as a
gest is a paradigmatic PR case involving an collaborative work methodology focused on
academic group and a community. creating bonds between scientific researchers
The process has included community and the community. In the spirit of collabora-
organization and participation on health and tion between university and community pro-
environmental concerns. Issues addressed posed by Brulin (2001), over the years the
since 1992 include lack of healthcare ser- Ecological, Social and Health Assessment
vices, design of a community health pro- Program has brought together natural and
gram, experimental implementation of a social scientists from the Center for Research
double-dry latrine, alcohol use patterns and and Advanced Studies-Merida (Cinvestav), a
building of several palafitte (i.e. houses built federal research center, the Autonomous
on stilts to avoid flooding) prototypes. University of Yucatan and other research and
Our contributions include suggestions that: education institutions in Mexico.
(1) a long-range approach is useful in PR for Our choice of PR methodology for this
understanding how the learning acquired in project was influenced by the presence of a
the process is applied to the facets of daily life, patronage or paternalist culture in Mexico
both at the family and community levels; that was actively fomented by the Partido
(2) young people use the look–judge–act routine Revolucionario Institucional (PRI) during its
to change their reality; (3) interdisciplinarity is 71 years (1929 to 2000) as the sole political
highly useful since the problems addressed party in the country. In the words of Bobbio
with PR are typically complex, involving and Matteucci, paternalism is ‘a social
social, political, economic, cultural and envi- policy, tending to the citizenship and
ronmental aspects; (4) participation, under- people’s well being, that excludes their direct
stood as a component of the socialization and participation; it is an authoritative and benev-
resocialization processes, is part of a commu- olent policy, a popular relief activity, exer-
nity’s cultural capital; and (5) PR process cised vertically, applying administrative
agents (i.e. facilitadores [facilitators] and methods’ (1982: 1193–4). Goods distribution
acompañantes [companions]) must invest in this kind of system is independent of the
abundant time, effort and feedback to promote desires, needs and analysis of a country’s cit-
horizontal, multiple leaderships, manage izens (Dieterlen, 1988). Indeed, it can be a
resources, negotiate agreements, account for negative force because it infringes upon the
actions, understand group norms, patterns and basic right of people to plan and implement
behaviors, and facilitate learning in action. We their own life plans by making them depen-
can synthesize this last point in the words of dent on government policies.
Heron and Reason: ‘good research is research Patronage has deeply infiltrated Mexican
conducted with people rather than on people’, culture and extends even to the family and
(2001/2006: 179). community levels, where people have inter-
In 1990 we began the Ecological, Social nalized the dynamic of receiving benefits in
and Health Assessment Program in a rural return for a minimum of effort, for example
municipality in the Mexican state of Yucatan in exchange for their vote in elections. Aside
(Ortega and Dickinson, 1991). The overall from the negative consequences patronage
goal was to improve the studied community’s has had in the political, ethical and social
health and well-being through their aspects of national life, it has also distorted
members’ active participation in the formula- the socialization of children. It has blocked
tion and evaluation of activities and pro- development of the perception that participa-
grams aimed at satisfying needs they tion is a cultural capital that must be
identified and/or sustainable resolution of fomented, as well as the recognition that
priority problems identified by a research individuals and groups can develop the skills
524 EXEMPLARS
needed to identify, analyze, and solve acquisition and development) as part of the
problems. The very nature of PR strengthens construction and use of communities’ own
these civil and social values and is therefore knowledge, as Reason and Bradbury (2001/
a very effective tool in the fight to metamor- 2006) and Lykes and Mallona (Chapter 7 in
phose this culture of patronage into a more this book) also argue.
socially-engaged system. Participatory research has benefited from
The initial phase (1990–1) of the the contributions of Paulo Freire and Orlando
Ecological, Social and Health Assessment Fals Borda. Both have worked to make PR a
Program was aimed at assessing the ecologi- tool people can use to solve their commu-
cal, socioeconomic and health conditions of nity’s problems by adopting them as their
two human communities in Scorpion Tree own, and which they can appropriate for
Municipality: The Town and The Port. The their own autonomous use to apply however
results from this phase were to be used as they choose (Barquera, 1986).
baseline data for assessment of future
changes, and to be presented in feedback
workshops in both communities as potential PARTICIPATORY RESEARCH AND THE
inputs to the PR process we discuss here. ECOLOGICAL, SOCIAL AND HEALTH
From the very beginning of the program, we ASSESSMENT PROGRAM PROCESS
invited civil, educational and religious insti-
tutions, as well as people seen as prestigious The Setting for our Participatory
within the communities, such as midwives,
Research
healers, and elderly people, to form an
Advisory Committee for the program. This What we call ‘The Port’ is a small coastal
Committee helped the acompañantes village in Yucatan, in the southeast of
(explained below) to better understand local Mexico, with a population of 586 inhabitants
background and the opinions and expecta- who share a strong Mayan cultural ancestry.
tions of the people in both communities. The main productive activities are artisanal
We chose the PR methodology for the fishing, salt extraction and coconut produc-
Ecological, Social and Health Assessment tion, though ecotourism is growing in impor-
Program because it is a theoretical-method- tance. Most inhabitants profess to be
ological tool for generating creative and Catholic (70%; other denominations include
intellectual processes that consciously Pentecostal and, more recently, Jehovah’s
involve a population, motivating its members Witnesses), and half of those older than 12
to increase their understanding of, and ability years of age have not finished elementary
to autonomously identify, prioritize and school (Castillo, 2001).
resolve their problems (Schutter, 1981, 1996; Our application of PR requires two key
Hall, 1989; Castillo et al., 1997). This groups: facilitators and acompañantes.
approach has been nourished over the years Acompañantes is derived from the Spanish
by the experience of hundreds of people in verb acompañar (to go with or accompany
over 60 countries, actively involves commu- somebody). We use acompañantes (the noun)
nities in knowledge production, and com- in the sense reported by Clinton (1991) of
bines social research, educational work and acompañamiento (the action) ‘used by Latin
action (Schutter, 1981, 1996; Hall, 1989) American development workers to describe a
while emphasizing that people involved in a relationship with communities, groups and indi-
PR process participate in knowledge produc- viduals that fosters mutual support, trust, a com-
tion, research development and transforma- mon commitment and solidarity’ (Whitmore
tion of their reality (Barquera, 1986). Reason and McKee, 2001/2006). Facilitators are
(1994) also suggests that this process moves community members skillful in the use of PR
towards empowerment and training (i.e. skills methodology who facilitate the process for the
community as a whole. Acompañantes, in this stage once the celebration stage has passed,
case, are scientific research team members making the on-going process a metaphorical
who train the facilitators in PR methodology, spiral. The PR process ideally develops reit-
philosophy and use, accompany them during eratively, returning repeatedly to community
its application, provide feedback, systematize problems but advancing with each curve in
data and, upon request, contribute useful infor- the spiral as knowledge acquired in the
mation to the community development look–think–act cycle is applied to new chal-
process. In this chapter, we use the verb ‘to lenges (Figure 36.1).
train’ to indicate development of skills or The PR process in The Port began when
habits in the analysis and solving of commu- the acompañantes made a graphic presenta-
nity problems; in other words, the empower- tion at a community workshop in 1991 of the
ment of people taking part in the PR process main results produced by the Ecological,
through guided experiential learning of skills Social and Health Assessment Program sci-
and obtaining the information needed to nego- entific team; the workshop was attended by
tiate with government agencies and NGOs. In the program’s Advisory Committee. At this
training we work together with facilitators to presentation the acompañantes invited
assist them in learning how to more effectively people interested in working towards solving
access and negotiate with people and institu- community problems to form a PR group.
tions outside the community that provide fund- This convocation was attended by men and
ing, information and other resources. This women from the community, although
assistance is transitional and is, in fact, second- mostly women came, some with their
order learning, i.e. a type of learning to learn, children. The first three or four meetings
development of skills for accessing sources of were devoted to explaining that we were not
continuing information and the resources going to be giving away chicks, provisions,
needed to defend their community and fruit trees or anything else that many other
improve its well-being by way of recognizing organizations often do, particularly the gov-
and using new resources. ernment. Our offer centered on generation of
Our PR process typically includes a three- knowledge that would help them to improve
step routine with five stages. The steps are their well-being, which initially brought
look, think and act; these allow the facilita- laughter, since the attendees were a bit
tors to diagnose and hierarchize their com- incredulous. Attendance diminished in pro-
munity’s problems (Stringer, 1996; Viga gressive meetings until about 10 to 15 people
et al., 1999). The stages are: remained who continued attending regularly.
Later we were told that those who had
• Convocation, in which community facilitators are stopped coming did so precisely because
invited to form part of a group interested in they realized that we were not going to give
addressing certain problems. them what they had expected. We know from
• Training of facilitators in PR methodology. Castillo’s (2001) work in The Port that the
• Analysis-Action is implementation of the look–
people who regularly enrolled in the PR
think–act problem-solving process for a selected
problem.
process belong to the community’s group of
• Evaluation of the results obtained and the diffi- regular participants.
culties faced during the process; of the didactic The training stage was done in about five
materials used; and of facilitator and community sessions of 1.5 to 2 hours each, and was
attendance, participation and interest during the focused on showing the commonality of the
different process stages. situations to be analyzed, forming facilitators
• Celebration of the process. and acompañantes into a group, and demon-
strating that the task ahead would not be
Sometimes, as occurred in The Port, the PR easy; this is partially reported elsewhere
group begins a new cycle at the analysis-action (Dickinson et al., 1998; Pyrch and Castillo,
526 EXEMPLARS
Think
Think
Think
Think
Think
Think
Act
Act
Act
Act
Act
Act
Look L ook L oo k L oo k Look L oo k Loo k
1991 1992 1993 1994 1999 2005 2006
ESHA Medical Civil

Service Organization
Alcoholism ‘Na Maalo Menta
Participatory Hani, A. C.’
Research
Community
Health Program Environmental
Palafitte Education
Communal ‘Ideal Community
Asset planning’
Double Dry
Bathroom
Figure 36.1 Participatory research process in The Port, through time
2001). It should be stressed that according to drawings and then presented them to the rest of
PR methodology acompañantes should form the facilitators. Based on this activity they
part of the PR group, on a par with the facil- decided to work to remediate some of the
itators. Maintaining this role in practice has problems and received training in PR method-
proved quite difficult because the facilitators ology for this purpose. Once trained they car-
have looked to the acompañantes for group ried out a diagnosis of the actual community
leadership, asked them to solve problems, that showed the community’s main problems
and expected them to make decisions, espe- to be linked to water quality and supply, the
cially the hard ones. We have been extremely limited electrical grid, narrow roads into town,
careful to follow the methodological rules alcoholism, lack of healthcare, lack of boats,
controlling our role in the group. For the pur- pests in the coconut plantation, clearing of
poses of this chapter we treat the terms ‘facil- abandoned lots and summer homes, control
itators’ and ‘PR group’ as synonymous, and and cleaning of the wetlands near the town
make acompañante participation in the center, and trash on the beach (Castillo et al.,
group explicit. 1997). The facilitators then hierarchized the
The first PR process activity involving the problems and identified the primary problem
facilitators was an ‘ideal community’ exercise for resolution as lack of healthcare.
in which they formed five groups to analyze During the following meetings the PR
the community’s shortcomings and express group gathered information that would
how they would like their community to be. enable them to act. This information showed
Each group expressed its ideas in the form of that The Port inhabitants could theoretically
receive medical attention in the clinic in the In the think phase the PR group analyzed
municipal seat through Solidaridad (Solidarity), the problem’s origins and consequences, its
a federal health program servicing the unem- relationship to other problems, and the pos-
ployed or workers without social security. sible strategies for obtaining the desired
However, transport to the municipal seat was medical services, including directly request-
not easy and so they had to travel to the clinic ing them from the state governor.
the day before to get an appointment for the This analysis served to identify what to do
following day, or leave very early in the in the action phase. By this time the facilita-
morning and risk there not being any tors already had a well-developed panorama
appointments for that day. In emergencies of the available traditional treatments for
they would go to other public or private some diseases, how long healthcare had been
health institutions. lacking and of the available state medical
As part of the look step of the PR method- services. This knowledge and the facilitators’
ology, the facilitators reported that, before drive to have healthcare services led them to
beginning the PR process, community negotiate independently with authorities at
members had met with health authorities to different levels, such as the municipal presi-
arrange for a doctor from the Solidaridad dent, the heads of different health services in
clinic in the municipal seat to see patients in the state and the personnel staffing these ser-
The Port. These authorities told them they vices. This was a crucial stage because the
would need to prepare a space in which to facilitators had to negotiate with both state
have the appointments, and they built a and federal health authorities who tended to
Mayan style, palm-roofed house, fulfilling impose their power and tried to block the
their end of the agreement. The federal health facilitators’ initiatives (Castillo et al., 1997).
authorities, however, did not fulfill their part Despite these counteractions, they main-
of the agreement (Castillo et al., 1997), and tained an autonomous approach, using docu-
The Port still had no health care services. ments and meetings with state and federal
The facilitators continued gathering data to health authorities to negotiate healthcare ser-
better understand their options, and realized vices for the community.
they needed to comprehend the official criteria With community backing, the facilitators
for healthcare resource allocation, including arranged for the state government health ser-
the number of physicians in the state, the vices to provide medical attention in The Port
towns where they were stationed, the number once a week, and to train and maintain a med-
of towns in the state without healthcare ical assistant there. In our perception, the facil-
service, the number of physicians coming to itators’ success was the result of their greater
the state to fulfill their social service require- organization capacity, which allowed them to
ment, etc. One result of this research was that more effectively negotiate with the health
they found out that a physician was stationed authorities. The community committed to pay
in a state health services clinic in a nearby the physician’s transport costs and a fee for
town, leading to comments such as: each patient. Representatives of the Solidaridad
program committed to guaranteeing that the
The port right nearby is smaller than ours, here clinic in the municipal seat would remain open
we’re bigger … but we don’t have a doctor or a to provide medical attention to The Port com-
medical clinic, while they have a good clinic, doc- munity if they requested it. The state govern-
tor, nurse and they give them medicines … if they
[the people] need to visit the doctor they can
ment health services met its commitments and
because he’s always there, he stays there almost all Solidaridad, once again, did not, as shown by
the time … he [the physician] only leaves one day comments like this one:
when he gets to rest; it’s good there. (Several
women, talking among themselves in a PR group In the meeting with the IMSS-Solidaridad doctors
meeting, 1993) they said they would continue giving appointments
528 EXEMPLARS
in The Town, open for all those who wanted, but it’s a pleasure that at the clinic even people from
when we go, the nurses and doctors make fun of The Town come to appointments here. This
us, and say that despite everything we go to means they like it. (woman, homemaker, no
appointments there, but we made ourselves heard. children)
We don’t like this, it’s bad that they do this, there’s
no reason for them to do this, they must meet We’re not envious, if the doctor sees them, great,
their commitment without having to say anything it’s always people who need the service and it’s no
to us or requiring anything from us. (Middle-aged inconvenience to us that they come here, on the
woman, restaurant owner) contrary, we like it that people are well. (local
fisher, father of two children)
Among the facilitators who attended the

meetings was the municipal commissary, STARTING AGAIN
who also attended council meetings in the
municipal seat. On one occasion he com- Once the initial approval had been given for
mented to one of us (M.T. Castillo) that he a physician to periodically see patients in
had submitted a request for construction of a The Port, the PR group (facilitators and
more formal clinic to the council to ‘see if it acompañantes) evaluated the process,
came to anything’. Once he finished his term including accomplishments, to see what
as commissary he stopped participating in worked well, the mistakes made, and the
the PR group, but a couple of years later the materials and dynamics used. The facilitators
state government approved the first stage of expressed that:
a clinic for The Port. This highlights the util-
ity of contacting the ‘right’ people as part of at the beginning of the PR process we doubted the
the process; it may not produce immediate efficiency of its organization and negotiation to
results but can bring long-term benefits. obtain medical care; this doubt was overcome by
In 1992 the PR group began working achieving the immediate objective, which coin-
towards obtaining healthcare services and by cided with the community workshops for the end
of the second project stage in which the commu-
2006 had succeeded in having a health center nity was informed of the results of the scientific
built of concrete with a waiting room, office, studies done in the first stage, including that there
hospitalization space, and a living space for the was a high incidence of parasitism in child and
physician with a kitchen and bath. The center is adult populations, which greatly surprised the
run by the state health services, which, since community. (Castillo et al., 1997: 248)
1995, has staffed the clinic with physicians
doing their social service. The physician After the evaluation, there was a party to
remains in the community six days a week, and celebrate the accomplishments, and the
has a support staff of two nurses. The physician entire process, as a way of leaving a mark on
and nurses treat emergencies and implement a the group’s and the community’s memories.
preventative healthcare program in tandem Upon re-entering the PR spiral (Figure 36.1)
with a community committee. Both the medical at the look stage an analysis was done show-
attention and medications provided in the ing that the medical service helped cover part
health center are free of charge. The commu- of the health problem, though it did not com-
nity is now negotiating for a dental care unit. pletely solve it. In response, the facilitators
As of 2006, people from the municipal developed a Community Health Program
seat come to appointments in The Port clinic. with four levels (individual, family, commu-
Community members say those from the nity and environment) intended to improve
municipal seat come because they are treated the living conditions of groups and individu-
well, the physician is good and they are als. This program guided two of the next
given their medicines. If there is no transport three process stages: parasitism in humans
back to the town the physician takes them (discovered in the first phase of the Ecologi-
back in his car. They add: cal, Social and Health Assessment Program);
and local alcohol use patterns. In this chapter, facilitators decided to incorporate them-
we only want to stress relevant events within selves into a formal civil organization called
these stages. Na Maalo Menta Hani (‘strong, tall house’
To address the environmental and commu- in the Maya language). This civil association
nity levels of the Community Health Program, is focused on the building of palafittes and
the PR group experimented with a ‘double- repair of existing family homes; it can also
dry toilet’. Two aspects stood out during this receive donations without them being chan-
stage: (1) the PR group decided to experiment neled through CINVESTAV.
before taking large-scale measures; and (2)
while the PR group was analyzing the human
parasitism problem, the State Health Ministry REFLECTION FOR FUTURE ACTIONS
offered to build the community bathrooms
with conventional toilets. Using the PR Over the past 14 years we have identified a
methodology, the PR group decided that the number of factors and dimensions that
Ministry’s offer was inappropriate for The strengthen the PR process and should be
Port, given its environmental and economic taken into account by anyone interested in
costs, and the community as a whole agreed. engaging in this kind of community work:
Outstanding aspects of the alcohol use communication and conscious interrelation
patterns issue included that: (1) the PR between facilitators and acompañantes; visu-
group designed the research and, when dis- alization of the PR process from different
cussing the timetable for application of a points of view; recurrent and systematic
questionnaire to several groups in the com- motivation; empowerment; and linking facil-
munity, the facilitators informed the acom- itators with outside agents.
pañantes that they would do the work by Communication among acompañantes,
themselves, in their free time during the day, facilitators, the community and all kinds of
and refused the acompañantes’ offer of help; authorities leads to an understanding of per-
(2) some of the women in the PR group ceptions, feelings and expectations that gen-
faced their husbands’ opposition to partici- erates confidence in participants, improves
pating in such a fractious issue; and (3) the decision-making and problem-solving, and
PR group managed to convince municipal supports PR processes and their promotion.
authorities to impose hours for the sale of Conscious interrelation among all parties
alcohol in the community. Several years involved in the PR process, in all its stages,
later, we learned that this last achievement is helps to strengthen mutual respect, the com-
still considered a relevant success by several mitment and will to continue in the action,
facilitators. security and confidence in the problem’s
The latest issue addressed by the PR solution and credibility within the work-
group has been the design and building of group. This was manifest during the health-
palafittes – houses built on stilts to avoid care services negotiation process in which
flooding. This stage of the PR process has the state health authorities accepted the facil-
produced a number of remarkable results: itators as legitimate interlocutors, made
(1) the ‘double-dry toilet’ experience opened agreements with them and then fulfilled
facilitators to experimenting with the build- those commitments.
ing of a prototype palafitte; (2) they Comprehending the PR process from an
designed the house together with architects; anthropological point of view allows a deeper
(3) they took part in building the house; understanding of communal processes and
(4) they persisted in the project, even though adjustment to them, a strengthening of a
the overall community was skeptical about community’s own cultural decisions and ele-
the project’s success and teased the people ments, and blocking of any that might be
who would live in a raised house; and (5) the imposed from outside. The PR process we
530 EXEMPLARS
have participated in as acompañantes has interact with official programs like the
shown us that if a community has enough Mesoamerican Biological Corridor, an envi-
timely, accurate information it can make its ronmental preservation program financed by
own decisions, such as rejecting the plan to the World Bank to obtain resources for
build bathrooms thought inadequate given service projects (e.g. rental of umbrellas and
the community’s economic and environmen- lounge chairs for the beach) that help to raise
tal conditions. Understanding it from a psy- community well-being.
chological point of view prepares us for We also experienced a number of factors
individual and group interaction in accor- that limit attaining proposed PR objectives,
dance with the interests of the majority of including: patronage relationships; gossip;
participants. lack of seriousness; and technical errors
Motivation stimulates and maintains interest made by acompañantes.
in participation, increases group confidence, According to our field notes, some facili-
results in more efficient decision-making, tators reported that their understanding of
promotes multiple leaderships, and favors PR had allowed them to act of their own
criticism, self-criticism, evaluation and the volition to solve problems, without waiting
tenacity to confront problems. Lack of moti- for others to solve them, as is the custom in
vation within the PR group and community some paternalist government practices
contributes to generating disinterest in (Dickinson et al., 1998).
problem-solving as well as producing bore- Gossip blocks and distorts communica-
dom and apathy. This occurred when the tion between facilitators and other commu-
facilitator group was analyzing the alco- nity members, and even with authorities,
holism problem and its members were dis- and favors interests external to the PR
couraged when a new liquor store opened, group. A recent example (Dickinson et al.,
the women had to confront criticism and 2006) was the dissemination of unfounded
faced arguments with their husbands, who rumors about the financial contribution of
reproached them for getting involved in this the participants in construction of the first
divisive issue. two palafittes; this caused a number of
Knowledge of PR allows facilitators to people to distance themselves from the PR
understand and independently apply the group.
methodology, improve their learning, moti- Lack of seriousness in commitments
vation and communication, as well as clarify acquired by PR group members, be they
participants’ actions, and thus contribute to acompañantes or facilitators, leads to lack of
empowerment of community members and punctuality, absenteeism, loss of commit-
groups (e.g. women). Indeed, we have ment and confidence, data repetition and
reports that the PR methodology has been limited accomplishments. This was problem-
spontaneously used by children who want to atic in The Port, where fishing and tourist
do things like sell lemonade to summer services, the two main occupations, are sea-
tourists. sonal, leading to absenteeism at community
Linking of facilitators with different types activities (Dickinson, et al., 2006).
of authorities at different levels, institutions Technical errors like repetition of data and
of higher education, research centers and activities by acompañantes notably lower
non-governmental organizations has positive interest in participating. To avoid these kinds
effects on meeting objectives, provides more of errors in our work at The Port we
information, a better knowledge of problems improved meeting planning and recording to
and greater understanding of communities. prevent data repetition and were more
The civil association formed as part of the attuned to non-verbal expressions showing
palafitte project has been able to successfully boredom or disinterest.
WHAT WE LEARNED ABOUT PR THAT 3. Training Facilitators or

WE CAN TAKE WITH US Acompañantes
Our experiences in training human resources
1. Uncertainty of the Medium-term during this long-term PR experience in The
and Hope of the Long-term Port gave us a metaphorical perception of
The experience we have gained in developing the learning process (skills, attitudes, knowl-
a PR process within a culture with strong edge and values needed to develop the PR
anti-participation forces has forced us to process) as a kind of cone that widens over
visualize a broader time frame within which time, broadening with each new start. For
to propose the desirable future scenarios that us, this notion is implicit in PR and implies
were shaped and clarified in the rush of the that facilitators need the capacity to invest
short-term, the uncertainty of the medium- lots of time, effort and feedback for the PR
term and the hope of the long-term. This process’s medium- and long-term develop-
allowed us to observe some of the desired ment. When acompañantes participate for
positive changes, like dominion of the PR long periods of time, as is the case here, the
steps by some of the participants and their resocialization process experienced by facil-
generalization into private spaces and itators and acompañantes is based on mutual
environments, such as the family, to help in respect, self-criticism and openness to
decision-making. change. These aspects are fundamental to
It was especially rewarding to see the adopting horizontal, multiple leaderships;
children and young people we knew yester- managing resources; negotiating agree-
day become today’s adults, and witness their ments; accounting for actions; understand-
different experiences using the look–think– ing group norms, patterns and behaviors;
act routine to change their reality. Thanks to and facilitating learning in action. The capa-
this experience we remain hopeful, we now bilities (i.e. the skills, attitudes, knowledge
recognize that no dream can escape the pas- and values) of both the facilitators and
sage of time, and that despite this reality, and acompañantes taking part in a participatory
no matter how audacious it may be, progress research process should grow over time,
can be made in reaching that dream. expanding the number of tools available to
confront and solve problems and then conse-
quently improve lives.
2. The Value of Interdisciplinarity
Another vital aspect derived from our PR 4. Understanding Community
work has been the value of interdisciplinarity.
as a Prerequisite to PR
This collaborative work perspective has
helped us understand the importance of Building on Castillo’s (2001) proposals, we
approaching complex, interconnected prob- suggest that understanding community is
lems with openness and flexibility, especially fundamental to PR because a community’s
when faced with conflicting disciplinary per- complexity transcends the physical place and
spectives. At times this also allows previously the different groups of individuals and inter-
unknown and neglected individual abilities, ests within it. It is a social system in which a
like creativity, to fluoresce, and promotes the number of interrelationships and interactions
analysis and synthesis needed to support occur that constitute family, religious, legal,
words and actions. All this is accompanied by economic and cultural life. The field work
constant movement among the incorporation, experience in The Port (Castillo, 2001) made
management and control of scientific and pop- it clear to us that an efficient PR process
ular languages; it is no small challenge. requires previous knowledge of a community’s
532 EXEMPLARS
annual calendar, the spaces and subjects DEDICATION

around which participation occurs, which
community members participate and in what To loving memory of Armando Kantun-
activities (e.g. religious, civil, productive, Reyes: his happiness and joy of life will be
recreational) and the existing relationship net- with us for ever.
works for participation and community life in
general.
We believe that the experiences we share ACKNOWLEDGMENTS
here can be replicated and improved because
the methodological phases and steps needed
We acknowledge financial support of IDRC (3-
to generate the PR process are conceptually
P89-0270 and 91-0240), Fondo Mexicano para
simple – however, not everyone can easily
la Conservación de la Naturaleza (A2-99/002),
behave in a way that is congruent with PR
CONACYT (28402-S) and Cinvestav. Especial
and especially not in a culture precondi-
thanks to Yoland Wadsworth and Peter Reason
tioned by patronage. The greatest challenge
for their help and to Ernie Stringer, Robert
is modifying the human factor, and particu-
Chambers and Hilary Bradbury for their criti-
larly teaching individuals the value of
cism of early versions of this chapter, and the
respect for others and, given the current
generous support of Betty Faust on reviewing
environmental crisis, for nature. Each com-
proper meanings in English, her native lan-
munity, region and country is home to valu-
guage, for our Spanish constructs.
able people just waiting to grow, and the PR
process can allow them to do so.
Participation, when grounded in and linked
to the socialization of children and resocial- REFERENCES
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has given us an excellent opportunity to Castillo, M.T. (2001) Relaciones de género en los
ámbitos de participación comunitaria de un pueblo
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standing it, not recognizing seasonal Políticas y Sociales. México, D.F: Universidad
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534 EXEMPLARS
37
Health Promotion and
Participatory Action Research:
The Significance of Participatory
Praxis in Developing Participatory
Health Intervention
Lai Fong Chiu
The public health movement has spurred an increasing number of community-based parti-
cipatory interventions. Although participation is asserted as an important quality criterion,
how such quality can be achieved in practice has been less well understood. This chapter
explores participation as a set of practices that embodies first-, second- and third-person
research perspectives through an inquiry into the ‘what’, ‘who’, and ‘how’ of participation.
The concept of participation that emerges from the exploration is complex. It is evident that
participatory practice is multi-faceted and is contingent upon situational and structural
power relations. Researchers are urged to seek a clear conceptualization of participation
through reflection upon its practical consequences. Only by facing contradictions, predica-
ments and uncertainties that arise when working towards participation can the potential and
limitations of participatory health intervention practice be better understood.
The core principle of the new public health building are increasingly seen as strategies for
movement is the recognition of the need for achieving systemic change. Lending support
tackling the wider determinants of health – the to this movement is a broad knowledge base
social and environmental factors. Empower- developed under the rubric of health inequali-
ment, community participation and capacity ties. This ranges from the influence of income,
HEALTH PROMOTION AND PARTICIPATORY ACTION RESEARCH 535
ethnicity, and class (Townsend et al., 1992; asserted to be a continuum with the extremes
Davey Smith et al., 2000), through social defined by co-option and collective action,
inclusion (Shaw et al., 1999; Percy-Smith, and with the quality of participation deter-
2000) to the importance of lay knowledge and mined by who has power to control the
citizen participation (Williams and Popay, research process (Hart, 1992; Pretty, 1995).
1997). Yet contrary to this development, From this position, quality is assumed to be
health intervention research in the UK is negatively correlated with the degree of con-
dominated by research practice that remains trol exerted by the researcher (Cornwall and
by and large conventional. Health improve- Jewkes, 1995). Although the assertion that
ment programmes continue to focus narrowly community participation brings unqualified
on ill health and diseases, e.g. diabetes and benefits has since been revised (Irvin and
obesities, and tend to seek solutions from cog- Stansbury, 2004) as well as refined (Webler,
nitive and behavioural sciences in the hope of 1999) in other disciplines, the bi-variate
changing individuals’ behaviour (Crowley (power and control) theory of participation
and Hunter, 2005). has remained unchallenged in PAR.
Nevertheless, and despite this contradiction, Like many other health promotion practi-
the popularity of community-based participa- tioners, I was enthused by the empowerment
tory intervention across countries such as and participation principles enshrined in the
Canada (e.g. Potvin et al., 2003), the USA Ottawa Charter of Health Promotion (World
(e.g. see review by Viswanathan et al., 2004), Health Organization, 1986)2 and found these
and in Wales in the UK (Whitelaw et al., 2003) principles converged with PAR/practice. I
is on the rise. Community participation is often have since conducted my health promotion
asserted in theory as an important quality crite- research in the PAR tradition. Three key pro-
rion of this type of intervention, but in practice jects that furnish much of my PAR experience
it appears to be less well understood. Attempts in health promotion are: (1) Communicating
have been made to generate principles for Breast Screening Messages to Minority
implementing participation (Potvin et al., Ethnic Women: constructing a community
2003) and to devise ‘objective measures’ or health education model (Chiu, 1993); (2)
indicators for evaluating the process (Naylor Woman-To-Woman (W2W): promoting cervi-
et al., 2002). However, the principles gener- cal screening to minority ethnic women in pri-
ated by and large merely restate the principles mary care (Chiu, 1997, 2000): 3); Straight
of participatory action research (PAR) and Talking: communicating breast-screening
measurements devised are too crude to provide messages in primary care (Chiu, 2002).
insights into the participatory process. The iterative critical learning that I have
Attempting to rationalize complex processes gained from each successive project has
such as participation at the expense of research challenged my conception of participation
reflectivity and reflexivity has meant that the and empowerment. My current experience
strategic and contingent nature of participation from the project entitled: Communication for
has been overlooked. The opportunity to Health (C4H): The Efficacy of Participation
understand the very process – participation – Videos in Promoting Access to Breast
that has been advanced as a crucial strategy for Screening Information among South Asian
the new public health movement thus appears and Chinese Communities (2004–December
to have been missed. 2005) has provided insights into different
Perhaps, the influence of the rationalist aspects of participatory practice that chal-
account of participation in health intervention lenge further some of the paradigmatic and
can be traced back to the unproblematic hegemonic assumptions made in PAR about
appropriation of the concept of ‘ladder of par- participation, empowerment and their rela-
ticipation’ propounded by Arnstein (1969). tions to social transformation. I began to
In PAR discourse, participation1 is frequently question my own understanding of and skills
536 EXEMPLARS
in facilitating participation and began to participants. To aid discussion, I will define

re-examine the notion of participation. the set of complex practices that facilitate
This chapter is an exploration of participa- participation as participatory praxis, which
tion practice (praxis) grounded in my own describes transformational research practice
experience of PAR. Critical reflection on rele- that embodies the first-, second- and third-
vant examples of my research experiences person’s perspectives. This term has its roots
from the first-, second- and third-person per- in the Marxist philosophy of praxis in which
spectives reveals the obvious limitations transformative social action is brought about
offered by the bi-variate conception of parti- by the dialectic of theory and practice
cipation. Indeed, the concept of participation (Korsch, 1970 [1923]), and in the more
that emerges through iterative cycles of action recent interpretation by Freire in which trans-
and reflection is complex. It becomes evident formational social practice is based upon
that participatory practice is multi-faceted and cycles of action-reflection, where delibera-
is contingent upon situational and structural tion, choice and rationality are emphasized
power relations. Therefore, the challenges (Gadotti, 1996). It acknowledges the differ-
ahead in practising participatory health inter- ent forms of participation and the multi-
vention in the context of public health and faceted ways in which these can be
health promotion are considerable. In my facilitated through the plurality of knowing
view, these challenges can better be met by and doing. Deliberation, choice, rationality,
achieving a clear conceptualization of partici- aesthetic and affective sensibilities are all
pation through reflection upon its practical important elements for facilitating participa-
consequences (Burch, 2006). The following is tion. While much of the quality of the
an illustration of this perspective. research relies on the quality of participation
praxis, the development of a researcher’s
participatory praxis is always subject to the
PARTICIPATORY PRAXIS limits of his or her history and a necessary
situated perspective. These assertions are
The early characterization of PAR – specifi- explored below.
cally those projects that are perceived at the
emancipatory wing of action research – as
third-person inquiry (Reason, 1994; see also WHAT TO PARTICIPATE IN?
Introduction and Chapter 16 in this volume)
might have influenced the ways we think Influenced by the community development
about our research conduct (Chiu, 2006). In a movement and the Ottawa Charter, heath pro-
complex social system, existing institutional motion practitioners often perceive the way to
and organizational practices play a major bring about changes is to immediately tackle
role in facilitating or impeding people’s the social determinants of health, e.g. income
involvement. The key role of the researcher, distribution, unemployment, poor transport
his or her competence in first-person research and housing. However, what they can actually
practice, is central to participatory practice do or research into is often constrained by
and is often ignored or omitted in the report- their structural position as well as their own
ing of research results (e.g. Naylor et al., personal disposition. On reflection, my appro-
2002; Potvin et al., 2003). As Fisher and priation of PAR as a form of research/practice
Torbert (1995) have suggested, first- and was driven by my practical experience in
second-person inquiries often presuppose the community work and my frustration with the
success of third-person inquiry. To ignore inadequacy of orthodox research to address
these components would be to distort partic- the immediate needs of minority ethnic and
ipatory processes and to obscure power rela- low-income groups. However, I soon found
tions between the researchers and the that under the political, organizational and
practical constraints of the UK National have enabled PAR to develop systematically

Health Service, there were limits to which and and iteratively. Successful completions of
how these needs could be addressed. While these projects have demonstrated that the idea
successive health policies have emphasized of participatory health intervention is capable
user involvement (Department of Health, of yielding interesting results. This experience
1999a, 1999b, 2002), no substantial resources is encapsulated in the Community Health
have been allocated to develop this approach Educator Model (Chiu, 2003), through which
in health promotion. Contemporaneously, the philosophy, theories and practice of PAR
health agendas and targets have been set cen- are articulated. This model has now been
trally. The first breast screening project was an adopted by many health districts across the
attempt to mobilize resources that were UK, in different shapes or forms. So, I have in
directed at providing services to instead effect turned the constraints of my social
develop participatory health intervention, (minority ethnic) and professional (researcher)
hoping that by its introduction into the med- position into opportunities and strengths,
ical environment it would redress the consis- through which I can continue to develop PAR
tent failure of orthodox research to inform within the area of cancer screening.
practice. However, this attracted criticisms
from both sides. Many practitioners saw this
as an opportunistic grafting of community THE ‘WHO’ OF PARTICIPATION
development on to service improvement and a
sell-out to the medical model, while medical While conventional researchers formulate
practitioners were sceptical or even felt threat- sampling strategies to study particular popula-
ened by the involvement of lay people to tions, PAR researchers face choice points as to
deliver health education/promotion initiatives. which communities to involve in the projects.
Outwardly, they were concerned as to how In the UK, epidemiologists have long high-
complex medical information could be under- lighted the health differentials between ethnic
stood by untrained community members. But groups (Balarajan and Soni Raleigh, 1993;
inwardly, they were possibly worried that their Senior and Bhopol, 1994). In addressing
professional authority was being undermined inequalities, conventional intervention research
(Allen et al., 2001). influenced by epidemiology often targets cer-
Practising PAR in a period in which pro- tain particular disadvantaged groups such as
gressive health policies have collided with minority ethnic3 and low-income groups. This,
deep-rooted traditional professional practice coupled with studies that attribute ethnicity in
has been challenging both intellectually and the forms of language(s) and culture(s) as key
emotionally. Paradoxically, it has become a barriers to low uptakes of service, means these
fertile training ground for the plurality of groups are often portrayed as not only having
knowing and doing through self-reflection, information deficits but also as being socio-
mutuality and collective learning (Torbert, cultural deviants. This reification of social
2001/2006). Admittedly, participatory praxis grouping in conventional intervention research
developed out of the series of PAR projects through the adoption of social groups as inde-
mentioned above cannot be compared with the pendent variables is so common that individu-
community development practice of large als or groups are imperceptibly stripped
demonstration development projects such as of their agency, thus creating its own contra-
those carried out by community development diction in bringing about change in health
corporations in the United States (Gittell and interventions.4
Vidal, 1998), as our projects are small in scale The distorting influence of the conventional
and their influences are confined to a health research paradigm may be seen even in the
service setting. Paradoxically, the pragmatic choices of groups that a project could involve.
goals and clear boundaries of these projects When constructing our research proposals,
538 EXEMPLARS
terms such as ‘African Caribbean’ and ‘Asian’ everyday languages, understandings, and
suggested by funders were often found to be ways of life, it is hard to say that our practice
too broad to inform strategies for local adheres to the emancipatory tenets of PAR. In
involvement on the ground. The former might, addition, language, be it spoken or written, is
for example, encompass people from Jamaica, central to the subject of our research (commu-
Trinidad, Haiti, and the Dominican Republic, nicating breast screening messages) and to
as well as people from the whole of the the products of our study (producing a com-
African continent, while the latter includes munity health education model and multilin-
Indians, Pakistanis, and Bangladeshis but in gual materials to support it). We thus decided
practice might exclude Sri Lankans. Because to give it primacy over ethnic category. As a
these short-hand abstract terms tend to ignore result, this approach enabled us to recruit a
the complex socio-political and migration his- total of eight language/ethnic groups and six
tories of minority groups, the huge ethnic, lin- language/ethnic groups in the breast screen-
guistic and cultural variations among them are ing project and the Woman-to-Woman project
subsequently obliterated. For example, South respectively (see Table 37.1).
Asian dialects such as Murpuri, Punjabi, and Other problems that we had in involving
Urdu as well as English were simultaneously local groups based on official abstract ethnic
spoken in the Pakistani community. The categories stemmed from the variations of
Ugandan Asians speak English, Gujarati, settlement patterns of different ethnic groups.
Hindi and/or Punjabi; and Syhleti was the For example, while it is relatively easier to
major dialect of the Bangladeshi community. involve the Pakistanis in major cities as their
Depending on their birthplace and education, communities are larger in number and are
the Vietnamese might speak French, English, likely to have well-established local political
Mandarin Chinese or Cantonese; younger and social infrastructure, the reverse is true
members of the Chinese community might for small market towns. It is also difficult to
speak English, Cantonese or Mandarin; while involve the Chinese and Vietnamese groups,
most of the older members of the community as they are small in numbers and tend to have
in Britain speak Hakka as their mother tongue a scattered settlement pattern. When I was
and Cantonese as their second language. working in small health trusts located in
Understanding and acknowledging linguis- northern small mining/market towns in the
tic and cultural diversity is fundamental in mid and late 1990s, I had to make strenuous
engaging minority ethnic groups in participa- efforts to liaise with other health organiza-
tory health intervention. The concept of ‘lan- tions in the surrounding districts to formulate
guage community’ is not only a useful involvement strategies that could reach these
organizing tool for recruitment of participants groups. This was further complicated by the
but also a tool for dialogue and conscientiza- fact that these surrounding districts had their
tion. How otherwise could we facilitate open own small but needy communities such as the
communication that focused around critical Somalis and the Yemenis, whose needs local
inquiry and analysis of participants’ own cir- stakeholders were hoping could be addressed
cumstances? If we could not provide conver- in these projects. Extra funding was needed to
sational space where they could ‘speak a support their involvement. After a process of
true word’ and overcome their ‘silencing’ negotiation, funding was only found for the
(Freire, 1970, 1994) about their cultural con- Yemenis but not the Somalis because the lat-
ditions and identities, how could we know ter were not defined either locally or nation-
what they are thinking or feeling about their ally as an ‘ethnic’ group. By contrast,
own sufferings, and how could we know what although the Yemenis were also not identified
to do to support any changes that might as an ethnic group by the national census,
improve their predicaments? Without attend- they were included in the project because the
ing to and respecting participants’ diverse local authorities officially recognized them as
Table 37.1 Various ethnic groups involved in the three PAR projects between 1990 and 2002
Project Researcher’s Professional Ethnic/
job role group language group
(1st person) (2nd person) (3rd person)
Breast Health University African Bengali Chinese Indian Indian Pakistani Sikh Vietnamese
Screening promotion researcher, Caribbean (Syhleti) (Cantonese) (Hindi) (Gujarati) (Mirpuri) (Punjabi) (Vietnamese
practitioner/ regional health (English) and Cantonese)
researcher promotion
9/24/2007
practitioner,
radiographers
WTW Health Local health African Bengali Chinese Yemeni Pakistani Vietnamese
promotion promotion Caribbean (Syhleti) (Cantonese) (Arabic) (Mirpuri) (Vietnamese
5:39 PM
practitioner/ practitioners, (English) and

researcher practice nurses Cantonese)
Straight Researcher in a Local public White Bengali Chinese Pakistani

Talking NHS Trust health specialist, (English) (Syhleti) (Cantonese) (Mirpuri)
Page 539
practice nurses
540 EXEMPLARS
a distinct and separate ethnic group. Their the discussion were ignored, and partici-
local socio-political infrastructure was well pants’ responses were often directed to me
established to enable them to negotiate with (as I am also a Cantonese speaker), rather
agencies and authorities for resources. than to her (Chiu and Knight, 1999). This
Because official recognition of ethnicity lack of identification between Wendy and
status confers resources and benefits, minor- her own community demoralized her and
ity ethnic groups are constantly struggling she wished to leave the project. Only after
for self-identification that can maximize the (Vietnamese) community centre man-
access to such advantages. For example, ager vouched his support was she willing to
despite the label, members of the local continue her involvement with the project.
Vietnamese group were mostly ethnic In a small community such as this, few
Chinese in origin. They nevertheless defined women were educated or available to be
themselves as Vietnamese rather than involved. Moreover, because the project is
Chinese. This self-identification might seem time-limited, re-recruitment and re-training
illogical to those who contend that the mean- of another CHE was not an option. Wendy’s
ing of ethnicity derives from shared ancestry, disengagement would have dealt a heavy
language and culture. However, if we under- blow to the project.
stand how resources were allocated to minority The above observations highlight some of
groups under different budgetary arrangements the complexity, indeterminacy and unpre-
and policies, we can understand the reason dictability of participation. Its practice requires
for this self-identification. Defining them- complex negotiation between top-down inter-
selves as Vietnamese rather than Chinese, they ests and local conditions, and between individ-
avoided competing with existing Chinese uals and groups. The researcher is required to
communities for resources.5 understand that although everyday articula-
Social identification might generate trust; tion of ethnic identities is around ancestry,
and trust is one of the major building blocks culture and language, these are all subject to
of participation. However, identification also change, redefinition and contestation, both
operates on levels sometimes difficult to by individuals and the collective (Fenton,
anticipate. For example, we sought to orga- 1999). Different strategies need to develop to
nize our involvement of individuals based on respond to the fluid and constructed/co-
the languages they spoke, as we had seen that constructing nature of ethnic identities that
language was a fine-tuning tool for ethnic cat- one finds in real life.
egories. Yet involvement can remain prob- In engaging with communities, the mis-
lematic due to the further unpredictability of matches between the collective and the indi-
individual or group ethnic identification. The vidual identification can often be found to
strategy to engage the wider base of the arise at the boundary between the collective
minority ethnic communities, particularly assertion of group identity and the individ-
those whose first language is not English, was ual’s day-to-day experience of shared lan-
through the recruitment of the bilingual com- guage and culture. The researcher has to find
munity health educators (CHE). However, what unites different individuals and groups
not long into the Woman-to-Woman project, in their struggle, and seek to facilitate their
the Vietnamese/Cantonese speaking CHE co-operation with each other. It is to this
[Wendy] who was recruited through the aspect of participatory praxis that I now turn.
local community centre reported difficulties
in engaging with members of her commu-
nity as she was identified as a Southerner THE ‘HOW’ OF PARTICIPATION
while the majority of the community were
from North Vietnam. I observed that in the The practice of PAR in health promotion has
focus groups, Wendy’s attempts to facilitate been closely associated with the ‘Southern’
Stage 1 Stage 2 Stage 3

Problem Constructing an Implementation,
identification intervention monitoring, and
programme evaluation
Focus group/individual Training CHEs to Supported by

interviews, rapid deliver health stakeholders and the
appraisal workshops intervention; training host organization
professionals to work
with CHEs
Review
Figure 37.1 The Community Health Educator Model in a three-stage action

research framework
tradition in which the power, dimension is change processes (Meyer, 2000). At best it
explicitly addressed. However, the often too- can express participants’ own purposes and
blunt and too-simplistic description of a determination. Power is deeply implicated in
bi-variate theory of power, i.e. the powerful the notion of participation, and the transfor-
versus the powerless, system versus individu- mation of power cannot simply be an issue of
als etc., often provides little insight into how transfer of control as suggested in early par-
power itself can be transformed (Torbert, ticipatory discourse. Specifically, intro-
2001/2006: 256). Involving minority ethnic ducing PAR in the public health/promotion
and low-income women in our PAR projects arena in the Anglophone countries necessi-
has enabled me to deal with and reflect on the tates an awareness of political and organiza-
power dynamics and its transformation more tional dynamics of the health systems with
attentively. The following examples illustrate which researchers and participants have to
how power in practice permeates all aspects negotiate. Therefore, conceiving an interven-
and at all levels of participatory praxis and tion that will take participants through the
how it is enmeshed and embedded in first-, process of change requires the researcher to
second- and third-person research practice. be able to organize both the research and
action elements of the project systematically.
I have found the adaptation of Lewin’s
Participatory Boundaries, research cycle useful (Lewin, 1946). The
Limits and Commitments three-stage cycle – problem identification,
solution generation, fieldwork and evaluation –
Perhaps the fundamental difference between illustrated in Figure 37.1 provides not only
participatory health intervention and conven- the basis for research plans in our PAR pro-
tional health intervention relates to the levels jects but also a platform for negotiation of
of commitment expressed by or expected of involvement. This framework also gives par-
their participants. PAR’s relationship to participants and stakeholders a clear indication
ticipants goes beyond a willingness to be of the extent of their commitments and a
interviewed. Or even the need for them to good estimate of the resources required.
perceive the need for change and be willing A well considered research plan communi-
to play an active role in both the research and cates clarity and confidence to existing
542 EXEMPLARS
would-be participants. It also connotes the Initial exploratory workshops were important
message that there are boundaries and limits to address these issues; and continual explana-
within which transformation could occur and tion, guidance and feedback were necessary to
what kinds of changes might be realistically maintain or renew everyone’s commitment to
desired or anticipated. the project. In these workshops would-be par-
A clear indication of the level of commit- ticipants were given public health information
ment expected of individuals is also impor- so as to sensitize them to the unequal health
tant for second-person research/practice, as status suffered by some sections of their com-
colleagues and other professionals who will munities and the specific issues concerning
most likely need to negotiate their involve- access to services. They also had an opportu-
ment in the project with other commitments, nity to take part in visioning and self-image
resources and authorities. For example, in the exercises that were designed to explore their
W2W project, practice nurses of six general own capacity to address these issues (e.g.
practices were enlisted. Many of them Chiu, 2000). Other exercises such as values
worked part-time on a sessional basis with clarification, social networks and relationship
their practices. Although their involvement awareness, conflict and negotiation skills, etc.,
with the project was remunerated pro-rata which served to stimulate the energies of the
according to their stipend, they were not participants, were integrated into a training
entirely free to participate on an ‘as-and- programme based upon a self-analysis of par-
when’ basis, even though their involvement ticipants’ own training needs. Continuing
was linked to their professional role and the commitments to the project by participants
cervical screening service provided by their relied on programmatic feedback, setting of
general practices. The transformation of their sub-goals, and planning actions and evalua-
professional practice would have a knock-on tion of these actions.
effect to how these services are organized.
The required changes of service provision
Co-researching with Participants
might or might not be welcomed by practice
managers or senior partners who had the ulti- In all the above projects, CHEs were invited
mate power to sanction practice nurses’ to become co-researchers. They received
involvement or simply ignore their feedback training and support to work with the
from the projects. Therefore, while we might research team to undertake various research
view these nurses as the more powerful part- activities, e.g. focus groups, surveys, indi-
ners as compared to the relative powerless- vidual interviews, data analysis as well as
ness of minority ethnic women, their power conducting health education sessions in their
remained limited and circumscribed and sub- own language communities. Their roles
jected to the control of organizational prac- were not necessarily well understood by
tice. To ensure the participation of the conventional researchers in the team.
practice nurses would be fruitful, formal let- Because of CHEs’ bilingual capacity, they
ters were issued to the practices by the were often perceived as interpreters or inter-
Directors of Public Health/Promotion to sup- viewers. There can be little understanding
port their involvement and to recommend that of what co-researchers can bring to the
nurses’ feedback from the project be placed research and how more appropriate methods
on the agenda of monthly Senior Partners’ can be designed through their involvement.
meetings of their respective practices. Thus the process of co-researching with par-
I also learned that although participants ticipants is educational to conventional
were willing to be involved, the goals and researchers themselves.
plans of the projects were not necessarily fully In the Straight Talking project, CHEs were
understood by everyone, nor were they neces- involved explicitly as co-researchers right
sarily aligned with participants’ interests. from the outset. They conducted focus groups
with participants in their own language/ethnic thought necessary from the professional
group, helping them to voice their experi- researcher’s point of view were perceived as
ences of services. At the evaluation stage, repetitive and interviewees reported becom-
they were also involved in the methodologi- ing frustrated and losing interest. Most
cal design which aimed to measure the importantly, because CHEs and interviewees
effects of their own intervention with non- usually belonged to the same community
attenders of breast screening. The discus- group and were familiar with each other, the
sions with conventional researchers were ‘interview’ itself was perceived by women as
skewed to methods such as randomized con- a strange and awkward way of questioning
trolled trial which did not allow for the their opinions. As a result, alterations were
‘fuzziness’ of the intervention of which made to many of the questions.
CHEs were an intrinsic part. After much dis- CHEs’ involvement in the ‘piloting’ and
cussion, a compromise was reached – the designing of the final questionnaires, to make
design that emerged was a quasi-experiment them linguistically and culturally applicable
in which pre- and post-questionnaire inter- to their respective community, was a reflec-
views were used to gauge changes in tion of the participatory nature of the project
women’s knowledge, attitude and intention and, arguably, illustrative of the potential for
to accept/refuse screening. A workshop a research design to encompass empowering
focusing on interviewing skills and the elements. The responsibilities and activities
explanation of the evaluation method was of CHEs in this stage of the project repre-
provided for CHEs. Helping them to ‘pilot’ sented a further development of their ‘co-
the questionnaires was a key task in this researcher’ role established in the focus group
workshop. To ensure the successful adoption stage. As conduits to their respective commu-
of the interviewing method, further meetings nities, the pro-active role of CHEs in the
were held with CHEs in which the process design and administration of questionnaires
was carefully rehearsed so as to detect any created a direct link between the voices of
translation difficulties that might arise, as women in the community and the interpreta-
well as give plenty of opportunities for CHEs tion and dissemination of research findings.
to practise their interviewing skills. The research processes and problems
Through the pilot, CHEs helped to encountered during the fieldwork design
redesign the questionnaire and they discov- were documented and reported. This allowed
ered that the measurement of health anxiety us to lay bare the challenges that we met. The
was also culturally inappropriate. This was researchers’ assumptions about how best to
specifically so for the Mirpuri and Sylheti collect information or ‘data’ were challenged
language groups. For example, a question by the realities of women’s lives and how
asking a woman whether she thinks about they related to each other. Together, with the
death frequently was perceived as meaning- CHEs as co-researchers, the team learned
less, as the Islamic religion specifically that interviewing with a questionnaire was a
requires its adherents to think of death several constructed social encounter, in which most
times a day. The Cantonese CHE also found women refused to take part. It is clear that
this question culturally awkward to ask, as had the original questionnaire been imple-
many Chinese people would find it ‘unlucky’ mented, the results would have been largely
to answer such a question. They would also meaningless, but this might not have been
be uncomfortable with the CHE as they apparent in the absence of the insights pro-
would think she should know better than to vided by the CHEs. The dangers of a conven-
ask such a question. In addition, CHEs dis- tional, non-participatory approach to health
covered that the length of the questionnaires interventions in health promotion are many
made it difficult to maintain the woman’s and obvious. A vigorous researcher will rec-
attention in the interview. Many questions ognize that data collection is effectively ‘data
544 EXEMPLARS
construction’ (Farran, 1990), and that the participants were invited to join a two-day
process of creating the measurements was workshop in which drama exercises and
crucial to the outcomes. In PAR, this process group discussions were facilitated to
is revealed, so that the results would make explore the storyline and ideas for the
sense to participants and research beneficia- videos. They also had opportunities to learn
ries. Paradoxically, this processual knowl- camera work, as well as to construct char-
edge is not only ignored but is seen by acters and storyboards.
conventional health intervention researchers Through the drama exercises, participants
as data contamination, undermining the were able to explore their feelings about
validity of research results. breast screening in a safe environment. The
drama exercises helped participants to expe-
rience the complicated feelings that a
Advancing Participation through woman might go through when she first
Symbolic and Cultural receives her screening invitation. There
were also explorations of ethnic identities,
Representation
culture, and language in relation to health
The example of engaging a video production and cancer screening. In putting the story
company to support the C4H (participatory together, while acknowledging the many
videos) project highlights yet another complex barriers that women face in gaining access
dimension of participation which cannot be to screening services, participants firmly
simply labelled as action, or co-operative, or rejected the traditional portrayal of minority
participatory inquiries, but is in practice a women as lone victims of the health system
mixture of all three. In this project, women in favour of images that projected diversity
from four language/ethnic communities (both and variation within their respective
bilingual and monolingual) and other stake- communities. The actions and interactions
holders, e.g. two primary care trusts and two of the workshops were recorded on
breast screening services, were involved in the audio and video tapes, and formed the basis
planning, production and post-production and upon which the final screen scripts were
evaluation of the videos (see note 1). Because written with the support of the professional
of the key role played by the production team writers.
in this project, the three-staged research cycle The health professionals involved also
was modified into a production/research checked the accuracy of technical informa-
process – pre-production, production and tion about breast cancer and cancer screening,
post-production processes that everyone while the community participants examined
found easy to understand. the cultural sensitivity of the proposed story-
This project was informed by my earlier line. In the videos, women raised the subject
work with women on their photostories of breast screening in the context of a range
about breast and cervical cancer screening. of family relationships and friendships –
It drew on a body of work on participatory mother and daughter, sisters, cousins, and
communication for social change in which friends – and in different social settings. The
a variety of experiences from the South diversity and differences were played out by
were represented (Gumucio Dagron, 2001; four or five characters of different social
White, 2003). Rather than focusing on backgrounds, presenting the audience with
problems, its emphasis was on creativity different emotional responses that women
and the use of symbolic representation as can have to the breast screening invitation.
resources for development. On completion The story begins with one woman raising the
of the consultation process, in collabora- subject in a conversation with her friends at a
tions with the production team and other café. These friends play other characters in
colleagues from the primary care trusts, different parts of the story. These characters
Figure 37.2 Drama workshop
Figure 37.3 On location
are vehicles for exploring cancer myths and improvization of dialogue had not only made
other concerns about breast screening. They it easier for those who were non-literate to
end with all the friends meeting again in the participate in the filming but also enabled
café and with one of them telling the others their voices to be heard in their own terms.
that she went for breast screening. When participants brought along their own
As a participatory action researcher, I am props like roti-pans, scrolls, and wardrobe on
mindful that the world is suffused with sets, they participated more freely in the
images, e.g. TV ads, movies, and press pho- making of their own cultural images. By the
tographs, that perpetuate race and gender very act of participating in filming on loca-
stereotypes, that in turn serve to maintain tion, minority ethnic women laid a symbolic
unequal social power relations. Allowing the claim to these public spaces, creating a new
546 EXEMPLARS
Figure 37.4 Screen design
form of social visibility, a new way of seeing structural relations with others vis-à-vis the
our world. Thus the balance of symbolic and system within which one works. This aware-
cultural power was transformed. ness helps one to unearth one’s own assump-
The C4H project highlighted the different tions and to develop ‘alternative frames’
dimensions that we needed to work towards in (Torbert, 1991) that lead to strategic actions in
transforming power. While minority ethnic response to local conditions at different choice
women might seem powerless in their clinical points such as that demonstrated above, i.e.
encounters with health professionals, given the the practical and strategic use of language/
opportunity, they can mobilize their symbolic ethnic group as a tool for engaging diverse
and cultural resources to contest the usefulness groups and communities. The emergent con-
of health education knowledge produced by sequence of this strategic action was a more
routinized practice, challenging the medical conscious recognition of the linguistic and
orthodoxy that had hitherto paid little attention symbolic power for transformation. Co-
to people’s languages and cultures. researching with participants in adopting con-
ventional evaluation methods in the Straight
Talking project has brought this power into
CONCLUSION sharp focus. The involvement of the CHEs
and the problems that they encountered in
In contemplating participation and power rela- conducting conventional interviews in their
tions in the light of the above experience, it is respective communities is a constant reminder
hard to ignore the key contributions of the of the gaps between the idealistic abstractions of
researcher to the process. The development of conventional research and the social reality of
participatory praxis requires the constant inquiry. Without their contribution, results
engagement of oneself in a process of negoti- obtained – whether quantitative or qualitative –
ation with a myriad of obstacles as events would be divorced from the life they are sup-
unfold. The reflections presented above illus- posed to represent.
trate that greater effectiveness of participation Working with CHEs and their respective
can be achieved by the awareness of one’s language/ethnic communities has opened up
possibilities for creative mobilization of (Kickbusch, 2005). It is, however, unclear what has been
assumed under the terms ‘practice’ and ‘reality’. This
symbolic and cultural power embedded in
pronouncement somehow affords much about health
agency for transformation. The C4H partici- promotion practice and implies the all too constraining
patory video project was a particular case in properties of the socio-political environment. This
point. The opportunity for participants to chapter through participation reveals the complexity
construct their own cultural images and to and interactive nature of practice and social conditions.
3 In both academic and lay discourse, the term
produce their own health education resources
‘minority ethnic groups’ is used to denote population
has the greater potential to be both participa- groups that have different ethnic and cultural origin or
tory and empowering. The videos [produced backgrounds from the majority white English-speaking
as a single DVD] epitomized the different populations. The term differs from the term ‘people of
forms of representation on different levels. colour’ used in the US to avoid defining racial groups
in terms of colours and to include other minority
The potential of these representations for cul-
groups that have migrated from Ireland and other
tural and psychological transformation can- parts of Europe and, most recently, following the
not be underestimated though they are yet to accession of the Czech Republic, Estonia, Latvia,
be more thoroughly explored. Lithuania, Hungary, Malta, Poland, Slovenia, and
From this vantage point, the transforma- Slovakia to the European Union.
4 The tension between structure and agency that
tions of power that occur are often the prod-
underpins all social actions is at the heart of the
uct of first-, second- and third-person debate in the new health promotion movement
research/practice. This is a far cry from the (Robertson and Minkler, 1994). Although epidemiolo-
bi-variate view of participation in which qual- gists have called attention to the materialist/structrual-
ity is determined by the power and control ist’s explanation of health inequalities, their approach
has rendered invisible the very social relations of
held or ceded by the researcher to the partici-
power structuring material and psychic conditions that
pants. Only by facing contradictions, predica- contribute to the stratification of health and illness
ments and uncertainties that arise when (Shim, 2002). More importantly, the notion of agency
working towards participation can the poten- (the ability and activities of people to deploy a range
tial and limitations of participatory health of power to make and shape and reshape their world)
that is crucial for transformation is imperceptibly lost.
intervention practice be better understood.
5 Throughout the 1980s and the early 1990s under
the UK Government’s Urban Programme – Section 11,
funding was made available to develop ‘ethnic minori-
ties’ communities. The diversity that existed among
NOTES minority communities had made the funding pro-
gramme difficult to manage and was seen as divisive.
1 It is unclear exactly how the concept – ‘ladder of The programme was terminated in 1995 and replaced
participation’ developed in the field of planning by a single regeneration budget which is open to
(Arnstein,1969) – has entered the knowledge/practice applications from all community groups regardless of
of PAR. According to Arnstein, participation is associ- their ethnic status.
ated with power. The participatory ladder has eight
rungs with manipulation at the bottom and citizen
control at the top. Each rung represents a degree of
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38
‘This Is So Democratic!’ Action
Research and Policy Development
in East Timor
Ernie Stringer
Action research sometimes is envisaged as applicable only to localized processes within an

institution or organization. As this chapter demonstrates, however, both the practices and
values of action research may be incorporated into much broader procedures of national
policy development and implementation. In the context of East Timor, a newly independent
nation in the first stages of its emergence from a long history of colonialism, action research
was used as a means of both formulating and implementing national policy. Participatory
action research was used to initiate and sustain the continued development of a system of
parent organizations in schools across the nation, a process of development that was conso-
nant with the democratic values that were such an important feature of East Timorese inde-
pendence. As the chapter demonstrates, action research provided the basis for development
of policy related to parent teacher associations and the institution of a system of participa-
tory development that built the capacity of East Timorese people to sustain the ongoing
operation and further development of their schools.
FROM MICRO TO MACRO: POLICY developments at the macro-level. Stiglitz

DEVELOPMENT AND CAPACITY (2002) suggests that, in conjunction with prag-
BUILDING matic, utilitarian concerns of efficacy, develop-
ment should take into account the desires and
Much of the development literature currently needs of those affected by government poli-
focuses on the need for appropriate micro- cies; to overcome the feelings of powerless-
level processes that complement structural ness experienced especially by the poor who
ACTION RESEARCH AND POLICY DEVELOPMENT IN EAST TIMOR 551
feel they are voiceless and lack control over nation set about rebuilding its infrastructure,
their own destiny. He notes the need for people creating institutions and services that would
to feel that their concerns are heard and sug- provide for the needs of the populace. Beset
gests that policies, programs and services thus by the lack of both financial and human
will gain the widespread support required of resources, the new national government,
any developmental process. with the assistance and support of the UN
This perspective is echoed throughout and other international agencies and organi-
the literature. Krishna (2002) suggests that zations, commenced the arduous task of
‘Concerted action made possible by civic building an independent ‘civil society’ in
associations enables citizens to engage state East Tiimor.
and market agencies more effectively … In conjunction with UNMISET (United
service delivery is improved, accountability Nations Mission in Support of East Timor),
and transparency are enhanced, and the pool the new government formulated a series of
of resources is enlarged when organized national development plans that focused on
groups of citizens engage constructively the organization of government departments
with the state’ (p. 1), and that ‘A larger and institutions to provide services to the
vision of human development is served people of the nation (Planning Commission,
when citizens’ associations participate 2002a, 2002b). As part of this process, the
widely in diverse tasks of provisioning and rebuilding of the education system was a pri-
self-governance’ (p. 2). ority, but was hampered by lack of human
As the literature recognizes, however, par- resources, since Indonesian professionals
ticipatory processes are not inherently effica- had comprised over 30 percent of the teach-
cious. There is a concurrent need to build the ers and school administrators. Further, and
capacity of community groups to enact this most fundamentally, the Indonesian military
vision; to acquire the social capital that will had destroyed 70 percent of schools as they
enable them to effectively work. As Krishna left the country, requiring East Timor to liter-
(2002) recognizes, a fundamental aspect of ally rebuild and re-equip the school system
the operation of civil society organizations from the ground up.
(CSOs) concerns the mediating role that they Early in the process of redevelopment of the
play between the individual and the state. education system it became apparent that eco-
The performance of government programs is nomic conditions would not allow the govern-
improved when, instead of interacting with ment to provide all the resources needed for
citizens as atomized individuals, state agen- the task. The fledgling Ministry for Education,
cies deal with organized community groups. Culture, Youth and Sports made the decision to
Citizens derive greater benefits from govern- engage the community in the process of
ment programs and from market opportuni- rebuilding the schools through the formation
ties when their individual efforts are of parent teacher associations. This would be a
organized and made more cohesive by CSOs difficult task, since the equivalent bodies in
that apply participatory processes in the Indonesian times (Baden Penyelurygara
development and operation of services Pelaksanaan Pendidikan – BP3) were highly
(Fukuyama, 2004; Putnam et al., 1993; authoritarian and largely distrusted by local
Krishna and Prewitt, 2002). people due to their emphasis on extracting
school fees from parents. Attaining parent par-
ticipation in the redevelopment of the schools
THE CONTEXT would be inhibited by their suspicion that
authorities would once again make significant
In the aftermath of the destructive with- demands on the already meagre resources of
drawal of Indonesia from East Timor, the East Timorese families.
552 EXEMPLARS
THE PURPOSE: DEVELOPING POLICY Bank, Japanaid, IrelandAid, Oxfam, the

FOR CIVIL SOCIETY IN Catholic Church, etc.) complemented con-
A DEMOCRATIC NATION sultation workshops with parents, principals,
teachers, superintendents and community
As consultant to UNICEF I was engaged to leaders in selected schools/areas. The results
work within the Ministry of Education, of these consultations were initially moni-
Culture, Youth and Sports (MECYS) to write tored by a committee comprised of Ministry
a concept paper to explain how parent stakeholders and representatives from major
teacher associations (PTAs) could be devel- government, church and aid agencies (PTA
oped in the nation’s schools. The intent was Roundtable), then through a MECYS plan-
not only to assist parents to participate in the ning body – the PTA Technical Working
reconstruction and operation of the schools, Group – established for the purpose. The out-
but in the process to demonstrate the ongoing comes of each stage were fed into the action
commitment of the nation to democratic plans that emerged to further extend the
values. To accomplish this it would be neces- developmental process – from a single trial
sary to engage the energy and enthusiasm of school, to a sample of district schools, to
the people, to provide ideas of the way parent core schools in all districts, and then to clus-
teacher organizations could operate, and ter schools in all districts. The support
show how parents might participate more system that was constructed to support ini-
fully in the organization, management and tial developments became a permanent fea-
operation of local schools. ture of the organization of district education
offices, and was used to sustain other needed
developments – school-based management,
PROCESS: DEVELOPING PTAs teacher training and the introduction of a
IN EAST TIMOR new curriculum. Thus the developmental
support system that initially focused on the
The establishment of PTAs in schools across formation of PTAs became institutionalized,
the nation emerged in a number of phases providing the means to accomplish the sus-
(see Figure 38.1), each following, in iterative tainable development of schools across the
fashion, from the outcomes of the previous nation.
phase. The project covered a period of
2 –12 years, and included:
INITIATING PTAs: DEVELOPMENT
1. Development of a concept paper AND CAPACITY BUILDING
2. Initiating developmental processes: formulating PROCESSES
an operation manual and demonstrating consul-
tation processes
3. Trialing of PTA development in seven schools On the face of it, developing a PTA in each
facilitated by the local team school was a relatively simple task, requiring
4. National development: implementing a national an elected body comprised mainly of parents
process to make plans for parent activities in the
school. It was evident, however, that all
At each stage, action research processes stakeholders would need to acquire a new
were central to the attainment of desired out- way of thinking about the nature of parent
comes. Individual interviews with a sample organizations, and new ways of doing the
of key stakeholders within the ministry work so that they would not merely reinsti-
(Minister, Director General, Deputy Director tute the old system of parent organizations
General, Directors), the schools, community (BP3s). They would need, in other words, to
leaders, and aid agencies (UNICEF, World acquire a new set of skills that would enable
Phase 1
The Options Paper
Agency stakeholders School stakeholders

Ministry: Director General, Senior Parents
Directors, Superintendents Community leaders
NGOs Teachers
The Church Principals
Donor agencies: UNICEF, World District office staff
Bank
Concept Paper
Phase 2
Formulating Manual Directors
Pilot
Demonstrating Superintendents
Operation Manual
Processes Local team
Demonstration
Workshops
Phase 3
Trialing PTA
Development
1 2 3 4 5 6 7
Trial
schools
Evaluation
Phase 4 National
National Support Team
Implementation
District
support
teams
Core schools
Cluster schools
Figure 38.1 Establishing PTAs: a national strategy

554 EXEMPLARS
them to create a radically different type of Over a period of four weeks consultative
organization, and to carry out the diverse workshops were held in six schools from a
activities that were signaled in preliminary variety of regions in East Timor, from middle-
consultations. Developmental activities class urban to poor rural environments.
therefore needed to incorporate capacity Workshops were held in school classrooms
building processes that would enable schools and participating parents and teachers
to achieve the outcomes that were the desired encouraged to express their views about the
intent of the project. These became embed- issues and problems experienced by the
ded into the processes, so that at each phase schools since independence, and whether or
the different stakeholders engaged in action not a parent organization was needed. The
research routines that enabled them to meetings were well attended, with large
acquire needed capacities ‘on the job’. groups of parents demonstrating by their par-
ticipation their concern about the education
of their children. The local language, Tetum,
Phase 1: The ‘Options’ Paper
was used throughout, though a translator was
Action research processes depicted in Stringer used at times when the consultant found it
(1999, 2004, 2005; Stringer and Dwyer, 2004) necessary to speak to the meeting.
were chosen as the basis for formulating a PTA Many of the issues were somewhat con-
policy for the Ministry for Education, Culture, tentious, and both parents and teachers
Youth and Sports (MECYS). Procedures were sometimes became quite passionate in
implemented cyclically, the information and expressing their views about the rundown
analysis from each phase being incorporated state of the schools, and the lack of available
into a concept paper that was eventually pre- resources. In the end, though, many parents
sented to the Ministry and other stakeholders. accepted the fact that in the immediate
Each cycle of research included: future they would need to take action if their
children were to gain an adequate education.
• Framing and focusing of the issue Such was the interest in these discussions
• Identification of stakeholders having an impact that at a number of schools parents and
on the issue teachers continued their meetings for some
• Gathering information from stakeholders and considerable time after the departure of the
other relevant sources consultation team. Often they had creative
• Distilling the information to identify key issues,
ideas about the ways that parents could par-
ideas and elements
• Reporting on what has been discovered
ticipate in the school, including teaching of
• Formulating next steps (planning the next traditional songs, dances and arts, assistance
research cycle) with maintenance of the school infrastruc-
ture, monitoring of the quality of teaching,
The purpose was to formulate joint and and assistance with the behaviour and atten-
collective accounts that took into account the dance of children.
agendas and perspectives of each stakehold- On the basis of this limited number of con-
ing group, incorporating that information sultation workshops, it was clear that the par-
into a report that clarified the issues and ticipative nature of the workshops was highly
agendas. In the first phase of the research in effective in mobilizing the potential of par-
November 2002 I, as project consultant, met ents and the community. My field notes,
with stakeholding agencies, including direc- written as I reflected on these activities, pro-
tors in the MECYS, and representatives of vide an indication of the extent to which the
United Nations agencies and non-govern- action research processes had enabled people
ment donor organizations (NGOs) to clarify to engage issues that were obviously of great
the various activities related to parent interest to them – the education of their
involvement in schools. children:
The worn, crumbling, bare concrete floor of the interest and willingness. A community of action is
classroom is framed by cracked, corroded and in the process of formation.
unpainted walls. The spaces for windows are like-
wise bare, not a pane of glass to be seen in the On the basis of information gained from
school, and window openings have no coverings these consultations a draft concept paper was
except for remnants of rusted link fencing wire. A formulated, outlining three possible options
new corrugated iron roof has been inexpertly
for the structure of a parent teacher associa-
attached to the classroom walls, and lack of any
ceiling means that heat from the tropical sun is tion. This paper formed the basis for a
radiated directly into the room. There are no doors, two-day workshop with MECYS directors
no furnishing, except for children’s bare wooden and superintendents, and was also distributed
desks and chairs, and a ‘blackboard’ consisting of to other agencies and NGOs. Senior ministry
a square of black paint on the concrete wall at the
directors and the Minister of MECYS were
front of the room. There is no wiring for electricity
and, I am told, no running water in the school. The briefed on its contents prior to presentation
room contained no shelving, books, charts, pic- of the final concept paper – Parent Teacher
tures, learning materials, and was devoid of any- Associations in East Timor – to a roundtable
thing resembling teaching materials. meeting in late December 2002. The paper
The heart of the school is not in its physical
was accepted enthusiastically by participants
resources, however, but is reflected in the faces of
the people in the room – parents, teachers, com- at the roundtable meeting, and the Minister
munity leaders and some educational administra- asked the Director General to form a
tors. Eager, concerned, interested, impassioned, Technical Working Group, comprised of
their foreheads wrinkle in concentration as they lis- senior directors, to facilitate the implementa-
ten to each speaker reporting back on the out-
tion of its recommendations.
comes of their small group discussion. The
apparent poverty of the bare surroundings and the An unanticipated outcome, at this stage,
heat from the tin roof are forgotten as they focus was the broad acceptance by all stakeholders
on the issues at hand – how could they ensure an of the participatory procedures used in for-
adequate education for our children at a time mulating the paper. Workshops had been par-
when the new nation has so few resources.
ticipatory in nature, and though they ran
The last speaker completes his oration and the
written record of his presentation is read back to against the grain of traditional authoritarian
the assembled group, proof that their words have styles of operation, the energy and enthusi-
been heard and note taken of their thoughts and asm that emerged was palpable. This not
ideas. During a break for refreshments the team only set the scene for the productive engage-
leader writes down key issues from each presenta-
ment of parents and community leaders, but
tion on small charts and fastens them to the wall.
As the meeting re-commences, parents gaze in also was a clear demonstration of the efficacy
awe at the sight of the representation of their own of participatory, democratic procedures.
words. They talk animatedly about the issues dis-
played and the possibilities emerging from their
intention to help teachers develop a better school
for their children. An excited buzz emerges as the Phase 2: Initiating Developmental
final comments from the principal and district Processes: Formulating an
superintendent thank people for their participa- Operational ‘Manual’ and
tion, pointing out that these processes represent
the new ways of a democracy – the people’s voice
Demonstrating Consultation
has been heard and will be acted upon. Processes
As people disperse there is jubilation among the
visiting facilitators and the administrators. Here is a The enthusiastic acceptance of the concept
process of working with the people, of building paper was followed by requests for the
their capacity to participate in the reconstruction consultant to write a ‘manual’ that would
of the school system, of mobilizing their energies provide guidance to those responsible for
to fashion a new institution for a new nation. It
establishing PTAs in local schools. The
gives lie to the often-heard sentiment ‘The parents
aren’t interested in their children’s education’. Given resulting publication – Parent Teacher
the appropriate context and the right processes they Associations: Pilot Operation Manual
have come out in force and demonstrate both their (Democratic Republic of East Timor,
556 EXEMPLARS
Ministry of Education, Culture, Youth and leaders was replaced by enthusiastic com-
Sports, 2003) – described processes for con- ments and discussions about the possibilities
sulting with parents and the local commu- that might emerge.
nity, and outlined procedures for identifying In the workshop that followed, parent
and initiating parent activities within the groups articulated a wide range of activities
local school. The manual also suggested pro- in which they would be willing to participate,
cedures for supporting parent activities, ranging from the construction of a fish pond,1
describing possible options for the structure to fencing for the school, and security for the
and operation of organizations that not only classrooms. The fish pond was used as an
could sustain identified parent activities, but example to demonstrate planning processes,
also enable parents to participate more the group of male parents responsible for the
broadly in the operation and management of idea clearly articulating how they would
the school – school councils, parent councils, acquire land, build dykes, obtain a net, obtain
and so on. fish, raise them and market them. Photo-
The manual went through a number of graphs taken some months later show parents
drafts to accommodate inputs from key proudly displaying their fish farm, the result
stakeholders. A workshop for key Directors of their carefully planned labours.
of Education within the Ministry and all The delight of my East Timorese col-
District Superintendents provided the means leagues was palpable. Familiar with tradi-
to familiarize them with details of the pro- tional processes where passive audiences sat
ject, and enable them to comment on and cri- passively listening to extended speeches,
tique the material contained in the manual. some of which took on the air of an
The processes incorporated in the manual harangue, they were delighted by the pur-
were then trialed by an East Timorese team poseful and active participation of parents
who, in conjunction with the consultant, ini- that resulted from the small group processes.
tiated the development of a PTA in one rural As I recorded in my field notes:
East Timorese school. Two preliminary
workshops were held with teachers, the prin- As we left the village late in the afternoon my col-
leagues were buzzing with excitement, their eyes
cipal and community leaders to clarify the
shining and their conversation bubbling with the
purposes and processes that would form the events of the day. ‘Streen-gere,’ they said. ‘This is
basis of parent workshops. This proved an so exciting. This is so democratic. The people were
important part of the process, since these key so interested.’
stakeholders were being asked to make a
transition from well-established practices,
and to understand the desired outcomes. A Phase 3: Trialling of PTA
key epiphany emerged, particularly for
Development
village traditional leaders, when they real-
ized that the focus was not on school fees, In the months following, a UNICEF/MECYS
but on parent activities. It was a clear indica- team initiated PTA consultation and develop-
tion that one word can make a difference – ment processes in six core schools in diverse
that, in this case, the interpretation of the locations across the nation. Workshops with
words ‘parent contribution’ related not to parents, teachers, principals, and community
money, but to activities in which the parents leaders in each of these schools assisted par-
could engage. An excited buzz resulted ticipants to identify activities, create action
when, in response to a question, the audience plans, and develop the organizational basis
was informed that we were talking about for a PTA. Working under the direction of the
‘non-financial contributions’. The tenor and Ministry Technical Working Group (TWG)
tone of the meeting changed immediately, and comprised of Directors of Education, the
the rather hesitant response of community field support team visited pilot schools,
working in conjunction with a staff member degrees of awareness of the need to increase
from each district office. parent participation in the schools.
Some months later a one-day evaluation • In most schools principals are eager to engage in
developmental activities, though they express
and planning workshop was held in each of
the need for support (training) to do so.
the pilot schools. This provided an opportu- • In most schools the enthusiasm of participating
nity for participating pilot schools to review parents is most evident. They express great satis-
the progress of their PTA developments and faction in their achievements, and are keen to
to plan their ‘next steps’, enabling Ministry extend their activities. With principals, they wish
and UNICEF stakeholders to judge the effec- to develop ways to increase and extend parent
tiveness of the initial developments in the participation. Some also express the desire for
process. support (training).
The enthusiasm and dedication for partic- • Highly effective local PTA models have been
ipants was most evident. Under the most developed in some schools. Both the structure
trying of conditions parents waited patiently and operation enacted by these schools creates
considerable interest when presented to princi-
for workshops to commence – sometimes
pals, teachers and parents in other schools.
waiting an hour or two when travel difficul- • Some pilot schools are still locked into rigid for-
ties delayed the facilitators – and continued mats and directive operations of the old BP3
in the tropical heat to concentrate on the models. These schools will need extended sup-
issues at hand throughout the day. My field port to assist them to modify processes for
notes record the context in the following engaging parent participation.
terms:
The potential of these processes was
The heat and humidity are oppressive. My face is
clearly evident in most schools, but some
wet with sweat and my drenched shirt clings to my
body, and even the participants fan their faces and were particularly successful. In one village
mop their brows. An occasional waft of breeze the parents applied their newly developed
serves only to accentuate the heat of the day. But organizational skills to the broader needs of
the people are active and interested. They focus the community, so that a project to provide
on the issues at hand and continue to work, con-
water to the school was extended to include
centrating, thinking, discussing. [They talk of]
what they are doing, how they have organized the development of a water supply for the
themselves. The process gives them voice and to village. Having achieved these ends, parents
actively participate in decision making seems very then focused on the construction of a new
affirming to them. The term ‘ownership’ comes to health clinic. The action research activities
mind as I watch them work.
instituted in the schools therefore became
The results of ‘review and planning’ work- the genesis of a more general community
shops were most encouraging. In some development process. Though not all PTAs
schools the outcomes were dramatically emerged in such dramatic fashion, successful
successful, with parents initiating a wide local models began to appear in a number of
range of activities, ranging from teaching places, and the awareness of possibilities for
local arts, crafts, songs and dances, to engaging parents spread throughout each dis-
rebuilding classrooms and providing services trict. Principals and parent groups in other
(water, security, fencing, teaching aids, and schools began to ask for workshops, and
so on). The evaluation report noted: even where nascent PTAs evolved in rela-
tively passive fashion, a keen awareness of
the need to ‘do it better’ was evident.
• Evaluation workshops at the seven pilot schools
indicate that the processes for PTA development What also became evident was that the
described in the Pilot Operation Manual are PTA project was just one of a number that
effective. focused on development of the school, and
• Though schools differ in the degree and nature of that it would be necessary to integrate many
development, pilot activity has generated high of these other activities. The impact would
558 EXEMPLARS
obviously be so much greater where projects funds were allocated to enable each district
became complementary parts of the same to employ three people as either district coor-
process, rather than competing for the time dinators or training officers. A national team
and energies of parents, teachers and princi- of six people comprised of three national
pals. Developmental processes therefore coordinators and three international consul-
became envisaged in more strategic terms, as tants provided training, mentoring and oper-
an integrated set of activities, rather than a ational support for district teams.
random application of different developmen- A series of three training workshops, held
tal agendas. This is particularly relevant to over a period of 12 months enabled the
many development contexts, where a range national team, in conjunction with the
of agencies and institutions often compete UNICEF consultant, to provide initial train-
for space in the context, each with their own ing to district teams, review their progress
agendas, and their own developmental and plan the next phases of development.
processes. The strength of this project, as The workshops reflected the manner and
becomes evident in the following sections, is style of the approaches to be used by district
that it came as part of a ‘package’ that was facilitators with parent and teacher groups,
introduced under the auspice of a team des- providing opportunities for participants to
ignated by the district offices. clarify the nature of the work they would do
through small group discussions, and
enabling them to reflectively plan a schedule
Phase 4: A Schools Development of activities. People who had experienced
Program: Implementing a National these procedures in the pilot schools were
particularly useful in this process as they had
Process
first-hand experience of the efficacy of par-
The evident success of the pilot project set ticipatory processes.
the scene for further extension of the Workshops provided clear evidence that
process. Meetings between key stakeholders most district teams, despite numerous
within the Ministry and UNICEF, the princi- problems, had successfully implemented the
pal funding agency for this project, resulted processes of development in a sample of core
in a plan to extend the development of PTAs schools in their district. The changes in their
throughout the schools of the nation. The demeanour were evident as they reviewed
Ministry’s Technical Working Group, using their activities, describing both their
information derived from the evaluation of successes and the challenges they faced in
PTA pilot projects, planned the structural facilitating developmental activities. In the
supports for the developmental processes four-day workshop that marked the final
required in schools in each of the national stage of the training process national and
districts. A National Support Team funded district teams were able to demonstrate the
jointly by the Ministry and UNICEF was high degrees of understanding and compe-
created that would coordinate and support tence they had attained. Not only did they
the work of District Support Teams (see demonstrate a clear understanding of the
Figure 38.1). processes involved, but their detailed action
The support system mooted for this project plans enabled them to ‘hold’ the multiple
was so obviously effective that, even before dimensions of the key tasks for which they
its inception, it was extended to incorporate were responsible. Their skill and profession-
other necessary developments in the school alism are evident in photographs taken
system – teacher training, school-based man- during the final workshop. The intensity of
agement training, and later, the introduction their faces as they engage in planning
of a new curriculum. To facilitate and sup- processes, the life and vitality that permeated
port these developments in local schools, almost all of their work, and the long hours
worked in difficult conditions were testament support and encouragement throughout the
to the work they had accomplished. In doing arduous journey through the complex tasks
so they embodied the spirit of a resource that they were assigned. In many ways they epit-
would continue to enrich development of the omized the success of the project, for not
schools in East Timor. only was their skill and dedication clearly
apparent, but they were able to demonstrate
The continued gentle rattle of small, inadequate in their operations the understanding of the
fans serves to accentuate the heat, and an occa-
sional waft of breeze out of the mountains that
value and effectiveness of participatory
hang as spectacular backdrop to the city gives processes. Clearly, not only had a powerful
promise of cool showers in the early evening. … resource been built into the education
So it is, at 3.00 p.m. on this steamy day that I sit system, providing the means for continuing
quietly, sweating profusely into my clothes, and and sustainable development, but in their
watch the national team facilitate the review and
planning processes we had planned so carefully
operation project participants were able to
the previous week. I look on with a sense of satis- demonstrate the democratic processes that
faction as the team works competently with dis- this new nation held in such high regard.
trict facilitators from across the nation, engaging The world of government policy-making
their attention and enthusiasm, and this late in the and implementation has for centuries rested
afternoon, continuing to evoke energy and clarity
as people focused on the issues they had identified
on the work of an expert and/or political
that morning. elite. Government functionaries, sometimes
A wonderful feeling that I had become blessedly with the assistance of experts, formulate
redundant pervaded me, the facilitators clearly policy that is then translated into directives
having the capacity to carry on the business at stipulating the nature of programs and ser-
hand, in a competent and well organized manner.
The work of the district teams is exemplary, their
vices, how they will be implemented, and the
creative, detailed and carefully articulated plans way they will operate. Little wonder that in
providing the basis for rational developments many instances government services are inef-
within the schools. fective or inefficient, deficiencies that are
As a group they are indicative of a powerful particularly harmful to the well-being of
resource that is now available within the education
system. They provide the means to resource the
poorer, marginalized groups. These processes
continuing development of the nation’s education are particularly significant in developing
system, so that the capacity for development nations, where a social elite often directs
has been built into the system in the process of resources to their own benefit, or funnels off
development. … funds for their own purposes, the closed
4.45 p.m. on the final day. Participant energies
are flagging, but they are still wonderfully
nature of operations providing a breeding
engaged. Though a few are distracted, the major- ground for corruption and inefficient or inef-
ity are still focused as they grapple with the issues fective services.
and ask challenging questions of each other. The participatory nature of the processes
described in this chapter provides evidence
that government programs and services can
be formulated and implemented in ways that
CONCLUSION not only increase the possibility of effective
services, but also provide high degrees of
The excitement and commitment that was transparency that mitigate against institution-
characteristic of much of the work in this alized corruption and inefficiency. The East
project was demonstrated clearly in the final Timor experience also demonstrates that
workshop. Participants laboured intensively policy does not have to be universally
for long hours in climatically difficult condi- applied nationwide; that staged or phased
tions, working in collaborative groups, implementation provides the means to ensure
demanding a high quality of performance that systems and services take into account
from each other, but also providing mutual the exigencies and circumstances of the
560 EXEMPLARS
particular locality. It also demonstrates that part of the process. After hundreds of years
all wisdom does not reside with experts or of colonial rule it would be naïve to assume
those in positions of power and authority; that fully participatory and democratic
that utilizing the knowledge, experience and processes suddenly and unproblematically
wisdom of local people can both enrich and became institutionalized across the nation.
enhance government services. What is clear, however, is that there is now a
The effectiveness works at a number of widespread and well-received set of
levels, since the active participation of the processes that provide the basis for future
people not only provides a fund of local developments. Successful local models that
expertise, but it enhances the life of the com- exhibit the effective and democratic processes
munity in a direct way. The empowerment of so desirable in modern democracies/civil
the people in the process, the energy and society have now been implemented in many
excitement that results when they are able to towns and villages across the nation. Over
successfully contribute to events that move time they will continue to influence events as
their lives provides the basis for a healthy people confront the new social model that is
and harmonious society. People working in emerging in their nation, opening the possi-
concert to achieve common purposes are able bility that they will gradually infuse those
to make significant contributions to the well- styles of operation into their daily lives.
being of their community, providing possi- Systematic and participatory processes of
bilities for further development derived from development that are an integral part of
the capacities – social capital – that has been action research in this instance has provided
built into their lives. an effective means for instituting national
The path to development does not always policy in a developing nation.
happen in peaceful environments. During the
project riots occurred in Dili, and further dis-
turbances at the time of writing are indicative
NOTE
of the undercurrent of violence that has
resulted from years of oppression. The trans-
1 I sat puzzled as this idea emerged. ‘This school
parent and participatory processes involved needs many things,’ I pondered, ‘But an ornamental
in action research can only assist, over a fish pond?!!!’ When I questioned my interpreter he
period of time, in ameliorating the underly- explained, with a laugh, that the pond was to farm
ing tensions in the fabric of the community. fish, and would be part of a rice paddy.
Certainly the work of this project was able to
continue throughout the period of unrest that
surrounded its first stages. REFERENCES
The big lesson of this project is that deliv-
ery of services is only part of the develop- Democratic Republic of East Timor, Ministry of
mental equation – the way they are Education, Culture, Youth and Sports (2003) Parent
developed and delivered is as important as Teacher Associations: Pilot Operation Manual. Dili,
the actual services themselves. Participatory East Timor: UNICEF.
processes provide the means to ensure that Fukuyama, F. (2004) State-Building: Governance and
developments fit the social and cultural real- the World Order in the 21st Century. New York:
ities of each locality and build the capacity of Cornell University Press.
the people to enrich and enhance the services Krishna, A. (2002) Active Social Capital: Tracing the
Roots of Development and Democracy. New York:
that serve them.
Columbia University Press.
The picture presented is somewhat simpli- Krishna, A. and Prewitt, G. (2002) ‘How are civil society
fied, and it has not been possible to provide, organizations important for development?’, in
in this short chapter, a full account of the A. Krishna, C. Wiesen, G. Prewitt and B. Sobhan,
struggles and difficulties that were a constant Changing Policy and Practice from Below:
Community Experiences in Poverty Reduction. Stringer, E. (1999) Action Research. Thousand Oaks, CA:
Durham, NC: Duke University Press. pp. 4–14. Sage.
Planning Commission (2002a) East Timor National Stringer, E. (2004) Action Research in Education. Upper
Development Plan. Dili, East Timor. Saddle River, NJ: Pearson Prentice Hall.
Planning Commission (2002b) East Timor: State of the Stringer, E. (2005) Action Research in Human Services.
Nation Report. Dili, East Timor. Upper Saddle River, NJ: Pearson Prentice Hall.
Putnam, R., Leonardi, R. and Nanetti, R. (1993) Making Stringer, E. and Dwyer, R. (2004) Action Research in
Democracy Work. Princeton, NJ: Princeton University Human Services. Upper Saddle River, NJ: Pearson
Press. Prentice Hall.
Stiglitz, J. (2002) Globalization and Its Discontents.
London: Penguin.
562 EXEMPLARS
39
‘No – You Don’t Know How We
Feel!’: Collaborative Inquiry Using
Video with Children Facing the
Life-threatening Illness of a Parent
Gillian Chowns
This chapter describes a collaborative inquiry conducted with nine children who were facing
the serious illness and possible death of a parent. It describes the impetus for the research,
some of the obstacles and ethical issues, and the practicalities of working in this way with a
group that is conventionally seen as very vulnerable and a topic that is also considered highly
sensitive. The concepts of competence, power and capacity are then discussed in the light of
both the findings and the experience of the inquiry.
‘Sometimes people don’t always listen to us’ of palliative care and contemporary under-
is a comment from children that I have heard standings of childhood.
throughout my professional life as a social If action research is ‘best understood as a
worker and an educator, as well as in my per- way of being and doing in the world’ (Heron
sonal life as a parent. This chapter tells just and Reason, 2001), it must be transparent
part of the story of a collaborative inquiry about its choices – and the consequences that
that sought to enable children to be listened follow, foreseen and unintended. As author
to, and respected for their expertise and of this chapter, I acknowledge that the inter-
experience, and focuses on two central issues pretation of those choices and consequences
– power and competence. Both of these chal- is mine; although other voices (the children’s
lenge the production of knowledge, the practice and the adult co-facilitators’) may briefly
COLLABORATIVE INQUIRY USING VIDEO 563
feature, this story of a collaborative inquiry BACKGROUND

is, paradoxically, an individual, personal rep-
resentation. In the spirit of transparency, I Palliative care is ‘an approach that improves
begin with a brief summary of the selves that the quality of life of patients and their families
inform this telling, and the purpose of both facing … life-threatening illness’ (World
the research itself and this chapter’s account Health Organization, 2002). In the West, it has
of it. been offered most readily to people with
My primary professional identity is as a cancer; in the developing world it is
social worker with children and families. For HIV/AIDS that is the dominant disease. The
the last decade I have been a specialist pal- definition recognizes that the family are part
liative care social worker, working directly of the ‘unit of care’, but in practice ‘family’
with children who are themselves healthy but has been largely interpreted as adult members
whose parent is seriously ill with cancer. In (Ferrel et al., 2002; Lewis, 2004; Northouse
the past, I have taught in both the UK and in et al., 2002); the children of seriously ill par-
Africa at playgroup/kindergarten, primary, ents receive comparatively little attention.
and secondary levels. Currently I am a senior While research into bereaved children has
lecturer in palliative care in an English uni- grown considerably (Klass et al., 1996;
versity. From my personal life I bring the Worden, 2002), research about children who
experience of a happy childhood, an endur- are likely to become, but are not yet, bereaved,
ing marriage, continuing parenthood and, is scarce. Most research on the impact of can-
now, the role of grandparenting. cer on families has been adult-focused, adult-
Although it is possible to separate these conducted and adult-interpreted (Barnes et al.,
roles on paper, in practice they coalesced 2000; Davis Kirsch et al., 2003; Beale et al.,
and collided, each contributing to the values 2004). Children’s views have often been
and beliefs that informed my work. obtained by proxy and, even when accessed
Researching the experience of these children directly, the researchers have then sought
as they saw it was both an expression of ‘confirmation’ from the parents (Nelson and
those values and an intention to contribute, While, 2002). The authentic voice of the child
however modestly, to changing the under- (defined here as under 18) has been absent.
standing and practice of both professionals
and families. I chose collaborative inquiry as
an approach that offered a more ethical,
respectful and democratic way of working METHOD
with these children, a marginalized group
(Lykes and Mallona, this volume) in the My work with children in a variety of set-
world of palliative care. Collaboratively tings left me increasingly frustrated at the
producing a video on the topic made the failure of parents and professionals to attend
findings more readily accessible to both the to their experiences, but also convinced of
above groups as well as being a contempo- children’s ability to cope with difficult situa-
rary, attractive medium for the young tions. In my doctoral research, I wanted to
co-researchers. challenge the first and honour the second.
This brief account of our work is not Key ethical issues were consent, confidential-
presented as a blueprint for other inquirers, ity, and ownership. In keeping with my position
but to highlight some of the issues raised in on children’s rights and abilities, I sought con-
working with this age range, to contribute to sent from the children first, and only afterwards
ongoing debates on research methods, ethics, from their parents. Inevitably, anonymity was
interpretation and much more, and to encour- impossible with the use of video, but what we
age more adult–child collaboration. could guarantee was control of all the material;
564 EXEMPLARS
each of the children would have the option to PREPARATION

give or withhold consent to the public use of
any of the footage taken during the project. Two social work colleagues with expertise in
Whatever they said or did during the sessions palliative care and group work, Sue and
would remain confidential unless or until they Alison, were keen to be involved, but this did
themselves decided it could be included in the not mean that we all had a shared under-
final video. The principles of participatory standing of how the video project would be
video were both explained and demonstrated at realized. Sue writes below of her concerns
our first meeting – that all the participants were during this early stage:
involved in all the stages, from deciding the
themes, to filming, interviewing, editing and Planning a children’s group, particularly one that
dissemination. Although the doctoral thesis involves painful and sensitive issues, and where the
situation for individual members can change dra-
would be exclusively written by me, the young
matically at any time, feels seriously problematic.
co-researchers would have the option to be co- Add into the equation a plan to make a video with
presenters at the launch of the video and at sub- the group which will be for public consumption,
sequent conferences, thus carrying the principle and the hurdles are likely to feel insurmountable. …
of collaboration right through to dissemination. Although wanting to be supportive, I was scepti-
cal that it would ever be possible because of a
This approach to research had been an
whole variety of problems: engaging a viable
unfamiliar one for the National Health group; finding sufficient time; overcoming the
Service local Ethics committee, who were issues of consent and confidentiality; getting
unused to having notions of ‘bias’, ‘objectiv- funding; finding a suitable venue; coping with the
ity’ and ‘consent’ contested; nevertheless, group if one of the parents dies; and, finally, pro-
ducing a suitably professional product when I, for
approval was given at first submission.
one, knew absolutely nothing about video. Talking
I then talked to the children whom we were to children about difficult issues was the least of
currently supporting through their parents’ ill- my worries, given that it was my daily work within
ness and invited them and their parents to a a palliative care team, but the practicalities of this
meeting to discuss the idea of acting as co- project seemed impossibly complex.
researchers of their own experiences to make a
video to help other families. Nine children An additional challenge was the integration
aged from seven to 15 years participated, of the cameraman Nick. I had been seeking a
together with four adults – three social workers video expert, and he was recommended by a
and a ‘participatory video’ (PV) expert. The colleague. However, he then argued persua-
group included three sibling sets; there was a sively for a more participatory approach
mix of lone-parent and two-parent families; (Robertson and Shaw, 1997; Brinton Lykes,
the cancer diagnoses included breast, bone and 2001; Lunch and Lunch, 2006), in which the
cervix; prognoses were very variable. children would be in control of the camera,
Despite the well-rehearsed difficulties of and although this was entirely congruent
recruitment in palliative care research, we with the espoused values of collaborative
not only had a sufficient number of children inquiry, it shifted his original role from unob-
interested in the project but we also had par- trusive recorder to active co-facilitator. It
ents who were supportive. Since the research became imperative to invest time in bringing
was focused on the pre-bereavement period, the facilitators together, build trust and agree
the fieldwork was conducted over an intense a common understanding about collabora-
but short seven weeks, to minimize the risk tion. Two meetings at which some group-
of a bereavement during the making of the work exercises (Doel and Sawdon, 1999)
video. Nevertheless, the crucial planning, proved effective, began the essential process
preparation and dissemination phases extended of developing mutual respect and trust.
the whole project by many months either side These exercises, in which we each identified
of the group sessions. our hopes for the project, the fears that we
had, and the skills that we brought to it, inclusion in the final video. However, these
highlighted and reduced some of the existing two sets of tapes were not mutually exclu-
tensions between us, and helped to integrate sive. The young people reviewed all the
Nick within the team. My colleagues all ‘proper’ footage and, as indicated earlier,
identified ‘fun’ as an important part of the gave or withheld consent for its inclusion in
project – a salutary reminder for me, the pro- the public film. They agreed that I should
ject leader, as I had entirely forgotten that review all the process tapes (on which I drew
aspect. The honesty of our responses helped for the part of my thesis researching the prac-
us to understand and support each other tice of collaborative inquiry with children)
through the fieldwork phase. and any extracts that I felt would be useful
In the preliminary Open meeting for fami- for the video would then also be reviewed,
lies, held to explain our thinking, we mod- vetoed or accepted by them. Thus, all mater-
elled our commitment to collaboration by ial remained ‘private’ to the group until
having the video equipment available and lit- unanimous consent for its public use was
erally handing it over to the children. Then, forthcoming.
in the first session of the fieldwork phase, we Nick, the technical expert, produced the
brainstormed the themes that were the young first rough video draft. Several weeks had
people’s own concerns. The adults provided passed, which offered an opportunity for a
flip-chart paper, pens and the reiterated perhaps more dispassionate appraisal of their
principle – that the children were the ‘experts’ contributions. The draft was reviewed – with
in this situation and it was their themes that brutal honesty: ‘Too boring’; ‘Not enough
were the starting point. The original vision of fun’; ‘I don’t like the bit where it keeps zoom-
collaborative inquiry through making a video ing in and out.’ So it went back for further
had been mine alone – a slow germination of revisions before being finally launched as the
a seed of an idea that had been nourished by 25-minute film ‘No – You Don’t Know How
a multitude of conversations, readings, inci- We Feel’ (Chowns et al., 2004).
dents and ideas – but the research questions Collaborative dissemination was equally
were defined by the young co-researchers challenging. In the first year after the film
rather than by ‘expert’ adults. Throughout the was made, four of the young people made
project, these issues were explored through conference presentations. Notwithstanding
interviews, games, explicit discussion and organizers’ assumptions that all presenters
casual conversations over refreshments. In are adult, academic and professional, the pro-
addition, the ‘Good/bad’ feedback slots at the ject has enabled a marginalized group of
beginning and end of each session provided service users – children – to communicate
opportunities to reflect in a more considered their research directly to the wider public.
way on all that was happening. Those children who have presented an aspect
of the research (of their own choosing) have
clearly made an impact on their audience,
and equally the experience of presenting has
DATA COLLECTION, EDITING AND impacted on them, enabling them both to
DISSEMINATION properly value themselves as worthwhile
contributors to society rather than as passive
Over the seven weekly sessions, many hours victims needing help, and also to continue
of tape were amassed. One camera had been the iterative process as they negotiate new
used specifically to record the process of the understandings of their experience of living
collaborative inquiry – a running record of with life-threatening parental illness.
the whole of each session – while the other Ellis, sparing with words, and at 15 our
had been designated for ‘proper’ footage – oldest co-researcher, publicly reflected on
material deliberately recorded for potential this:
566 EXEMPLARS
At first I was very wary about doing the video. As (Brydon-Miller, Chapter 13 in this volume), and
a private person I wasn’t sure how much or how
that I needed to be rigorous in my ethical
little I was prepared to say. However, after meeting
the group and talking with my Mum I decided to approach (Farrell, 2005) to consent and
go ahead. … It [the video] gave me a chance to tell much else, as discussed earlier, but as a prac-
people, especially my Mum, of how I really felt tising social worker I usually began with an
about her cancer. I know my Mum found this really assumption of ability rather than vulnerabil-
helped her to deal with it. When she was very low
ity. I always acknowledged, on first meeting,
and tired we always tried to be there for each
other. that the child had the ability either to make
this the only meeting, or the beginning of
At another national conference he expanded some joint work. And both my practice (sup-
further: porting children before and after bereave-
ment) and my reading of the bereavement
This experience has affected my life as it made me literature (Christ, 2001; Klass et al., 1996;
realize that there are others in my unique situation
Monroe and Kraus, 2005) provided evidence
and I hope other children and young adults will
benefit from our own experiences as told through that children could survive parental bereave-
the video. … There were a lot of personal issues ment. Moreover, Barnard et al. (1999),
raised in this video and at first I was unsure, but Holland (2005) and Alderson (2000) argue
after watching the final video I realized how much that adult assumptions of ability or incompe-
it could help others and my concerns about
tence will enhance or diminish a child’s
[it] being released into the general public went
[disappeared]. actual performance, and one must distinguish
between children’s relatively poor perfor-
This demonstrates the three levels on which mance in research on hypothetical situations
the video project operated – first, second and and their maturity when responding to
third person. It was a positive experience for research on real-life experience (Alderson,
Ellis himself; it impacted on his mother, and 2000). I brought this awareness to the
their relationship with each other; and he research study and thus began with a stand-
began to understand its potential impact on point (contested, as all standpoints may be)
the wider world. It also articulates some of that favoured capacity and competence.
the dynamics and dilemmas of ‘consent’ – Each session began by identifying the
which in practice is provisional, fluid, incre- good and difficult things about the previous
mental and open to influence (here, by his week and ended with a review of the day’s
parent and the group). footage. Thus reflection was a key compo-
nent of the work, whether or not it was so
labelled by our co-researchers. Over the
weeks, the children’s critical faculties were
COMPETENCE AND honed as they critiqued their contributions
CAPACITY-BUILDING and made constructive suggestions for gener-
ating better footage. Megan, aged 13, was
On hearing of the original research proposal, critical of some stilted interviews that three
many individuals and agencies presupposed of them had conducted in Session Two and
children, as a class, to be unreliable or vulner- commented: ‘We could use some stuff from
able (at risk of wounds) rather than able. They the process tapes – when we were discussing
feared that collaborative inquiry would either it before [filming] it was much better, we
make too many demands on the children or said some really important things.’
that they would ‘play up’ to the camera. The study also provided evidence that liv-
My own position was liberationist rather than ing with life-threatening parental illness gave
protectionist. That is to say, I recognized that the young people a more mature approach to
young people were no more and no less vulner- life than their peers’. One girl commented
able than any other researcher/participant negatively on how childish and irritating her
friends could be, while several youngsters robustly to challenges, all on a difficult and
highlighted the need to support and protect semi-abstract topic. The collaborative ethos
parents or siblings, and therefore put their own of the project contributed to capacity-building.
preferences aside. Eleven-year-old Laura, an The expectation of competence inherent in
only child of a separated mother, explained. ‘I the underpinning values of collaborative
wanted to tell my Mum that I didn’t like what inquiry brought forth competence, and the
was happening, but I didn’t want to upset her.’ constant sharing of power provided frequent
And the 14-year-old twins, Gemma and opportunities to display and hone that com-
Natalie, commented; ‘When we’re round our petence. For example, in Session Two, the
Dad … he does things a lot slower. You have adults divided them into small groups to dis-
to put up with it.’ cuss and plan an interview, and then with-
Thus, one positive consequence of recogniz- drew. My field notes of the video tape
ing a parent’s vulnerability was that the child’s record: ‘Silence … all looking down at their
capacity for other-centred behaviour – feet – then Laura gets clock, takes on role of
standing in the other person’s shoes, and time-keeper, Megan picks up paper and pen
meeting those needs rather than their own to write captions for interview (her idea).’
(self-centred) needs – was increased, and in The ensuing discussion, too long to repro-
practising this other-centred behaviour they duce here, was animated, rich, wide-ranging
became even more competent at it and there- and entirely independent of any adult input.
fore more competent participants in society. However, this ability to exercise power
This was not a primary aim of the video pro- competently and take responsibility was not
ject, more a by-product of living with life- a static state; it shifted, slipped, disappeared
threatening parental illness. Although they and re-formed, in response to many factors
all wanted their parents to be more under- beyond the study’s remit. Two siblings illus-
standing of the stresses that they, as children, trate its dynamic nature in their attendance
experienced, they saw this as a question of and involvement in the project. Superficially
reciprocity – just as they were actively trying less focused than his co-researchers, Jack, a
to support their parents, so they hoped their young-acting seven, was nevertheless com-
parents would actively support them. mitted to the group and, despite his mother’s
However, the children gave their support rapidly deteriorating health, the deepening
freely; it was not conditional upon it being uncertainty of his daily life, and his general
returned. dependence on adults, he attended every ses-
This capacity for a more mature outlook sion and was never a presence that could be
and behaviour pre-dated the video project but ignored. His limited concentration span
the youngsters’ participation as collaborative meant that he frequently tired of activities
inquirers further enhanced their capacity and before the rest of the group, but when it
competence. For example, after seven ses- came to the painting exercise, a valuable
sions in which we had consistently told them example of presentational knowledge, he
that it was their experience which mattered, was completely focused and his simple
their choices that would count, and their explanation was heard with rapt attention by
feedback on the previous sessions that the whole room: ‘This is a sad picture’ (an
needed to be heard, their capacity to criti- enormous face that filled the paper, with a
cally appraise the first edit of the video was red, screaming mouth). When one of the
clearly evident, as illustrated earlier. girls suggested that it looked as if the face
Similarly, in Session Five there was a long, was screaming because it was scared, Jack
complex and lively debate about truth-telling nodded silently. ‘What makes you scared,
wherein they demonstrated an impressive Jack?’, she asked. ‘When my Mummy’s
capacity to marshal their thoughts, construct not well’, he whispered. The silence that
an argument and respond respectfully but followed was profound.
568 EXEMPLARS
By contrast, his sister Becky was equally POWER

competent at having her very different
wishes honoured; her energies were focused The ascription of power to children remains
on her dying mother, her attendance spo- contested. And the broader debate usually
radic, and her contribution limited. What is assumes that increased power for one group
less certain is whether the siblings were as means a loss of power for the other (Gaventa
capable of getting their wishes met once the and Cornwall, Chapter 11 in this volume). I
main phase of the study was completed. had been guilty of this assumption when I
Neither attended the first edit review, nor the agreed to the participatory video approach.
pre-launch showing to the parents, nor the I recognized its strengths, but felt that I would
public launch some months later. It may be be handing over some of my power to Nick
that this was entirely consonant with their and the children; I would no longer control the
own preferences, but one cannot be confident direction of the project. However, the reality
that the collaborative inquiry had sufficiently was more subtle and rewarding; shared power
strengthened their capacity and competence begat reciprocity and increased collective
to achieve their own wishes. They each par- power. Our experience was that we all, facili-
ticipated as much or as little as they wished tators and co-researchers, were more effective
in the group sessions, but it may well be that than if we had not shared that power.
their subsequent non-participation reflected However, the limitations of empowerment
their father’s views rather than their own bear further reflection. Collaborative inquiry
preferences. seeks to empower those whose expertise is
This non-particpation, for whatever often not recognized and validated as
reason, highlights the limitations of ‘real- ‘proper’ knowledge. Our co-researchers, as
world research’ (Robson, 2002). While this children and as users of palliative care ser-
study sought, inter alia, to help children vices, were located on the fringes of both
become effective inquirers, it could not society and research; and the espoused
impact so directly on the many other parts of values of social work and collaborative
the system that is society. The output of the inquiry had to compete with the normal,
study, the video (Chowns et al., 2004), everyday experience of their lives as less-
sought to enable others – teachers, families, than-powerful people. Collaborative inquiry
professionals, peers and siblings – to constructed them as knowers, actors and
become more enquiring, but this was a equals, and we adults endeavoured to assert
future impact; the research itself had limited this in word and action. Phrases such as ‘it’s
power to change the broader context in up to you, it’s your choice’ and ‘You decide,
which it took place. Competence was recog- you’re the experts in living with this’ were
nized and celebrated within the study, but in reiterated frequently, and, importantly, the
the outside world it was often dismissed and ensuing choices were then respected.
devalued. The children’s own understand- However, this was an unfamiliar construction
ings of themselves as competent and capable for the children, who did not see themselves
were challenged by the reluctance of their as having choice and power, initially –
social networks – parents, school and the because society did not construct them as
wider community, all of whom appeared to holding this much power. Theirs was a world
be working to older models – to acknowl- where they occupied positions of relative
edge competence in children. Knowledge powerlessness, as dependants and pupils – an
may be power, but if that knowledge is not adult-dominated world, in which adults con-
respected or sanctioned as knowledge by trolled the agenda and, sadly, could not
those currently in power (adults), then it always be trusted to keep their promises. So
may yet not bring power to the knowers our group did not accept our protestations of
(children). power-sharing with open arms. Indeed, one
Grief
Loss-
orientated
Restitution-
orientated
Power
Passivity
Resistance Competence
Dependence Agency
Independence
Figure 39.1 Dual process model (adapted from Stroebe and Schut, 1999)
could argue that this was just one small way Collaborative inquiry attempts to shift the
in which children learn to exercise some power dynamics of ‘user’ and ‘academic’,
power and control – discounting adult but methodology and method are insufficient
promises enables the child to survive better in themselves. It was in the day-to-day
when those promises are experienced as bro- details of the project that the adults modelled
ken. So, a review of Session One tapes the principles of collaboration, and thereby
showed a group who were largely passive, enabled the whole group to live them.
wary, and apparently conforming. In later We adults held considerable power, simply
sessions, the children more readily made by virtue of being adults, as well as by being
statement of intent – ‘Let’s do that’ or ‘We either camera or palliative care experts, but
can act a story’ or ‘I’m not going to say any- the children had their own, not inconsider-
thing’, but in the earlier ones, they were in able, power as well. Their trust and collabo-
permission-seeking mode: ‘Could we ask the ration was theirs to give or withhold, and
others some questions?’ ‘If we don’t want to they did not do either unthinkingly.
be filmed, can we sit it out?’ This negotiation of power was a continu-
Some children were also inhibited when it ous, dynamic process – an oscillation. It has
came to everyone doing a section of a story parallels with Stroebe and Schut’s dual
board; they got up to draw their picture, then process model of grief (1999), which recog-
promptly returned to their chair, while others nizes that a bereaved person does not make
stayed down on the floor, crowding round the steady progress but may swing wildly from
drawings, and commenting on the contribu- loss-oriented to restitution-oriented activity
tions. As one facilitator reflected: ‘They’re and thinking (see Figure 39.1).
playing the game, aren’t they, doing what Similarly, the young people in the study
they think we want … and making up their oscillated, not only between but also within
minds about us?’ each session, between power and powerless
570 EXEMPLARS
orientations. Thus, in Session One, when For example, while filming the section on
they were invited to brainstorm ideas for ‘Cancer Information’, one group managed
what should go into the video, the contribu- independently, and the other, as highlighted
tions came thick and fast, individuals above, reverted to a more dependent role. It
endorsed or qualified others’ ideas uninhibit- seemed as if they had simply run out of
edly and there was a palpable sense of energy energy. Later on, it was an adult who ‘reverted
and power within the group that in some to type’; she moved back into professional
cases was physically translated into jumping mode, trying to organize the group and elicit
up from the chair. Yet at other times they had views, with little success, despite earlier main-
been very much in teacher–pupil mode taining an effortlessly collaborative style.
despite our best efforts – in the way we had Occasionally, the adults failed to use their
arranged the chairs (in a circle), ourselves legitimate power to empower the children.
(scattered among the children), and the pro- During a discussion of how to cope with
gramme (contributions from them as well as enquiries about a parent’s health, several
us, acting and filming as well as talking and children suggested the response ‘She’s fine’
listening) – to challenge these daily norms. in the hope of shutting down the conversa-
In one of the later sessions, the oldest tion. We adults simply acknowledged this,
group, Ellis, Gemma and Megan, appeared to whereas encouraging the group to explore
revert to powerlessness as they struggled to ways of explaining why this was an unwel-
generate a discussion on cancer information; come question might have then enabled them
they wanted someone to ask direct questions, to change a difficult situation. Instead, our
declined to choose one of their own number, failure to exercise appropriate power disem-
and wanted an adult to move in and organize powered the children and left them masking
them – ‘We can’t do it, it’s easier if you do it.’ rather than controlling a problem.
In the asking, of course, they nevertheless Elsewhere, we used our authority appro-
demonstrated the use of both positive and priately. Midway through the inquiry, when
negative power, as well as a recognition of dif- collaboration was well-established, we con-
fering areas of expertise in adults and sciously took more control of the session
children. structure which freed the children to focus
The power balance shifted considerably over on the content, where they were the experts.
the life of the project, but it was an uneven So the adults selected video diaries and an
process. In Session Three one teenager facili- activity which involved ranking statements
tated the discussion on painting, and in Session as key items, but the opinions, debate and
Six another independently raised the topic of counter-challenges were all the children’s
advice for other children and started a discus- own. One statement (drawn from a palliative
sion with his co-researchers. However, as illus- care textbook) that ‘children need to know
trated above, there were also clear instances of the truth’ provoked an excellent debate about
children reverting to the less-powerful orienta- timeliness and honesty, as well as some shar-
tion, asking the adults to direct interviews and ing of personal experiences of unwelcome
generally take charge. parental protectiveness. This working to par-
One partial explanation for this oscillation ticular members’ strengths (Heron and
may be the capacity for sustainability – in the Reason, 2001/2006) values difference with-
sense of the ability to maintain this approach out compromising collaboration.
consistently. Although the offer of shared Planning the painting session, however,
power was consistently made, its acceptance was an example of deliberately refraining
and use required considerable mental and from the use of power. All my co-researchers
emotional energy and, at times, none of us was were keen to paint their emotions at the next,
able to sustain this level of energy so we each short, Friday session. I pointed out just how
reverted to more conventional modes-of-being. much time painting requires, but accepted,
with public grace and private reluctance, the the wider community and also faithful to their
group preference not to wait for a longer own perspective.
Saturday session. Collaborative inquiry has been almost
In the event, the painting was very rushed, entirely theorized and practised in terms of
but we nevertheless captured some excellent adults (Reason and Bradbury, 2001/2006),
footage. Equally importantly, it enabled the and there are to date few accounts of its
young people to articulate in greater depth the application to children. The combination of a
emotions that dominated their life as off- sensitive issue (death and dying) and a
spring of seriously ill parents and to learn research population (children) seen as partic-
from each other. One of the twins drew a soli- ularly vulnerable was considered daunting
tary teardrop and spoke of how alone she felt, by many colleagues, but the use of participa-
which led to a discussion about telling friends tory video with collaborative inquiry’s atten-
at school, the attendant risks and likely reaction to power dynamics, participatory
tions. The ensuing debate enabled the principles and respect for differing typolo-
children to learn about others’ coping strategies of knowledge (Heron and Reason,
gies and consider alternative behaviours. 2001/2006) enabled the young people to
The exercise of power, whether by articulate their experience and expertise and
children or adults, is a complex and con- also challenged contemporary assumptions
tested activity. Reflection before, during and about children’s capacity and competence.
after each session (reflection-on-action and The account of this research invites other
in-action) was an important tool to help us all practitioners considering collaborative
explore the subtleties of its use in collabora- inquiry to freely adapt, amend, and debate its
tive inquiry, and led us to conclude that mul- ideas and activities, but also to recognize and
tiple perceptions may co-exist – there may be respect children’s competence and capacity
no ‘right’ answer. (largely unacknowledged) alongside their
vulnerability (an attribute of all humanity).
While collaborative inquiry continues to
be constrained by the wider society in which
CONCLUSION it operates, it has the potential to shift the
broader social context from one where the
Both power and competence were central silencing of children is unremarked, to one
issues in the video project, which demon- where their voice and competence may even-
strated that young people are more capable tually be credited – and celebrated.
and articulate than most adults recognize. It is
not protection that our co-researchers sought,
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40
IT and Action Sensemaking:
Making Sense of
New Technology
Chris Dymek
Often, organizations feel compelled to explore the use of new technologies for either
competitive advantage or to ward off the threat of obsolescence. Depending on the tech-
nology in question, use of it might have very disruptive effects within the organization.
Having been both an initiator and on the receiving end of new technology implementa-
tions, I have searched for more satisfying, less disruptive ways to introduce them into orga-
nizations – ways that are both socially and organizationally valid. This search led me to
think about using action research to make sense of the use of a new technology.
Ultimately, my dissertation work resulted in developing a model for such a process, which
I call ‘action sensemaking’. This chapter describes one organization’s effort to use this
model while developing a conceptual design for use of a new information technology (IT).
The co-researchers involved in this participatory action research project engaged in both
second- and third-person research/practice, thereby ensuring social and organizational
validity of the resulting conceptual design.
This chapter describes one organization’s combining of both internal and external orga-
effort to develop a new IT approach using an nizational knowledge to generate relevant cues
AR model I have come to call ‘action sense- to sensemaking, and (2) linking the generated
making’. Briefly, action sensemaking is a cues with existing organizational frames to
collaborative inquiry focusing on at least two generate ideas for utilizing a new technology
action/reflection cycles that involve: (1) the and, potentially, new organizational meanings
574 EXEMPLARS
and frames. In this context, sensemaking is a the design sessions of the project. Members
deliberate process undertaken to seek out rel- of the project team were afraid to publicly
evant cues, which would, when consciously disagree with the ideas of a powerful partici-
combined with existing organizational pant during design sessions.
schema or ‘frames’, result in the creation of Given this background, the Steering
new meanings within the organization. An Committee for Release Two (as the project
organizational schema or frame is present that underlies the work here was called)
when a particular, set, way of perceiving cog- desired a project design that would allow
nitively and responding to stimuli occurs. for all needed voices to be heard in a setting
Accountants, for example, are likely to have that would mitigate power issues. The steer-
a different organizational frame from the IT ing committee was comprised of a group of
staff in an organization. senior leaders in the company. I submitted a
The organizational members involved in preliminary project charter document to the
the AR project on which my work is based steering committee outlining the overall
engaged in both team work and reflection project design, which was based on the
with the purpose of extending the work action sensemaking model in Figure 40.1,
beyond themselves. In so doing they also and clarified the project goals, scope and
added to the social and organizational aspects timeline. I did so in the context of an AR
of the resulting AR design by creating a sense dissertation that I undertook as part of my
of partnership, which left the system stronger – doctoral studies at Pepperdine University.
stronger in that there was a solidarity about The project co-researchers were not
the direction we were headed and in that we involved in these early project charter dis-
learned some productive ways of engaging cussions because the culture of ORG was
during our work. Also, the work produced such that prior to allocating any human
was practical in that it was grounded in new resources to a project, senior management
workflows incorporating the new technology. required at least a high-level project plan.
The workflows and documented resulting However, they were involved in many
efficiencies were produced by those who facets of the design stage of the project
were actually engaged in the work. including planning what data were needed
and how to acquire the data.
The goal for our project team was to deter-
PROJECT BACKGROUND mine a design for use of a software product
called eService. eService was intended to pro-
In the spring of 2002 the company, which vide a feature-rich web portal for ORG cus-
will be referred to as ORG in the remainder tomers and partners. eService contained some
of this chapter, embarked upon a total standard features but could be customized to
replacement of its core information system. do most anything required of a customer inter-
This project was called Release One and was face. Any customer data could be retrieved or
implemented with mixed results in the com- updated using eService. The CEO of ORG
pany. Technically, the result was flawless. intended that this technology provide new ser-
Practically, however, some users of the vices and increased productivity for ORG its
new system felt this system was designed to customers and partners. ORG devoted roughly
facilitate work processes for only one area of one-tenth of its yearly budget to this project
the company. Since all areas of the company combined with the earlier Release One. Both
were represented on the project team for releases were viewed by senior management
Release One, this was a puzzle. Further prob- as having strategic significance.
ing revealed that the core issue stemmed The steering committee, on which I was
from a perception that dissent was stifled in also a member while acting in the capacity
IT AND ACTION SENSEMAKING 575
of project manager for the team, allocated the idea that, during sensemaking, new
one team member from each of ORG’s four meanings are created by combining existing
customer service areas, two members from frames with new cues (i.e. where frame
operations, two from research and educa- equates to schemata and cue equates to input
tion, and two from technology services to that gets noticed).
the project team. In addition, the facilitator
for the team of co-researchers was allocated The Action Sensemaking Model
from human resources. The facilitator was
Explained
an experienced human resources profes-
sional with a background in organization While working on my dissertation and the
development. Human resources was not research presented here, I constructed a
affected by this software implementation model for teams trying to determine how best
and, so, its personnel were thought to be to use new technologies. The result of my
relatively unbiased as to any chosen model attempt is depicted in Figure 40.1.
outcome. This model presents a picture of the
Prior to the team’s work commencing, I action/reflection cycles mentioned at the
met individually with potential members beginning of this chapter. The first cycle in
recommended by the steering committee to the model shows that linking both internal
inform them about the project, review the and external organizational knowledge can
commitment we were asking them to make generate relevant cues to sensemaking.
to take part in an AR project, and to con- These cues are then linked consciously with
verse about any concerns they might have existing organizational frames in the second
regarding the project. They were also action/reflection cycle to generate ideas for
informed that all meetings were going to be utilizing a new technology and, potentially,
taped and that the tapes would be tran- new organizational meanings and frames.
scribed for analysis purposes. Potential Frame change is depicted as leading to orga-
members had the option not to partake in nization change. The ‘A’s in Figure 40.1 rep-
the project, but all seemed willing to try a resent the linking actions taken in each of the
new approach in an effort to improve upon action/reflection cycles.
the earlier Release One project. Next I In addition to Weick’s sensemaking
describe the approach. theory, the model draws heavily on the orga-
nization change research of Bartunek and
Mohrman. For both Mohrman (2001) and
PROJECT METHODS Bartunek (1984), planned change requires
the modification of schemata or frames that
The overall approach we followed was based are embedded in a system. For Mohrman
on the earlier-mentioned action sensemaking (2001), schemata change can occur through
model depicted in Figure 40.1. Several years social networks and the establishment of net-
ago, I came across Karl Weick’s work on work connections that link knowledge from
sensemaking and it occurred to me that different sources and perspectives. Bartunek
project teams trying to implement new tech- (1984), like many from the Hegelian tradi-
nologies in organizations were really tion, suggests that dialectical processes need
engaged in deliberate sensemaking initia- to occur for fundamental change to take
tives (Weick, 1995). Since my work at the place. Her work draws upon other social
time required me to implement new tech- science work on change in interpretive
nologies, I wondered what benefit might schemes (Argyris and Schön, 1978; Sheldon,
accrue to teams if they applied insights from 1980; Hedburg, 1981; Tushman and
Weick’s sensemaking theory – particularly Romanelli, 1985).
576 EXEMPLARS
Internal External
knowledge knowledge
New
Existing
types of
frames
cues
New
meaning
Frame change
(coordinated via an
action research
approach)
Organization
change
Figure 40.1 Model depicting how organization change occurs given a sensemaking
framework
Combining the work of Mohrman and In large IT projects, where many depart-
Bartunek suggests that fundamental change ments are affected, there are typically wide
in organizations requires schemata change variations in views about how best to imple-
and that schemata change requires dialecti- ment the new systems. These views result, in
cal processes, which are applied within net- part, from different schemata or frames held by
work connections that link knowledge from members of the different departments of an
different areas – within and external to the organization. Moreover, power issues come
organization. Translating the above into into play in IT projects – the powerful voices
sensemaking language, it could be said that typically hold sway around what gets imple-
fundamental change in organizations requires mented. Reconciling diverse frames and power
a change in the frames within an organiza- bases in IT projects had been successfully
tion. A frame change requires a dialectical accomplished in another action research pro-
process, which allows for new connections ject (McDonagh and Coghlan, 2001/2006).
to be made by bracketing new types of cues Hence, its use in the action sensemaking
(i.e. represented by the second ‘A’ in Figure model depicted in Figure 40.1 seemed appro-
40.1). Linking knowledge within and exter- priate. Moreover, conscious group learning as
nal to the organization can generate these a result of action/reflection cycles in AR pro-
new cues (i.e. represented by the first ‘A’ in jects would be useful during the action-
Figure 40.1). required points (indicated by ‘A’) in the model.
Data Gathering: The First Since the goal of our work was to create a
Action/Reflection Cycle conceptual design for use of eService that
would enhance customer service and produc-
For the first action/reflection cycle, the team tivity, the key, going-in concepts to this pro-
decided to use a variety of methods to gather ject were: customer, customer service and
external and internal knowledge. The group productivity. Below are a few of the ques-
decided to divide into two – one group would tions from the key concept questionnaire that
gather customer data (the research sub- are germane to this chapter:
group) via survey instruments and one group
would gather internal organizational data by • Who are ORG’s customers? What makes them a
interviewing process experts and create flow- customer of ORG?
charts of key processes that touched the cus- • What is good customer service?
tomer (the process sub-group). The process • When you hear the word productivity, what
sub-group would also attempt to define how comes to mind?
much time was involved in key process steps
and what if any additional costs (i.e. other
than time) might be involved. Brainstorming: The Second
In addition, the group felt it needed input Action/Reflection Cycle
about what ORG’s competitors were doing For the second action/reflection cycle, the
regarding electronic, internet-based services. group chose to conduct brainstorming ses-
So, some members agreed to research com- sions in order to combine all the relevant
petitor web portals and do a show and tell for cues received from data gathering with exist-
the team. The technology portion of the team ing organization frames. The group then pri-
agreed to also conduct a show and tell of the oritized ideas using a technique called the
new eService technology product and how it Full Analytical Criteria Method (Brassard
is used in one particular organization. It is and Ritter, 1994). In keeping with the overall
important to note that while the co- project goals, the criteria we decided to pri-
researchers formed sub-groups to facilitate oritize against were cost, efficiency and max-
gathering the data they felt were needed, the imizing customer desires. The top three
group of co-researchers as a ‘whole’ dis- process ideas resulting from our prioritiza-
cussed and reflected upon the data. tion work would be those that we would rec-
ommend implementing. Emergent within our
Understanding Existing Frames: The group process was the involvement of most
of the organization in further brainstorming
Key Concept Questionnaire
around the top three process ideas.
Prior to gathering, discussing and reflecting While the action sensemaking model
upon the data, co-researchers were asked to served as a going-in frame of reference to
answer, with input from their respective guide this project, we were open to its modi-
work groups, what I termed a ‘key concept fication and embellishment as our group of
questionnaire’. Questionnaire responses co-researchers engaged in the work.
were to be discussed at a team meeting. The
thinking behind the key concept question-
naire was that each of the co-researchers was PROJECT CHALLENGES AND
coming to this project with a theory or frame LEARNINGS
about key concepts important to this project.
I believed that it would be an empowering While ultimately a successful effort in that
learning experience to see how (if at all) our team met its stated goals, this work was
those concepts might change or be trans- not without challenges. I highlight those
formed as a result of our work together. challenges here and our learnings from them.
578 EXEMPLARS
Methodological specific electronic interfaces for persons

Challenges/Learnings served would take place outside of this pro-
ject in the near future.
The two significant methodological challenges While originally meant to serve as a
that arose involved (1) the team creating a ‘before snapshot’ of frames around key con-
common frame around key project concepts cepts within the group, the dialogue at this
and (2) the need to involve other organiza- point served other significant purposes.
tional members in the sensemaking of this Firstly, it created a common frame for the co-
new technology. researchers, which enabled us to be clear
about where we were headed – for example,
Concept Issue 1: Who Are Our Customers? how could we gather customer data if we
Concept frame issues occurred early in the weren’t clear about who our customer was?
project. During the second team meeting, the Secondly, the dialogue itself set an important
dialogue that ensued in response to the key tone for the group going forward. It demon-
concept questionnaire was quite lively. The strated that within our project context all
most dissent occurred around who ORG’s voices were important in achieving a com-
customers were. ORG is an internationally mon frame and that consensus could be
recognized accrediting body. Since ORG reached.
directly serves a variety of human service
providers and its mission is to enhance the Concept Issue 2: To Flowchart or Not?
lives of people served by those human The other concept issue that surfaced was
service providers, at one point in the discus- with regard to a methodological concept,
sion it seemed that almost anyone on the which we neglected to discuss upfront. At a
planet could potentially be someone, albeit meeting where the process sub-group
indirectly, served by ORG.. described in detail the flow of one particu-
Some in the group felt that we needed to larly complex ORG process, an intense
narrow our focus to customers that paid for debate was sparked about the value of look-
direct ORG services, including trainings and ing at flowcharts at that level of detail for
conferences. If we did not narrow our focus, our conceptual design deliverable. The
it was thought that we would be spinning our more technically oriented members of the
wheels trying to accommodate everyone’s group felt that we needed to create flow-
interests and not accomplish anything timely. charts of existing processes at that level of
The other point was that if ORG neglected its detail – if we didn’t, then we would not be
paying customers, ORG might lose them as able to clearly see how we could improve
customers to ORG’s competitors. organizational effectiveness with eService.
Others in the group felt strongly, how- Other members of the group felt that creat-
ever, that because of ORG’s mission, we ing and assessing this level of detail were
needed to pay attention to those persons not what they signed up for when they
served by our direct customers as well in agreed to become members of this project
this process. Since one of our group’s team; they felt that ‘conceptual’ in concep-
ground rules was to strive for consensus- tual design implied a higher level, not quite
based decision-making, the facilitator and so detailed type of design. The team agreed
team worked hard to come up with a resolu- to meet at another time to discuss this issue
tion. An agreement was reached to focus on further.
customers that paid for ORG services but to In discussing an approach to the next
note in the team’s status report to the steer- meeting with the project facilitator, the
ing committee that this was an issue and to facilitator and I agreed that simply allowing
further note that mitigating actions to design time for all concerns to be heard and talked
about would be the best approach; we also Involving Other Organization Members in
wanted to hear if the team felt that there the Sensemaking
were alternative methods of achieving the Regarding satisfying condition (b) men-
project goals. When the group reconvened, tioned above and involving more process
three issues emerged. One was a compe- workers in the work, we organized group
tence issue – a manager from the customer meetings of nearly all the workers involved
service area said that she did not feel quali- in the designated, high priority processes –
fied to assess the flowcharts because she did some of these workers were members from
not know at that level of detail what her the core team. There were at least two, two-
staff did. The second issue was the already hour meetings for each of the processes. The
mentioned issue around the level of detail initial meeting included a show-and-tell sim-
that was appropriate for a conceptual ilar to what the core team saw on the capabil-
design. The third issue, which was related ities of the new software. Next, members
to the second, was the time constraint that from the core team explained some of the
certain co-researchers felt was imposed team’s initial, brainstormed ideas. Most work
upon them – they believed that we simply groups were familiar with these ideas prior to
could not complete creating and assessing the meeting because their core team repre-
the flowcharts with the current project sentatives were constantly sharing project
timelines. information/output with them. A public
The eventual consensus that was reached folder was also created on a company file
was that we could continue creating and server to let anyone in the company view
assessing the flowcharts if we (a) were able project documents.
to get more time to do so from the steering The work groups were encouraged to gen-
committee and (b) had validations of the erate more ideas and to continue to do so as
flows from the actual workers connected they went through the effort of revising their
with those process flows. Both conditions (a) process flows to accommodate the new
and (b) were ultimately satisfied. ideas. A business analyst skilled in using a
Further reflection on this major division flowcharting product called VISIO took the
in the group, however, suggested that dif- as-is process flows developed by the core
ferent frames existed in the group around team and recreated them on the spot as the
‘conceptual design’. Moreover, no frame work groups revised them during the meet-
existed concerning flowcharting for this ings. They were projected on the wall so
type of work for those members of the everyone in the room could see them as the
group who did not take part in projects group worked and thought together.
which had previously used this technique. These work groups generated several addi-
So, when the flowcharting cues were pre- tional ideas to the core team’s, which were
sented initially to the group, those members then incorporated into the new workflows.
without this frame naturally had difficulty During the meetings where these new ideas
making sense of how this helped the group were generated, there was more group push-
effort. back than in the core team meetings. Fellow
One learning from this conflict was that process workers would probe and question
work needed to be done around methodolog- each other more. Good questions like ‘How
ical concepts during our creation of a com- could we handle condition Y if we did X?’
mon frame around key project goal concepts. would occur or ‘If we used feature F, we will
What is a conceptual design? Which methods need to account for possibility P’. As I sat in
are best used to arrive at a conceptual these meetings and heard this pushback and
design? These questions would have been the resulting conversation, I realized that this
best addressed earlier in the project. was what we needed to ensure a design that
580 EXEMPLARS
was practical and workable – these people believed they had a good sense of the data in
were in the trenches, so to speak, and knew general and that that was enough for them to
all the potential process variations that could determine a ranking. So, where we could
occur. Taking the time to engage in this exten- reach consensus quickly with a ranking given
sion of the core group’s work was key to the latter approach, we did. Where we could
ensuring the quality of our deliverable. not, we devoted the time to resolving differ-
ences via dialogue and, at times, painstaking
review of the data. This led some co-
Organizational Challenges/Learnings researchers to question the significance of
our work at this point – they felt we were
Broadly speaking, the organizational chal- focusing on too much minutiae. After much
lenges we faced in this work involved the dialogue, the group conceded that this was
amount of time it took to work through issues important (even though we didn’t all like it)
via a dialogic approach and an overarching because, as one co-researcher articulated, ‘it
contributor to the length of time, which was validates it’ – where ‘it’ referred to our final
the existence of competing, entrenched result.
frames or the lack of needed frames within
the group.
The Challenge of Non-existent or
Vague Frames
Competing Frame 1: ‘Formal’
While our dialogic approach and more data
An example of competing, entrenched
assisted with resolving entrenched frames,
frames occurred as we were trying to accom-
helpful analogies were found to be useful in
modate customer stated needs to provide
cases where no frame existed for some co-
documents electronically. Due to ORG’s
researchers. An example of this occurred
official capacity as an accrediting body, it
when an idea was presented to put ORG’s
was thought by some in the group that offi-
accreditation application online for cus-
cial ORG correspondence (e.g. invoices,
tomers. It was suggested that since this is a
request for annual conformance report, etc.)
difficult document for customers to fill out,
should still be sent via a more formal hard-
we could incorporate help features in the
copy letter as opposed to electronic meth-
form of drop-downs just like TurboTax. For
ods. Others in the group who had experience
those team members who had no frame to
with electronic formal correspondence did
help make sense of this idea, the TurboTax
not equate formal with hardcopy. In this
analogy was helpful in creating such a frame
case, we agreed to seek more data to resolve
by allowing those members to relate the idea
the issue including obtaining legal advice
to an existing frame. TurboTax is a tax return
and researching competitor practices,
preparation software package familiar to
thereby generating another research/reflec-
many of the co-researchers.
tion cycle.
During our first action/reflection cycle
most team members were not familiar with
Competing Frame 2: Different Approaches many of the competitor website functions
to Decision-making and the new types of features available to
What emerged as a significant frame diver- the company with eService. What helped
gence during the process prioritization por- make these cues salient for those team
tion of our work was a difference in overall members was conversation by team
approach toward reaching a decision about a members comparing what our competitors
relative ranking. Some co-researchers did to what we could do and even how we
needed to validate their ranking more could do it better. For example, the presenter
precisely against the data, while others in one instance showed the group how a
competitor had many forms available elec- modified in Figure 40.2 to reflect the fact
tronically, but they were not interactive and that there were two paths to organization
did not feed directly into a database. A team change in this project. It might be said, how-
member noted that we could design that bet- ever, that where meaning or frame change
ter and this was confirmed by a verbal affir- was detected, the change was more transfor-
mation from another team member. This type mational in nature. Figure 40.2 also captures
of conversation – where a cue was pre- our initial dialogue about key concepts and
sented, noted and expanded upon by another what had been noted earlier in this chapter as
team member and positively confirmed by enablers and distractors of the key
one or more additional team members – action/reflection cycles. Although noted as a
turned out to be an important facet of the distractor, the co-researchers’ lack of com-
group sensemaking and occurred in later ses- fort in making decisions without the larger
sions as well. It helped solidify frames where group actually contributed to the work as a
either none existed or only existed vaguely. whole.
POST PROJECT REFLECTION ON CONCLUSION: ADDITIONAL

ORGANIZATION AND MEANING THOUGHTS ON DEMOCRATIC
CHANGE PARTICIPATION
During a celebratory breakfast after our Through this work and other IT projects, I
deliverable was accepted by the steering have learned that if the work is to be truly
committee, we reflected upon potential ‘democratic’, the work needs more than just
meaning changes occurring in our organiza- the consent or ‘vote’ of those affected. After
tion as a result of our work. We realized that all, the consent may not be informed or it
our concept of good customer service was may be coerced. How does one ensure
expanding to include anytime service – informed, non-coerced consent? I believe
anytime a customer needed a service, it should three factors, which were incorporated in this
be available via a web service if possible. work, are important here: the organization
Frame transformation was beginning in cer- must want it; power plays must be actively
tain areas as well. Productivity in a web ser- eliminated; and during the project, active
vices environment can’t mean efficient use of questioning of methodological concepts
labor and materials to provide that service – must occur in addition to other conceptual
once the web service is constructed, no addi- questioning.
tional labor or material is required for a Some organizations simply believe they
customer to access that service. Also, ‘offi- can’t afford the time or cost involved in
cial’ in such an environment can no longer real, democratic participation – perhaps
connote ‘hardcopy’ – secure, password pro- they may lose market share if they don’t
tected, or encrypted are descriptors that move quickly enough to embrace a new
might be more appropriately connected with technology. These organizations may be
‘official’. prepared to accept the social ‘fallout’ of
But not all organization change in this such implementations like disgruntled
work resulted from meaning change. Some workers and, potentially, the need to termi-
of the new ideas generated were simply nate employees who don’t buy-in. The com-
process changes that incorporated new tech- mitment to a democratic process must be
nology features without changing previously there before utilizing action sensemaking.
held organizational meanings. Hence, the Typically, it is difficult to obtain such a
original model depicted in Figure 40.1 was commitment for IT projects.
582 EXEMPLARS
Create common frame

through group dialogue
about key concepts
Internal External
Enablers: knowledge knowledge
•cues noted and
expanded upon by
team members
•positive affirmations
from team members
Distractor:
• lack of common
methodological New
frame Existing
types of
frames
cues
Enablers:
•helpful group
behaviors
•action research
approach
•organizational Some New
New ideas
climate receptive to change meaning
Distractors:
•lack of comfort in
making decisions
without the larger
Organization Frame
work group
change change
•entrenched frames;
no frames
Figure 40.2 Model depicting how organization change occurred during the action
sensemaking project.
The organization also should employ a implementation. Unless the users understand
facilitator who is not affected by the technol- and buy into the methodologies utilized,
ogy to help with any power issues that might they may merely be going through the
arise. Good facilitation can ensure that all motions and may resent and, therefore, not
voices are heard during key discussions and fully contribute to the system design and
that consensus was not coerced. implementation. IT professionals are trained
The new learning for me in this project to use various system development method-
was that methodological concepts like ologies, but are typically not trained to gain
‘flowcharting’ need to be explained and informed consent around use of those
agreed to prior to their use. The issue that methodologies.
arose for our team around flowcharting sug- This work differed from typical IT pro-
gests why many IT projects run into trouble jects in that we actively sought quality of
when the IT ‘experts’ impose methodologies participation via the above-mentioned demo-
on user teams during system design and cratic processes.
REFERENCES change’, in P. Reason and H. Bradbury (eds), Handbook

of Action Research: Participative Inquiry and Practice.
Argyris, C. and Schön, D.A. (1978) Organizational London: Sage. pp. 372–8.
Learning: a Theory of Action Perspective. Reading, Mohrman, S.A. (2001) ‘Fundamental organization
MA: Addison-Wesley. change and the importance of networks.’ Paper
Bartunek, J.M. (1984) ‘Changing interpretive schemes presented at the Academy of Management meetings,
and organizational restructuring: the example of a Washington, DC, August.
religious order’, Administrative Science Quarterly, Sheldon, A. (1980) ‘Organizational paradigms: a theory
29: 355–72. of organizational change’, Organizational Dynamics,
Brassard, M. and Ritter, D. (1994) The Memory Jogger 8 (3): 61–79.
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Hedburg, B. (1981) ‘How organizations learn and evolution: a metamorphosis model of convergence
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McDonagh, J. and Coghlan, D. (2001/2006) ‘The art of Weick, K.E. (1995) Sensemaking in Organizations.
clinical inquiry in information technology-related Thousand Oaks, CA: Sage.
PART FOUR
Skills
INTRODUCTION TO SKILLS (Chapter 20) writes about the behaviour, atti-

tudes and mindsets that underlie the tech-
niques of PRA. Bill Torbert and Steve Taylor
As we emphasize throughout this volume, (Chapter 16) write of the qualities of moment
while action research is informed by a variety to moment attention that are required for truly
of epistemological and political perspectives, it reflective practice. Many of the chapters in the
is always importantly grounded in practice. So Exemplars section draw attention to these
the question ‘How do we engage in practice?’ kinds of skills in practice.
is significant and probably under-explored. The By their nature, skills are not easy to write
people who initiate action research are vari- about. They are necessarily embodied. A
ously called ‘action researchers’, ‘animators’, while ago John Heron uses the term ‘knack’
‘facilitators’, ‘initiating co-researchers’ and so to describe that inner core of action which
on. What attitudes, skills and qualities of being transcends verbal description and is known
do they require in order to do their work? only to the doer at the moment of doing. At
As Morten Levin notes in his contribution, the heart of the practice of a skill is ‘a know-
it is quite extraordinary that so little has been ing of the excellence of its doing’ (Heron,
written in the action research literature about 1996: 44). At the same time Heron points out
the education of action researchers and the that ‘Skills are a blessed relief. They bring us
development of their skills. Looking back at to the business of living’ (Heron, 1992: 173).
early chapters in the Handbook, we can see While we agree with Levin that little has
that they are alluded to in many places. Marja been written directly about action research
Liisa Swantz (Chapter 2) writes of the impor- skills, there were important contributions in
tance of researchers truly living alongside the the first edition of this Handbook, notably
people they are working with; Anisur Rahman the chapters by Jenny Rudolph, Steve Taylor
(Chapter 4) writes about the requirement and Erica Foldy (2001/2006), Yoland
for animators to experience a sense of critical Wadsworth (2001/2006), Reason and
liberated consciousness before they can help Marshall (2001/2006) and Judi Marshall
others develop similarly. Robert Chambers (2001/2006). There are also important things
586 SKILLS
we can draw on from the wider literature on Mitchell provide an overview of five chal-
facilitation and group dynamics (e.g. Baldwin, lenges in PAR practice: building relationships,
1996; Egan, 1994; Heron, 1999; Randall and acknowledging and sharing power, encourag-
Southgate, 1980; Srivastva et al., 1977; ing participation, making change, and estab-
Tuckman, 1965), psychotherapy (e.g. Hillman, lishing credible accounts. Kate McArdle then
1975; Perls et al., 1951; Rogers, 1961), educa- pays particular attention to the establishment,
tion as liberation (Freire, 1970; Mezirow, facilitation and conclusion of a co-operative
1981) and spiritual practice (Coghlan, 2005; inquiry group. Jenny Mackewn explores facil-
Winter, 2003; Heron and Lahood, Chapter 29). itation both for action research, but also as
As I (Peter) write this, I am drawn to action research. Moving up the scale to the
reflect on the development of my own abili- management of larger action research prac-
ties as an action researcher. Certainly, a long tices, Geoff Mead reflects on his experience of
history of working in a variety of T-groups managing a large-scale leadership programme
and encounter groups, in co-counselling and based in action inquiry groups and draws
psychotherapy helped unhook me from some lessons for the management of such large com-
of my most engrained patterns. My plex projects; following which David Coghlan
encounter with feminism in the 1960s and and Rami Shani reflect on the skills of the
1970s was quite shocking, bouncing out of at organizational insider as action researcher.
least some of my patriarchal assumptions. In We then turn to the issue of the education of
more recent years I have learned most action researchers with two complementary
through attempting to live the values I chapters: Steve Taylor, Jenny Rudolph and
espouse as an action researcher in my life as Erica Foldy provide a detailed account of their
an educator. Judi Marshall and I described one practice of teaching reflective practice; and
aspect of this as ‘dancing in beauty rather Morten Levin draws on his experience to
than fighting ugliness’ which, in the context reflect more broadly on the nature of univer-
of modern university life, is not always easy: sity education and the place of action research
in both undergraduate and doctoral pro-
Taking an attitude of inquiry involves noticing our
grammes. Finally, Judi Marshall reflects on the
current state, gently taking its messages (‘ah, I
have let that unsettle me’) and seeking to adjust it issues that arise when searching for appropri-
if appropriate. Our practices for stepping aside ate form in writing for action research
into dancing with beauty are simple, when we can
access them. They include: noticing the breath; sit-
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Reason, P. and Marshall, J. (2001/2006) ‘On supervising patory action research’, in P. Reason and H. Bradbury
graduate research students’, in P. Reason and (eds), Handbook of Action Research: Participative
H. Bradbury (eds), Handbook of Action Research: Inquiry and Practice. London: Sage. pp. 420–32. Also
Participative Inquiry and Practice. London: Sage. published in P. Reason and H. Bradbury (eds) (2006),
pp. 413–19. Also published in P. Reason and Handbook of Action Research: Concise Paperback
H. Bradbury (eds) (2006), Handbook of Action Edition. London: Sage. pp. 322–34.
Research: Concise Paperback Edition. London: Sage. Winter, R. (2003) ‘Buddhism and action research:
pp. 315–21. towards an appropriate model of inquiry for the
Rogers, C.R. (1961) On Becoming a Person. London: caring professions’, Educational Action Research,
Constable. 11 (1): 141–60.
41
Negotiating the Challenges of
Participatory Action Research:
Relationships, Power, Participation,
Change and Credibility
J i l l G r a n t , G e o f f r e y N e l s o n a n d Te r r y M i t c h e l l
In this chapter we explore some of the issues that researchers and participants face when
engaging in participatory action research (PAR). We suggest negotiation processes and skills
that may be helpful in co-creating meaningful research accounts that arise from the lived
experiences of communities as well as the subjectivity of ourselves as researchers. We reflect
on power issues, self-reflexivity and the potential to develop credible accounts that can be
transformative and transgressive. We consider PAR challenges, negotiation processes, and
identified skills for building relationships, acknowledging and sharing power, encouraging
participation, making change, and establishing credible accounts. As we discuss each area of
challenge, we present vignettes from our own research that serve as examples of the chal-
lenges and possible strategies for achieving the goals of participatory research.
Participatory action research (PAR) is a create action as a catalyst for social change
research methodology that attempts to (see in particular Chapters 2, 3, 27 and 35).
address power imbalances and oppressive While definitions of what ‘counts’ as PAR may
social structures. It values the ‘researched’ vary, it is generally recognized that PAR
community as a vital part of the research pro- includes some important dimensions. PAR
ject and its members as experts of their own identifies as goals emancipation, empower-
experiences. PAR is particularly concerned ment, participatory democracy, and the illu-
with oppressed communities and attempts to mination of social problems and is a cyclical
590 SKILLS
process of research, learning, and action. conducts and teaches participatory action
These cycles are understood to be iterative, research. Her research focus is on Aboriginal
with each building upon the other (Altpeter health issues and women’s experiences of
et al., 1999; Boog, 2003; Brydon-Miller, cancer and cancer care.
2001; Coenen and Khonraad, 2003; Green Although we have varying interests and
et al., 1995; Kemmis and McTaggart, 2005; experiences, we all share a commitment to
Minkler and Wallerstein, 2003; Reason and research that is values-based and focused on
Bradbury, 2001/2006; Stringer, 1996). It partnership and action. We believe that central
emphasizes these values as it asserts that new to the success of PAR is a commitment to clar-
knowledge is gained through mutual under- ifying and enacting values that contribute to
standing and collaboration, considering the the relationships and end results desired by
research project and its evaluation as a partners in PAR projects. We understand
shared process between researchers and com- values to be guidelines that help us to make
munities (Reid, 2000; Roberts and Dick, choices and to navigate the various challenges
2003). Further, PAR has as a goal the out- within a PAR research project. The values we
come of capacity-building within the com- identify as central to our work mirror those
munity involved in the research (Alvarez and that Nelson et al. (2001) present as central to
Gutierrez, 2001). Community Psychology: caring, compassion,
In this chapter we explore some of the community, health, self-determination, parti-
issues that researchers and participants in cipation, power-sharing, human diversity, and
PAR may face and suggest negotiation social justice. Because of our values stance,
processes that may be helpful in developing we do comment on both the ‘is’ and the
credible accounts that are both based in the ‘ought’: that is, how we conduct research (is)
subjectivity of researchers and communities and how we believe, from our particular value
and that have the potential to be transforma- stance, challenges in PAR should be negoti-
tive and transgressive. In doing so, we ated (ought).
emphasize the large responsibility that we as Current literature addressing the challenges
researchers have in exploring our own sub- of PAR, discussed below, while helpful in its
jectivity and in being clear and reflexive recognition of some of the issues facing PAR
about our values and power. Ultimately the researchers, reveals definite gaps in its recog-
goal of this chapter is not to provide straight- nition of the skills required to negotiate PAR
forward answers to challenges faced in pur- and in its illustration of the required negotia-
suing PAR, but to highlight tensions with the tion processes. After summarizing the chal-
goal of making the research process and its lenges, strategies for addressing them, and the
challenges more transparent. skills required, we provide examples of our
We are three researchers from Canada: research in vignettes as illustrations of pos-
two working in the field of Community sible ways to negotiate the challenges.
Psychology (GN and TM) and one in Social
Work (JG). Jill is a recent PhD graduate who
is interested in partnerships with those who
have experienced the mental health system PRESENTING AND ADDRESSING
(who often refer to themselves, in Canada, as CHALLENGES
‘consumer-survivors’) and who has con-
ducted PAR projects with mental health orga- Since it is essentially a dialogical process,
nizations. Geoff has also done research and participating in PAR gives rise to challenges,
action with consumer-survivors around many of which may be based in differences
issues of housing and self-help and with between researchers (as outsiders) and par-
neighbourhood organizations serving low- ticipants (as insiders). The ways in which
income families with young children. Terry researchers meet these challenges has
NEGOTIATING THE CHALLENGES OF PARTICIPATORY ACTION RESEARCH 591
impacts on both the participatory nature of the fact that the community may see the
the research project and on how emancipa- researcher as more similar to service
tory the knowledge created may be (Roberts providers than to community members
and Dick, 2003). We have categorized chal- (Reid, 2000), and/or as members of an his-
lenges raised in the PAR literature in this torically oppressive group. Addressing chal-
way: building relationships, acknowledging lenges vis-à-vis relationships requires a
and sharing power, encouraging participa- unique blend of skills and values: skills and
tion, making change, and establishing credi- values that are not often addressed in the
ble accounts. We present challenges and training one receives in preparation to
suggestions for facing these challenges, as become a researcher. Relationships repre-
well as the skills required. Much of the liter- sent, instead, a way of being with people and
ature tends to provide ways to address chal- often require us to unlearn approaches advo-
lenges that, in the attempt to make PAR cating distance and ‘objectivity’.
accessible, may actually minimize the com- It is important for researchers to approach
plexity of it. We present suggested resolu- relationships with communities with trans-
tions, as well as our own thoughts about parency and clarity about one’s positions and
these resolutions. However, it is important to about the expectations one has of community
recognize that in doing so we do not wish to members. By being transparent and clear
provide a recipe book answer to negotiating about expectations, a researcher and commu-
PAR: we do see it as an exceedingly complex nity may be better able to contract about
process. Rather, this summary is provided as mutual expectations, an important step in
a starting point for reflection on the intrica- negotiating the research process (Coenen and
cies of PAR and for an awareness of the Khonradd, 2003; Hagey, n.d.; Heron and
impact of the researcher’s own position in Reason, 2001/2006; Roberts and Dick, 2003).
the research process. As important as it is to In order to build relationships with commu-
resolve conflicts, it is arguably more impera- nity members, it is vital that researchers take
tive to develop the ability to recognize the time to learn about the community and build
occasions when conflicts will not be resolved informal relationships with community
and to reflect on one’s ability to accept the members. Such relationships may be facili-
extant conflict. As Isenberg et al. (2004) tated through open and honest communica-
remind us, ‘Collaboration necessarily includes tion, begun, as stated previously, with open
conflicts, not all of which can be easily discussion of mutual expectations. Regular
resolved’ (p. 126). team meetings to check in on process and
progress also assist in building relationships
Building Relationships and in keeping dialogue open (Alvarez and
Gutierrez, 2001; Isenberg et al., 2004;
Gray et al. (2000) note that PAR is based on Ochocka et al., 2002).
relationships. We agree: we consider rela- In order to successfully navigate relation-
tionships to be the foundation on which the ships with communities, we as researchers
success of PAR depends. Within relation- need to communicate our expectations hon-
ships between researchers and community estly and authentically, while maintaining the
members, trust is the central challenge, giv- commitment to participation, empowerment
ing rise to the need to question whether and democracy as well as a sincere interest in
researchers are adequately trained to develop participants as individuals. Researchers often
relationships with the communities into require certain outputs (e.g. published arti-
which they venture. The researcher is often cles, evaluation reports) as a function of their
the outsider and has the responsibility to gain employment, and we encourage researchers
the trust of community members. This may to reflect on this and to share their needs
be difficult for a variety of reasons, including openly with participants. Reflection will also
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Table 41. 1 Building relationships: challenges, strategies and skills

Challenges Strategies Required skills
• Community mistrust of • Communicate openly • Communication skills

outside researchers and honestly • Ability to express needs
• Inadequate preparation • Contract • Ability to help others express
and training of researchers • Learn about community needs
• Build informal relationship
• Hold regular team meetings
Vignette 1 Building relationships with service user researchers
After being approached by a mental health housing provider to conduct an evaluation of its new ser-
vices, Jill and a co-investigator are currently working in partnership with service users of this organiza-
tion to evaluate the process of developing this supported housing facility and the outcomes for tenants
of the facility. Service user researchers are working in collaboration with the outside researchers to col-
lect and analyze the data for this three year project. During the training for the service user researchers,
it has been important to focus on building relationships. This has meant more frequent meetings than
absolutely required and informal time to get to know each other at the beginning of each meeting. In
addition, Jill and her co-investigator have shared openly with the service user researchers the benefits
to us of conducting the research project, i.e. opportunities for research funding, publications, and net-
working with mental health service users and service providers. The service user researchers have also
taken time to discuss the ways in which they hope to benefit from the project and the relationships. The
time invested in this relationship-building is helping to build trust among the team of researchers.
assist a researcher in identifying any existing Acknowledging and Sharing Power

attitudes toward the community and to
PAR has as one of its central tenets the impor-
understand the ways in which these attitudes
tance of addressing power inequities in
may influence the ability to build relation-
society; it endeavours to begin this process
ships. Table 41.1 summarizes the challenges,
within the research relationship. Power, as we
strategies and skills for building relation-
define it, is a potential (Giddens, 1979) which
ships in a participatory project.
is created within the interaction of relation-
In Vignette 1, Jill discusses some of the
ships (Foucault, 1994) and which can be used
ongoing strategies to build relationships and
over others as domination (Giddens, 1993), or
trust with members of a community who are
with others to make positive change (see also
both service users and, for the research pro-
Chapter 11). Most researchers enjoy a place
ject, researchers.
of relative and actual power in comparison to
While incorporating informal time within
most participants in PAR. It may be difficult,
the context of meetings may reduce the effi-
therefore, to prepare oneself as a researcher
ciency of the project, the focus on building
for relinquishing the control that normally
relationships and getting to know community
comes as a perquisite of power (Gray et al.,
partners both builds trust and provides trans-
2000). It is vital to note that research partici-
parency regarding the research process. Jill
pants are not powerless in the research
and her co-investigator hope that the time
relationship – indeed, without their consent,
spent building relationships will prove bene-
the research relationship would not exist. It is
ficial throughout the research project. The
also important to remember that power is not
ability to build relationships is also affected
limited, but rather can be shared and this shar-
by the treatment of power, the next challenge
ing can generate more power. In order to
raised.
share power resources with communities to commitment to recognize and value varying
foster the existing potential for social action it sources of knowledge (Boog, 2003; Coenen
is necessary for researchers to specifically and Khonraad, 2003; Fadem et al., 2003;
acknowledge our sources of power. Moreover, Hagey, n.d.; Healy, 2001; Ochocka et al., 2002;
researchers need to acknowledge that power Reid, 2000; Roberts and Dick, 2003).
inequities within the research relationship are Recognizing and valuing various sources of
not erased, only reduced through processes of knowledge is the first step toward sharing
PAR. Indeed, the institutional, structural and knowledge. The PAR researcher can facilitate
dominant forces within the context of the this by demystifying the research process and
researcher, as well as the researched, must be learning to engage research participants in the
considered (Kemmis, 2001/2006). Without research by sharing her/his technical knowl-
identifying and discussing power issues edge and building research capacity within the
within the research relationship, as Bond community. PAR moves us from the traditional
(1990), Healy (2001), and Reid (2000) point power dynamic of the researcher researching
out, and power dynamics within the ‘the researched’ to the bi-directional sharing of
researcher’s setting, non-reflexive claims to various skills, resources and expertise in the
equality of power may result. This can lead to co-construction of knowledge. Isenberg et al.
oppressive relationships, where power is used (2004) and Ochocka et al. (2002) suggest train-
over communities and where the rights and ing communities, teaching them research
privileges of researchers dominate, as vocabulary, and avoiding jargon as strategies
researchers inadvertently reproduce oppres- for demystifying the process. Gray et al.
sive dynamics. It is also suggested that most (2000) and Isenberg et al. (2004) also add the
research benefits the researcher more than the importance, as we asserted above, of being
community (the researched) and that this clear about needed or expected outcomes of
inequity further reinforces the power differ- the research project.
ential (Reid, 2000). Further, since research It is also vital to include the community in
unfolds within a context or setting that con- all phases of the research project, and Roberts
tains its own power dynamics, it is necessary and Dick (2003) suggest that, as community
for the researcher to gain awareness of this members become increasingly competent, the
context (Altpeter et al., 1999; Boog, 2003; amount of control they hold be increased. In
Coenen and Khonraad, 2003; Reid, 2000) as an emphasis on co-constructed knowledge
well as the professional challenges and this would include an increased emphasis on
restraints within their academic setting. participation in the textual aspects of meaning
As with building relationships, we assert the making: analysis, interpretation, reporting,
importance of researcher reflexivity, taking and dissemination. Members of a community
time to consider our positions of power and the involved in a research project also suggested
ways in which we can share our power. One that there be a mechanism built into the
strategy for sharing power is an open discus- research process to address abuses of power
sion with communities, examining sources of (Reeve et al., 2002).
power, especially those that are less apparent, It may be helpful, at the outset of a project,
acknowledging power differentials and for researcher and communities to agree on
encouraging discussion about how to address how decisions will be made. Another strat-
them. Community members are likely to envi- egy is to ensure that 50 per cent of the
sion ways in which to address power differen- research budget directly benefits the research
tials, but a researcher has a responsibility to population and members of the identified
consider strategies ahead of time. One impor- population though employment, training, and
tant step is for the researcher to acknowledge other resources that may go directly to the
that the research project is a learning opportu- community for access to and use of commu-
nity for all; with this understanding comes a nity resources, space, and services.
594 SKILLS
Table 41.2 Sharing power: challenges, strategies and skills

• Researcher is generally in a • Reflect on and discuss positions • Reflexivity

position of power relative to of power and sources of inequity • Humility
community members • View research project as learning • Facilitation and group process
• Researcher may be reluctant to opportunity for all skills
acknowledge privilege and share • Demystify research process • Awareness of the mechanisms
power • Encourage community of power and oppression
involvement in all stages of • Willingness to cede power
project, with increasing control • Capacity building
• Create mechanisms to address
abuses of power
Vignette 2 Sharing power in PAR with Aboriginal communities
Terry is a non-Aboriginal woman who has been conducting research with Aboriginal people since 1991.
She has learned to recognize that neither individuals nor groups of people are inherently powerless; rather
their ability to exercise their personal and collective power may be constrained by structural inequalities,
be they researchers or the researched. While PAR researchers may strive to document these structural
inequalities, they must actively resist reinforcing or replicating them within the research relationship. Terry
has found that Aboriginal communities, due to a history of colonization and a record of harmful research
practices, do not view a participatory action research methodology as sufficient to counterbalance the
many harms that have been created by outside researchers. While the Aboriginal Women’s Cancer Care
Study was participatory and was guided by an Aboriginal Advisory Group, coordinated by an Aboriginal
woman, and employed Aboriginal interviewers in each of the communities, this was not enough to ensure
the adequate protection of culture and communities. They had to further demonstrate their willingness
and ability to share power by engaging in and meeting new standards for Aboriginal research. OCAP,
which stands for Ownership, Control, Access, and Possession (of research data), is part of an active process
of restoring the power and control of research and indigenous knowledge back to Aboriginal communi-
ties and individuals. They conducted a separate ethics review, meeting the criteria of OCAP, for each of the
four communities that they approached for participation. This process took over a year and a half of rela-
tionship building and community decision-making in clarifying the definition and dynamics of power shar-
ing in these multiple research relationships (Mitchell and Baker, 2005).
Once again, a researcher must be reflexive step, the actual sharing of power, requires a
about power sources and needs. This requires commitment to empowerment and democ-
insight into the mechanisms of power and racy as well as respect for the knowledge and
oppression and honest commitment to chal- abilities of community members. Along with
lenging them (Hagey, n.d.). While this reflex- this respect, we find it important to search for
ivity is not enough to actually address power a healthy dose of humility, which may lead to
imbalances, it is the first step, directing our a greater willingness to cede power. In order
attention to the sources of inequity and to our to implement sharing of power, a researcher
degree of commitment to challenging requires group facilitation skills (Nelson
inequity (Martin-Baro, 1994). As one way to et al., 2004b) and skills in drawing out the
become more reflexive about power imbal- strengths of others. Table 41.2 summarizes
ances, Kondrat (1999) suggests a series of the challenges, strategies and skills of sharing
questions that we can ask ourselves and that power in a participatory project.
direct our attention to structural inequities In Vignette 2, Terry provides an example
and sources of oppression we may wish to of some of the negotiation processes in a
challenge through our relationships. The next project with a community living with a
legacy of institutionalized oppression. In intimidated, and some community members

doing so, she demonstrates some of the pos- burning out, since often the same individuals
sible ways to begin to share power. are repeatedly invited to participate in pro-
By noting the unique characteristics of the jects. Prior to commencing a PAR project, it
community with whom they were working, is important for the community and the
by respecting community-identified needs, by researcher to assess its feasibility. If feasible,
committing to a devolution of power, and by the community and researcher may wish to
honouring community members’ expertise, imagine potential barriers to participation
Terry and her colleagues were able to and discover ways to address them, keeping
actively challenge structural inequities an eye on being flexible and searching for
through interactions, responding to the need possible accommodations and offering
for community ownership of their own forms various options for participation (Bond,
of knowledge and action. The ability to share 1990; Ochocka et al., 2002). For example,
power has as one of its possible outcomes advocating with a funder for funds to support
increased participation from the community, participation may help to address financial
the next challenge to be presented. barriers (Fadem et al., 2003). This conversa-
tion requires communication skills, espe-
Encouraging Participation cially listening and negotiation.
If barriers are addressed, it is expected that
While different projects have varying goals community members’ levels of commitment
with regard to level of participation (Isenberg will vary across individuals and throughout the
et al., 2004), the question of possible and life of the project. As researchers, we must be
desired participation arises in PAR projects. respectful of participants’ needs and con-
It is important for researchers, in our enthu- straints. This raises the importance of contract-
siasm for participatory research, to avoid ing about roles and renegotiating roles
making assumptions about the level of par- throughout the project, as individuals’ abilities
ticipation desired by a community (Bond, to participate may change over time. As parti-
1990). As Chambers and Gaventa and cipation increases, the organizational chal-
Cornwall (Chapters 20 and 11) also note, lenges become more complex. It may be fruitful
Cooke and Kothari (2001) have described for a coordinating committee to be formed with
participation as a ‘new tyranny’, arguing the responsibility of communicating with all
that, in efforts to encourage community par- committees, and it is important to regularly
ticipation, researchers and community devel- check in with all participants (Altpeter et al.,
opers may intentionally or unintentionally 1999; Fadem et al., 2003; Gray et al., 2000;
reinforce existing power inequalities. It is, Reeve et al., 2002; Roberts and Dick, 2003).
thus, important to attempt to gain an under- Varying levels of participation may mean
standing of community members’ interests in that those community members who are less
participation, while striving toward making able to participate may feel excluded. For this
participation accessible to as many as pos- reason, communication with all stakeholders
sible. This requires open discussion with is encouraged (Boog, 2003; Fadem et al.,
communities about their wishes, rather than 2003; Isenberg et al., 2004). This feeling of
researchers making assumptions that meet exclusion, however, may signal a desire to
our agendas. become involved, and skills in motivation and
There are a number of barriers to partici- capacity-building may help reluctant commu-
pation of community members in a research nity members to recognize the strengths they
project: time constraints (Altpeter et al., may bring. Table 41.3 summarizes considera-
1999; Gray et al., 2000), financial barriers tions in encouraging participation.
(Green et al., 1995), language barriers, com- In Vignette 3, Terry discusses some
munity members being overwhelmed or processes of encouraging participation in a
596 SKILLS
Table 41.3 Encouraging participation: challenges, strategies and skills

Challenges to participation Strategies Skills required
• Barriers to participation • Assess feasibility of PAR • Communication skills

• Varying levels of • Find accommodations to • Organizational skills
commitment address barriers • Flexibility
• Organizational challenges • Offer options for participation • Motivational skills
• Feelings of exclusion or • Contract and renegotiate • Capacity-building skills
intimidation • Establish a coordinating
committee
• Communicate regularly with
all stakeholders
Vignette 3 Community participation in PAR focusing on the Swiss Air disaster
In October 1998 Swiss Air Flight 111 crashed into the Atlantic Ocean outside of Halifax, Nova Scotia.
Through an extensive community consultation and snowballing process, Terry was able to identify indi-
viduals who would form a Community Advisory Group (CAG) to inform and guide community entry,
access, data collection, interpretation and dissemination. The CAG (volunteer fire chief, Emergency
Measures Coordinator, Ground Search and Rescue Captain, three social workers, three clergy, a retired
fisherman, and three civic leaders) met approximately once every two months for the next two years.
Individuals also attended additional special committee meetings to develop community information
releases about the study, to review and provide feedback on all research instruments, and to develop com-
munity mental health protocols for responding to research participants’ potential needs for service, and
the development of a support service brochure. The ongoing and extensive participation of the CAG group
was facilitated by the investigators and research coordinator traveling 45 minutes to 2 hours to the rural
coastal communities. Terry and the research coordinator expressed their commitment to the communities
by traveling to meet in their homes, churches, and fire halls rather than the university and arranging for
local businesses to cater meetings. A donation was also made to the local fire hall for the use of their facil-
ities. Significantly, a contract was drafted and signed by all research collaborators that outlined the roles
and responsibilities of both the large interdisciplinary team and the CAG. The ongoing commitment and
participation of CAG members was sustained through clear and constant communication, researcher pres-
ence in the coastal communities and legitimate opportunities for participation including national and
international conference presentations and co-authorship on a published article (Mitchell et al., 2003).
community. At the same time, her vignette PAR projects. Is comprehensive social change
illustrates the vital role that a coordinating the only true form of change in PAR? The
committee may play as well as the positive desired change varies with each research pro-
impact of careful communication with com- ject, but we find it important to negotiate with
munity members. community members about the desired
The level of participation and its quality change. The pace of this change is intertwined
impacts on the next two areas of challenge: with this challenge: it is possible that a com-
making change and establishing credible munity may want and need quick results in the
accounts. form of local change while a researcher may
be focused on comprehensive social change
Making Change (Healy, 2001). The reality is that change, and
thus, PAR, is often a slow process, and it is
Since PAR arises out of a desire to effect important to be upfront with a community
change, this is an important outcome to about this. Weick (1984) asserted that, in social
explore. As Healy (2001) notes, there is often change work, it is important to achieve ‘small
confusion about what constitutes change for wins’ rather than expecting large-scale change
Table 41.4 Making change: challenges, strategies and skills

• Differing definitions of • Discuss and negotiate purposes • Knowledge of intervention

needed change of project and the definition strategies
• Change and PAR are often a and pace of change • Negotiation skills
slow process • Work together to create and • Facilitation skills
implement a plan for change • Capacity-building
• Recognize times for the
researcher to step away
• Understand action and research
as complementary and iterative
Vignette 4 PAR and advocacy for housing for people with mental health
challenges
In the early 1980s, Geoff, along with Mary Earls, who was a graduate student in Community Psychology
at Wilfrid Laurier University, conducted an action-oriented needs assessment of housing and support for
mental health consumer/survivors in Waterloo Region (Nelson and Earls, 1986). The results of this multi-
method assessment clearly documented the need for supportive housing and were shared at a commu-
nity forum hosted by the local social planning council that was attended by roughly 70 people. Politicians
running for office in the upcoming provincial election were invited to attend and to comment on the
findings and their parties’ platforms regarding the issue at hand. Participants at the meeting were
invited to join a mental health housing coalition to address the issue. This coalition operated for more
than six years and included mental health consumer/survivors, family members, service-providers, plan-
ners, housing providers, and interested community members. Geoff and Mary acted as Chairs for part of
that time, while other stakeholders stepped forward and assumed leadership roles at other times.
The coalition was very successful in advocating with government, using a variety of strategies (letter-
writing, newspaper articles, meeting with government officials) for more housing and support for
mental health consumers during this time period (Nelson, 1994).
to occur dramatically. Deciding upon a focus facilitation and negotiation, and to have an
for change requires negotiation about the pur- ability to identify and develop strengths in
poses of the research project between commu- the community. Table 41.4 summarizes the
nity and researcher, balancing the needs of challenges, strategies, and skills related to
each (Alvarez and Guttierez, 2001). In this making change.
way, the community and researcher work While we agree with Alvarez and Gutierrez
together to create and implement the action (2001) when they remind us that change and
plan for the research project (Isenberg et al., PAR are often slow processes, we also have
2004), with the researcher taking responsibility found that the timing of a project is important,
for recognizing times when it makes sense for and that, by expecting PAR to be a slow
her/him to step aside and allow the community process, researchers may miss an opportunity
to take responsibility for the project (Fadem for change. The reality is that PAR depends
et al., 2003). One attitude that may help on our ability to build positive relationships
researchers and community members to be with communities: relationships take time to
comfortable with the process is an awareness build. But we advise researchers to be open to
that research and action are complementary the possibility that timing may allow the
and iterative (Roberts and Dick, 2003). research project to unfold in a timely manner.
It is vital for a researcher to be aware of In Vignette 4, Geoff shares an example
intervention strategies, to be skilled at both from his early work, where including
598 SKILLS
representatives from various groups helped to suggests involvement of the community in

define and enable change. It highlights the all stages of the project and creating space
researchers’ abilities to effectively facilitate for community knowledge. This means that,
partnerships while also identifying and build- in the co-construction of knowledge,
ing capacity among a large group of stake- researchers may well frequently seek the
holders. The effectiveness of timing the input of community members prior to offer-
transfer of responsibility to other members of ing their own interpretations or understand-
the team was borne out in the positive change- ings. It also means that, if there are tensions
making results. between the understandings of communities
and of researchers, the texts produced would
Establishing Credible Accounts emphasize these tensions, as they may serve
to highlight the complexity of knowledge
Some question whether PAR confuses construction. Coenen and Khonraad (2003)
community development with research assert that the researcher also has a responsi-
(Krimerman, 2001). We maintain that PAR bility to be clear about decisions made during
is, in fact, research that also leads to commu- the research process and their rationale. This
nity development. As a legitimate research means tracking carefully the rationale for
approach, PAR must endeavour to establish decisions and reporting these in the texts we
credible accounts at the same time that it produce. Relinquishing control and still
attempts to create change. We define credible maintaining integrity requires knowledge
accounts as those that adequately capture the and skills in a variety of research paradigms
experiences of participants. As in any (Brydon-Miller, 2001; Green et al., 1995)
research methodology, there exist in PAR and a respect for the community’s knowledge
certain threats to creating credible accounts. that requires researcher humility.
In order to evaluate research, a researcher Another potential barrier to creating cred-
and community must collaboratively decide ible accounts is the lack of continuity of
on the criteria for credibility. Following a participants that often exists in PAR. As
constructivist understanding of reality as cre- stated previously, community members’
ated by local experiences (Alvesson and abilities to participate may change through-
Skoldberg, 2000), we believe that credibility out the process of a PAR project. To address
in PAR means that the truth and knowledge this, Wadsworth (2001/2006) suggests that
of the community is both privileged and PAR researchers work with community
communicated. For us, this is the important members who are the most dedicated to the
question in research which is attempting to project since they are the most likely to
illuminate human experience, whether PAR endure. Retaining participants requires
or another methodology: Does it adequately skills in motivation, facilitation, and
reflect the community and the experience capacity-building. Table 41.5 summarizes
and interests of its members? the above material.
Due to the power differentials often pre- In Vignette 5, Geoff highlights the positive
sent between researchers and communities, effects of privileging the knowledge of the
there exists the constant risk that community consumer-survivor community. It illustrates
members’ local knowledges will be subju- both the importance and the possibility of
gated by researchers’ ‘generalizable’ knowl- adapting research methodologies according
edge, and that researchers’ interpretations to the purpose of the project and the needs of
will be privileged over communities’ the communities. By drawing on their vast
(Coenen and Khonraad, 2003; Fadem et al., knowledge of different research approaches
2003; Reid, 2000; Roberts and Dick, 2003). and starting from the perspective of the com-
It is important, then, to commit to commu- munity, Geoff and colleagues were able to
nity control of the research project, which create credible accounts that reflect the
Table 41.5 Creating credible accounts: challenges, strategies and skills

• Researcher’s interpretations • Encourage community control • Knowledge/skill related to

may be privileged and participation at all stages a variety of research paradigms
• Researcher’s ‘generalizable’ • Privilege community knowledge • Humility
knowledge may subjugate • Be clear about decisions • Motivation skills
community’s local knowledge • Work with most interested • Facilitation skills
• Lack of continuity of participation community members • Capacity-building skills
Vignette 5 Establishing credible accounts in PAR with consumer/survivor-run

organizations
Geoff and colleagues have just completed a participatory action research project that is a longitudinal
evaluation of mental health consumer/survivor organizations in southwestern Ontario (Nelson et al.,
2004a). These organizations are operated exclusively by and for people who have experienced mental
health challenges. Participatory action research is an excellent fit with the ethos of these settings (Nelson
et al., 1998). This study utilizes both quantitative and qualitative methods to examine the activities and
impacts of these organizations on both individuals (new members) and systems (community, service sys-
tems, and policy). It has been important to establish the credibility of the methods and findings to the
consumer/survivor community, service-providers, policy-makers, and researchers. Rigorous quantitative
and qualitative methods within the framework of a PAR study that passed the scrutiny of peer review-
ers (researchers) for funding and which was developed with and supported by the consumer/survivor
community have been key in establishing credible accounts of the nature and effects of these organiza-
tions (Nelson et al., 2004a).
knowledge of the community and meet and to share the research process and product
rigourous academic standards. with communities. Recognition of the
responsibility that comes with a decision to
enter into partnership with communities is
vital as a first step to sharing power and
CONCLUSIONS negotiating processes.
PAR is an approach to research that repre-
We have attempted to emphasize the impor- sents radical changes to the ways in which
tance of researchers being reflexive and research is conducted, to what is valued as
responsive to community needs through the knowledge (Altpeter et al., 1999; Alvarez and
willingness to share and cede power. We pro- Gutierrez, 2001), and to the way research
vided specific examples that illustrate and must be taught (Nelson et al., 2004b). In order
serve to address various challenges in PAR. for PAR to be a positive experience, where
With this reflexivity and commitment to benefits to the community are maximized and
devolution of power, a researcher is better risks minimized, PAR requires adjustments to
prepared to approach the inevitable unmen- the ways in which researchers approach a
tioned and unexpected challenges that arise. project. It also requires some skills that may
By spending time reflecting on one’s position not be commonly needed in traditional forms
vis-à-vis community members, actively of research. In this chapter we have presented
searching for ways to decrease barriers to some of the challenges of PAR, suggestions
their participation, and striving for open for facing these challenges and the required
communication, researchers will be more skills for confronting the challenges. The
prepared to honestly approach PAR projects above strategies and skills allow us to begin
600 SKILLS
to negotiate values and power, allowing for a Giddens, A. (1993) ‘Problems of action and structure’,
pooling of resources and a richer creation of in P. Cassell (ed.), The Giddens Reader. Stanford:
knowledge – the very process that makes Stanford University Press. pp. 88–175.
Gray, R.E., Fitch, M., Davis, C. and Phillips, C. (2000)
PAR a unique approach to research.
‘Challenges of participatory research: reflections on
a study with breast cancer self-help groups’, Health
Expectations, 3: 243–52.
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Nelson, G. (1994) ‘The development of a mental health Rehabilitation Journal, 25 (4): 403–8.
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Community Psychology, 22: 229–55. nist action research’, Resources for Feminist
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Nelson, G., Ochocka, J., Janzen, R.,Trainor, J. and Lauzon, S. patory action research’, in P. Reason and H. Bradbury
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Nelson, G., Prilleltensky, I. and MacGillivary, H. (2001)
‘Building value-based partnerships: toward solidarity
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42
Getting in, Getting on, Getting out:
On Working with Second-person
Inquiry Groups
Kate Louise McArdle
Observations from the author’s practice of establishing and facilitating second-person inquiry
processes inform this chapter’s discussion of the types of issues requiring facilitative attention
during the beginning (getting in), the middle (getting on) and the ending (getting out) of
such inquiry. The aim in writing has been particularly to open conversations about the begin-
nings and endings of inquiry practice, which seem scarcely discussed.
In this chapter, I seek to explore some of the the reader is familiar with approaches to
skills that seem important when engaging second-person inquiry practice. Examples of
others in inquiry work focused in small, face- such practice can be found in this volume (see
to-face groups. In Torbert’s (2001/2006) terms, Chapters 28, 30, 33, 39).
the type of process I discuss would be termed I have constructed my writing here around
‘second-person inquiry’. The backgrounding three key stages in the life of an inquiry
experience from which I offer this discussion group – the starting-up phase (‘Getting in’),
includes PhD and ongoing action research the time spent learning about and engaging in
work as an academic based at CARPP (Centre inquiry over time (‘Getting on’) and finally
for Action Research in Professional Practice) at the process of ending the group (‘Getting
the University of Bath (McArdle, 2002, 2004) out’). This is not, however, to suggest that
and as a consultant. In this writing I have out- these stages are discreet, but it makes sense
lined some issues that seem interesting to here to highlight that at different times some
attend to when working with second-person issues seem more pressing than at others.
inquiry processes, and in writing have assumed Prior to discussing these various elements,
WORKING WITH SECOND-PERSON INQUIRY GROUPS 603
however, I begin by positioning myself in range of pressures from different stakeholders

this work. (funding bodies, corporate sponsors, poten-
tial inquiry group members) scattered across
different contexts (in the organization where
WHERE I’M COMING FROM you work, family members, friends or
members of your community) coupled with
Being (among many other things) a 30-year- the pressures they apply to themselves (How
old woman who makes her living from being do I get this right? How can I ensure people
an action research professional may make it want to be involved? How will my lack of/
likely that I am going to see different things, vast experiences of second-person inquiry
and be seen differently, from you as I engage affect how participants see me?).
in inquiry practice. Where each of us is in our During my PhD years, I discovered and
life no doubt colours what appears to matter to later wrote about the absence of detailed
us as we inquire – the following is an incom- accounts of the practice of establishing
plete snapshot account of what matters to me inquiry groups (McArdle, 2002, 2004).
right now. I’d like you to notice as you read Below I round up some of the key issues that
how our different positionings can inform seem to arise when seeking to ‘get in’ and the
what we understand about working with types of skills they draw on from the action
second-person inquiry groups. Alongside this researcher. In summary, it seems that when
personal positioning, the context in which seeking to ‘get in’, the nub of inquiry prac-
inquiry work is established obviously has a tice is related, as Reason and Goodwin
huge role to play in shaping the inquiry (1999) phrased it, to ‘establishing the condi-
process. Working the politics of inquiry will tions’ from which inquiry – as a pattern of
feel different and happen differently depend- behaviour between people rather than a
ing on what the inquiry is established to ‘thing’ – can emerge.
explore, your role in that process, and whom This notion of ‘establishing conditions’
the process includes. The bulk of my practice will draw on a broad territory of skills from
takes place in organizational settings, and it is the action researcher. Among other things, at
this practice that informs my writing here. In a macro level, stakeholders and their expec-
such settings, as a researcher or consultant, I tations need to be managed (see Charles and
create and facilitate second-person inquiry Glennie, 2002), as do budgets and the (often
processes to explore issues of organizational very advance) diarizing of the inquiry
interest – recent examples include working process. At the micro level, as we seek to
with organizations to help them explore issues energize people to engage in inquiry, it is
of organizational diversity and the develop- necessary to attend to modelling the types of
ment of group facilitation skills. Within such inquiring behaviours we’d encourage others
organizational remits people come together to enact should they join in the inquiry
(equating to a ‘convergence’ of interest, in process – giving them a ‘taster’ of what
Heron’s terms), and ultimately pursue their might be involved in our work ahead.
own related questions of direct relevance to Alongside this, attention is appropriately
their own practice (‘divergence’). directed towards the creation and holding of
appropriate boundaries between the micro
and the macro – the group and the organiza-
tion. Sounds exhausting, doesn’t it?
GETTING IN Wadsworth’s discussion of facilitator1 as
energy worker in the first edition of this
Establishing an inquiry group can be a par- Handbook (Wadsworth, 2001/2006: 420–32)
ticularly demanding time – one where the is helpful when thinking about how to begin.
action researcher might experience a vast ‘Working’ energies is not about giving
604 SKILLS
energy or taking it; Wadsworth describes it as irrespectively – the time frames or necessary
a process of understanding the energies that resources are perhaps obvious candidates
are in your particular context and responding here. However, more discerning choices
to them. I find it useful to consciously attend need to be made around content for sponsors
to energies – to awarely tune into my own as opposed to participants, or differently
and others’ energy in order that I might positioned participants (children and adults)
‘work’ them. for example. Making such choices is tricky
As with any project we might undertake, given the nature of the approach to be
the beginning is when we become visible (to employed – second-person action research
others and to ourselves) in our affiliation cannot be ‘sold in’ on guarantees of outcome.
with an agenda, as we express our desire to Attention to holding uncertainty of ‘out-
pursue this agenda and seek resource to do come’ with sufficient certainty – sufficient
so. In this sense beginnings are political (as offering to get people energized and excited
are all stages, but for me, ‘getting in’ is when to be involved – seems important here, as
I feel the politics more!). Below I outline Traylen (1994) suggests:
some of choice points I’ve attended to when
proposing such work, and then relate this to I was aware that [co-operative inquiry] could evoke
anxiety with its lack of structure, excitement with
examples from my practice.
its open-endedness, and uncertainty with its
unpredictability regarding specifically desired out-
comes. (Traylen, 1994).
A PROPOSAL
The challenge of balancing (and selling in)
In order that inquiry may begin, someone certainty and uncertainty is embedded in the
needs to propose it does so. Whether this pro- nature of the relationship that exists between
posal takes the form of talking the idea the parties involved. For example, being an
through with a friend, who may join in, or ‘outsider’ – making a proposal to an organi-
writing the proposal formally and sending it zation you don’t know – can feel very chal-
to a funding body or corporate sponsor, we lenging, as it’s difficult to know what type of
all need to begin somewhere. Working ener- communication is going to get you heard
gies is evident in the choices we make well. How can you do it in a way that is both
regarding the proposal itself – who will authentic and appropriate to the context?
‘speak’ in the proposal and what does this Developing a sense of this is undoubtedly a
mean? During my PhD years it mattered to skill that helps in pitching successfully for
me that ‘I’ got access to organizations, rather such work,2 particularly when you don’t
than the director of our research centre doing already have a reputation before you.
this on my behalf (McArdle, 2004). This The opposite positioning – being an
choice was about ‘establishing the condi- ‘insider’ to the inquiry context – can make
tions’ in which I could inquire – ‘getting in’ proposing such work feel exposing and
myself would indicate that I was trusted to do vulnerable-making, which in turn can make
the work. Such choices are differently effec- you feel a bit like an ‘outsider’. A very visible
tive depending upon the audience for the expression of interest in (often) issues that
proposal – if funding is sought from a research your organization, family or community
body (see Chapters 30 and 33, this volume), might have difficulty confronting, and might
host organization (Mead, 2001) or potential therefore be unwilling to sponsor (financially
participants. Once careful attention has been or in terms of participation in the inquiry),
given to who will speak and be spoken to in can, in real or imagined ways, leave the pro-
the proposal, there is the obvious issue of poser compromised as a potential ‘trouble
what to say. There are some elements of any maker’ (see Meyerson and Scully (1995) on
inquiry process that will be included almost the notion of the Tempered Radical; also
Coghlan and Shani, Chapter 45 in this volume). because of an appropriate balance of ‘same-
For example, I am currently trying to con- ness’ and ‘difference’, as discussed above:
vince myself to call other women in my orga- My sponsors essentially liked the proposal
nization together to explore the gendered because:
nature of our organization’s culture and the
impact this has on aspiration and practice. 1. It ‘told them what they needed to know’.
Just airing the thought here feels like I’m (Sameness – the proposal looked and read like the
making steps towards marginalizing myself type of proposal document they are familiar with.)
already! Getting in is political. 2. They liked the idea of hearing stories from ‘inside
the organization’ about ‘how it really is as
Making ‘getting in’ more possible therefore
opposed to how we imagine it is’. (Difference –
requires some matching of the language or the proposal named and explained a different
behaviour of the stakeholders you endeavour approach to knowledge generation, and they felt
to ‘get in’ with. It is both about ‘sameness’ – this would be valuable to them.)
making the intervention less visible, less dif-
ferent, from ‘what normally goes on around The young women who participated initially
here’– and about ‘difference’ – making the wanted to be involved because:
intervention more visible, different, in ways
that you feel will engage people’s interest in 1. ‘It sounded like it’d be different from the kind of
the potential inquiry. If the visibility of either things we normally do here.’ (Difference – diver-
is extreme, getting in can be less possible sity of learning experience being read as intrinsi-
(potential participants or sponsors can feel cally valuable, meaning that Difference in itself is
either ‘scared-off’ or insufficiently engaged). about Sameness – the desirable act of exploring
There is some working of energy to be done alternatives in order ‘to become more efficient’.)
at this early stage – reading how individuals 2. ‘It sounded like fun’. (Difference – having fun at
work was ‘unusual’, particularly in an organiza-
respond to your ideas and using this as ‘data’
tionally sponsored ‘work’ activity. Such sponsor-
to inform what needs to be done next (Do ship, however, indicated that the activity was
they need me to push a boundary here, or do understood to be of benefit to the organization –
they need me to emphasize things they are Sameness. Having ‘fun’ during working hours
more familiar with?). was therefore understood to be safe.)
3. ‘I thought it would be a good opportunity to
meet other young women.’ (Difference – young
Proposing Inquiry to P&G
women, and women generally, in P&G were a
During my doctoral research I facilitated a minority – all of the participants in YoWiM felt
15-month long co-operative inquiry process that they did not have ways of spending time
(Heron, 1996) for a group of ‘Young Women with other women. Sameness – networking is an
organizationally ‘robust’/‘approved’ activity.)
Managers’ (eventually known as the
4. ‘Coming to the first session was not a big deal as
‘YoWiM’ group) within Procter & Gamble. it was going to be on-site, so if it was rubbish I
At the time I was a full-time student, so was could leave and would only have wasted ten
‘outside’ the organization. In my own ‘get- minutes, rather than having to be somewhere
ting in’ phase with P&G I first submitted a else for a whole day.’ (Sameness – being ‘on-site’
proposal to senior managers. Then, following meant the Difference of the proposed work was
a successful pitch, I distributed flyers to not in obvious, sharp contrast to the process of a
young women in the organization, indicating normal working day.)
the kind of work I hoped to do, and ran two
two-hour long taster sessions at P&G’s In managing our own energies at the very
offices. Through seeking feedback during the early stages, it seems important to remember
subsequent YoWiM inquiry process I was that the initial proposal – be it over coffee or
able to begin to discover why these various in a formal report – only needs to do the job
‘pitches’ worked. I consider they did so of creating interest in the possibility of
606 SKILLS
inquiry. It just has to ‘get you in a bit ’. I like if they finish everything we’ve planned and I’ve got
loads of time left? What if they forget to do any-
the idea of ‘getting in’ being a nested inquiry
thing in the month between sessions? What if they
process, with lots of different layers (lots of won’t talk? What if they don’t like being there?
different chances to get a bit further in) What if people won’t tell the truth because of the
which inform those involved about each senior women being there?
other and the nature of the work they might Anxiety over authority: I’m worried [my boss]
will want to take over that task/not want me to ask
do together. Moreover, learning together and
those kinds of questions. What if they don’t listen
moving with each other progressively further to me? What if they don’t do what I ask them to
‘in’ means that participants’ energy becomes do in the breakout sessions?
engaged in shaping the inquiry and the
choices that need to be made about how to The above themes illustrate to me the
proceed. Collaborating in such a way so notion of ‘being in’ as an ongoing, temporal,
early on can develop a strong sense of own- state – a framing that maybe even helps
ership of the inquiry process. ‘staying in’ to become more likely as we
Once we have a group of people ‘signed actively continue to work the energies rather
up’ and ready to meet together for their first than just relying on people wanting to be part
session, the pressure of success or failure can of our inquiry process. Rather than thinking
feel as if it rests firmly on our shoulders and of ourselves as ‘out’ or ‘in’ we might instead
that it will be determined by our facilitation envisage ourselves, and all others associated
of the first meeting! This makes the point in the work, on a continuum of ‘getting in’ –
that there is no such thing as ‘being in’ perhaps across the entirety of the life of the
indefinitely – it is an ongoing negotiation, as work. ‘Being in’ seems at best only what we
the example below illustrates. give each other permission to be. Feeling ‘in’
is about being clear on what we and others
contribute to the process it seems, and our
ELCAM understanding of the value of this contribu-
tion can yo-yo throughout the life of the
I recently worked in a supervisory role on a group as time passes and roles change. The
co-operative inquiry project with a private intimate nature of second-person inquiry
client (referred to here as ELCAM). Ella, a group processes – most usually involving
researcher from ELCAM, was tasked by the getting to know only a few others in quite
organization to design and facilitate a six- some depth over time – has the potential to
month co-operative inquiry process for 12 make all involved sensitive to feelings of
senior ELCAM managers who had already being ‘in’ or ‘out’ – valuable and appreciated,
‘signed up’. Ella had not used action research or redundant and defunct.
methods nor facilitated a group such as this
before. My role was to mentor Ella and for
this purpose she and I would meet for a two- GETTING ON
hour session in between each group meeting.
Prior to the first group meeting Ella’s atten- I mentioned earlier that my demarcation of
tion was focused on the following themes: three ‘phases’ of practice is, though some-
what artificial, a useful way of thinking
Questions of confidence: Will I be okay? Will I be about core skills and how they are differently
good enough, clever enough, skilled enough, suited at different times in inquiry practice.
credible enough? What will I do if they don’t Indeed, I evidence above how ‘getting in’ is
understand the method? What will I do if I don’t
in many ways nothing more than a state of
understand the method? What happens if I can’t
explain it well? mind that is at best only ever temporary and
Concerns about structure: What kind of things experienced in varying degrees, quite possi-
should I be asking them to do in the session? What bly throughout the life of the group.
‘Getting on’, however, feels different. As unforgiving about each other’s lack of skill,
the inquiry group takes on a life of its own, looking back to us to sort out the tangles they
patterns of relationship and practice develop get into. We also see group members move
and change. Roles and relationships shift. elegantly into such roles and in Heron’s
Shared history creates ‘baggage’. Energies terms, enact practical knowing (Heron,
peak and trough. People may leave or join. 1996) of the skills required. Whatever hap-
When people are getting on with ‘getting pens, and whenever it happens, it seems fair
on’, the practice of inquiry facilitation can to suggest that inquiry groups can’t ‘get on’
become scattered across the divergent prac- with the business of becoming a community
tices of perhaps ten participants and all of of inquiry unless the initiator/lead facilitator
those they are engaging in inquiry beyond is prepared to carefully ‘let go’ of their initial
the group. Perhaps the question that absorbs role.
the attention of everyone involved at this Letting go does not mean a literal aban-
stage is ‘what is my role here?’ If, as we sug- donment of the group to their own devices.
gest in second-person inquiry, we intend to Quite the opposite. It is about becoming more
move towards a practice of co-inquiry over and differently engaged, rather than less so.
time, it seems necessary and ‘right’ that we For me this time is about shifting from mod-
attend to this question. elling the ‘doing’ of facilitative skill to
For me, attention to this question is evi- modelling noticing others ‘doing’ facilitative
dent most particularly when we start to won- skill – helping participants to notice what
der what elements of our original role we they are doing and how it contributes inquir-
might appropriately be holding onto, and ing rigour to the process of the group. This,
which we should be letting go of. This quite apparently, is in itself a facilitative
applies to facilitators and other participants behaviour, but as opposed to one that moves
alike as we feel our way though our experi- the group forwards in a particular direction
ence of the inquiry process and evidence (be this towards following a theme of discus-
bubbles up of people testing out new ways of sion, getting people back on track, ‘getting
being in the group. Facilitators may initially started again’ after a coffee break). This is
seek to trade the administrative elements about supporting the group and holding the
they have been managing as a way of helping space for them to notice where they are and
others to assume responsibility for the group – what they are doing. As one of the young
emailing to arrange where to meet next time women in YoWiM described it: ‘When we got
or typing up and circulating notes from the stuck you didn’t leap in and sort us out, even
meeting are good examples of these early though I wanted you to sometimes! You just
(low risk) steps. Other ‘higher risk’ trades kind of helped us not panic about being stuck’
tend to come later – sharing the facilitation of (YoWiM, October 2001).
the group or designing the programme of So, what happens when second-person
work – hopefully when there is mutual inquiry groups ‘get on’? I will refer again to
understanding of the skills and intentions that my work with ELCAM and YoWiM at P&G
are preferable in such roles and some explicit to pick up examples of the above challenges
intention on everyone’s part to support these I have faced. Given that we perhaps consider
shifts and be forgiving of skill gaps. Despite the bulk of the life of an inquiry group as
our best intentions and careful planning, as being about ‘getting on’, it might also be –
facilitators of second-person inquiry we all rightly or otherwise – our main reference
at some point experience group members point for the answer to the question about
moving into facilitative roles and (if we quality in action research practice that
can bear to be honest enough to admit it) Reason and Bradbury posed in the first edi-
‘getting it wrong’ (in comparison to what we tion of this Handbook – ‘How do I know this
would have done), hurting each other, being is good work?’
608 SKILLS
ELCAM ‘novice’ inquirer (Ella) out of a frame of ‘I

need help from an expert’ (Me) to ‘I am
Over time as Ella’s confidence in her own
developing competence in building a robust
ability has shifted, her questions and atten-
first-person inquiry structure into my prac-
tion have also moved. Without doubt, this
tice’ (or something along those lines!).
shift is due to things having gone ‘well’ in
Engaging in the practices and processes of
the group – both in the sense that people are
second-person inquiry over time means that
energized and turning up to the sessions, but
we will be faced with situations we don’t
also in that they are tackling difficult issues,
like, perhaps with people we find difficult.
falling out with each other, feeling safe
Getting good quality support and/or attend-
enough to ask big questions.
ing carefully to our own first-person inquiry
However, just as Ella was beginning to
(Torbert, 2001/2006) – our practice and the
enjoy being less anxious about her practice,
questions that emerge from it – will mean
the one thing she describes herself as ‘hat-
that we begin to frame things differently and
ing’/’being afraid to confront’ – conflict –
make different choices in our practice, as
happened in the group. In this particular
here. I almost want to say that there is some-
instance confidentiality was broken and
thing going well in your group if being in it
knowledge of this found its way into the
hurts from time to time – it’s a sign of ‘get-
group. The impact was people feeling scared
ting on’, that relationships and roles are shift-
and upset. Ella arrived for her session with
ing, that people are working on things that
me full of anxiety about ‘what she should do
matter, that boundaries of process and con-
about it’. Her attention shifted back to her
tent are being tested.
initial position of anxiety-driven desire to
‘fix’ things. My role here was to help her
notice her behaviour and to encourage her to
reframe what had happened from ‘conflict’ to
YoWiM
‘people being upset and confused and need- In working with Ella at ELCAM, I relived in
ing to be helped to move through it’. Armed some ways my own first experience of con-
with renewed confidence by reframing the flict in the YoWiM group at P&G. This hap-
situation, Ella went to her next session pre- pened quite early in the life of the group and
pared to join others in working through their took me by surprise. One of the women in the
upset in an unrushed way. She, through tak- group, Ann, confronted what she saw as lack
ing time to think about her own practice, of engagement on the part of two other par-
remembered that her role had shifted to one ticipants. She told the other two women that
of holding inquiring space for others, rather she felt they were doing nothing in the action
than fixing their ‘problems’. element of the cycle when she was ‘doing lots
Sometimes a marker of doing good work and filling a journal with things to talk about
well is about putting such structures in place with you all’, that she felt this ‘lack of com-
that explicitly enable time to be spent focus- mitment’ was ‘bad for our group’ and that it
ing on our own practice and not getting car- ‘drained her energy’. You could almost hear
ried away with the anxiety-driven responses the collective intake of breath in the group as
of ourselves or other group members. As people prepared for their safe space to come
here, the knock-on effect of creating such crashing down around their ears. What actu-
structures can be that space is created in the ally happened was the women who the feed-
group for others to more fully participate in back had been directed at became upset and
generating knowledge about their own tried to ‘explain’ that they were engaged.
inquiry – rather than having it squashed by I ‘let’ this happen without interruption –
your desire to ‘save them’. Framing mentor- considering that some clear exploration of dif-
ing relationships in this way moves the ference was likely to be helpful to the group’s
progression and that I wanted to model being are not unrecoverable, and they are certainly
supportive of people raising concerns. not wasted if we attempt to learn from them
When the conversation began to shift away (in the group and also by sharing stories, as
I drew us back, pointing out the directness of here, in a broader community).
the feedback and by checking if those directly In ‘getting on’, when people begin to feel
involved were okay. Our space was no longer safe and confident in their emerging inquiry
safe by that point and everyone said they were practice, they can stumble across terrain
‘fine’ (some with tears in their eyes). Looking where their lack of skill (in this instance, in
back, it was pretty brutal – Ann was very giving feedback, in holding a safe space to
direct, very judgemental, very blaming and debrief it, in naming that actually they are not
sounded disappointed. I helped people feel okay) becomes painfully evident, and people
less safe by not slowing things down, naming limp away from inquiring in the moment, or
(more broadly) what I saw happening, nor their membership of an inquiry group, rather
inviting others to think about how we might than growing through it. ‘Getting it wrong’
reframe this incident as ‘data’ that we could seems to be part of the process of ‘getting on’
inquire into. The net result of this was that and in happening can – if we manage to
the two women who had been ‘judged’ left the handle it – create the conditions from which
group, citing work pressure, Ann missed the inquiry can emerge.
next two sessions and I felt less credible.
The above illustrates how, as inquiry
groups work together over time, there can GETTING OUT
emerge a mismatch between different parti-
cipants’ views of the ‘significance’ of the In theoretical terms, the ending of a group is
work undertaken. Linking back to the earlier a time for clearing the air, creating shared
discussion of sameness and difference, Ann meaning about what we have achieved, pro-
was, due to her own considerable engage- cessing left-over emotional upset, making
ment, experiencing her process as becoming space to hear about regrets and appreciations,
very ‘different’ from that of other group celebrating the work we have done, and
members, which in turn made her feel ‘dif- exploring how our learning informs our
ferent’ from them. future work alone or together (Srivastva, et al,
Being ‘different’ can result in feeling like 1977; Randall and Southgate, 1980). Given
you’ve somehow managed to get yourself the reflective nature of such attention – that
‘back out’ of an inquiry group, when you’d we are looking backwards and appraising
been investing so much in ‘getting in’ and what has happened – we might consider that
‘getting on’. Unless the group shifts its endings are about slowing down in order that
understanding of what is going on, being we might really ‘get clear’ on what we’ve
back ‘outside’ can get to feel like the best achieved. Of course ‘speed’ is hardly synony-
(safest, easiest?) place to be. In this work I mous with the notion of rigorous inquiry at
could, if faster on my feet, have encouraged any point, but the fact that the group is en-
the group to move into a more appreciative gaging in its last meeting or cycle together by
frame of the different types of engagement definition focuses attention on completion, on
underway – we might have agreed to walk in ensuring we do what needs to be done.
each other’s shoes for a cycle, either match- The reasons for ending obviously differ – it
ing Ann’s depth of inquiry or working tenta- may be due to the agreed period of the work
tively at breadth, as the rest of the group. passing or the purpose of the group having
With hindsight, this may have made us feel either been realized or having shifted to a
more sameness in our intention to inquire, point of such divergence that it no longer
irrespective of how we did it – this might makes sense for the group members to work
have been a good reframing. Such instances together. Furthermore, it is arguable that the
610 SKILLS
group ends in its current form when its inquiry skills that will sustain them and
membership changes markedly (particularly continue beyond the life of the group. They
if the membership has been constant for an have managed, overall, to be aware of their
extended period). Less obviously, and for role in the group and are clear on what they
many different reasons, participants might contribute. This has left me feeling that
end or begin to withdraw their individual engaged inquirers have nothing to fear from
involvement in a group before the agreed ending and they can therefore hold an inquir-
period of work is over. Ending, therefore, is ing attitude towards ‘it’ as an event, and
not a discrete process either – ‘getting out’ towards their own creation of an ending expe-
seems both curiously slippery as a concept rience. This is essentially what I mean by
(‘ending behaviour’ is seemingly enacted at ‘getting into getting out’ – framing the notion
different times by different group members, of ending as an inquiry in its own right.
and is not easy to spot in the moment) and This, of course, will not be the case for all
entirely obvious (following an ‘ending’ meet- group members, and I will move on to dis-
ing, the group no longer works together). cuss this shortly. However, firstly, I consider
how this intention to end inquiringly looks
Getting into ‘Getting Out’: Ending when enacted.
Inquiringly
Endings, similarly to beginnings, seem to be Getting On with ‘Getting Out’
a time that inquiry participants remember – If group members are into ending inquir-
the early sessions can seem to set the pattern ingly, there can be a desire to trial yet more
for what comes, and final sessions can be new behaviours in the familiar space of the
seen as the time when ‘what has meant to be group before it ends. Risk in this sense exists
here’ is decided upon. Therefore, all involved differently than at any other point in the
can feel that endings are significant in many inquiry process, as the relationship with the
different ways. This significance can lead group is not going to continue in its current
people to really engage in creating an ending form. Often in ending processes group
process that explicitly seeks to enable all members will chose to foreground presenta-
involved to take time to end in a satisfying tional knowing (Heron, 1996; Heron and
way together. Several of the endings I have Reason, Chapter 24) in the form of story,
been involved with have, in a way, show- dance, bodywork, poetry, and metaphor.
cased the inquiry group. Working together Perhaps this is due to a desire for meaning
over time means that inquiry skills are cre- making about the experience of inquiry to be
ated and honed, so by the time the ending has done in a way that holds open the potential
come these skills are flourishing and are evi- both for collaborative as well as individual
dent in the practice of the group as they join sense making. Stories, bodysculpts and other
together to construct an ending process that presentational forms seem to retain a sense of
meets their needs – something to be ownership at an individual level about what
delighted by and to celebrate. they mean or represent, irrespective of how
Getting into ‘getting out’ has in my experi- we might rework them to represent a group
ence been most possible for group members experience (see McArdle, 2004: Ch. 5).
who have engaged in their first-person
inquiry with rigour for much of the time they
have worked with the group. They seem to Ending Presentationally with
feel less blocked and more likely to engage in YoWiM
ending well as they have largely come to
terms with and processed disappointments and Examples of such new types of choices were
delights along the way, and have developed evident in ending with YoWiM. Though
presentational work had been used throughout Getting Out of Getting Out:
our process, it had particular significance Avoiding Ending?
during the ending phase. We chose to change
the location of our session (from a half-day As mentioned earlier, endings are not always
session at the P&G offices, where the parti- experienced at the same time or in the same
cipants worked, to a two-day session in Bath) way by all group participants. This may be
to physically move us into a different type of a reason for endings not being reported out
space where we could focus on ending and (or perhaps even planned in) with great
make us very aware that things were chang- regularity – because people begin to leave
ing. We carefully considered the relationship groups before they are ‘over’ (so that groups
between the location of the inquiry and what fizzle out or just stop). Signs of this happening
we sought to know. Being somewhere new in include:
this sense was a form of presentational
1. Participation dwindling for the kind of reason
knowing about the impact of context on
that makes you wonder if people are telling you
inquiry. the truth: Vagueness about continual diary
During our two days together, we con- clashes is an obvious example.
structed a timeline of our work together 2. People being difficult to contact: Emails about the
across the entire length of the wall of our inquiry not being responded to and voicemail
meeting room – without talking, we all stuck seemingly always being on are symptoms dis-
post-it notes of key incidents, energy levels played by people wanting to leave or finding
and emotions to the relevant point on the involvement difficult. When you begin to wonder if
line, then spent half a day telling our own you are helpfully doing your best to contact a fel-
stories from our most important notes. We low group member, or unhelpfully pursuing some-
one who would rather you didn’t bother, this is an
employed sculpting with clay to explore
indication that things are not as they might be.
what had been learnt and experienced over
3. Group members attending sessions as passengers
the preceding year together. We wrote letters rather than participants: Simply turning up to meet-
to each other about what we felt each other ings doesn’t make any of us a member of an inquiry
had done brilliantly and what we needed to group. Ongoing lack of engagement in group dis-
work on. At the very end of the session we cussions or activities is a sign that people have
stood in turn from our seat in the circle, said either left or are in the process of doing so. This
our goodbyes, said ‘this is over now for me’, seems most obvious when other group members
then stepped outside of our circle, and just are strongly emotionally attached to issues under
stood quietly noticing that all that was left discussion whilst the ‘passengers’ seem incapable
was empty chairs. of engaging to the same kind of extent.
4. Group members suggesting alternative ways of
Each of these activities represented a new
staying linked in with the work: Blaming loca-
choice for the group – the new location, the
tion/timings of the inquiry group for their inability
length of our time together, the nature of the to attend group meetings. Some group members
activities engaged in. Perhaps the most strik- request alternative arrangements that would suit
ing element of this work was that we stayed them better (a different type of supervision or
in experiential (doing/experiencing things mentoring, for example), and then find reasons for
together) and presentational modes for much these new arrangements not to work either. This
of our time together, shifting into proposi- can become a process of gradual extraction
tional mode (Heron, 1996) on an individual throughout which ‘others’ are blamed for the par-
level, rather than ‘deciding on what was true ticipants eventually not being able to be involved.
for everyone’. The power of the presenta-
tional form in enabling individual and joint This list is not exhaustive, and the types of
sensemaking seems appropriate and behaviours listed are not always about ‘leav-
poignant when groups get into ending ing’. Indeed sometimes they are symptomatic
inquiringly. of the difficulties of being involved – more
612 SKILLS
of a ‘cry for help’ than a ‘goodbye’ – which positive (sending emails and text messages
all involved would benefit from surfacing indicating that they were looking forward to
and dealing with. This was indeed the case in seeing participants at the session the follow-
a project I am currently running for an orga- ing week) though not mentioning that parti-
nization referred to here as GESS. cipation was an issue. In effect they did the
opposite of ‘matching’ as discussed in ‘get-
ting in’ – as participant energy dropped and
GESS people disengaged, they raised their energy
and became more and more engaged in jolly-
In this work, I facilitate a co-operative ing people along (in the hope that doing so
inquiry process for a staff team, who are in would make people want to join in again)
turn taking the learning from our process into but in doing so modelled non-inquiring
their facilitation of other inquiry groups. behaviour – not naming what was happening,
GESS requested I take over the project from how they felt, reverting to the old blocked
another facilitator. Participation in meetings pattern they had enacted in the GESS staff
had been dwindling, meeting dates had been group prior to my joining (which they have
difficult to pin down and everyone involved since referred to as ‘sticking our heads in the
was unhappy. There was something very per- sand and hoping it would all just stop’).
mission-giving in ‘getting a new facilitator In working through these issues with the
in’ – all participants attended the first session two GESS staff, we have considered that G1
I facilitated and openly discussed why it ‘ended’ for some of the participants following
wasn’t working out. It seemed that they felt their presentation earlier in the year – they had
there was no risk in naming all the dynamics achieved what they wanted to achieve from
and confronting all the issues with me, as it their involvement and quite understandably
was not my practice as a facilitator, or our started to ‘leave’. Without the GESS staff
group history, they were critiquing. Similarly attending inquiringly to these diminishing
I felt no risk in asking them about what had- energies, G1 participants were left without the
n’t worked. The project and the group were skills or the support they needed to explore
already in crisis – no one had anything to what was going on. Their involvement in the
lose. This group could have ‘stopped’ as a group became an exercise in avoidance and
direct result of behaviour symptomatic of denial. The dip in G1 participant energy was
involvement being ‘difficult’, being misread matched by the two GESS staff members in
as ‘leaving’ or ‘ending’ behaviour, or just the staff inquiry group. Their participation
continued limping along. We salvaged the became sketchy, their engagement seemed
process, and have gone on to complete a fur- blocked – they seemed to tell stories that were
ther year of useful work together. interesting or entertaining for others, rather
Recently, as we approach our ending, I than of any particular use for their inquiries.
have been attending to how actual endings They were, in my opinion, beginning to
outside of the staff inquiry group at GESS ‘leave’ our group. I raised this with them. Out
have impacted upon ending behaviours tumbled stories of them feeling incompetent
within the group. One parallel inquiry group as facilitators, embarrassed about their appar-
(G1), run by two of the GESS team, began to ent denial of what had been going on for them
experience dwindling attendance (from 10 and for members of their group, upset and
participants to sometimes just one or two, frustrated that they had not been forewarned
plus the two GESS staff), following a high about what might happen, disappointed that
profile and successful conference presenta- they hadn’t ‘done better’ for each other as col-
tion by the group members six months prior leagues. In beginning my work with this
to the planned period of work ending. The group (as above), and in this instance, I learnt
GESS staff responded to this by being very just how close an inquiry group and its
individual participants can be to ‘getting out’ irrespective of the stage we may think we are
of inquiring (deliberately or accidentally) at in (be this in, on, or out) chances are we are
any time. more likely to be in some sort of muddy over-
The point I raised earlier about the intimate lap between them, or somewhere else entirely
nature of the second-person inquiry group different. As mentioned above, some groups
seems important to refer to here. The second- finally really ‘get on’ with inquiry as they ‘get
person inquiry group by its nature (few out’. Furthermore, if we end or ‘get out’
people, with similar interests, meeting regu- knowing that ‘this was good work’ we can
larly over an extended period) has the poten- finally feel wholly ‘in’ (wholly accepted by,
tial to go very deep very quickly and, where understood by, valued by and valuing of) the
matched with inquiry skill-building, this can group for the first time. In addition, the P&G
become a ‘transformative’ (Kemmis, 2001/ and GESS examples show how very differ-
2006) process. However, where there is an ently positioned group members can be – with
absence of such skill development the inti- some really ‘getting on’ whilst others feel
macy of relationship can block progress – barely ‘in’ or are actively trying to ‘get out’.
saying ‘this isn’t working for me anymore’ This complexity is part of what I love about
can feel like a judgement on others that may working with second-person inquiry
hurt them, or might make the individual feel processes. I feel there is value in carving the
incompetent for not being able to make it process up into the three stages offered here so
work. Sometimes it’s easier to fail to attend that we might begin to notice a little more
meetings and not return calls. clearly the different skills needed, or issues we
The experience of the GESS inquiry illus- need to watch out for, at each stage. As men-
trates that throughout the life of the inquiry, tioned earlier, the real skill lies perhaps in
things happen within and beyond any group ‘matching’ – complexity and muddiness
that can make us feel as though we aren’t ‘in’ require a complex facilitative response.
the group at all – even when we are approach- Which sometimes means we get muddy too…
ing the ‘getting out’ phase (or indeed as we are
engaging in it), issues we confront and things
we experience might make us begin to wonder
if we were ever really ‘in’ at all. Perhaps we NOTES
are more vulnerable to such feelings (I didn’t
1 I use the term ‘facilitator’ throughout this
do as well as others/my group would have got
chapter as this is the label most usually applied to my
more by working with someone else) as role by the organizations I work with. It is a term with
inquiry ends and self-doubt and feelings of baggage, suggesting all kinds of assumptions about
aloneness creep in. The potential for such vul- power and authority in the group, which I spend
nerability makes ‘getting out’ in: an inquiring much time actively dismantling. It makes sense to use
the term here to denote an ‘initiating’ or ‘methodol-
manner vital – there needs to be time for mutu-
ogy expert’ role.
ality of sensemaking to help us really know, at 2 Yorks and Kasl (2002) give a good description of
a shared level, what we have achieved and what might be considered ‘necessary’ to include in a
who we are as we ‘get out’. proposal or negotiations for such work.
BEING IN, ON AND OUT ALL AT ONCE: REFERENCES

A KEY CHALLENGE IN FACILITATING
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614 SKILLS
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University of Bath. [www.bath.ac.uk/carpp] Yorks, L. and Kasl, E. (2002) ‘Learning from inquiries:
Mead, G. (2001) Unlatching the Gate: Realising my lessons for using collaborative inquiry as an adult
Scholarship of Living Inquiry. Centre for Action learning strategy’, in L. Yorks and E. Kasl, Collaborative
Research in Professional Practice, School of Inquiry as a Strategy for Adult Learning, No. 94. San
Management, University of Bath. Francisco, CA: Jossey-Bass.
43
Facilitation as Action
Research in the Moment
Jenny Mackewn
This chapter presents a model of action research which resolves the contradictions and
choices of facilitative practice by regarding it as a continual process of inquiry. Four dimen-
sions of this inquiry are outlined and exemplified: the purpose of the group, organization or
community; the conceptualization of how facilitators make meaning of their art and of the
community or group phenomena which they are facilitating; the wider field; and the chore-
ography of energy.
In this chapter I describe a model of facilita- that need consideration when deciding what
tion that I find to be useful both in my own to do when as a facilitator are subject to con-
practice and in support of the practice of tinual inquiry. These crucial dimensions are:
other facilitators. I regularly offer this model the purpose of the group, organization or
in workshops and shadow (a type of supervi- community; the theoretical conceptualization
sory or meta-) consultation to facilitators and which the facilitators bring to their meaning
consultants. I briefly discuss the nature of making of the events; the wider field or con-
facilitation and the dilemmas which face me text in which they are operating; the energy
and others who try to explore what facilita- or atmosphere in the group at any particular
tion is. I see facilitation as encompassing a time and the choreography of that energy.
wide range of practices embedded within
an even wider range of unarticulated philoso-
phies. I focus on the spectrum of skills MY BACKGROUND
and qualities required to practice well as a
facilitator, which I describe as existing as I have been a practising facilitator for 20
dualities. I develop to an approach I call years, earning a part of my living through that
‘Facilitation as Action Research in the work. I practise in a wide range of guises. I
Moment’, in which the crucial dimensions act as a design facilitator and consultant in
616 SKILLS
organizational and community settings – in own or the other person’s embedded belief
successful commercial enterprises, in public systems about the nature of facilitation and
and voluntary sector services and with commu- without ensuring that they are comparing like
nities. I lecture in different university settings. for like. Overall we might say that the differ-
Additionally, I have initiated, designed and led ences that emerge in facilitation relate to the
workshops in facilitation as action research for degree to which the facilitator combines the
seven years. During that period I have been roles of a participant, mover and/or observer.
able to develop the approach to facilitation that
is described in this chapter with the active con-
tribution of the people who have attended those WHAT ARE THE SKILLS OF
workshops. FACILITATION?
I am a 60-year-old woman, newly a grand-
mother, of Scots and partially unknown cultural There is almost as much variety and range in the
background; fit and athletic; persistently inter- skills that people believe are needed to be a
ested in learning new approaches to work and good facilitator as there is in people’s definitions
living; committed to cycles of action, reflection, of facilitation. During the facilitation as action
learning, co-creating. I have lived and worked research workshops that I design and run, we
for substantial periods of time on two continents. invite people to inquire into the meaning of
This descriptive list is inevitably partial and facilitation and the skills that they think are
incomplete but it may give you some idea of involved. Table 43.1 offers a useful crystalliza-
what matters from my perspective at this time. tion of our reflection on the question of impor-
At the same time I wonder how this brief tant skills for facilitation.
description of me will have coloured your own Faced with such a demanding range skills,
judgement and degree of interest in reading the many will feel overwhelmed by the sheer
rest of this chapter. Has it sharpened or damp- breadth of skills. Won’t it take a lifetime to
ened your interest? Either way, are you aware acquire all those skills? Where do we start?
of what – in my self-description – sharpened or Which are the most important skills? How
dampened that interest? Because of course would we prioritize them? The outcome of one
you, like me, will be influenced by your own group’ s conversation about how they would
conditioning, experiences, cultural norms, prioritize the long list of facilitation skills is
training and conceptual models. And may given in Table 43.2. Naturally the way the
have been unwittingly switched on or off by skills are prioritized will depend upon the sub-
any aspect of my description – in ways I did jective mindset of the people discussing the
not intend or anticipate in offering it prioritization and the subjective mindset of the
facilitator as he or she is practising their art.
SO WHAT DO WE MEAN BY
FACILITATION? PARADOX IN FACILITATION:
CONTRADICTORY SKILLS
Facilitation is understood in different ways
by different people (see, for example, Heron, It is important to note that many of these
2000; Shaw, 2002; Spinks and Clements, skills are contradictory and paradoxical,
1993; Stacey, 1995; Wadsworth, 2001/2006). which has led me to develop a table of
Yet many practitioners and authors (as well Polarity and Paradox in Facilitation (see
as group participants) who talk or write about Table 43.3). Sometimes facilitators need to fol-
facilitation do not articulate their underlying low the group’s agenda, while at other times
assumptions. Nor do they identify which par- facilitators need to lead the group’s agenda.
ticular definition or type of facilitation they Sometimes the facilitators need to question,
espouse. This means often people will dis- inquire and consult, while at other times they
cuss and disagree about the practice of the need to direct. Sometimes facilitators need
facilitator without being aware of either their to listen; other times they need to tell people
FACILITATION AS ACTION RESEARCH IN THE MOMENT 617
Table 43.1 Facilitation skills and qualities

Created by participants on Facilitation as Action Research Workshop, Centre for Action Research in Professional
Practice, University of Bath, 2004
• Tolerating silence … Creating silence
• Modelling
• Gender awareness
• Self-awareness
• Preparation
• Respecting self and others
• Formulating questions and questioning
• Offering choices, taking decisions
• Making decisions at group and individual level at all times
• Inspiring
• Listening to self and others
• Attending to inclusionality, attending to others
• Energy in self and others and group – linking level of energy with type of activity and intervention
• Structuring, creating structure for self, for group … . Flexing structure
• Pace and variety
• Guiding, managing, creating
• Holding authority and credibility
• Creating fun experience; having and appreciating humour
• Inventing research on the spot
• Listening, seeing and observing – eyes in bottom, back of head
• Affirming and confronting
• Knowing how to use own power and presence
• Knowing how to relate to power structures in organizations
• Knowing how to relate to power and presence of others
• Confronting + supporting, challenging and nurturing
• Holding interest and enjoyment
• Holding intentions of self and of group through turbulence and diversions
• Noticing connections; noticing patterns
• Linking events and patterns in the team or group to organizational patterns and to business behaviour and outcomes
• Creating space … . Holding space
• Providing or helping others to provide clarity and purpose
• Making group level interventions.
• Attending to meaning, giving meaning, inviting group meaning-making
• Imparting of learning, drawing out learning from experiential exercises
• Drawing out learning (at group and individual level) from unexpected events or experiences in team
• Generosity
• Containing and opening up
• Follow group’s agenda … . Lead group’s agenda
what to do. Sometimes they need to nurture of facilitator? Do I think I am a consulting

and support the people in the group or or a directing type of facilitator?’ Instead, an
community; other times they need to chal- artful facilitator needs to be able to embrace
lenge. Sometimes facilitators need to provide the paradox of valuing both ends of the spec-
structure and time boundaries; at other times trum and acting in a timely, elegant and skil-
they need to flex structure and time boundaries. ful way at both ends of the spectrum of
Both ends of the polarities given in the polarities and indeed at finally graded points
table are part of the whole skill of facilita- anywhere along the spectrum.
tion. One end of the spectrum gives meaning If facilitators need to embrace these para-
and definition to the other, just as night doxes, then the all-important questions
defines day and day defines night. So facili- become: When shall I act at which end of the
tators should not be asking themselves ‘Do I spectrum of polarities? When shall I follow the
want to be a supportive or a challenging type group’s agenda? When shall I lead it? When
618 SKILLS
Table 43.2 Prioritizing facilitation skills

Created by participants on Facilitation as Action Research Workshop, Centre for Action Research in Professional
Practice, University of Bath, 2004
Preparing self
• Physical, breathing
• Posture, visualization
• Protection, grounding
• Centring, developing own presence or aligned energy
Observing
• Energy levels at individual and collective level
• Interest levels at individual and collective level
• Body language at individual and collective level
• Own reactions and feelings (in body, in mind, in heart); hunches in self
• Groupings and subgroupings in group
• Behaviour (of individuals, subgroups, groups) in sessions
• Behaviour (of individuals, subgroups, groups) in breaks
Listening and attending
• To words (i.e. content) at individual and collective level
• To process, e.g. to non-verbal sounds; to breathing; to sighs; to what is not said; to congruence (or incongruence)
between words and body/energy; to energy and interest levels
• Listening between the lines
Ensuring all voices are heard, while dealing with dominant voices; making space for quiet ones. Acting as a traffic controller.
Noticing what is going on in self (as possible measure of issues of group, as well as personal data). Sharing some of own
process.
Regularly attending to self

• Grounding, protecting, caring for own energy
• How use self – variety of styles and ways of using self
Following or leading group’s agenda and process

Presenting/imparting information
Making meaning and inviting others to make meaning
Structuring, e.g. breaking group into pairs or small groups; planning and implementing exercises or activities
shall I listen? When shall I tell people what to • the purpose of the group, organization or
do? When do I make which intervention? community;
• the conceptualization of how facilitators make
meaning of their art and of the community or
group phenomena which they are facilitating;
FACILITATION AS ACTION • the wider field in which we are operating,
RESEARCH IN THE MOMENT • the choreography of energy
I am proposing that the answer to these ques- These four dimensions (see Figure 43.1) are not
tions lies in a lively and personally demand- dissimilar to Torbert and Taylor’s four territo-
ing model of facilitation as a form of ries of experience (see Chapter 16). Nor are
ongoing action research in which facilitators they too different from the emphasis placed on
are continually asking themselves, and some- ‘meaning choice and relationship’ that is
times the group, what is needed here? emphasized in the recently published edited
I suggest that the most crucial four dimen- volume on facilitating cultures of collaboration
sions to consider in this inquiry are: by Schuman (2006). Of course, the four
Table 43.3 Polarities and paradox in facilitation

Following team’s or group’s agenda Leading team’s or group’s agenda
Consulting, questioning Directing
Listening Telling people what to do
Nurturing, supporting Challenging
Providing structure and time boundaries Dropping structure and time boundaries
Suggesting/providing meaning Inviting group to make meaning
Allowing multiple meanings and possibilities Settling on one meaning and possibility
Attending to individuals Making team or system level interventions
Using own presence, power to influence Attending to and enhancing power and
presence of other participants
Noticing patterns Ignoring patterns
Listening to words spoken Attending to body language and energy levels
Ensuring all voices are heard Dealing with over-dominant voices
Take in from self

at all four levels of
knowing
Make sense and

Inquire into Intervening
meaning
Take in from
group at all four
levels of knowing
• Purpose
• Conceptualization
• Wider field
• Choreography of energy
Figure 43.1 The four interrelated dimensions of facilitation as action research in the moment
620 SKILLS
dimensions are not separate; they merge, over- the emerging needs, interests and energies of the
lap and exist simultaneously. But facilitators participants, facilitators and leaders and some-
will be able to distinguish between them in times responds to the impact of the wider field.
practice.
At a recent planning meeting for a two-day skills
review event for a group of experienced facilita-
tors, the design group decided upon the following
FACILITATION AS ACTION RESEARCH purpose: To use the action inquiry engine to power
IN THE MOMENT independent facilitation in the service of the
updated strategic agenda.
This purpose inspired and energized the design
Dimension 1: Purpose team. They felt that it distilled their reason for
spending the day together and would inspire and
The objectives and overall purpose of the motivate them to make the most it.
group/team/organization profoundly influ- As facilitators we continuously referred back to
ence how we work as facilitators. If a pur- the purpose and objectives as a guide to our
pose energizes and motivates, it can catalyse design and to our facilitative interventions.
the group’s energy to achieve breakthrough
into transformative action. Therefore it needs In intentional striking contrast to the above
to be the lodestar which guides the facilita- example, I facilitate an ongoing support and
tor’s planning, design and ongoing action supervision group for massage and shiatsu
research in the moment throughout the therapists operating within the context of a
event(s) which they are facilitating. cancer support hospice. The purpose of this
We can consider purpose in the conception group (as worked out with both the organiza-
of events; in the design of events; in the objection and the group) is to provide spiritual,
tives and purpose of each particular event; and emotional and intellectual support to the
in the interventions that facilitators make practitioners who work with seriously ill and
during the events to support these purposes. dying patients.
Facilitators cannot, of course, identify an The two hours we spend together once every four
organization’s or community’s purpose alone. or five weeks are disciplined and yet relaxed. We
They must co-create purpose with the people manage to attend to case discussions, team and
within the organization who are concerned and organizational issues, do some relaxation, cleans-
affected by the need, as well as with people ing or meditation, co-create simple ceremonial
work to honour the dying of a patient or the life
who have power enough in the community or
transition of a practitioner, without feeling hurried.
organization to carry influence. The facilitators We are on purpose together.
must ask themselves who are the right people
to engage in conversation regarding purpose. There is a creative tension between following
To be effective, facilitators will usually need to the agreed purpose and deciding to deviate
develop strategic partnerships with sponsors or from that agreed purpose. Facilitators practis-
leaders within the organization or community, ing facilitation as action research in the
while at the same time creating connection with moment need to be aware of the complexity
those who may have no voice or feel disem- interaction and be alert to the possibility that
powered within the larger system. Sometimes at some point in the planned programme it
facilitators may choose to get together a small may no longer be ‘right’ to follow the agreed
design group that consists of facilitators, the purpose – because a new or greater purpose/
relevant organizational leaders, one or two need becomes evident (or because some aspect
stakeholders and one or two participants of the of the greater field is now demanding attention
event. I have learnt that co-planning and coin a way that was not anticipated when design-
designing are iterative and emergent processes ing). The new purpose or need is often one
which continue throughout the design and plan- which could not emerge in the earlier design
ning period and right into the event-time itself, meetings because it had not yet ripened but
as each successive design is refined and which now emerges as a result of the actual
replaced by a better one that more closely meets exchange or dialogue between the people.
One of the small miracles of changing direc- on complexity theory (Stacey, 1995; Shaw,
tion to attend to a deeper purpose that emerges 2002) have described groups, organizations
is that time can take on a new elasticity and tex- and communities as complex adaptive self-
ture when a group is working and playing with organizing systems. In my workshops for
the matters that truly engage it. Often the group facilitators we take each of these ways of
and the facilitator(s) can find a way to attend to conceptualizing groups, organizations and
both their deepest concerns and their immedi- communities in turn and devote a couple of
ate responsibilities. days to exploring each model and inquiring
into how that particular way of conceptualiz-
ing a group, organization or community
Dimension 2: Conceptualization influences what we actually do as facilita-
tors. This too brief discussion reminds us that
Facilitators all have a variety of theories and there are many different ways to conceptualize
theoretical models through which they make the group, organization or community with
meaning of their art and of the community or which we are working; and that the way we
group phenomena which they are studying and conceptualize it is likely to radically alter our
attempting to facilitate. Some of these theories style of facilitation and choice of intervention.
are consciously known by the facilitators and To give a flavour of how the way we con-
can be relatively easily articulated. Other ceptualize a group or organization influences
theories are embedded as unconscious beliefs our facilitation as action researcher, I will take
and will be harder to access, let alone articu- the idea that groups and communities go
late. Consciously or unconsciously, our theo- through relatively predictable stages of devel-
retical conceptualization influences how we opment and give an example of the sorts of
think about our work, and how we make mean- first-person inquiry that go through my head
ing of the phenomena we encounter in our while facilitating a group which is at the first-or
work. It informs our definition of facilitation, forming – stage of group development. Table
as I have pointed out above, and the decisions 43.4 offers an integrative model of the stages of
that we make from moment to moment when group development, together with an outline of
we consider which of the paradoxical skills of the likely concerns and feelings of the partici-
facilitation to use in what circumstances. pants and guidelines about possible facilitator
Different theoretical conceptualizations of behaviours for each stage.
what a community, organization or group is
and how it may develop can radically alter
I am facilitating a group which is forming. I
what we decide to do as facilitator. remember that a new group needs to be wel-
Some theories suggest that groups and comed, made to feel safe and valued, needs to
teams go through several stages of develop- understand the purpose, limits and structure of the
ment and that participants are likely to expe- group. So I ask myself – what can I as facilitator do
that will help the members of the group feel safe
rience certain fairly predictable concerns and
and welcomed? In response to my own inquiry, I
feelings associated with each stage (Neilsen, may ensure that I am there early. I ensure the room
1986; Srivastva et al., 1977; Tuckman, is organized in advance. I greet each person indi-
1965). This relatively linear model of group vidually, creating connection, making eye contact,
development and dynamics is widely taught shaking hands, being personally present.
I ask myself how can I provide enough structure
on group facilitation training courses and to help people feel safe and contained and give
such models are often presented as though them an understanding of the purpose of the
they were the only way to conceptualize a group?
group and its development. Other theorists In response to my own inquiry, I may provide a
have suggested that a group, organization or light but firm structure, in which I temporarily lead a
team’s or group’s agenda by setting up and directing
community is a system which consists of introductory activities, presenting a proposed pro-
tops, middles or bottoms (Oshry, 1995) or gramme, temporarily telling people what to do.
which is made up of multiple feedback loops Generally I tell myself to be supportive and welcom-
(Senge, 1999). Then again, writers drawing ing rather than challenging at this point.
622 SKILLS
Table 43.4 Facilitator behaviours and stages of group or team development

Stage 1 Forming or inclusion, identity and dependence
Key facilitator behaviours
• Create safety and comfort
• Make objectives and task clear and explicit
• Help people feel welcome and involved
• Create opportunities and time for people to get to know one another
• Be directive without being authoritarian, create clear structures for meetings, the way the group or team is to work,
that can evolve and change over time and in which participation can occur
Concerns and feelings of participants associated with this stage
• What do I have to do to belong here?

• Am I going to be liked/respected/accepted?
• Who is like me? Who am I like?
• Is this event/group/team going to be on purpose and is its purpose going to align with my purpose?
• How safe, comfortable, anxious or apparently cool and collected do I feel?
Stage 2 Storming or influencing, conflict and identity

• Allow conflict to surface in the group; don’t avoid or reject conflict
• Legitimate and support the expression of different opinions and feelings
• Accept responsibility for and confirm own facilitation
• Avoid scape-goating and polarization
• Be clear about limits; what is and what is not negotiable
• Try and take feedback seriously without collapsing under criticism
Concerns and feelings of participants associated with this stage
• Who am I dissimilar from? Who is dissimilar to me?

• Who has influence, authority and control? Who has most influence?
• If differences get expressed, is all this going to fall apart?
• Likely feelings of anger, frustration, resentment, apathy amongst team members and possibly responding feelings
in facilitator-leader
Stage 3 Norming or consolidation of roles

• Allow norms to be created by the team and by the facilitator
• Validate both formal and informal roles that evolve (e.g. chair, secretary and carer, placator and organizer of social
events). Develop such roles
• Create climate where feedback can be more openly given and received
Concerns and feelings associated with this stage
• Likely feelings of relief and sense of progress as roles and norms are established, followed by possible boredom now
that life is more settled.
NB Many functional teams do not need/want to go beyond Stage 3
Stage 4 Role and norm destructuring

• Draw attention to roles (both formal and informal) and raise awareness re how much the group allows members to
behave flexibly (e.g. in several roles)
• Draw attention to ways in which group may reinforce each other’s role rigidity
• Raise awareness of existing norms; introduce inquiry re continued value of current norms
• Normalize and accept increased vulnerability, conflict, differentiation and awkwardness as roles and norms crumble
and become more open

• Feelings of increased vulnerability and awkwardness for some as norms and roles dissolve, accompanied by possible
excitement and anxiety about how the group or team will function in the future
Stage 5 Performing or high cohesiveness and high differentiation, intimacy and interdependence
• Challenge existing norms and assumptions
• Develop creativity, allow room for mistakes and experimentation
• Encourage others to lead and/or facilitate, let go of control
• Create more sense of equality in team, partnership and interdependence
• Don’t allow team to get too cosy and internally focused
• Become more of a consultant to the group
• Feeling good, involved, committed, that the whole of both individuals and group is being seen, validated and used
• More able to relax with and enjoy the group or team
• Excitement of achievement
• Flow
Stage 6 Completing, celebrating, mourning

• Anticipate varied reactions to ending
• Let people know of ending well in advance, if at all possible
• Help create appropriate ending rituals e.g. meals, parties
• Help individuals and team learn from their work together, e.g. encourage reminiscing, and storytelling
• Allow and facilitate expression of appreciation and acknowledgement
• Help individuals plan and prepare for the future, e.g. next job/project
• Celebrate successful outcome(s)
• Create space for expression of feelings re ending (from sadness to relief)

• Feelings of sadness or relief at ending
• Satisfaction with successful outcome(s)
• Wish to move on without paying too much attention to this stage is common in many western and business cultures
due to a tendency to always be moving on to the next new action or engagement, avoidance of endings and
possible embarrassment about feelings associated
So from the first six of the polarities and is in focus, something else will be out of
paradoxes in facilitation, I follow the right- focus or in the background. We facilitators
hand polarities at this stage in the group/ have important responsibility regarding
team’s development. whether to accept the choice of focus of the
organization or to shift the attention to what
we notice is missing from the scope of the
Dimension 3: The Wider Field
events which we are facilitating.
The wider field is the total situation consist- A simple and localized example of the cru-
ing of all the complex interactive phenomena cial choice of focus in the context of the
of the individuals and their environment, the wider field occurred at a recent discussion
whole system that impinges on the focal about future roles amongst the team of thera-
group we are facilitating. As facilitators, we pists in the hospice for cancer sufferers.
are always operating in a wider and more
complex context than the one on which the I noticed that the conversation had taken
organization is choosing to focus. Whatever a completely different flavour than previous
624 SKILLS
discussions – one or two people are speaking ani- building the strategic relationships with the
matedly while most are silent. The overall energy organizational or community sponsors,
feels inhibited. I reflect upon this change and feel I
working out the design, and asking ourselves
have a choice – I can go on listening to and sup-
porting those who have the energy to speak. Or I what interventions we should be using, etc.,
can draw attention to the wider context (the hospice that we readily get out of touch with our-
is about to move premises and a number of the cur- selves and our experiential and imaginative
rent team are not able to make the journey). I knowing – thus cutting ourselves off from
choose to refer to the wider context and gradually
how we impact the space we then in turn
new perspectives emerge – some people express sad-
ness, fear or anger about the changes while others facilitate. As a matter of discipline, I am
own that they are delighted. They have felt embar- training myself to develop a centred state and
rassed to share their delight because the change to ask myself: what is going on within my
affects others badly. My referring to the wider con- own body and my own imagination? How do
text has opened a space for people to speak about
I feel energetically? This disciplined atten-
the move and how it is impacting upon their lives.
tion to and inquiry into my own energetic
The wider field can be interpreted in a far state helps me to stay energetically centred
broader way than in the above example, and and alert.
this far broader field may also impact upon our Such an attention to our own energetic
choices as facilitators doing action research in state is an essential prerequisite to doing
the moment. For example, an exploration of facilitation as action research from moment
future commercial markets in the oil industry to moment. If we are not centred, we cannot
will be very different if it is focused upon an have real awareness of the complexity of
expansion of the markets as they are currently dimensions discussed here; we cannot notice
envisaged, as opposed to a consideration of the unfolding options and cannot make dis-
markets as they may develop after post peak cerning choices. Instead, we are likely to
oil production. If the facilitator or other parti- either be swayed by the whims of the group
cipants choose to mention an aspect of the or be too defensively attached to our own
larger field conditions such as the idea, in some ideas of what is needed.
places still controversial, that oil production is Second, facilitation requires us to be
peaking and an energy crisis looming, then the aware of the group’s energy, paying attention
conversation about future markets or develop- to the atmosphere in the room, noticing the
ments in the organization may change dramat- body language of the people. From moment
ically. Doing so may be experienced as risky; to moment, I ask myself: are they leaning
facilitation is also political. forward, engaged? Are they wary, cautious?
There is evidently an interesting and creative Are they relaxed, happy? Are they turned off
tension between prioritizing the purpose of the or turned inward? Or are some energetically
event (as identified by the organizational spon- engaged while others are not contributing? If
sors, the stakeholders and participants) and so why is this? How can I explore the differ-
referring to the wider field or context. ent levels of response? Or if the energy has
merely got stale, how shall I attend to or shift
Dimension 4: Choreography the energy?
Third, facilitation requires us to learn how
of Energy:
to connect our energy to the group’s energy
For our moment to moment practice as facil- and vice versa. When we have got the ener-
itators, the most crucial of the four dimen- getic connection we will know it in our
sions of facilitation as action research is bones. Sometimes we will feel like we are
energy. The capacity to work with the energy riding a huge wave, planing in front of it.
flows in a group is a ‘meta-skill’, core and Other times we will feel as though we are
difficult to practice. bobbing along nicely with an energetic swell.
First, facilitation requires us to be aware At still other times, we will feel as though –
of our own intrinsic energy as facilitators. despite our best efforts – we have not quite
We facilitators can easily be so busy with engaged with the energy of the group.
Nothing we suggest inspires or excites. The b) Developing Ourselves as Energy-sensitive

energy of the group is more than the sum of Instruments
the individual energies in the room, and is An important way of learning how to feel and
therefore very powerful – far greater than our choreograph energy is to develop ourselves as
individual power as facilitator. energy-sensitive instruments and to have some
Yet we can learn to influence (as well as be ideas about the possible meanings of the
influenced by) the energy of the group. For energy we experience. So we need to develop
as facilitators we can learn to ride with, stir a discipline of inquiring systematically:
up, calm, respond and dance with the energy
in the group. Facilitators who inquire into What is the quality of the energy within the group
from moment to moment? What are the likely
and learn to build these energetic connec-
meanings of that group energy?
tions can act as catalysts to the group’s What is happening within myself and what does
energies – as in chemistry, they act as catalysts, that mean about me and what might it mean
to stimulate a breakthrough or transformation about the group?
which would have been unlikely to happen
without the presence and particular energies of In learning how to develop ourselves as
those catalytic facilitators or animators. energy-sensitive instruments we will need to
Important ways of working with our own use a truly integrative knowing, drawing on
and with the group’s energy include: (a) sen- many ways of knowing, similar to the
sitizing ourselves to work with our own and ‘extended epistemology’ discussed in Chapter
the group’s energy; (b) developing ourselves 24, which is grounded in our experience;
as energy-sensitive instruments; and (c) inte- expressed through stories and images; articu-
grating creative approaches and presenta- lated through theories that make sense to us
tional knowing. Given their importance, I and put into practice in the complex discipline
will take up each of these in turn. of facilitation as action research in the
moment. For energy is usually experienced in
a) Sensitizing Ourselves to Work with Our our bodies through experiential knowing and
Own and the Group’s Energy in our images or stories through imaginal or
presentational knowing, channelled through
How do we know when to choose to do what with our minds and expressed through our practice.
our energy and with the group’s energy? As consultants developing ourselves as
instruments, we can learn to be aware of our-
There can be no definitive answer. I have selves as part of an energetic relational
learned that we need to re-sensitize our bod- system, for we are most interestingly in rela-
ies so we can tell what is going on. If we tionship with the individuals, group or orga-
have become desensitized this may take nization with which we are working. And the
time, concentration and new disciplines. We more we can tell about the quality of the rela-
need to ground ourselves so our energy is in tionship between us and the group, the more
our bodies rather than in our heads. I find we can guess about the group, organization
running, yoga, massage and the gym are or community and its likely internal patterns
wonderfully grounding. Others tell me chi of relating and its unexpressed culture.
gung may be better still. Whatever, we need Our own reactions (at all four levels of
to practise so that we can trust that we can knowing) will obviously tell us about our-
pick up the energetic state of ourselves and selves. But our reactions will also tell us
of others in the group with which we are about the group or organization relational
working. Our minds are full of chatter and system in which we are working. In order to
ideas and this tends to get in the way of understand a group, organization or commu-
learning what our bodies and our imagina- nity, we need to get close to them, establish
tions are telling us. Some tips for learning to rapport and relate in an empathetic way. At
dance the facilitator’s energetic exchange are the same time, our very empathy with the
shown in Table 43.5. team can lead us to (unconsciously) begin to
626 SKILLS
Table 43.5 Dancing the facilitator’s energetic exchange

• Develop our capacity to be energetically centred and sensitive by following appropriate disciplines such as sport, yoga,
t’ai chi, meditation
• Sensitize
• Ground
• Believe we can
• Still our minds
• Pay attention to what we notice externally in the group and internally in our bodies
• Share some of what we notice and what sense we make of it
• See what happens
• Keep inquiring and experimenting (both within ourselves and with the group/community with whom we are working)
• Trust we’ll get better and better at dancing the dance of energetic exchange
• Integrate creative exploration and approaches into our facilitation so as to harness the whole energy of the group, not
just their brains and verbal language
act or feel like the system we are facilitating We introduced our hypotheses to the team.
and become so immersed in the world of the Both director and team members recognized the
people we are facilitating that we become truth of the suggestions. With coaching and sup-
port from both a team consultant and an individ-
confluent with it. ual mentor to the director, the director became
Hawkins (2003) has referred to these phe- more aware of how he unintentionally evoked fear
nomena as parallel process: our own reac- and cut off exploratory conversations, while the
tions may resonate with and represent the team members became more aware of how they
unarticulated experiences and feelings of the failed to challenge the director when he behaved
in ways that evoked fear or cut off the very sort of
people in the organization or community in exploratory and creative dialogue that could lead
which we are working. Or they may repre- to greater innovation.
sent the energetic complement to the
person/team we are dealing with: we may
react to a person or team in a way in which c) Integrating Creative Approaches and
other people in the organization typically Presentational Knowing into Our Facilitation
react to that person or team. Learning and development which draws on
When we begin to enact this parallel all four ways of knowing is likely to be fuller
process, it is important to first notice those and much more memorable than knowing
feelings when they are not the typical ones we which draws on only one or two ways.
would normally feel in a set of circumstances; Programmes and events are often designed as
and, second, to inquire what are the possible primarily verbal and rational and thus stay
meanings of these atypical behaviours and within a comfort zone for both facilitators
feelings. and participants.
As discussed elsewhere in this Handbook
We wanted to have a conversation with one of (Chapters 20, 27, 30, 34, 35), creative and
the directors of the organization we were working non-verbal approaches harness the greater
with. We found we were highly nervous and energy and commitment which lie locked up
uncertain about how to approach him. We were in the often unused experiential and presen-
unusually giggly and behaving like two young
girls. We wondered if other people experienced
tational (or imaginal) knowing of the leaders,
the director as frightening and also responded in facilitators and the group. Creative and non-
child-like or compliant ways to his authority verbal approaches allow the participants to
figure? If this was the case it would be especially integrate their rational and intuitive minds,
significant as the organization wanted to increase the left and right hand side of the brain
its capacity for creative innovation. Authority, fear
and compliance are not the most fertile grounds
(Ornstein, 1972; Mackewn, 1997). They also
in which to develop collaborative creativity and allow participants and facilitators alike to
innovation! access their dreams, their body memories,
their collective wisdom, their intuitive or awkward at the request that they move or
hunches and voice them in the service of the mime a group situation or business challenge.
group to which they belong – often leading to Or they just do not see these creative, non-
remarkable insight or benefits for that group, verbal approaches as relevant or an effective
organization or community. use of time. The energetic and holistic bene-
An example took place in a commercial fits as explained here are so enormous that it
organizational setting with the finance is important for facilitators to learn to inte-
department (traditionally averse to creative grate creative approaches into our work in
or ‘touchy feely’ approaches). We had been skilful ways that minimize the discomfort of
working with internal sponsors to initiate, the group. We need first to familiarize our-
develop and nurture an internal mentoring selves with the experiences and depth of
scheme. The mentees, young managers, have working with creative media and presenta-
been invited to attend a meeting in which tional knowing, then think about how to
they debrief their early experiences of the adjust creative media so that we can introduce
mentoring programme and tell how things them smoothly into the groups in which we
are going from their perspective. are working. The art of facilitation is to intro-
duce creative experiences that take people
The young managers come in polite, well pre-
sented, slightly formal, seem keen to impress, pos- just outside their comfort zone but not into
sibly slightly suspicious. We invite them to do a their panic zone; to give a really good rele-
brief check-in and then to tell their stories of being vant and rational reason for why you are sug-
a mentee. They do this with growing enthusiasm – gesting they try this (so that their rational
sharing ‘successful’ experiences and challenging
mind is settled); to demonstrate confidence;
moments, amusing each other and us in the
process – as well as alerting us to problem areas and to set an example ourselves.
which may need attention later. In this storytelling The resulting payback is enormous. The
they are already integrating rational sequencing group is energized by the novel approach, the
and the organization’s need for evaluation with individuals are inspired because their ratio-
creative right brain storytelling and imaginative
nal and intuitive minds are working together,
description. As they do so they integrate their
whole selves. Naturally their energy increases, and both individual and group have access to
ours as well. intuitive hunches and personal and collective
Then I draw a stick figure cartoon of the wisdom which were previously missing or
mentee’s worst nightmares and show it to them. I unvoiced.
ask them to draw a cartoon of their own worst
nightmares and their best moments. At this point I
choose to speak with authority and energy and
don’t hesitate or consult them. I want to introduce CONCLUSION
another creative medium and right brain activity
and so I model doing so. I set them up in pairs with The facilitator’s job is complex. It is already
flip chart paper and give them 3 minutes to com- quite challenging to remain mindful of one of
plete the cartoon task. My intention is to introduce
these four dimensions I have outlined. But of
a fresh, vital and unexpected energy to further
help their functioning to flow between rational course facilitators need to multi-task, remain
thought and intuition/creativity. mindful of and interweave all four dimen-
The effect is electric. The meeting had already sions almost simultaneously: purpose and
been going well. But now it takes off. The young theoretical conceptualization; theoretical
managers speak fluently of the things that are
conceptualization and the wider field in
really troubling them. The group is inspired. They
offer each other support and innovative possibili- which we are operating; the wider field and
ties for resolution. the observation and choreography of energy.
In this view, facilitators must continuously
Yet many facilitators (and some group partic- inquire in the moment from multiple per-
ipants) are hesitant to try creative approaches. spectives – that is, how does the purpose of
They fear that people will feel infantilized by the group (purpose) and the stage of devel-
the introduction of coloured pens and papers opment of the group (theoretical conception)
628 SKILLS
and the impact of the wider field and the REFERENCES

observation of energy simultaneously inform
the inquiry into what we do as facilitators Csikszentmihalyi, M. (2002) Flow. London: Rider.
from moment to moment? Hawkins, P. (2003) Systemic Shadow Consultancy. A
Thus facilitation as action research in the Bath Consultancy Group working paper.
moment is itself a paradoxical form, both a Heron, J. (2000) The Complete Facilitator’s Handbook,
London: Kogan Page.
science and an art. It is a science in that it
Mackewn, J. (1997) Developing Gestalt Counselling.
draws on theory and evidence; it is an art in that
London: Sage.
it requires precision, attention and timely Neilsen, E.H. (1986) ‘Empowerment strategies: balancing
action. As an art form it does not and cannot authority and responsibility’, in S. Srivastva (ed.),
follow any one methodology or pre-determined Executive Power. San Francisco, CA: Jossey-Bass.
plan. It is an art in which we facilitators can pp. 78–110.
with practice and reflection develop our Ornstein, R.E. (1972) The Psychology of Consciousness.
skill, commitment, creativity and sensitivity San Francisco: W.H. Freeman.
to the specific dynamics of any given situa- Oshry, B. (1995) Seeing Systems. San Francisco, CA:
tion so that we can rise to the challenge of Berrett-Koehler.
our task and make our own discernments Schuman, S.P. (ed.) (2006) The IAF Handbook of Group
Facilitation: Best Practices from the Leading
from moment to moment about what is
Organization in Facilitation. San Francisco, CA:
needed in that particular situation.
Jossey-Bass.
All our relevant skills and our conscious- Senge, P. (1999) The Fifth Discipline: the Art and
ness of the four domains outlined here are Practice of The Learning Organisation. London:
needed to cope with the challenges of each Random House.
situation. When facilitating in the ways Shaw, P. (2002) Changing Conversations in
described we will often feel as if we have Organizations. London: Routledge.
eyes in the back of our heads, sensory per- Spinks, T. and Clements, P. (1993) A Practical Guide of
ception points throughout our bodies. We are Facilitation Skills. London: Kogan Page.
taking in information from the group/system Srivastva, S., Obert, S.L. and Neilson, E. (1977)
though all our perceptions, we are making ‘Organizational analysis through group processes: a
theoretical perspective’, in C.L. Cooper (ed.),
sense of that information, we are designing
Organizational Development in the UK and USA.
our immediate responses, while considering
London: Macmillan. pp. 83–111.
possible redesigns of the whole event and Stacey, R.(1995) ‘Creativity in organizations: the impor-
wondering how we can serve the purpose and tance of mess’, Complexity Management Centre
yet address the new issues emerging from the Working Paper, University of Hertfordshire.
current dialogue or the wider field. We are Torbert, W.R. and Taylor, S.S. (2006) ‘Action inquiry:
completely absorbed by our complex art. interweaving multiple qualities of attention for
There is no excess psychic energy left over to timely action’, in P. Reason and H. Bradbury (eds),
process any information beyond what the Handbook of Action Research: Participative Inquiry
demanding activity of facilitation offers. All and Practice. London: Sage.
the attention is concentrated. Thus facilitation Tuckman, B. (1965) ‘Development sequences in small
groups’, Psychological Bulletin, 63: 419–27.
as action research in the moment can offer a
Wadsworth, Y. (2001/2006) ‘The mirror, the magnifying
flow experience similar to those described by
glass, the compass and the map: facilitating partici-
rock climbers and dancers: ‘Your concentra- patory action research’, in P. Reason and H. Bradbury
tion is very complete. Your mind is not wan- (eds) Handbook of Action Research: Participative
dering. You are not thinking of anything else. Inquiry and Practice. London: Sage. Also published in
You are totally involved in what you are P. Reason and H. Bradury (eds) (2006), Handbook of
doing; your energy is flowing very smoothly. Action Research: Concise Paperback Edition.
You feel alert, relaxed, comfortable, ener- London: Sage. pp. 322–34.
getic’ (Csikszentmihalyi, 2002: 53).
44
Muddling Through: Facing the
Challenges of Managing a
Large-scale Action Research Project
Geoff Mead
This chapter takes a practical view of the complex demands of managing a real-life large-scale
project involving multiple action research groups over an extended period of time. The differ-
ent perspectives of the various stakeholders in the project, the tensions between them and
the consequent unanticipated issues that arose are explored. The narrative charts a gradual
shift from hierarchical line management of the project towards a more relational approach,
consciously developing a network of relationships among the stakeholders. It closes by iden-
tifying some of the capacities and qualities demanded of someone charged with managing
such a project and concludes that whilst good planning is essential it is no substitute for an
active and curious engagement with the phenomenology of the process as it unfolds.
A considerable amount has been written over an extended period of time. I also want
about the skills of facilitating action research to identify and illustrate some of the qualities
in groups, including those particularly rele- and capacities that might be called upon in
vant for co-operative inquiry (Heron, 1996; attempting to manage this kind of large-scale
Heron and Reason, 2001/2006; McArdle, action research project.
Chapter 42; McKardle, 2002; McKewn, In the ongoing debate about the scope and
Chapter 43; Wadsworth 2001/2006). In this influence of action research, this kind of
chapter, I want to take a slightly different approach potentially offers a middle ground –
perspective and consider some of the chal- perhaps even a creative synthesis – between
lenges of managing a large-scale project depth of intervention (e.g. single case action
involving multiple action research groups research groups) and breadth of intervention
630 SKILLS
(e.g. dialogue conferences; Gustavsen, 2003; conclusions about how best to approach such
Chapter 4). I am interested to see if we can a role.
move beyond the polarization of intense,
small-scale, local interventions on the one
hand and diffuse widespread, systemic inter-
ventions on the other ACTION INQUIRY GROUPS AND
I will offer a partial and tentative view THE PSLS
grounded in the ‘messy lowlands’ of my own
practice, drawing on the experience of work- The PSLS was commissioned by the Cabinet
ing with the UK Cabinet Office sponsored Office, in response to governmental concerns
Public Service Leaders Scheme (PSLS) over about the quality of public service leadership.
a five year period, from its inception in 2001 The contract to design and deliver the pro-
to its conclusion in 2006, variously as the gramme was awarded on the basis of a com-
designer, co-ordinator, supervisor, manager, petitive tender to a consortium of organizations
and director of the action inquiry element of including the National School of Government,
the programme. I hope this will be useful for the Institute of Local Government at the
other practitioners faced with similar chal- University of Birmingham, and Clutterbuck
lenges but, as suggested by the adoption Associates – a niche consultancy specializing
of Charles Lindblom’s term ‘muddling in coaching and mentoring. I was closely
through’ (Lindblom, 1959) in the title of this involved with the scheme from its inception
chapter, there are limits to how accurately (as an associate of the National School of
such challenges can be anticipated and Government), having been invited to propose a
prepared for. design for the learning groups on the strength
In the following sections I will give some of an earlier small-scale collaborative inquiry
background and context for the PSLS and into ‘Developing ourselves as leaders’ in the
describe the part played by the action inquiry police service that I had undertaken whilst
groups in the scheme – enough, I hope, to serving as a Chief Superintendent in the
enable you to locate what follows in subse- Hertfordshire Constabulary (Mead, 2002).
quent sections. I will then focus on the partic- The scheme was intended – according to
ular demands and challenges that arose the PSLS website (www.publicserviceleader-
during the first three years of the scheme, sscheme.gov.uk) – to develop a new genera-
how other stakeholders and I made sense of tion of public service leaders with the
them and how we responded. In describing appropriate skills, abilities, knowledge and
and reflecting on these experiences I shall experience to work effectively in positions of
attempt to stay close to the spirit of ‘muddling leadership within – and across – the public
through’ to give you a feel for unfolding sector. Participants were drawn mainly from
events without undue post-hoc rationaliza- central government (civil service), local gov-
tion. In a separate section I will go on to show ernment and the National Health Service
how using the four territories of experience – with a small minority of police and voluntary
visioning, strategizing, performing and sector representatives. They ranged in age
assessing1 – theorized by Torbert and others from late twenties to late forties, with most in
(Fisher et al., 2000; Torbert, 2004) helped me their thirties. Many had already been through
to understand some of the tensions that arose some kind of fast-track scheme and were
between the different stakeholders in the selected on the basis of perceived potential to
scheme. I will also summarize how this new progress to senior public service leadership
understanding enabled my practice to roles. Each cohort had a fairly even balance
develop. Finally, I will seek to identify some of men and women overall, though with dis-
of the capacities and qualities that managing proportionately (and disappointingly) few
the project demanded and draw some tentative members from visible ethnic minorities.
MANAGING A LARGE-SCALE ACTION RESEARCH PROJECT 631
The programme, which I have described process if they felt that, for any reason, the
more fully elsewhere (Mead, 2006), com- proposed membership was unsuitable. Each
prised several related elements. Participants AIG met six times per year for a full day.
attended a two-day foundation event to intro- Group members hosted meetings at their
duce them to the programme and make place of work, on dates mutually agreed
an initial identification of learning and between the members and facilitator.
development needs through small group As the member of the consortium respon-
exercises and the results of a 360° feed- sible for designing this element of the pro-
back tool (Transformational Leadership gramme, I wanted to create a process that
Questionnaire™). On the basis of this infor- would integrate with the other elements of
mation and in dialogue with their organiza- the PSLS and, whilst giving some structure,
tional sponsor, they prepared a written have enough flexibility to address a wide
personal learning contract against which to range of needs among a large population of
gauge and evidence their development over participants, and I coined the term action
their time on the scheme. Participants were inquiry group. In the course of the two-day
expected to attend at least 80 per cent of the preparation seminar for AIG facilitators and
nine two- or three-day residential network later at the opening session of the PSLS
learning events with inputs on leadership and when introducing participants to the idea of
public service delivery and large group action inquiry groups, I described their dis-
inquiry processes such as world café (Brown, tinctive features as cycles of action and
2002) and open space technology (Owen, reflection, ongoing inquiry questions, a focus
1992). All participants had the opportunity to on improving practice, the possibility of col-
select a mentor from a pool of trained volun- laborative inquiries emerging, an egalitarian
teers, mostly senior public service leaders and participative ethos, a form that values
and all had access to the virtual learning many different ways of knowing. I also
centre, an on-line repository of information, explained that AIGs were intended to provide
articles and notices of events. As part of the continuity and a sense of community, a safe
programme, participants were expected to and challenging space, both personal and
arrange a period of interchange in another professional development, individual and
organization, probably in a sector different collective learning, and a source of long-term
from their own. Finally, all participants were cross-sector relationships as well as integra-
expected to work as members of facilitated tion with other elements of PSLS.
action inquiry groups.2 During the five-year lifetime of the PSLS,
Each action inquiry group (AIG) had 11 or over 250 rising public service leaders partici-
12 members and a professional external facil- pated in a total of 21 action inquiry groups,
itator drawn from the staff and associates of each lasting up to three years. Anticipating the
the supplier consortium. Over time, as some need to support the group facilitators, the
participants left the scheme, most groups design incorporated a process for monitoring,
developed a stable core of 8 to 10 attendees. supervising and co-ordinating their work.
The composition of the groups was deter- Prior to taking up their roles, all facilitators
mined on the basis of a few simple criteria. attended a two-day workshop to be briefed on
First, we clustered participants regionally to the scheme and prepare for the opening ses-
minimize travel and for ease of contact sions of their groups. Facilitators submitted a
between meetings. Second, we looked for the confidential monitoring form after each group
optimum mix of sector and professional meeting, describing what the group (not indi-
background. Third, without applying quotas, viduals) had done and were planning to do
we attempted to achieve a reasonable gender3 plus any issues, themes or problems that had
balance. As a safeguard, participants were arisen. My role was to supervise their practice
invited to swap groups at the beginning of the and oversee this element of the scheme on
632 SKILLS
behalf of the consortium through telephone to be designed out or solved through the
and email contact and occasional face-to-face exercise of hierarchical authority and account-
meetings of all facilitators, a process we called ability. Rather, they were a systemic property,
the meta-set. My intention in creating the an ongoing phenomenon to be actively man-
meta-set was to bring the AIG facilitators aged by building a network of relationships
together as a community of inquiry as well as between the various stakeholders.
a community of practice (Lave and Wenger,
1991; Wenger, 1998). It seemed to me that we Early Days: Unexpected Confusion
could only learn how to manage and facilitate
the AIGs well by attending to our own learn- Participants, facilitators, colleagues from the
ing and development as a parallel process to consortium, and members of the Cabinet
working with the participants. Office PSLS secretariat gathered together for
the opening day of the scheme in July 2001.
As part of the opening proceedings I gave a
ISSUES, CHALLENGES AND half-hour presentation on the structure and
RESPONSES purpose of the action inquiry groups.
Participants had already been given a copy of
Despite our good intentions, the route we ‘A layperson’s guide to co-operative inquiry’
actually followed in managing the action (Reason and Heron, 1999) and they seemed
inquiry group element of the PSLS was much interested and attentive as I spoke. I offered
rockier and more complex than we had imag- an overarching inquiry question for them to
ined. It was in seeking to respond to these consider – ‘How can I/we improve my/our
twists and turns that some of the qualities practice as public service leader(s)?’ – and
and capacities required to manage such a sent them off for their first meeting with their
large-scale project gradually became apparent. facilitators. I waited excitedly as the groups
As you will see below, the various stake- commenced their work, available for support
holders in PSLS held quite different perspec- if needed but expecting a smooth passage.
tives on what they thought the action inquiry Within 40 minutes one of the facilitators
groups should focus on and what they came into the room looking flushed. ‘They
wanted from them. These different perspec- don’t get it,’ he said. ‘They don’t understand
tives took some time to tease apart and artic- what this action inquiry stuff is all about and I
ulate clearly although, from very early on, cannot tell them. Can you help please?’ I
tensions between them were apparent and returned with him to the group, my heart sink-
they caused a lot of ‘noise’ in the system (e.g. ing. ‘What is there not to understand? I’ve
confusion about action inquiry, facilitators explained it quite clearly and they have had
resigning from their roles, demands for the reading,’ I thought. As I entered the room,
progress reports, and an external evaluation the participants’ frustration was evident: ‘This
of the scheme). Whilst I did my best to all seems very woolly. What exactly are you
engage with these tensions I tended, in the asking us to do?’ queried a spokesman. There
early stages at least, to think of them as followed an hour of fairly unsatisfactory and
unfortunate obstacles to be overcome, as a heated discussion ending with my encourage-
distraction from the main business of super- ment to them to ‘find their own way’.
vising the professional practice of a group of Although this was the only group I was
AIG facilitators. called in to speak with that day, it became
Gradually I realized that addressing these clear when the meta-set debriefed immedi-
tensions, far from being a distraction, was a ately after the groups had finished that there
crucial dimension of managing the process was a lot of confusion amongst participants
effectively. Furthermore, I came to under- (and some facilitators) about what was
stand that these tensions were not a problem expected. I wondered how I might have better
prepared both participants and facilitators to order to develop sufficient competence in

move into what, it had transpired, was new action research/inquiry amongst the remain-
and unfamiliar territory. Could the framing ing facilitators, I had to persuade my col-
have been stronger? Could the contracting leagues from the consortium that we should
with participants have been clearer? Perhaps, bring in some facilitators with specific exper-
but given that participants were required to tise in facilitating action research/inquiry
take part in the AIGs, I had taken the view even if that meant reducing our revenues by
that being overly prescriptive about process going outside our own organizations to find
and content would have been oppressive. I them. They agreed that the downside risk of
decided to hold firm to this line – for the time not doing so was too great and, over the next
being at least – and found that reassuring few months, we recruited an able group of
comments like: ‘it will be all right’, ‘it is facilitators drawn from within and outside
important that they find their own way’, the consortium, including some colleagues
‘there is often some confusion early on’, ‘it’s from the Centre for Action Research in
all part of the process’, tripped off my tongue Professional Practice, University of Bath.
with more apparent confidence than I actu- All these issues were discussed in the
ally felt at the time. meta-set, which quickly took on added sig-
nificance as a forum for the management of
Six Months: the Wheels are the action inquiry groups as well as the
supervision of facilitation practice. Although
Wobbling
I had originally envisaged acting solely as an
The initial sense of turbulence amongst the ‘expert’ adviser and supervisor, I found that I
group of facilitators seemed to amplify rather needed to become much more involved in the
than diminish in the early months of the management of the PSLS as a whole in order
scheme. For the first cohort, ten facilitators to position the work of the AIGs and to sup-
(eight plus two reserves) had been selected port the work of the facilitators. After some
from staff and associates of the organizations months, my colleagues in the consortium
forming the supplier consortium. All were invited me to act as ‘director of action
experienced and well-regarded facilitators in inquiry’, taking formal responsibility not just
their own fields though few had any first- for the development of AIG facilitation but
hand experience of action research or action also for the overall effectiveness of this ele-
inquiry and the relative looseness of the ment of the scheme and its integration with
design proved to be very demanding for those the rest of the programme. In hindsight, the
used solely to facilitating learning through need to take on a wider management role
structured exercises in a training environ- from the outset seems obvious. However, it
ment. Within a few weeks, three notified me came as an unforeseen and (given other pro-
that they were unable to continue for various fessional demands on my time) a not entirely
reasons, and later a fourth left at my request welcome development.
after their group had expressed concerns With eight AIGs running at the same time
about an over-directive style of facilitation. (growing to a maximum of 21 groups over
These problems with facilitators brought the next three years with additional annual
me face to face with the politics of managing intakes into the PSLS), a crucial issue for me
a large-scale action research project in a was to affirm the inevitable diversity of prac-
commercial environment as there was a tice within the AIGs whilst seeking to pro-
strong financial incentive to use only staff vide overall coherence by holding firmly to
and associates of the supplier consortium as an ethos or stance of action inquiry. As the
facilitators (since this attracted revenue). meta-set matured, facilitators spent increas-
However, this seriously limited the size of ing amounts of time sharing, critiquing and
the pool from which they were chosen. In comparing their practice. At the same time,
634 SKILLS
the facilitators were also de facto the main ‘communicative spaces’ (Kemmis, 2001/2006)
point of contact with the scheme for partici- that they found useful and supportive. We
pants and needed information and guidance decided that we should apply ourselves to
about many other aspects of the programme bringing some rigour, depth and challenge to
(e.g. mentoring, interchange, personal learn- the work that they wanted to do rather than
ing contracts, graduation criteria) to allay ‘beating them up’ for not doing formal
the anxieties and concerns of their groups. co-operative inquiries.
Colleagues in the consortium and members This was a pivotal point in the develop-
of the Cabinet Office secretariat were invited ment of the action inquiry groups and of our
in for parts of the meta-set meetings to cover relationships within the meta-set. The facili-
some of these aspects. By opening up in this tators and I agreed that we needed to find a
way, we began to develop useful personal way to hold open the space for the work the
relationships with stakeholders across the groups were actually doing until it matured
wider PSLS system. to the point where convincing evidence for
its value would emerge. We needed to gather
Twelve Months: Crisis of Confidence stories or at least snippets of stories that
could be shared to satisfy the Cabinet Office
Managing the project in the first year secretariat that the groups were making satis-
involved holding a lot of uncertainty and factory progress. We combed our collective
anxiety among participants, facilitators, col- experience of the past 12 months and found
leagues in the consortium and the client examples of focused discussions in the
group, all of whom were unsettled by the ini- groups around such topics as ‘ways of
tial lack of clarity experienced in the groups improving motivation’, ‘the policy/service
and their apparent reluctance to engage in interface’, ‘being transformational in a trans-
formally constituted co-operative inquiries. actional world’, and ‘the implications of
After about 12 months, the Cabinet Office immigration for service delivery’ that we
secretariat (our clients for this contract) labelled as inquiries.
began to express their concerns directly and Rather than offer a written report that
asked the consortium for a formal report on could be dissected and picked over out of
the progress of the AIGs which were, by context, I arranged an hour-long meeting
virtue of the confidentiality of their proceed- with the secretariat and, accompanied by
ings, a ‘black box’, as one member of the consortium colleagues, gave a half-hour oral
secretariat put it. presentation supported by visual aids. We
Faced with this demand, I turned to the acknowledged the early confusion, com-
group of facilitators in the meta-set and mented frankly on perceived difficulties in
asked them what evidence we could provide particular groups, invited their suggestions
of common inquiry themes emerging in their for future improvements and sought to
groups. Their responses revealed that, on the demonstrate that we had actively and con-
whole, participants were much more inter- structively managed this element of the
ested in exploring the difficulties they were scheme. It became clear that the secretariat
experiencing in reconciling the conflicting felt under some pressure from the high-level
demands of home and work life than inquir- sectoral sponsors of the scheme to demon-
ing into wider organizational and systemic strate that, after 12 months, it had begun to
issues. Participants on the whole, they said, deliver substantive benefits. In short, they
had come to value membership of AIGs but needed the stories even more than we did and
for reasons different from those we had ori- found the examples we provided very helpful
ginally envisaged. I was persuaded by the in building the credibility of the scheme with
facilitators that the groups were settling in to sponsors. For our part, we were learning that
worthwhile ways of working, opening up rather than adopting a defensive posture,
keeping the secretariat at arm’s length from other groups. Following this they met again
the AIGs, it served us better to help them with their own facilitators to consider what
meet the perceived needs of their clients – they had learned and what possibilities they
the high-level sectoral sponsors of the could see for extending and enriching their
scheme. We (and the shift from I to we is sig- future meetings. The group exchanges were
nificant here) were beginning to take a much characterized by high levels of interest and
wider and more systemic view of what was intense conversations interspersed with
involved in managing the whole scheme. laughter and expressions of recognition –
‘yes, we did that too’ – and of discovery –
Two Years: Loss of Energy ‘we never thought of that, how did it work?’
Subsequently, facilitators reported renewed
Towards the end of the second year, most levels of energy and engagement in their
groups had settled into a regular pattern of groups.
meetings with favoured ways of working and Second, we asked participants to reflect
a stable core of attendees. Facilitators were appreciatively on their experience in their
able to pass on many examples of valuable inquiry groups. They were introduced to the
personal work and wider learning about lead- concept of appreciative inquiry (Hammond,
ership practice. However, they also reported 1998; Cooperrider Jr et al., 2000; Ludema
a general slump in energy and enthusiasm in and Fry, Chapter 19 in this volume) and then
the groups. In the meta-set we surmised that asked to interview each other in pairs to elicit
this might in part be due to the fact that some specific examples of learning in their AIG
of each group had decided to leave the that were significant to them in some way
scheme after two years (either because they and of times when they felt members of their
were eligible for early graduation or because AIG worked really well together. Following
their organizations were not in a position to this, they were invited to write any observa-
pay the unsubsidized third year fee). tions about their experience of action inquiry
Facilitators exchanged ideas, drawn from groups that came to mind. The text generated
their own successful practice, for activities by this process painted a very rich (though
and processes that they might use to enliven not definitive or objective) picture of how the
the groups. Thinking more systemically, we groups worked and what participants saw as
felt that more communication between the the benefits they had obtained from the expe-
groups might create more energy and we rience. I would like to offer just one quota-
decided to expose the groups to the wide tion from the exercise that encapsulates
variety of approaches and experiences that something of the spirit of what was said by
had occurred across the whole cohort. many participants about their experience:
First, we arranged a special event at a
meeting of the whole cohort. Each group was My action inquiry group is important to me in
given time with its facilitator to consider many ways ... The key thing is that it is a safe envi-
what they wanted to share about their experi- ronment where you don’t have to play a role: i.e.
ence (process, content, and learning) with wife, boss, senior manager, friend, or colleague.
You are literally ‘laid bare’. There is no need for
other groups and what they would like to find being brave, or trying to look clever. You can
out about the experience of other groups. exhibit all your frailties. An important part of the
They prepared questions to ask other groups learning has been that we are all frail, but even
and some visual display material, ranging more interesting is that actually our problems and
issues seem to be common: the difficult boss,
from flip charts, to collages, photographs and
being consumed with work, [or] really properly
artefacts to exemplify and represent their scared of being ‘found out’. It’s silly because we
own experience. Groups then assembled with still all hold on to some belief that we are the only
their display materials in one large room and ones to have these problems [and that] everyone
enjoyed several rounds of exchanges with else is more capable than [we are].
636 SKILLS
Table 44.1 Perceived usefulness of AIGs
Cohort one Cohort two Cohort three All cohorts
Action inquiry groups 4.6 4.9 3.6 4.4

Whole PSLS programme 3.4 4.4 3.6 3.9
The fruits of this appreciative reflection and focus group sessions with participants,
were fed back into the whole PSLS system: their line managers and organizational spon-
participants, facilitators, consortium and sec- sors plus a questionnaire for qualitative and
retariat (and onwards to some sectoral spon- quantitative responses concluded:
sors). We found that sharing these verbatim,
The scheme is having a positive impact on partici-
anonymized accounts of participants’ experi-
pants’ development, in particular:
ences in their AIGs helped all the different
stakeholders to understand and talk about the • increasing self-awareness
benefits of the scheme. For the first time we • increasing confidence
developed a common language, grounded in • broadening perspectives in decision-making
• encouraging a consultative approach; and
shared narratives, to describe the process of
• developing partnership working
the AIGs. This was to prove invaluable a
year later when the secretariat commissioned The numerical data in the report show a
an external evaluation of the PSLS. high level of participant satisfaction with the
AIGs. On a scale of 1 (not at all useful) to 6
Three Years: Pulling the Strands (very useful), cohort one rated action inquiry
groups at 4.6, cohort two at 4.9 and cohort
Together
three at 3.6. At this time (July– October 2003)
Two particular actions in the third year of the cohort one was in its third year, cohort two in
scheme illustrate the continuing move its second year, and cohort three barely three
towards more relational management. The months into the scheme. The full results are
first of these was the way that we worked shown in Table 44.1.
with the external evaluators to help them dig I include these paragraphs about the evalu-
down deeply into participants’ actual experi- ation less to show how well the scheme was
ence of the scheme to find the kinds of bene- regarded (though I think that is relevant and
fit they were reporting to us but which might of interest) than to highlight the kind of eval-
escape a more conventional evaluation. uative processes that are likely to be used by
As an opening move, we gave the evalua- clients of large-scale commercially-based
tors a copy of the text generated by the schemes such as PSLS. There is a need to
appreciative reflection conducted at the end bridge the divide between an action
of the second year. We also arranged, with research/inquiry based approach and conven-
participants’ consent, for them to attend an tional evaluation methods which may under-
AIG meeting and to interview participants value or not even recognize the embodied and
about their AIG experience. Having dis- tacit forms of learning claimed by partici-
cussed the wider issues involved in promot- pants. In our case, pre-empting the formal
ing and sustaining the scheme in the evaluation with the verbatim accounts of the
meta-set, facilitators also co-operated readily benefits participants had previously identified
with the external evaluation, arranging inter- in their appreciative reflection on the AIGs
views and inviting them into meetings of provided a substantial body of evidence that
their AIGs. would have been difficult to ignore. I suggest
The evaluation report (Foster and Turner, that it also set the tone for the external evalu-
2003), based on a combination of interviews, ators’ contact with participants and predisposed
them to evaluate the scheme from a broader progress report to the Cabinet Office
and more inclusive standpoint than they secretariat after about 12 months starkly
might otherwise have done. revealed the existence of tensions between
The second action illustrating the move the different stakeholders: the secretariat
towards more relational management of the wanted evidence of ‘tangible results’ from
scheme was the way in which we brought the groups, participants were more interested
stakeholders together at a plenary event to in focusing on their own life situations, facil-
hear participants’ unmediated feedback. itators wanted the freedom to follow their
Working in small groups based on their own preferred ways of working with groups,
AIGs, participants reported their experience and I found myself somewhere in the middle
of the PSLS directly to senior members of of all this putting pressure on the facilitators
the Cabinet Office and other high-level sec- to bring some coherence to the work of the
toral sponsors. They presented, often in quite groups whilst simultaneously trying to con-
moving tones, stories and examples of how vince the secretariat that everything was all
they believed they and their organizations right. I could see the issues quite clearly but
had benefited from the PSLS. Frequently, felt stymied by not understanding how we
they cited the AIG as the highlight of the had come to occupy such different positions.
scheme and some declared their intention I wanted to find a theoretical model or frame-
(subsequently fulfilled) for their groups to work that would help me understand and thus
continue to meet after the formal end of the offer up possibilities for acting differently
programme. One participant, when gently and more effectively. Kurt Lewin, sometimes
challenged by a visiting sponsor to describe referred to as the grandparent of action
what outcomes the course had produced, research, is reputed to have said ‘there is
declared passionately: ‘We are the products nothing so practical as a good theory’, and I
of the Public Service Leaders Scheme’. was short of a good theory.
Moments such as that one, and another In conversation with colleagues at CARPP,
occasion when a visiting sponsor was so it occurred to me to look at the different per-
impressed by his contact with the members spectives of the stakeholders through the
of one AIG that he acted as their spokesper- ‘four territories of experience’ proposed by
son and proudly presented their feedback to Torbert and others (Fisher et al., 2000;
the whole group, including the other spon- Torbert, 2004) as critical for effective action
sors, illustrate the potential benefits of facili- in the world: visioning, strategizing, perform-
tating connections between the different ing and assessing. By their definition, vision-
stakeholders in the system. ing is concerned with long-term intentions,
In the next section I will show how my purposes, and aims: strategizing with plan-
understanding of the dynamics involved in ning and implementing overall delivery: per-
the PSLS benefited from applying a particu- forming with acting in pursuit of role-defined
lar theoretical perspective and then summa- responsibilities: assessing with observed
rize how this understanding was gradually behavioural consequences and the effects of
reflected in my approach towards managing action. Applying these perspectives to the
the AIG process. action inquiry group element of the PSLS, it
seemed obvious that they were ‘owned’ by
different stakeholders and that this might
explain the roots of some of the tensions and
TOWARDS A SYSTEMIC difficulties we were experiencing.
UNDERSTANDING In Table 44.2, I have sought to follow the
logic of this through, assigning each of the
The crisis of confidence in the AIG process four territories of experience to one of
that resulted in the demand for a formal the stakeholder groups. These are defined as:
638 SKILLS
Table 44.2 Different perspectives on action inquiry groups

(adapted from Mead, 2006)
Stakeholders PSLS Secretariat Director of Action Action Inquiry Group Individual PSLS
Cabinet Office Inquiry Groups Facilitators Participants
Visioning Strategizing Performing Assessing
Perspective Long-term impact of Medium- to long-term Medium- to short-term Short- to medium-term
PSLS as a whole on impact and exercise of facilitator impact of learning in
public service sustainability of action role to sustain life of the group on my work
leadership inquiry group process the group and life
Question How do we know How can we satisfy the How can we meet the How can this group
action inquiry groups client that we are specific needs of our meet my needs well
are ‘working well’ and doing good work groups which may not enough to justify the
represent good value whilst keeping the look much like the time I have to take out
for money for sectoral space open for very original plan whilst of my busy life to be
sponsors? different needs of each ‘playing the game’? here?
group?
Control Co-ordinate Facilitate Relate

Pull towards Tangible products that Coherent stories of Activities that promote Friendships that help
can be shown to others what groups are doing reflection and improve me cope with demands
to prove value of PSLS in relation to aims of practice of participants and pressures of life
PSLS and work
Tensions Holding the space Holding the space Holding the space Holding the space
between the sectoral between the between director of between ‘system
sponsors and the secretariat and action action inquiry and world’ and ‘life world’
deliverers inquiry group participants
facilitators
PSLS participants (participants), AIG facili- process in order to produce tangible out-
tators (facilitators), director of AIGs (direc- comes that could be shown to others to prove
tor), and Cabinet Office PSLS secretariat the value of the PSLS (and, perhaps, their
(secretariat). This nomenclature does not own effectiveness in overseeing the scheme).
include the wider sectoral sponsors of the We can surmise that the primary tension they
scheme but for the sake of simplicity I have experienced was that of holding the space
assumed their influence was primarily exer- between the demands of sectoral sponsors
cised on and through the secretariat. and the ability of the consortium to deliver
We might say that the secretariat was the results in accordance with the contract.
primary custodian or owner of visioning with As director I certainly felt that, together
a long-term perspective on the impact of the with colleagues in the consortium, I owned
PSLS as a whole on the quality of public strategizing. Although I was concerned
service leadership (and, not shown in Table about the success of PSLS as a whole, my
44.2, probably a short-term concern for their primary perspective (and what I was
own credibility in the eyes of sectoral spon- accountable to the client and colleagues for)
sors and other senior governmental figures). was the medium- to long-term impact and
The iconic question they held towards the sustainability of the AIG process. The ques-
AIGs might be expressed as: ‘How do we tion I often asked myself was: ‘How can we
know action inquiry groups are “working satisfy the client that we are doing good work
well” – and represent good value for money whilst keeping the space open for the very
for sectoral sponsors?” They were pulled by different needs of each group?’ I was pulled
these concerns towards controlling the to co-ordinate the work of the facilitators and
wanted coherent stories of what the groups characteristic question to be something like:
were doing in relation to the avowed aims of ‘How can this group meet my needs well
the PSLS. This particularly manifested itself enough to justify the time I have to take out
in the conflicting expectations of the client of my busy life to be here?’ Despite our
and participants about undertaking inquiries encouragement for them to engage in collab-
with an organizational focus versus creating orative inquiries into issues and questions
safe communicative spaces (Kemmis 2001/ with obvious organizational relevance, they
2006) for dialogues of a more personal were pulled strongly towards forming rela-
nature to happen. In the early stages, at least, tionships, friendships that might help them
my role was characterized by holding the personally cope with the often conflicting
space between the secretariat and the action demands and pressures of life and work.
inquiry group facilitators. The distinction made by Jürgen Habermas
The facilitators were the primary custodi- (Habermas, 1987; Kemmis, 2001/2006)
ans of the performing perspective for the between the dynamics of the system world
AIGs, with a medium- to short-term focus on and the life world and the colonization of the
the exercise of their role in promoting and latter by the former in modern industrialized
sustaining the life of the group and the qual- and post-industrialized societies provides a
ity of inquiry undertaken. In our meta-set powerful explanation for the ‘pull to the per-
meetings it seemed that their iconic question sonal’ in the action inquiry groups as partici-
might be phrased as: ‘How can we meet the pants sought to reconcile the demands and
specific needs of our groups (which may not constraints of their roles as public service
look much like what was originally envis- leaders with their more holistic sense of self
aged) whilst ‘playing the game’ sufficiently outside the work environment. This might be
for an appearance of cohesion?’ They were expressed as a tension in holding the space
clearly pulled towards facilitating activities between the system world and the life world.
in their groups that promoted reflection and Torbert and others (Fisher et al., 2000;
helped to improve participants’ leadership Torbert, 2004) argue that we achieve the
practice. It is also clear from our discussions greatest possibility for appropriate, timely
that they experienced the tension of holding and effective action when the four territories
the space between the demands of the direc- of experience (four perspectives or cate-
tor of action inquiry (me) and of the per- gories of action) are aligned either internally
ceived needs of participants. I think the within one person or through close interrela-
extent of this tension is evident in a remark tionships and mutual feedback within a
made recently to me – with the benefit of system. Applying this new understanding to
hindsight – by one of the facilitators: my role as director of AIGs encouraged me
to shift my practice to a more relational and
In all those meta-set meetings I never felt you were systemic perspective. Originally I had tried
fully present. I really only trusted you because I to manage the process by a carefully con-
knew you well in other contexts. You often
trolled flow of information up and down a
seemed to be holding issues for other people and
I don’t think you always told us what was going chain, from participants to facilitators, to me
on. … I also want to acknowledge the difficulties (in the form of monitoring reports) to the
of your position and to thank you for doing a Cabinet Office secretariat (via formal
‘good enough’ job. progress reports) and back down again. Now,
with greater understanding of the system
The participants were the primary owners dynamics and with more confidence in the
of the assessing perspective, concerned value of the work done in the AIGs, I con-
for the most part with the short- to medium- sciously sought to build multiple connections
term impact of learning in the group on between all the stakeholders in the system.
their work and lives. We could imagine their This shift is represented in Figure 44.1.
640 SKILLS
Cabinet Office
Secretariat
Report Dialogue Director

Cabinet Office
of
Secretariat
Action Inquiry
Director
of
Action Inquiry
Whole
Meta-set Feedback Group Meta-set
Events
AIG
Facilitators
PSLS AIG
AIG Participants Facilitators
AIG
PSLS
Participants
Figure 44.1 From a flow of information to a network of relationships
The model on the left-hand side shows the It took a couple of years to make this shift
limited and linear connections with which we for the first cohort but, once made, it contin-
began between the four stakeholder groups. ued for subsequent cohorts. We can speculate
The perimeters of the boxes are shown in bold why it took so long: perhaps we (consortium
and the arrows indicating the connective colleagues and I) needed time for the benefits
processes as dotted lines to indicate both an claimed by participants to come through before
attitude of mind and the relative emphasis feeling sufficiently confident in the action
placed on each. The model on the right-hand inquiry group process to ‘let the stakeholders
side shows the development of a more com- loose on each other’. Certainly we can agree
plex network of relationships in which all the with Gustavsen et al. (Chapter 4) in recog-
stakeholders have direct contact with each nizing that ‘relationships with dynamic
other. The perimeters of the boxes are shown problem-solving capability do not emerge by
as dotted lines and the arrows indicating the themselves’ and that considerable effort is
connective processes in bold; again, to indi- required by all those involved.
cate both an attitude of mind and the relative This reinforces the point that the move
emphasis placed on each. The right-hand towards more relational management of the
model also shows new opportunities for direct project did not come about through my
communication between participants, facilita- agency alone. Alongside the role-based ten-
tors and the secretariat through feedback and sions of the different stakeholders there was
by bringing all parts of the system (including, also their natural impetus to communicate, to
but not shown on the diagram, sectoral spon- connect and to form mutually satisfying rela-
sors) together at whole group events such as tionships, which also took time. Perhaps the
network learning events to interact informally most important thing I did was to recognize
at social occasions and more formally through this countervailing human tendency and help
presentations and discussions. it find expression in the scheme.
The good news is that it got easier as the This also requires a willingness to stand back
network of relationships built up and as each out of the limelight.
successive cohort of participants was ‘held’ 8. High level of personal energy to take a proactive
stance, to manage the project actively for suc-
by its predecessors. My role felt less burden-
cess rather than managing by exception when
some as time went on and I felt able to exer- problems arise or, even worse, laissez-faire.
cise it with a lighter touch. 9. Patience and persistence are needed to stay
with a long-term project – commitment to the
project in hand is an essential requirement,
CAPACITIES AND QUALITIES especially when new and exciting alternatives
offer themselves.
10. Optimism in the face of delays and disappoint-
So, what can be said of the capacities and ments needs to be balanced with a willingness
qualities demanded of someone managing a to face the facts and make a realistic assess-
large-scale action research project such as ment of how the project is going at all times.
the action inquiry group element of the
PSLS. I would like to close by highlighting Finally, let me return to where I started out. I
ten that seem to flow from the experiences I borrowed Charles Lindblom’s phrase ‘mud-
have shared with you in this chapter – though dling through’ for the title of this chapter as,
I do not claim always to have demonstrated to my mind, it accurately reflects the experi-
them myself. ence of decision-making in a complex envi-
ronment in the midst of action: surrounded
1. Ability to articulate the benefits, ethos and prin- (sometimes overwhelmed) by inchoate and
ciples of an action research/inquiry approach in partial data, assailed by strong emotions,
straightforward language that makes sense to
faced with unclear personal motivations,
participants and other stakeholders.
political machinations and plurality of
2. Non-attachment to particular methods and
ways of working. It is more important to choice. It is therefore crucial that practition-
respond to the real and emergent needs of par- ers charged with managing large-scale action
ticipants than it is to implement a pre-deter- research projects hold open and inquiring
mined design, no matter how good. attitudes to their roles and to the schemes
3. Capacity to bear anxiety and hold uncertainty they manage. Good planning is essential but
on behalf of the system, expressing confidence no substitute for an active and curious
(not complacency) before the benefits of the engagement with the phenomenology of the
project become apparent. process as it unfolds.
4. Political nous to read the concerns, wants and
needs of multiple stakeholders, recognizing the
legitimacy of different perspectives and being
willing to address them without being precious. NOTES
5. Willingness to step into a leadership role, espe-
cially if there is a vacuum, and stand up for the 1 Torbert uses various alternative forms of lan-
project in the face of doubts and criticism. guage to describe these territories (e.g. purpose,
Acting decisively when needed (e.g. responding thinking/feeling, behaviour, outside world) but I find
to concerns about the quality or appropriate- the formulation quoted in the text the most helpful
ness of facilitation). in this case.
6. Determination to insist on what is needed to 2 The term ‘action inquiry’ was first used by
Torbert (1991) as a development of ‘action science’
make the project work, including the recruit-
as practised by Chris Argyris and colleagues (Argyris
ment, development and supervision of those
et al., 1985).
actually delivering the action research/inquiry 3 As previously mentioned, the scheme attracted
project. disappointingly few members of visible ethnic
7. Systemic perspective that brings different stake- minorities and, though this was a significant issue for
holders together and builds networks of rela- sponsors of the scheme, it was not a factor that we
tionships to support and sustain the project. took into account when composing the AIGs.
642 SKILLS
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Argyris, C., Putnam, R., et al. (1985) Action Science: Lave, J. and Wenger, E. (1991) Situated Learning:
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Brown, J. (2002) The World Café: a Resource Guide for Lindblom, C.E. (1959) ‘The science of “muddling
Hosting Conversations that Matter. Mill Valley, CA: through”’, Public Administration, 19: 79–88.
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45
Insider Action Research:
The Dynamics of Developing
New Capabilities
David Coghlan and A.B. (Rami) Shani
Capabilities are the know-how that enables an organization to achieve its intended out-
comes. This chapter outlines insider action researchers’ tasks and issues in developing learn-
ing capabilities for first-, second- and third-person practice in relation to preunderstanding,
role duality and organizational politics. It shows how the outcome with regard to the tasks
and skills relating to preunderstanding is the capability to inquire into what is close and famil-
iar; with regard to role duality it is the effective utilization and understanding of the insider
action research role as a learning mechanism, and with respect to organizational politics it is
building learning mechanisms that are effective politically.
Capabilities are the know-how that enables When full members of an organization seek
an organization to achieve its intended out- to inquire into the working of their organiza-
comes (Dosi et al., 2000). In an ever chang- tional system in order to change something
ing world, developing new capabilities is in it, they can be understood as undertaking
widely viewed as a strategic necessity for insider action research (Coghlan, forthcoming;
organizations across all sectors (Mohrman Coghlan and Brannick, 2005). Complete
et al., 2006). Despite their importance, rela- membership is contrasted with those who
tively little is known about how organiza- enter a system temporarily for the sake of
tions actually develop new capabilities. conducting research and may be viewed in
Insider action research is viewed as one way terms of wanting to remain a member within
to develop new capabilities. a desired career path when the research is
644 SKILLS
completed. Insider action research offers a researchers’ tasks and issues in developing
unique perspective on systems, precisely learning capabilities for first-, second- and
because it is from the inside. The insights gen- third-person voice and practice in relation to
erated by insider action researchers in action preunderstanding, role duality and organiza-
research projects allow the organization to tional politics. The desired outcome in work-
continuously examine existing capabilities and ing with preunderstanding is the capability to
develop new capabilities (Shani, et al., 2004). inquire into what is close and familiar. The
We are all insiders of many systems – our own outcome for working with role duality is the
families, communities, organizations and asso- effective utilization and understanding of
ciations. As members we play active roles in the the insider action research role as a learning
development of these systems, e.g. in child- mechanism, and the outcome for working
rearing, in enabling our organization to func- with organizational politics is building learn-
tion and fulfil its goals. We typically bring our ing mechanisms that are effective politically.
knowledge, developed in-action from these sit-
uations, and extrapolate it to others, while at
the same time adapting to the characteristics of FIRST-, SECOND- AND THIRD-PERSON
each local situation. The process of generating INQUIRY
new knowledge is a capability that triggers the
ongoing development of new capabilities. There are several modes by which we can
The organization development literature participate and inquire into our experience
points out that the development of new capabil- (see Introduction and Torbert and Taylor,
ities entails a slow, difficult, and costly process Chapter 16). Through first-person voice/
with uncertain outcomes (Cummings, 2008). practice we can reflect on our own values
Furthermore, the development of new capa- and assumptions and how we behave and so
bilities and the evolution of existing capabil- develop self-reflective skills. As Buchanan
ities surface ongoing challenges. Existing and Boddy (1992) remind us, the desire to be
capabilities are deeply embedded in organi- involved in or to lead radical change involves
zations’ routines, culture and frameworks. high hassle and high vulnerability. This
They reflect a dominant logic or design and requires a combination of self-reflection with
evolve through a series of incremental vulnerability, realistic expectations, toler-
changes that build on and reinforce that logic ance, humility, self-giving, self-containment
(Coghlan and Rashford, 2006; Mohrman et and an ability to learn (Bell, 1998). Through
al., 2006). Thus, an effort to develop new second-person voice/practice we engage in
capabilities requires a deep level insight, inquiry with others and work to create a com-
inquiry and understanding of the organiza- munity of inquiry. This involves not only the
tion, its dynamics, culture and evolution. The actual processes of collaboration, but also the
insider action research can serve as a catalyst design and management of shared responsi-
for the development of new capabilities, yet bility for the design and execution of the
the challenges for triggering and facilitating project that enhances co-inquiry. The collabo-
such an effort are many. rative nature of the inquiry is central to the
In this chapter we examine the skills and quality of action research process and its out-
challenges of insider action research in terms comes (Shani and Pasmore, 1985). Through
of the three voices and practices of inquiry third-person voice we move beyond immedi-
(see Torbert and Taylor, Chapter 16 in this ate first- and second-person audiences to the
volume) and the particular challenges of impersonal wider community and make a
insider action research (Coghlan and contribution to the body of knowledge of
Brannick, 2005; Roth et al., 2007). The tasks what it is really like in these systems and
and skills we discuss are summarized in Table how we can learn to manage change while in
45.1, which draws together insider action the middle of it. Contributions might include
INSIDER ACTION RESEARCH 645
Table 45.1 Preunderstanding, role duality and organizational politics in first-,

second- and third-person practice as learning capabilities
Preunderstanding Role duality Organizational politics
First-person Task: Developing spirit of Task: Holding and valuing Task: Learning to act
inquiry in familiar situations both sets of roles politically in mode within
where things are taken for simultaneously values of action research
granted Skills: Catching internal Skills: Acting politically and
Skills: Attending; questioning responses to conflicting authentically
own assumptions; self- demands and dealing with
awareness/reflection skills them
Second-person Task: Developing Task: Holding and managing Task: Surviving and thriving
collaborative inquiry/action the demands of both roles, political dynamics
in familiar situations where particularly in situations of Skills: Performance
the spirit of inquiry may be conflicting role demands. and back-staging
diminished Skills: Role negotiation with
Skills: Collaborative action significant others, especially
and inquiry: superiors
• combining advocacy
with inquiry
• intervention typology
• testing assumptions and
inferences
• learning window
Third-person Task: Developing practical Task: Develop practical Task: Articulating knowledge
knowledge of how to knowledge of how the dual out of action that is
inquire as a ‘native’ roles impact on action actionable politically;
Skills: Linking practice with research and contribute to contributing knowledge of
theory insider action research role what organizations are
identity theory really like
Skills: Linking experience Skills: Linking political
of role duality with experience with theory
theory
Outcomes in developing Learning capabilities to Effective utilization Building learning
new capabilities inquire into what is close and understanding of mechanisms that are
and familiar insider action research sustainable politically
role as a learning
mechanism and
development of
new organizational
capabilities
shared knowledge and continuous learning wider system, such as other organizations,
via the facilitation of shared sensemaking, or to influence policy-making and imple-
interpretation and continuous experimenta- mentation. In this chapter we advance the
tion and how the ability to suspend pre- notion that the engagement of the three
conceived and well indoctrinated categories voices/practices is crucial in the develop-
and analytic rules enables new knowledge to ment of new organizational capabilities.
be created and acted upon. Through third- Doing action research within one’s own
person practice, we work to extend the scale system can be seen to involve managing
of the first- and second-person practice to a three interlocking challenges (Coghlan and
646 SKILLS
Brannick, 2005). Insider action researchers Based on the philosophy of Bernard

need to build on the closeness they have Lonergan, the Canadian philosopher-theolo-
with the setting while, at the same time, create gian, the structure of knowing which under-
distance from it in order to see things criti- pins inquiry at first-, second- and third-person
cally and enable change to happen. This we is a three step process: experience, under-
refer to as preunderstanding. They have to standing and judgement (Lonergan, 1992;
hold dual roles, their organizational member Flanagan, 1997). We attend to our experience
role(s) and the action researcher role, and the both within and outside of ourselves, what
consequent ambiguities and conflicts Marshall (1999) refers to as inner and outer
between these that can arise. They also have arcs of attention. Then we subject our expe-
to manage organizational politics and bal- rience to questioning. What is happening?
ance the requirements of their future career Why is it happening? The insight comes and
plans with requirements for the success and we follow it up by reflecting and weighing
quality of their action research. Each of these up the evidence as to whether the insight is
three challenges makes demands on first-, correct or not (judgement). A similar process
second- and third-person voice/practice and, for a course of action takes us through the
through confronting them, insider action same set of (a) experiencing the situation, (b)
researchers can contribute to the develop- using sensitivity, imagination and intelli-
ment of capabilities. gence to answer the question for understand-
We also note that these three challenges ing as to what possible courses of action
are not static. Action research is a dynamic might be, (c) reflecting on the possible value
process where the situation changes and judgements as to what is the best option and
changes as a consequence of deliberate (d) deciding to follow through the best value
action. Action researchers have to deal with judgement and being responsible for consis-
emergent processes, not as distractions but tency in knowing and doing. Of course, there
as central to the research process. Design is no guarantee that we will attend to experi-
considerations such as socio-technical ence and the search for insight. We can eas-
processes, co-inquiry and experimentation ily fly from insight, resist the reasonable
are emergent and cannot all be designed in judgement and try to escape responsibility.
advance (Shani and Bushe, 1987). Preunder- Lonergan’s methodology forms the basis for
standing, role duality and organizational attending to (a) our own cognitive and acting
politics are likely to shift as the consequence operations (first-person), (b) working with
of deliberate action or as unintended conse- other persons’ cognitive and acting opera-
quences of actions. Lewin’s often cited tions (second-person) and (c) seeking to con-
maxim that one only understands a system tribute to the wider community of knowledge
when one tries to change it is illustrative of and action (third-person). A praxis-reflection
the development of preunderstanding that methodology of attention to experience,
occurs in the course of an action research understanding and judgement which lead to
project. Similarly, in the emergent nature of action, such as presented by Lonergan and
the shifting situation in a system’s change Marshall, are the basis for engaging in
process, how the insider action researchers insider action research and for addressing the
hold their dual roles and survive and thrive challenges of preunderstanding, role duality
politically are challenges that need constant and organizational politics.
attention and renegotiation. They not only
need to cope with and manage these three
challenges within their projects, but they PREUNDERSTANDING
also need to inquire into them and offer their
learning to the wider community as to what Preunderstanding refers to such things as
it is like to engage in insider action research. people’s knowledge, insights and experience
before they engage in a research programme. the same people and discuss the same topics
The knowledge, insights and experience that we discussed last week. Thus, one of the
of insider-researchers apply not only to challenges of preunderstanding is, where the
theoretical understanding of organizational ritual appears to be the same, developing
dynamics, but also to the lived experience of the mechanism that will enhance the ability
their own organization. It is a blend of expe- to inquire into such situations.
riential, presentational and propositional Within the challenge of preunderstanding,
knowing. Personal experience and knowl- first-person skills focus on holding and man-
edge of their own system and job are a aging this tension between closeness and dis-
distinctive preunderstanding for insider tance through developing skills of inquiry in
researchers. For insider action researchers, familiar situations where things are taken for
knowledge of their own system has great granted. The praxis-reflection methodology
advantages; they know who’s who and is central to holding this tension and to mak-
what’s what. They know where disparities ing sense of it in a dynamic setting where
exist between the formal and informal orga- familiarity inhibits inquiry and where subtle
nizations. They know how the informal shifts may be missed. Asking what evidence
system works, particularly where informal I am being presented with as I work in a
power lies and how informal information familiar setting and what it is that I take
networks function. Such knowledge enables for granted are examples of inquiry into
a direct access to sources of power, influence preunderstanding.
and information. This knowledge is not Praxis-reflection skills may be developed
always explicit. Insider researchers are part in several ways.
of their organizational culture and, therefore,
• One way is to attend to your own experience
there is much that they don’t see, and they and how you move from experience to knowing
may find it difficult to stand back from it in and action. For example, if you do crosswords,
order to assess and critique it, particularly as notice your questions about a clue, the flashes
they may be colluding with the premises that of insight that you get (eventually!), how you
underpin organizational actions. Their per- check those insights with how they fit with the
spective may be partial as their experience blank spaces for the letters and the other words
may be based in one functional area of the that cross it. Then you verify; this must be the
system and thus lack understanding of other answer. Attending to the process of knowing
areas. Their professional background may enables insider action researchers to learn the
different processes in knowing (the role of expe-
give them membership of one occupational
rience, insight, judgement) and to catch how
community, thus excluding understanding of they weigh up evidence, make judgements and
other occupational communities. They need to decide on action. Of course, in human and orga-
be in tune with their own feelings as an organizational settings, issues, such as the crossword
nizational member – where their feelings of example, are not as clear cut. In organizational
good will are directed, where their frustrations settings our knowing is always incomplete and
are and so on. In short, preunderstanding for can only be completed by attending to particu-
insider action researchers involves building on lar tasks and situations in which we are at a
closeness and achieving distance. given time. A remembered set of insights are
At the same time, familiarity also inhibits only approximately appropriate to the new situ-
inquiry. When we are in new situations we ation. They are insights into situations which are
similar but not identical. No two situations are
are conscious of what we don’t know and we
identical. Time has passed, place has changed,
work hard at figuring out what’s going on we remember differently. Accordingly, our judge-
and how to respond. In insider situations, we ments are provisional and open to revision as
are meeting the same people that we meet events unfold. We learn to treat facts as
every day. We engage in the same organiza- hypotheses (see Friedman and Rogers, Chapter
tional rituals where we attend meetings with 17 in this volume).
648 SKILLS
• Journaling is another important mechanism ‘What are you going to do?’ and so on. The
for learning to reflect on and gain insights into third type of inquiry is what Schein calls con-
preunderstanding. Insider action researchers frontive inquiry. This is where action
can record their experiences, thoughts and feel- researchers, by sharing their own ideas, chal-
ings over time as they move through their pro-
lenge the other to think from a new perspec-
ject and, through the reflective process, can
tive. These ideas may refer to (a) process and
begin to identify gaps between what they know
and what they think they know and what they (b) content. Examples of confrontive ques-
find that they don’t know. They can begin to tions would be, ‘Have you thought about
learn to stand back and critique what they have doing this?’ ‘Have you considered that ...
taken for granted hitherto. As Raelin (2000) might be a solution?’
argues, reflection must be brought into the Because insider action researchers are part
open so that it goes beyond privately held taken of the situation, they may not always act as
for granted assumptions and helps action an external consultant might, that is, be
researchers to see how their knowledge is con- solely the enabler of emergent information
structed. Otherwise, it may simply reinforce and action. Of necessity they have a view of
unexamined prejudices. In this manner, first-person
things as they are and what needs to change,
reflection moves to incorporate second-person
and are expected to share and argue that
practice as assumptions and intepretations are
shared and tested. Another element of first- view. Accordingly, a critical skill for insider
person practice in this regard is how action action researchers is to be able to combine
researchers model the process of inquiry-in- advocacy with inquiry, that is to present their
action. We develop this in the following section own inferences, attributions, opinions and
on second-person skills. viewpoints as open to testing and critique.
• A third way of developing praxis skills is through This involves illustrating inferences with rel-
second-person practice with a mentor, consultant atively directly observable data and making
or academic supervisor. We discuss this way reasoning explicit and publicly testable in the
under second-person practice below. service of learning.
Second-person skills within preunderstanding Action science and developmental action
require collaborative inquiry/action with inquiry provide useful skills on which insider
people with whom insider action researchers action researchers may draw in order to work
are likely to have long-standing relationships, with preunderstanding in a second-person
people whom they know well and with whom context. These are intervention skills which
they have become so familiar so as to dimin- aim to minimize inference, attribution and
ish the spirit of inquiry. Some of these rela- privately held assumptions which impede
tionships are close; others may be overtly second-person inquiry. Within action science,
political. Schein’s (1999) typology of helper/ the use of the ladder of inference and the
consultant inquiry provides a useful frame- right- and left-hand column provide useful
work for insider action researcher second- techniques for uncovering privately held
person skills. His first category is what he inference and attribution (see Friedman and
calls pure inquiry. This is where researchers Rogers, Chapter 17). In a not dissimilar vein,
prompt the elicitation of the story of what is Torbert and Taylor (Chapter 16) suggest four
taking place and listen carefully and neutrally. ‘parts of speech’ as useful to the action
They ask, ‘What is going on?’ ‘Tell me what inquiry role, and which minimize inference
happened’. The second type of inquiry is what and attributions:
Schein calls exploratory diagnostic inquiry, in
• framing – explicitly stating the purpose of speak-
which action researchers begin to manage the ing for the present occasion: what dilemma you
process of how the content is analysed by the are trying to resolve, sharing assumptions about
other by exploring (a) emotional processes, the situation, etc.
(b) reasoning, and (c) actions. So they may • advocating – explicitly stating the goal to be
ask, ‘How do you feel about this?’ ‘Why do achieved, asserting and option, perception, feel-
you think this happened?’ ‘What did you do?’ ing or proposal for action.
• illustrating – telling a bit of the concrete story important contribution to both the world of
that makes the advocacy concrete and orients practice and of theory. For the world of prac-
the others more clearly tice, such insider learning contributes to the
• inquiring – questioning others to understand
knowledge of insider interventionists, such
their perspectives and views.
as managers, internal consultants and others
These interventions may occur in one-to-one who work at changing their own systems
or group situations. from within. For the world of theory that
The learning window presents a useful traditionally has a deep-rooted suspicion of
synthesis for second-person preunderstand- closeness and of being ‘native’, such insider
ing issues (Yorks, 2005). The learning experience contributes to the growing reflec-
window is a 2 × 2 matrix that provides an tion on reflexivity (Brannick and Coghlan,
analytic tool for testing the level of confi- 2007).
dence in data/findings, exposing gaps in Preunderstanding and the existing inter-
knowledge and pinpointing areas where the personal dynamics between insider action
differences between inference and knowl- researchers and their peers in the workplace
edge need to be learned. Quadrant 1, reflect- present both major strengths and a major set
ing what the group knows, has to contain of challenges to the quality of the insider
solid data that have been tested and meet action research. The questioning of assump-
with consensual agreement among group tions at the individual level and facilitating
members. Quadrant 2, what the group thinks dialogue with relevant others in the work-
it knows, catches the inferences and attribu- place is likely to validate the importance of
tions that group members are making and the research focus.
challenges the group to make those infer- The challenge of preunderstanding through
ences explicit, to locate them in directly first-, second- and third-person voice/practice
observable behaviour through the ladder of is to build on the closeness insider action
inference and to see them as hypotheses to researchers have with their systems and to
be tested, rather than accepting them as develop distance in order to inquire critically
facts. Quadrant 3 identifies the gaps in and to intervene. As familiarity inhibits
knowledge that the group knows it needs to inquiry, confronting these challenges of pre-
address and opens up an agenda for further understanding is a critical step to developing
data collection and hypothesis testing in learning capabilities from within.
action. Quadrant 4 opens up the new knowl-
edge that is yet to come and which may be
unexpected.
Engagement with a mentor, role analysis ROLE DUALITY: ORGANIZATIONAL
specialist or academic supervisor is a valu- AND RESEARCHER ROLES
able mechanism for attending to and reflect-
ing on the challenges of preunderstanding. Augmenting one’s normal organizational
Through second-person interaction with such membership roles with the research enter-
a person who listens attentively, supports and prise can be difficult and awkward, and can
challenges, insider action researchers can become confusing for insider action
explore their preunderstanding and expose researchers. Within their organizational roles
its limitations. they are managing within the boundaries of
The third-person voice shares the learning formal hierarchical and functional roles and
that comes from holding closeness and dis- informal roles of colleagueship and possible
tance with the wider community of theory friendship and having desires to influence
and practice. As we’ve said, familiarity and change the organization. Insiders’ orga-
inhibits inquiry, so contributing lessons nizational relationships are typically lodged
learned and tools developed for inquiry-in- and enmeshed in a network of membership
action into ‘at home’ situations is an affiliations, as they have been and continue
650 SKILLS
to be a participant in the organization. These research, the insider researchers may be in

friendships and research ties can vary in their office or at a meeting in their organiza-
character from openness to restrictiveness. tion exercising their organizational role
Insider researchers are likely to find that their (physical and spatial) and, at the same time,
associations with various individuals or probing for answers to questions in their
groups in the setting influence their relations research role.
with others whom they encounter, affecting First-person skills involve holding and
the character of the data they can gather with valuing both sets of roles simultaneously and
them. Within their action researcher roles, catching internal responses to conflicting
they are working at enabling participation demands and dealing with them. Once again
and as deep reflection-in-action as possible. we emphasize the praxis-reflection method-
As a result, insider action researchers are ology and the value of journaling in explor-
likely to encounter role conflict in trying to ing role duality. A continuous examination of
sustain a full organizational membership role the role conflict and dynamics seems to char-
and the research perspective simultaneously. acterize the nature of the issues that the
Their organizational role may demand total insider action researcher struggles with as the
involvement and active commitment, while role duality evolves.
the research role may demand a more Second-person skills involve role negotia-
detached, reflective, more theoretic position. tion with significant others, especially supe-
This conflict may lead to an experience of riors. Holding and managing the demands of
role detachment, where insider action both roles, particularly in situations of high
researchers begin to feel as an outsider in work intensity and conflicting role demands,
both roles. are challenging. Roth (2002) claims that
As Coghlan and Shani (2005) explore, learning to manage the dual role dynamics is
action researchers, and in this case insider an emergent skill. He views the role duality
action researchers, have to deal with the role as a continuum, ranging from role segmenta-
expectations and sent-role of the members of tion to role integration. At the beginning of
the system in which they are working. The the action research project, the researcher
system may not have unified expectations of role was segmented from the practitioner role
the action research project and so there are but, as the project evolved, staying within the
intra-sender ambiguities and conflicts as dif- two roles became more manageable, as cap-
ferent members or factions hold different tured in his words: ‘I did not act as a practi-
expectations of what role the action tioner or as a researcher, rather as
researchers are to play. At the same time, practitioner and researcher’. Dialogue and
action researchers may have expectations of continuous renegotiation of roles is crucial.
what their role is or what they want it to be, At the same time, the struggle to contribute
which may or may not accord with the sent- to both and the ongoing conflicting agenda
role or varieties of sent-role from the system and the need to continuously renegotiate with
and its constituent factions. superiors at times might lead to a sense of
Ashforth et al. (2000) provide some role being an outsider in both worlds.
constructs that are useful for insider action The third-person voice can contribute to
researchers. Role boundaries can be flexible knowledge of roles in systems – how, for
(that is, their boundaries can be pliable spa- example, role flexibility and permeability
tially and temporally) and they can be per- pertain to insider action research and affect
meable (one can be physically in one role role identity as well as to some of the mech-
and psychologically and/or behaviourally in anisms that can be created in order to help
another), for these constructs of role flexibil- gain new insights. The challenge is to create
ity and permeability enable transition from the time and space for this crucial activity to
one role to another. In terms of insider action occur. Learning mechanisms are viewed as
conscious, planned proactive features that Cooklin (1999) refers to the insider change
enable and encourage reflection and learning agent as the ‘irreverent inmate’, one who is a
(Popper and Lipshitz, 1998; Shani and supporter of the people in the organization, is
Docherty, 2008). We propose that the capa- a saboteur of the organization’s rituals and is
bility to learn can be designed rather than left a questioner of some of its beliefs. While as
to evolve or be encouraged through the cur- insider action researchers may see them-
rent activities of the organization (Ellström, selves as attempting to generate valid and
2001; Fenwick, 2003; Shani and Docherty, useful information in order to facilitate free
2003). The learning processes needed to cre- and informed choice so that there will be
ate a new organizational capability can be commitment to those choices in accordance
planned at the individual and collective lev- with the theory and practice of action
els, and specific features can be designed to research (see Friedman and Rogers, Chapter
initiate, facilitate, monitor, and reward this 17), they find that, as Kakabadse (1991)
learning. By their very nature, learning argues, what constitutes valid information is
mechanisms are multi-faceted, including intensely political.
cognitive or cultural, structural and proce- First-person skills entail learning to act
dural elements (Lipshitz et al., 2002; Shani politically within values of action research.
and Docherty, 2003). Recognizing that politics are not only a fact
Learning mechanisms provide the time of organizational life but the fact, insiders
and space for the challenges of role duality to need to reflect on their own values and how
be supported and worked through. It is they hold their roles, politics and ethics
within this arena that the insider action together (Coghlan and Shani, 2005). Buchanan
researcher can play both roles as needed. and Badham (1999) lay out the challenges of
being effective in organizations as political
systems and pose the question, ‘how far are
ORGANIZATIONAL POLITICS you prepared to go?’ The praxis-reflection
methodology involves attention to and reflec-
Organizations are social systems. As such, an tion on the personal questions and dilemmas
integral part of organizational life is political which arise in the political dynamics of the
dynamics. Any form of action and clearly action research projects.
any form of research in an organization has The second-person political skills for the
its political dynamics. Political forces can insider action researcher involve being able
undermine research endeavours and block to work the political system, which involves
planned change. Gaining access, using data, balancing the organization’s formal justifica-
disseminating and publishing reports are tion of what it wants in the project with their
intensely political acts. Insider action own tacit personal justification for political
research is political. Indeed, it might be con- activity. Throughout the project they have to
sidered subversive. Action research has a maintain their credibility as an effective
subversive quality about it. It examines driver of change and as an astute political
everything. It stresses listening. It empha- player. The key to this is assessing the power
sizes questioning. It fosters courage. It and interests of relevant stakeholders in rela-
incites action. It abets reflection and it tion to aspects of the project. One particular
endorses democratic participation. Any or all manager may have a great deal of influence
of these characteristics may be threatening to with regard to budget allocation, but
existing organizational norms, particularly in little influence with regard to strategic
those organizations that lean towards a hier- decision-making.
archical control culture. Meyerson (2001) Buchanan and Badham (1999) coined the
calls those who quietly enact change in their term ‘political entrepreneur’, a role which
own organizations ‘tempered radicals’. implies a behaviour repertoire of political
652 SKILLS
strategies and tactics and a reflective self- politically astute manner and acting unethi-
critical perspective on how those political cally. In his view, action researchers have to
behaviours may be deployed. Buchanan and build relationships and trust with people who
Boddy (1992) describe the management of operate from different mental models and at
the political role in terms of two activities, different levels. Yet working as a change
performing and back-staging, and these activ- agent cannot always be done with openness,
ities form the basis of political second- honesty and transparency. He judges that the
person skills. Performing involves the public real skill is the political entrepreneur know-
performance role of being active in the ing that the game is everything and that it is
change process, building participation for ‘theories-in-action’ rather than espoused
change, pursuing the change agenda ration- theories that count.
ally and logically and managing conflict, Friedman (2001) provides more specific
while backstage activity involves the recruit- second-person guidelines:
ment and maintenance of support and the
reduction of resistance. Back-staging com- a) Describe your own reality image and situation as
prises skills at intervening in the political and concretely as possible.
cultural systems, through justifying, influenc- b) Ask senior and middle management if this expla-
ing and negotiating, defeating opposition and nation accurately fits as they see it.
so on. Insiders have a preunderstanding of the c) If there are significant differences, inquire into
organization’s power structures and politics, the sources of these differences.
and are able to work in ways that are in keep- d) Continuously inquire into the reasoning behind
actions.
ing with the political conditions without com-
e) Design strategies dealing with the current situa-
promising the project or their own career. tion and similar future ones.
Smyth and Holian (1999) point out that
there’s a perceived risk in becoming a ‘sacri- Politics are integrally linked to what capabil-
ficial lamb’ or a ‘Joan of Arc’ if insider action ities are developed and what are not. If orga-
researchers don’t handle politics successfully. nizational politics are not managed
Bjorkman and Sundgren (2005) suggest successfully, the learning mechanisms that
that insider action researchers view them- are sustainable politically are not built.
selves as political entrepreneurs. The politi-
cal entrepreneurship role requires the ability Holian (1999) provides a case which inte-
to be congruent with one’s value set, the grates all three challenges. She reports how
value set of action research and finding a her additional researcher role added complex
way to exploit learning opportunities within dimension to her senior executive role. The
the organization. Working through the issues role conflict between her senior executive
of value congruence is a challenging but position and her action researcher role that
required task. The process allows the indi- she experienced when organizational
vidual to develop new personal capabilities members provided her with information
that are critical for one’s own role and per- which she did not know if she could use in
formance as an organization member and as her researcher role and which she thought
an insider action researcher. she should use in her executive role created
Pettigrew (2003) reflects on his own role an ethical dilemma for her. As her research
as a political entrepreneur. He notes that it subject was ethical decision-making she
can be exhilarating when it appears that one’s faced a double dilemma, a content one for
advocacy, enthusiasm and energy have cre- her organization and a process one for the
ated desired effects towards some defined research. She established and participated in
outcomes and equal and opposite despair a cooperative inquiry group comprising
when things go wrong. He reflects that people in decision-making roles from a diverse
there’s a fine line between acting in a range of organizations. The members of this
group discussed ethical issues they were expe- On one level is the active component of the
riencing, and encouraged one another to reflect capability, the ‘doing’ of activities that
on their own experience and find new ways of exploit knowledge and skills better than the
working with ethical issues in their own orga- competition. On a second level there is a cog-
nizations. She reported how she felt unpre- nitive component of the capability. They pro-
pared for the backlash which resulted from pose that all relevant actions and skills are
surfacing ‘undiscussables’ within the organiza- driven by a distinctive set of cognitive traits
tion related to cover-ups, perceived abuse of (e.g. shared values, recipes, integrated under-
power, nepotism, harassment, allocation of standings of different aspects of competitive
rewards and unfair discrimination. While these dynamics) that lie behind core skills and
issues were deeper, more shocking and trou- transform the mere doing of an act into a
bling than anticipated, she reflected that she capability (Mohrman et al., 2006).
was not adequately prepared to look after her- The tasks and skills we have discussed are
self or others when the backlash came. summarized in Table 45.1, which draws
Consequently, she was not able to balance the together insider action researchers’ tasks and
multiple roles of researcher, senior executive issues in developing learning capabilities for
and programme facilitator, and she resigned. first-, second- and third-person practice in
Holian’s preunderstanding, role duality and relation to preunderstanding, role duality and
organizational politics were radically chal- organizational politics. We have shown how
lenged in her insider action research. As she the outcome with regard to the tasks and
reports, she was unprepared for the reactions skills relating to preunderstanding is the
she received. We might infer from her story that capability to inquire into what is close and
the skills she needed to manage this project familiar, with regard to role duality it is the
could not be foreseen but emerged through the effective utilization and understanding of the
process of her inquiry. As we noted earlier, pre- insider action research role as a learning
understanding, role duality and organizational mechanism and with respect to organiza-
politics are not static, and for Holian they tional politics it is building learning mecha-
shifted as she got deeper into her action nisms that are effective politically.
research. So the skills she needed developed What then can we say in conclusion? Insider
through the process of inquiry itself. action research is an exciting, demanding and
invigorating prospect that contributes consider-
ably to researchers’ own learning and con-
CONCLUSIONS tributes to the development of organizational
learning capabilities. It is also daunting, with a
Our point of departure was that insider action high potential for self-destruction, particularly
research is viewed as one way to develop if politics are not managed well. We conclude
new capabilities. In this chapter we have with advice from Friedman (2001) who sug-
shown that first, second and third voice/prac- gests four attributes for insider action
tice of insider action research provide unique researchers: be proactive and reflective, be crit-
opportunities to address the issues of preun- ical and committed, be independent and work
derstanding, role duality and organizational well with others, and have aspirations and be
politics and explore their role in the develop- realistic about limits.
ment of new capabilities. At the most basic
level, new capabilities are viewed as com-
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46
Teaching Reflective Practice in
the Action Science/Action Inquiry
Tradition: Key Stages, Concepts
and Practices
S t e v e n S . Ta y l o r , J e n n y W . R u d o l p h a n d
Erica Gabrielle Foldy
This chapter describes an approach for teaching reflective practice in the action science/action
inquiry tradition. We offer a theoretical background for our approach and then break it down into
three key stages: (1) understanding the social construction of reality; (2) recognizing one’s own
contribution to that construction; and (3) taking action to reshape that construction. We articu-
late key concepts (e.g. the ladder of inference and competing commitments) and tools (e.g. the
change immunity map and the learning pathways grid) for each stage. We end with suggestions
for assignments that integrate learning across stages and concepts. In short, we offer a concep-
tually grounded set of concrete practices for teaching reflective practice.
Reflective practice, the process of examining approach draws heavily on the definitions and
one’s own actions and learning about oneself, disciplines of reflective practice as articulated
has long been part of many great transforma- by Agyris and Schön’s Action Science and
tional traditions, from Buddhism (Goldstein, Reflective Practitioner work (Argyris and
1983) to the Jesuit (Coghlan, 2004) spiritual Schön, 1974; Argyris et al., 1985; Schön,
exercises to Socrates and the transcendental- 1983, 1987; Schön and Rein, 1994), and
ists’ call to ‘know thyself’ (Emerson, 1903). In Torbert’s action inquiry (Torbert, 1972, 1991;
modern social science, reflective practice is Torbert et al., 2004).
also known as ‘first- person research’ (e.g. We draw upon this work to teach graduate
Marshall and Mead, 2005). Our particular students the theory and skills of reflective
TEACHING REFLECTIVE PRACTICE IN THE ACTION SCIENCE/ACTION INQUIRY TRADITION 657
practice. Steve Taylor teaches management describe take-home assignments that build their
students at Worcester Polytechnic Institute, skills in all these areas and help them take
a largely technically oriented population. effective action based in reflective practice.
Jenny Rudolph teaches healthcare manage-
ment and policy students at Boston University
and clinicians at the Center for Medical THEORETICAL FOUNDATIONS
Simulation, Boston. Erica Foldy teaches public
administration and policy students at the Our approach to teaching reflective practice
Wagner School of Public Service at New York is built on theoretical work broadly related to
University. Together we have been learning the self-awareness directed at effective action.
theory and skills of reflective practice for over At the heart of the work is Argyris’s (Argyris
a decade and teaching those skills in various et al., 1985) Action Science which begins
contexts for the majority of that time (e.g. with the core idea that our frames (in a broad
Rudolph et al., 2001). Over time we have syn- sense which includes mental models,
thesized an approach that pulls together con- schemas, etc.) lead us to act in certain ways
cepts and practices from a wide variety of and those actions produce outcomes. We also
scholars working in this tradition (e.g. draw on Torbert’s discipline of Action
Friedman, 2001/2006; Friedman and Lipshitz, Inquiry which offers us the fundamental
1992; Kegan and Lahey, 2001; Mazen, 2000; notion that by consciously paying attention
Reason, 1996; Senge et al., 1994; Stone et al., to the alignment (or misalignment) among
2000). Our pedagogic goal is to enable stu- our intentions, strategies used to carry
dents to enhance their personal and profes- out these intentions, and our own actions,
sional effectiveness by having greater we can continue to develop psychologically
self-knowledge along with a broader repertoire as adults (Torbert, 1991; Torbert et al., 2004).
of cognitive frames, emotional reactions, and We also draw upon Quinn’s (Quinn, 2000;
behaviors on which to draw. We focus on stu- Quinn et al., 2000) Advanced Change Theory
dents’ ability to reflect on action as a step to explain why reflective practice is critical for
towards being able to reflect in action. enhancing personal and professional effective-
Although each of us tailors this approach ness. This theory argues that change processes
to our own teaching context, we have identi- that resort to telling, forcing, and even partici-
fied important commonalities: key stages in pation of others without self-change have
the learning of reflective practice, as well as limited effectiveness. Quinn argues that with-
supporting concepts and practice exercises. out changing one’s own behavior, significant,
In this chapter, we draw on these commonal- sustainable, and systemic change is unlikely.
ities to present one integrated approach to Advanced Change Theory follows the process
teaching reflective practice. of identifying the problem, identifying one’s
The chapter is organized as follows. We start own role in that problem, changing one’s own
by laying out the theoretical foundations for our behavior, and then letting the system respond to
pedagogical approach to teaching reflective the change. While there are structural limits to
practice. We then describe the concepts we use the effects of such actions, we believe it is a
in building reflective practice skills in our stu- starting point and one that most students may
dents: helping them understand in a visceral overlook. Identifying one’s own role in the
way what it means for social reality to be con- problem is not easy and requires reflective
structed and how their own construction of practice skills.
reality contributes to many of the challenges Our approach is informed by the following
they face; helping them discover how they are concepts. First, we attempt to move students
personally implicated in problems they have from ‘Mystery-Mastery’ or ‘Model I’ frames or
previously understood as exogenous to governing values to ‘Collaborative Inquiry’ or
themselves; and offering prescriptive actions ‘Model II’ governing values (Argyris and
for intervening in these problems. We then Schön, 1974; Torbert, 1972). In other words,
658 SKILLS
we are attempting to help them move from an that come from our power as the instructor. We
approach that emphasizes keeping their own complement these forcing strategies with three
concerns and goals a mystery while unilaterally supportive elements: building mutuality by
attempting to master the outside world to an allowing students to influence the course of the
approach that values transparent thinking and class (see course feedback memo below as an
collaborative dialogue (Torbert, 1972). Second, example); establishing oneself as ally in stu-
we are attempting to create a context for learn- dents developing their professional skills; and
ing that allows students to become increasingly revealing one’s own weaknesses (and
‘self-authoring’ in a process that allows them to strengths) as reflective practitioner (by ‘telling
‘have their beliefs’ rather than ‘their beliefs stories on oneself’, using examples that show
having them’ (Kegan, 1982, 1994; Kegan and one’s own mistakes and breakthroughs in the
Lahey, 2001). This means that instead of being process). Many teachers may already use ‘lib-
ruled by assumptions, or theories-in-use erating structures’ intuitively, but we believe
(Argyris et al., 1985) of which they are that being explicit (explaining the process to
unaware, they become aware of these govern- students mid-way through a semester, for
ing frames and decide whether they are in example) and purposive about using them can
alignment with their goals. enhance success.
The concepts and practices we propose are
grounded in a pedagogical approach that
Torbert (1991) calls ‘Liberating Disciplines’. In THREE KEY STAGES IN LEARNING
this paradoxical approach to transformation, we REFLECTIVE PRACTICE
exercise our available forms of power to unilat-
erally try and force the students to develop their Based on these broad conceptual groundings
own power which, over time, can free them of we have broken down learning reflective
the unilateral power of others. We are transpar- practice into three core stages. The stages are
ent about this approach which makes our (1) understanding the social construction of
actions discussable, thereby making us vulner- reality, (2) recognizing one’s own contribu-
able, even as we wield power. Some students tion to that construction, and (3) taking action
are disconcerted by that vulnerability; up- to reshape that construction. This breaks
ending conventional power relations leaves down the complex process of reflecting in
them feeling insecure. Others try to take advan- action into simpler steps. Of course, reflective
tage of the instructor’s vulnerability as they practice requires a constant intermingling of
attempt to assert their own power. A liberating the three stages and even in teaching the sep-
disciplines approach means treating students’ aration is seldom neat and tidy; nonetheless,
discomfort with the unusual deployment of we find this a useful way to structure the
power as real-time opportunities for teacher material. Table 46.1 outlines the three stages
and student to learn. This is a very difficult with their key supporting concepts and prac-
challenge that requires the instructor to tolerate tice exercises. The rest of this chapter fleshes
uncertainty as new class structures emerge. We out this table in greater detail.
use power openly to create a situation in which
students can begin (indeed are required) to
experiment with their own creative power to KEY CONCEPTS AND PRACTICES
transform themselves, their teams and the class.
In this approach we help students develop Social Construction of Reality
the skills and awareness to see themselves as
authors (rather than characters) of their work or Concept: Internal perceptions shape external
personal lives. The paradox in this approach is reality. A foundational concept for teaching
that we force students to become self-authoring reflective practice is the idea that people’s
by obliging them to conform to the require- perception of external reality is influenced
ments of the class using grades and other tools by internal images and that these internal
Table 46.1 Key stages, concepts and practices in learning reflective practice
Stage Supporting concepts Practice
Understanding the social Internal perceptions shape Social construction of the
construction of reality external reality physical room
Ladder of inference Uncritical inference test
Unconscious filters/frames The implicit association test
Recognizing one’s own Competing commitments Change immunity map
contribution to that that cause stasis
construction
Impact of frames on Two-column Case and
actions and outcomes Learning pathways grid
Taking action to reshape Types of speech Two-column Case and
that construction Learning Pathways Grid
Clean and dirty questions
images shape how they act. We want our grasp, at a gut level, the idea that seemingly
managers-in-training to understand, both intel- concrete realities are socially constructed.
lectually and viscerally, that, like all of us, they Concept: Ladder of inference. A practical
co-create the organizational reality in which tool for working with the social construction
they move. Our goal is to help students see of reality is the ladder of inference, which is
how their internal frames, emotional reactions, a ‘schematic representation of the steps by
and actions influence and co-create organiza- which human beings select from and read into
tional structures and practices that they previ- interactions as they make sense of everyday
ously viewed as immutable, external facts (see life’ (Argyris et al., 1985: 57) and is described
Figure 46.1). Establishing a gut-level sense extensively elsewhere (e.g. Senge et al., 1994).
that their internal reality images shape their We want students to understand that all of
own action and the reality around them is the us instantaneously, unconsciously, and auto-
foundation that motivates and makes possible matically select, name, and draw conclusions
further reflective practice (Friedman, 2001; as we move up the ladder, reaching
Friedman and Lipshitz., 1992). internally-derived conclusions we often then
Practice: Social construction of the physi- mistake for external reality. We also attempt
cal classroom (Gergen and Gergen, 2004). to convey that: (1) categorizing and drawing
We begin this process experientially – by inferences is absolutely necessary to allow us
allowing students to experience how the to act in the world – otherwise we face a world
frames provided by different professions of undifferentiated ‘buzzing, blooming confu-
cause people to view the same apparently sion’ (James, 1890: 462); (2) inference drawing
objective reality differently. We break a class is so powerful and potentially dangerous
into groups, and give each subgroup a slip of because it is easy to lose sight of the fact
paper (privately) that names a profession to that we have drawn an inference; and (3) if
which they belong during the exercise. The people forget to treat their inferences as
subgroup’s task is to describe the room in inferences, it undermines effective action
which we are working from the standpoint of (Kegan and Lahey, 2001).
their profession. Professions might include Practice related to ladder of inference:
teachers, fire inspectors, interior decorators, Haney’s ‘uncritical inference test’. To help
janitors and burglars. When the subgroups students do a ‘slow motion’ analysis of how
have completed their internal discussions they climb the ladder of inference, selecting
they then share with the group as a whole (it and naming data and then linking it with pre-
works best to have the burglars report out last). vious belief systems to arrive at inferences
Each group comes up with entirely different about a given situation, we use an exercise
accounts of ‘what is here’. Students generally based on William Haney’s (1955) uncritical
660 SKILLS
Mental
models
Actions
External
reality
Figure: 46.1 Simple model of social construction of reality for class use
inference test in which students answer and decide whether they are helping us or
true/false questions about a four-sentence hurting us.
story. In debriefing the ‘test’ they quickly However, we believe that some of our
discover that their process of interpreting the most powerful ways of thinking may simply
story was informed by (or fraught with) not be available to us. Of course, a long
numerous inferences about which they were history of work in psychology suggests that
totally unaware (such as the businessman and we have unconscious motives that drive
the owner are the same person). behavior. More recently, researchers have
Concept: Unconscious filters/frames. The sought ways of uncovering unconscious pref-
ladder of inference and similar practices erences or attitudes related to race, gender and
assume that, if we are self-reflective, we can other social identities. We draw on this
identify the frames or ways of thinking that research to illustrate to students that not all of
are affecting our behaviors. Some work sug- their ways of thinking are necessarily subject
gests that it may help to work with a group, to their own control.
since others may be able to point out our Practice: The implicit association test. The
ways of thinking that are so automatic we implicit association test (IAT) is a web-based
can’t identify them without help. But the instrument that purports to measure automatic
assumption in both cases is that our mental and, often, unconscious preferences and atti-
models are lurking just below the surface. tudes. Researchers have developed tests
Once surfaced, we can decide if they are, in related to race, age, gender, disability and
fact, one of our frames and then assess them others. The test asks the test-taker to associate
The Haney Uncritical Inference Test Story: A businessman had just turned off the lights in the store when
a man appeared and demanded money. The owner opened a cash register. The contents of the cash reg-
ister were scooped up, and the man sped away. A member of the police force was notified promptly.
Sample of the 15 Statements Students Assess as (T/F) A man appeared after the owner had turned off
his store lights; the robber was a man; the man who appeared did not demand money; the man who
opened the cash register was the owner; the store owner scooped up the contents of the cash
register and ran away.
two sets of terms or images. One set of terms individuals and groups to think more about
or images represents two groups of individu- how much awareness and how much control
als: white and black Americans, women and we have over our own frames or mental models.
men, old people and young people, etc. The
other set of terms or images represents posi-
tive statements or images vs. negative state- The Self’s Contribution to the Social
ments or images. The rationale of the test is Construction of Reality
that we will take longer to associate positive
statements with some groups than other The next stage is for students to realize that
groups, and take longer to associate negative they are implicated. That is, they need to see
statements with some groups than with other how our frames lead us to act in ways that
groups. For example, in one version of the test contribute to a situation being problematic.
designed for people in the United States, pic- This is often difficult: we tend to blame our
tures of people that are easily characterized as problems on others rather than considering
either white or African American are flashed on how we ourselves have contributed (Ross,
the screen at the same time as positive and neg- 1977). Recognizing one’s own contribution is
ative words and images. The majority of people a logical extension of the idea that our social
who take the test take a longer time to associate reality is constructed: if we have participated
positive words with African Americans (and a in that construction then we have some respon-
shorter time to associate positive words with sibility for how it is constructed – and for
whites) and longer to associate negative words changing it. From a systems point of view,
with whites (and shorter to associate negative we are part of the system and thus our own
words with blacks). The researchers behind this behavior is part of the explanation for how
work argue that the length of time that it takes to the system behaved (Senge, 1990).
make the association manifests preferences for Concept: Competing commitments. At this
some kind of people over others. They argue point in the process, we begin to encourage
further that these preferences are often uncon- students to consider changing thoughts and
scious and inaccessible to the test-taker and that behaviors. It is helpful, therefore, for stu-
only an instrument like the IAT can document dents to understand why it is difficult to
them. While this research is controversial, it has change. Kegan and Lahey (2001) developed
a long track record and has been vetted by a the concept of ‘competing commitments’ as a
number of psychology journals (Banaji et al., replacement for the notion of resistance to
1993; Greenwald and Banaji, 1995). change. They argue that change is difficult
We also use the IAT to add a social and not because we are resistant for its own sake,
political dimension to the often apolitical but because we have very good reasons to
approaches that make up the core of the litera- avoid change – just as we do to pursue it. In
ture on reflective practice. Reflective practice fact, when change is difficult, it is the result
approaches often make it seem like, with work, of competing commitments which pull us in
we can have full control over how we think. opposite directions. Only by surfacing these
The IAT reminds us that we are shaped by competing commitments do we surface our
racism, ethnocentrism, sexism and other internal conflict. For example, powerful
embedded ways of thinking about each other desires to stay safe can be in dynamic tension
and that we have less control than we think. with desires to try new things. Once made
When someone takes the IAT and, according explicit, we can develop experiments that
to the test, has a strong preference for resolve the conflict in a way that feels truly
Europeans over Asians, or the opposite, that integral rather than imposed. Exploring our
won’t necessarily resonate for the test-taker. In competing commitments is one way to
fact, it may come as a rude shock. The IAT explore how we contribute to outcomes we
doesn’t solve these issues, but it does spur may or may not want.
662 SKILLS
Doing/Not Competing Big

Complaint Commitment doing commitment assumption
‘Walking on A real, open Suppress true I am committed If I share my true

eggshells’ and honest feelings. to not fighting feelings with my
around relationship with my sister. sister, we will get
my sister. between in a big fight
two caring and I will lose
people. the relationship.
Figure 46.2 ‘Walking on Eggshells’: Change immunity map
Practice: The Change Immunity Map. To person I am dealing with is stupid I will act
help students uncover their own competing differently towards them than if I believe
commitments, we use Kegan and Lahey’s they are a genius. Taking action, based on
(2001) change immunity map. This map these frames, will lead to particular out-
starts with students’ complaints and thus comes. Identifying the causal chain of frames
provides an easy way in. It moves from leading to actions which lead to outcomes
complaints to the commitments underneath offers a useful analytic map for understanding
the complaint, then onto what the student is behavior (Argyris et al., 1985).
doing or not doing that prevents the commit- Practice: Two-column case and the learn-
ment from being fully realized. It is here that ing pathways grid. We begin the practice of
the students really start to see how they are this concept by having each student write a
implicated. In the example in Figure 46.2, short two-column case about an interper-
one student analyzes his relationship with his sonal interaction that turned out badly. The
sister, beginning with his complaint that he case includes a brief description of the con-
felt he was constantly walking on eggshells text of the interaction, actual or remembered
around her. The process took him through dialogue from the encounter in the right-hand
unfolding realizations which ultimately column, and a left-hand column that captures
revealed his ‘big assumption’ – that he was what the casewriter thought and felt, but did
scared of losing this relationship. The change not say (Argyris et al., 1985; Senge et al.,
immunity map offers a view of how the stu- 1994). Simply writing the case often triggers
dents’ own competing commitments and learning – the casewriter can become uncom-
internal protective routines lead to the very fortably aware of the kinds of language she
outcomes that they complain about, thus used or how her thoughts seem oddly discon-
implicating themselves. The big assumption nected with what she is saying.
suggests a potential point of leverage, a prob- However, systematic analysis of the case
lematic frame for the student to address. generally provides the richest insights into
Concept: Impact of frames on action and how we contribute to problematic outcomes.
outcomes. We use the generic term ‘frames’ We use the Learning Pathways Grid (devel-
(Bolman and Deal, 2003) to denote the oped by Action Design [www.actiondesign.
knowledge structures or ‘mental template[s] com], see Rudolph et al., 2001/2006; Taylor,
that individuals impose on an information 2004, for examples). The LPG analysis
environment to give it form or meaning’ makes very explicit the connections between
(Walsh, 1995; 281). There are myriad other the casewriter’s frames and actions and the
terms for these internal filters such as outcomes of the interaction. The analysis
schemas, mental models, or scripts. These identifies the actual outcomes in the situation,
frames determine how we understand the the actual actions that were taken that led to
world and how we translate that understand- the outcomes, and the salient actual frames
ing into action. For example, if I believe a that led to those actions (see Figure 46.3).
Actual Actual Actual constructed, we argue that it is through talk

frames actions outcomes that these realities are iteratively and continu-
ally re-enacted (Weick, 1995). To help stu-
Desired Desired Desired
frames actions outcomes dents explore how different types of speech
enact different social and organizational reali-
Figure 46.3 The learning pathways grid ties, we introduce Torbert’s typology of four
types of speech (Torbert et al., 2004).
In addition to analyzing what actually ‘Advocating’ asserts a point of view or judg-
happened, the LPG includes a space for sug- ment; ‘illustration’ offers data or anecdote to
gesting different ways of framing and acting back up the advocacy; ‘inquiry’ is a question
that might lead to better outcomes for the that helps people find out about information or
casewriter. Therefore, it acts as a bridge other people’s points of view. Finally, and
from the stage of Recognizing One’s Own most rarely, people use ‘framing’ to set out a
Contribution to the stage of Taking Action. charter and seek a public agreement for the
Although the LPG analysis provides com- direction of the current conversation or formal
pelling evidence of how the casewriter is meeting.
implicated in co-creating the problematic situ- Practice: The two column case and the
ation, students are often still too deep within learning pathways grid. We continue our
their own frames to be able to see and enact work with the two-column case that we
different frames. Prescriptive frameworks introduced in the last section. The Four
provide off-the-shelf blueprints that create a Types of Speech provide a simple and useful
starting place for how to act differently. framework for analyzing these cases. By
reading through the dialogue in the right-
hand column of the case and labeling the
Taking Action to Reshape our Reality
types of speech, students usually find that
Once students have internalized the social they use advocacy exclusively or heavily,
construction of reality and how they are with no inquiry, contributing to a pattern of
implicated in that construction, the next step dueling arguments with little inquiry and low
is to act on that knowledge. Even when we levels of interpersonal influence and learning
have recognized how our own frames lead to on both sides. Students then experiment with
actions that produce undesirable results, we new ways of talking to improve their
are often unable to act differently because problem-solving ability by, for example,
those frames have been our reality for so adding the simple (but not easy to execute)
long that we can’t imagine alternatives. At move of pairing advocacy and inquiry in
this point it is useful to provide generic their interactions. They can do this first by
approaches to action that suggest new and writing out sample advocacy-inquiry state-
different ways of acting that may produce ments and then by redoing the problematic
more desirable results. conversation in a role play.
Concept: Types of speech. Once managers Practice: Clean and dirty questions. To
have a well-developed map of how their own strengthen students’ ability to pair advocacy
frames and emotional reactions contribute to and inquiry, we ask students to practice mov-
problems they face, our next move is to help ing from a ‘dirty’ question to a ‘clean’ advo-
them characterize and improve the actions cacy paired with an inquiry. A ‘dirty’
they take, particularly the types of speech they question is a term developed by Schön to
use. We start by conveying that talk, apho- denote questions that have judgments or
risms to the contrary (e.g. sticks and stones solutions embedded in them. An example is
…) not withstanding, is action (Austin, 1962; ‘Wouldn’t it be better to finish that marketing
Searle, 1969). Operating on the premise that report early?’ The exercise is detailed in the
social and organizational realities are socially following box.
664 SKILLS
Exercise : To practice this skill, we form students into groups of four to six. Two people will interact as
role play partners; others will observe and consult to the roleplayer in the pair. Each person picks a
problem or mistake made by someone else (outside the group) that annoyed or upset them. The first role
player in the group very briefly (1 minute) describes the situation. Then interacting with his roleplay part-
ner, he states the feelings and judgment about the situation as a ‘filthy’ question or statement. This state-
ment usually berates or exhorts. For example, ‘I can’t believe you’re still tinkering with that marketing
report. Everyone else is going to get their ideas in ahead of us! What are you thinking?!’ Using clues
from this ‘filthy’ question, the roleplayer then reflects with his partner and group about what thoughts,
feelings, or identity issues underlie this filthy intervention. Using this input, the roleplayer attempts to
put some of these feelings and judgment into the advocacy and then pairs it with an inquiry to find out
what is going on with the other person. For example, ‘I’m frustrated that you’re still working on that
report. Can you help me understand why you think the report needs more work?’ The roleplayer then
checks with his roleplay partner about how the statement made the partner feel. Using this input and
ideas from others in the group, the roleplayer makes further improvements if needed. Students then
switch their roles in the pair.
Bringing it All Together: feedback-receiver and both parties can be

Assignments for Building Reflective concerned about harming that relationship.
Practice Skills When that relationship is completely hypo-
thetical, as with made-up scenarios, some of
At this point, we have developed a number of the challenge is lost.
different theoretical concepts. We have also In preparation for writing the memo, stu-
described how we use in-class exercises and dents read several chapters of How the Way
discussion to allow students to engage those We Talk Can Change the Way We Work
concepts, making them more concrete and (Kegan and Lahey, 2001) and all of Difficult
connecting them to their own life experi- Conversations (Stone et al., 2000). The
ences. We also use two take-home assign- assignment instructs students to give feed-
ments that require students to integrate a back, drawing on those two sources for
number of these concepts into one project. guidelines. The assignment is peer graded,
We describe each here. given the potential for conflict of interest.
Course feedback memo. The course feed- Students bring two hard copies to class. They
back assignment requires students to practice exchange one copy with another student;
giving feedback, a key life skill. The assign- each grades the other’s paper. We take the
ment asks students to write a three-page second copy and make comments and hand
memo to their professor, highlighting what them back, but do not grade them.
is useful and what could be changed about On the day the assignment is due, we also
the course. Not only does it help us get infor- practice verbal feedback, based on what they’ve
mation on how students are experiencing written in their papers. They gather in groups of
the course, it also provides a real-life exer- four or five to decide on several points they wish
cise in giving feedback, rather than using to raise with their professor. (We leave the room
made-up scenarios as is often done in these for this discussion so they won’t feel inhibited
circumstances. Giving feedback is difficult by our presence.) On our return, we meet with
precisely because there is generally a one group at a time, while the whole class
relationship between feedback-giver and watches. We also ask for a second group to act as
observers so that they can provide suggestions all that is needed to convince people, that
on giving feedback to the first group that is people are predisposed to not take his advice,
speaking directly to the professor. We try to meet and that people don’t mind him giving them
with each group and give each group a chance to advice. This leads him to use accusatory lan-
be the observer group as well. guage to try and indict the person with data and,
This exercise is meant not only to give prac- when that doesn’t work, he becomes frustrated
tice in giving feedback, but also to model open- and attacks them with sarcasm, which leads to
ness to feedback and a willingness to be the arguments and tension that are problematic.
vulnerable, in order to learn. One of the pre- He then tests this insight in a series of exper-
dominant messages of our teaching is that we iments (see Schön, 1983, for an excellent dis-
only learn by such openness and vulnerability; cussion of ways of experimenting). First he
if, as the professor, we do not model those qual- asks an assortment of people (that he often has
ities, then the force of the message will be this dynamic with) what they are looking for in
undermined if not totally erased. someone who is giving them advice. He finds
Personal inquiry projects. At the heart of that his focus on rational data that is intended to
action research is cycles of analysis, action get people to listen to him makes him appear
based on that analysis, and further analysis arrogant or condescending and thus leads
(Reason and Bradbury, 2001/2006). This people to not listen to him. He also discovers
cycle can be embodied in a personal inquiry that people are not predisposed to not listen to
project assignment. The assignment includes him but that they are not always interested in
(1) a description of a situation where they hearing his advice – thus all three of his pri-
believe their own frames/assumptions about mary frames are wrong. He then goes on to
the world may be problematic; (2) an analy- experiment with enacting different frames,
sis of the situation that shows how their own such as first asking his sister whether she wants
frames/assumptions lead them to act in spe- his advice or not, and generally avoids the ten-
cific ways that contribute to causing the sion and arguments. Thus he has managed to
problem (this analysis should produce a look at his own behavior, see how he is impli-
testable hypothesis about the situation); (3) a cated in the problematic situation, test his own
plan of action to test their hypothesis includ- frames, and finally act differently in the situa-
ing what results they might expect and how tion, which in this case (and in most cases, but
they will know if their test has been success- not all) produced vastly better results.
ful or not; (4) the results of their test in the
form of concrete data, such as dialogue pre-
sented in a two-column format; and (5) CONCLUSION
analysis of the results of their experiment.
Although the personal inquiry projects This chapter presents one approach to teaching
vary tremendously, here is one example. A reflective practice, building on well-estab-
student has repeated difficult interactions with lished theoretical foundations. The approach is
his sister in which he offers her advice on her based on three stages in the learning process:
job search and they end up having an argument. understanding the social construction of real-
He writes a two-column case of one of the ity, recognizing the self’s contribution to that
interactions. He then analyzes the two-column construction, and taking action to shape that
case using the ladder of inference and the construction. We then suggest specific con-
Learning Pathways Grid with the help of his cepts and practices associated with each stage.
inquiry group. The analysis provides the insight While we do see the three stages as
that when he is in a position to offer someone sequential, with each stage building on the
advice in order to try and get them to change previous one, we do not argue that the teach-
their behavior, he assumes that rational data is ing design should strictly follow what we
666 SKILLS
outline here. Each of the different stages and we also teach, if we have the time. There are
concepts can be taught on its own; indeed also other theoretical approaches to reflec-
many of the practices can also stand on their tive practice. For example, psychoanalytic
own, depending on the course context and approaches have also been very influential in
what the instructor hopes to teach. Some the fields of management and organizational
courses, like those in leadership, consulting behavior (e.g. Berg and Smith, 1985).
or developing management skills, could Finally, we want to acknowledge the chal-
incorporate the full succession. However, the lenges of this kind of teaching. Because it
topics can also be interspersed in courses on does not conform to the ‘sage on the stage’
negotiation, human resources, organizational archetype of teaching, some students are
behavior, business and society, and the like. wary of it, mistaking the professor’s acknowl-
Regardless of how the concepts are intro- edgment of multiple perspectives for insecu-
duced, we do believe that the concepts are rity or lack of knowledge on the professor’s
best reinforced through a consistent and part. With undergraduate and master’s stu-
transparent pedagogy. By consistency, we dents, we sometimes find it useful to lead off
mean that we try to model the sort of reflec- with a style of teaching slightly more in sync
tive practice that we are trying to teach in the with the ‘sage on the stage’ approach and
class. This can manifest in many different gradually move to a more mutuality-enhanc-
ways: acknowledging our own frames – and ing ‘guide on the side’ approach once we
their implications – related to the lesson have developed credibility as content
material; explicitly pairing advocacy and experts. We then, eventually, make the topic
inquiry in class discussion; a willingness to of how they assess and evaluate knowledge
change aspects of the course that aren’t and competence in authority figures and
working for students. By transparency we others part of the class dialogue.
mean being explicit about our own practice We have found that this kind of teaching
as much as possible, especially when it can not only enhances our students’ learning, but
connect to the subject matter. For example, our own. Certainly, teaching reflective prac-
teachers make many choices that are similar tice keeps us out of teaching ruts: it is never
to the kinds of choices or decisions that routine because it is never the same. It means
managers have to make. Grading is a form of being exquisitely attentive in the moment to
performance appraisal. We make our grading students and the class dynamics – and the
style transparent, explain why we grade effect those dynamics are having on us. We
the way we do, connect that with how man- are aware of our own fallibility and our capa-
agers assess performance, and suggest that city to fall into many of the traps that we
they, as managers, will face similar issues. explicate for our students. We do think we
We allow them time to think about how they are relatively good at catching ourselves –
might handle those situations, given their and when we do, we try and offer that as a
experience in this class and in other classes. lesson to our students – and to ourselves.
We are also explicit about our use of posi-
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47
The Praxis of Educating Action
Researchers
Morten Levin
The thesis of this chapter is that action research involves both action and research and that
any practitioner must have the ability to initiate and support involvement in actions as well
as capability to critically reflect on process and outcomes of the action engagement. First,
proficiency is needed in order to concretely and practically work with social change in order
to solve participants’ pertinent problems. Second, skills are needed to enable creation of sus-
tainable cogenerative learning processes involving both problem owners and researchers in
the same learning cycle. Third, the researchers must have the capability, either alone or
together with the participants, to create knowledge that can be published (communicated in
the broader sense) in order to contribute in the ongoing scientific and the broader societal
discourses. No other role in social science demands a broader spectrum of capacities, bridg-
ing practical problem-solving, reflective and analytical thinking than an action researcher.
Action research can be mapped as a wide research is constructed on the basis of the
variety of strategies for research. Different epistemological position and the researcher
positions emphasize a variety of capacities role that is presented in Greenwood and
for the involved action researcher. The pre- Levin (1998/2006, 2000, 2005) and Levin
sentations of ‘groundings’ in this volume and and Greenwood (2001, 2007).
in the first edition of the Handbook clearly The thesis of this chapter is that action
point to this diversity through the conceptu- research involves both action and research
alization of action research as a knowledge- and that any practitioner must have the abil-
generating strategy and as professional ity to initiate and support involvement in
praxis. This chapter does not intend to action as well as capability to critically
comprehensively cover the varied field. reflect on process and outcomes of the action
Rather, what I understand as skills in action engagement. First, proficiency is needed in
670 SKILLS
order to concretely and practically work with The ethos of the Humboldtian University,
social change in order to solve participants’ which emerged in Germany in the 19th cen-
pertinent problems. Second, skills are needed tury, created a tight link between teaching
to enable creation of sustainable cogenerative and research. A professor’s primary task was
learning processes involving both problem to build proficiency in teaching or research; a
owners and researchers in the same learning secondary effect of this was to create a dis-
cycle. Third, the researchers must have the junction between theory and praxis. The
capability, either alone or together with the product of university work was narrowed
participants, to create knowledge that can be down to researching and teaching theoretical
published (communicated in the broader knowledge, while practical applications were
sense) in order to contribute in the ongoing sci- seen as a responsibility for other actors. In
entific and the broader societal discourses. addition, this ethos dictated that the identifi-
No other role in social science demands a cation of relevant research questions should
broader spectrum of capacities, bridging emerge from the inner circles of academia. In
practical problem solving, reflective and ana- action research, the knowledge generation
lytical thinking than an action researcher. process is understood as an inquiry into a
Various dimensions of the role are treated in holistic real life situation where knowledge
books on action research (see, for example, is generated through active experimentation
Coghlan and Brannick, 2005; Greenwood in which problem owners and researchers
and Levin, 1998/2006; Reason and Bradbury, co-generate knowledge (Greenwood and
2001/2006; Stringer, 1999; also other Levin, 1998/2006). The modern university
chapters in this section), but given the com- pays little attention to the link between
plexity and the diversity of skills needed, it is research, teaching, and practical problem
astounding how little is written in the texts of solving. These three-dimensional tasks have
action research on the researcher’s role and to be accommodated within the ideology of
skills. a two-dimensional institution. This is the
The action research role is bi-polar fundamental challenge of training action
because it demands both practical skills in researchers in universities.
order to advance the solution of practical Academic environments have always
problems and that the researcher has an ana- shown hostility to activities that would break
lytical and reflective mind which provides the code of the orthodox Humboldtian ideal.
the intellectual capability to produce texts for Would it be a contradiction in terms to aspire
the scientific community. The action research for a different and involved knowledge pro-
professional must be both capable to inter- duction in institutions that honor distance
vene in concrete practical activity and to gen- and disconnectedness? Could a pedagogical
erate scientific insights. We are not used to approach that is built on reflection and learn-
seeing an integration of on the spot extrovert ing together with the involved problem own-
actions and deep and sustained systematic ers, based on concrete experimentation in
introverted reflective processes in the same order to solve real life problems, grow on
person. In training action researchers, the this potential hostile ground? Is it possible to
task is both to nurture action capability and overcome this obvious contradiction between
to facilitate reflective capacity. top-down professorial lecturing to a bottom-
Conventional teaching at universities uni- up inquiry process lending learning opportu-
laterally focuses on reflective and theoretical nities for everyone involved?
training. Even in professional training such The data and analysis that this chapter is
as engineering and medicine practical skills built on is my own teaching experiences. The
are only moderately attended to; within the first major part of the chapter conveys in nar-
core social sciences practice is almost com- rative form the data and experiences from
pletely ignored. where the analysis of skills is drawn. This
THE PRAXIS OF EDUCATING ACTION RESEARCHERS 671
creates, then, the backdrop for the discussion of that actually existed in the teaching system:
skills in action research. The conclusion will none of my colleagues or any other official at
present a perspective on the historical possibil- the university ever bothered about what I was
ity for action research in academic institutions. doing in my classes. In fact, I had ‘carte
blanche’ for experimentation. It was up to my
creativity and my own naiveté to create a dif-
BREAKING THE PATTERN – MY ferent take on knowledge generation in an
JOURNEY TEACHING ACTION academic setting. I plunged ahead.
RESEARCH One structural obstacle was large classes. If
the number of students in a class was higher
Changing the curriculum in universities is a then 50, a dramatic reduction in communica-
bureaucratic process controlled by local power- tion between teacher and students was evident.
holders and strongly influenced by different A second obstacle was the physical construc-
professions (Clark, 1995; Silva and Slaughter, tion of the classrooms or auditoriums. The
1984). Universities are conservative mastodons simple design of an auditorium with students
that change very slowly. Individual experimen- roosted in a semi-circle is a dramatic hindrance
tation is possible but institutionalizing change to dialogues between students and instructors,
takes a long time. What follows is a narrative of whereas a classroom with a flat floor creates a
how I navigated this institutional context in very different flexibility. Time slotted in seg-
order to teach action research through an exper- ments of 45 minutes was another constraint
imental activity which can itself be conceptual- that administratively had its rationale but
ized as an action research process based on hardly could be supported by pedagogical
cycles of experimentation, reflection, learning, arguments.
and new experimentation. Throughout this In developing my university teaching and
process I have balanced the innovation activity subsequently teaching of action research I
with not stirring the powerholders. ‘Get it done’ was ‘making the road by walking’, to borrow
has been my motto. from the title of Myles Horton’s and Paulo
In 1982, I was appointed associate professor Freire’s (1970/1995) book on adult educa-
at the Norwegian University of Science and tion. Numerous small steps along that road,
Technology (NTNU). Since graduating in engi- some successful and many failures, slowly
neering and subsequently in sociology, prior to created an action research praxis in teaching.
taking the NTNU position my main experience This history is undoubtedly mundane; it
was with trade union education. The differ- lasted for a long period and was sprinkled
ences between those two worlds – the deep with quite a lot of tripwires. Teaching for 23
involvement in trade union education and the years has had its ‘ups and downs’, but amaz-
clear analytical distance as expected in univer- ingly enough it created energy to continue on
sity lecturing – could hardly be larger and were the road. The concrete experience from
not easy to integrate. Over the first years, I learning that students ‘took off’ on their own
taught in the traditional academic way. This knowledge journey kept the excitement
conventional teaching soon became unsatisfac- alive. Without that sense, I would never have
tory and the accompanying frustration moti- had energy to continue.
vated me to seek alternatives.
I became passionately involved with
experimenting with pedagogical structures, THE FIRST MOVE – DIALOGICAL
developing a surge of energy to create alter- PEDAGOGY
native practical teaching that gradually
enhanced my understanding of what could be My point of departure was not only a devo-
alternatives and what was possible in praxis. tion to action research, but devastating expe-
I was repeatedly surprised by the flexibility riences of teaching large classes (200–400
672 SKILLS
students). These large classes demanded skills problems. Students devoted so much time
in staging and acting a high-energy teacher and energy to these assignments that they
performance, while the students learned fast complained of not having enough time for
to ‘survive’ class in total passivity. The accu- their other courses. However, a clear signal
mulation of such experiences over some few of the effectiveness of this approach was that
semesters inspired me to see if I could figure they in no way wanted to reduce their
out a different approach to teaching. I soon engagement in the projects. Talking to and
abandoned larger classes as an arena for learning from people for whom the problem
experimentation. The smaller classes were situation was real created this extreme
more promising. Dialogues and conversations energy for hard and concentrated work. I
could easily ‘criss-cross’ a small class while could see how it was possible to bring in real
non-teacher centric communication was prac- life problems, but it was still a mystery how
tically impossible in large classes. potential change activity could be integrated
My first experimental arena was a class in into the teaching activity. For many years I
public planning and administration. Teaching refined this model of teaching and actually
such a topic in a science and engineering uni- wrote a technical report identifying it as ‘dia-
versity attracted few students. The class had logical pedagogy’ (Levin, 1989).
between 8 and 15 students and diverse dia- This way of teaching in small classes was
logues were possible. The communication not only stimulating for students, but equally
platform existed, but the vital issue was how rewarding for myself as teacher and co-
to bring real life problems into the class- learner. One of the unexpected and nice
room. The initial solution was to divide the experiences was the day I dropped by the stu-
class into teams of three to five students and dents’ workspace and found a flip-chart from
make the teams figure out a regional public one class taped up on the backside of the
planning issue. It was easy for the students to entrance door. It was of course incomprehen-
find interesting and motivating real life prob- sible for anyone that had not been present in
lems. The teams had to develop their own the class, and hardly possible in the after-
knowledge generation question and to math of the engaged classroom discussion to
engage in fieldwork. My role was trans- interpret. When I asked the students why
formed to a critical listener, a developer of they had kept this flip-chart, they told me
questions, and often but not always a creator that it signified the learning dynamic in the
of an entry point to the actual field. The stu- class and their commitment to the joint learn-
dents had to manage the fieldwork quite by ing process. This pedagogical approach was
themselves. In fact, I experienced few prob- obviously a route to follow, but it took many
lems with students not being responsible and years before I managed to create a design
mature fieldworkers. Most of their method- that would be closer to that of the action
ological skills were learned in the field work- research process.
ing with the concrete problem issue. This
class represented one of five courses that the
students had to take each semester. The SECOND WAVE – TOWARDS
learning process in class was designed to TEACHING ACTION RESEARCH
develop the students’ ‘projects’, balanced by
study of what were considered necessary The public planning and administration
substantive texts. One ‘spectacular’ year all course was replaced by a new course in orga-
four projects in the class made it to the front nizational development (OD) which was pri-
page of the regional newspaper, so at least marily a course for students in technology
the relevance was not in question. management. This course made possible a
It was amazing to observe the strong new take on teaching in the style of action
motivation created by working on real life research. First, the modeling of OD was built
on the co-generative model of action research Subsequently, the students received a simulated
(Elden and Levin, 1991; Greeenwood and feedback on this plan, based on experiences I
Levin, 1998/2006). Second, it was natural in a had gained from working with OD in a num-
course modeled on action research to plan for ber of organizations, that forced them to
and reflect on change processes in time-line change or redevelop initial plans. The simu-
perspective. Change does not happen in the lated development was handed to students in
blink of an eye, but is a process that evolves the form of half a page of text. These simula-
over time. Initially I worked out a concept tions were built on years of experience with
based on using a written up case. These cases running action research processes in organi-
were built on my own field experience, and zations. This very modest change in structure
as such were clearly influenced by my own created a dramatic change in the whole
analytical perspective. The cases indicated a assignment. In fact, it simulated a dynamic
transparent problem statement and the OD change situation and clarified that planning
literature created the backdrop for a struc- an OD process is only a forecast and not a
tured project design and development. The final blueprint for how things would evolve.
general framing of the assignment was to Students took the simulation seriously and
make sense of what issues were at stake in we had many fierce battles over the potential
the actual organization and to develop a plan incomprehensibility and inconsistency of the
for an OD process. simulated feedback. This was of course per-
I worked along these lines for some time fect since the students first had to make sense
and the teaching was quite well received by of the feedback. This small ‘trick’ was a way
the students and obviously socially and intel- to formulate an open question and make the
lectually stimulating for myself. Student whole teaching situation somewhat like real
enrollment was high (30 to 50). The classes life. This was a very simple idea, but it
worked well, almost to the extent that I every crossed most of what I considered to be
now and then envisioned it as the best teach- untouchable boundaries for teaching at
ing I had ever done. Students’ evaluation was NTNU.
quite favorable and the status of the course The further development of this open
was respectable. Feedback from students question approach was that data could be
included: ‘You take this course in order to used in a much more sophisticated way in
learn; you have to work as much in this classes. What about presenting a case with-
course as in all the other courses together this out a clear or intended focus of attention?
semester; you will need what you learn in The technological option created by comput-
this course when you start your professional erized streaming of video opened new possi-
life.’ Altogether, this was quite stimulating bilities. What about taping on video a
and led me to search for even better solutions number of moderately structured conversa-
to making the knowledge generation process tions with some people in an organization
in the class look more like real life. and then streaming them to make them
The first development was easy as it accessible for looking at and listening to on a
involved the simple trick of asking the stu- computer? This video streaming approach
dents to write an OD plan that was built on turned out to be fairly time consuming. First,
stating the goal for the activity, arguing for I had to use my contacts in industry or public
practical developmental activity and how to administration to get access to the organiza-
evaluate and restructure the learning and tion. Confidentiality issues had to be solved,
change activity as it unfolded. The assign- relevant persons to be identified and subse-
ment had three stages. First, the students had quently interviewed, and finally I had to cre-
to develop an assessment of the organiza- ate a CD for viewing on PCs. The recording
tion’s strengths and weaknesses. This analy- sessions usually lasted for a full day. Initially
sis was the foundation for the first OD plan. I played with the idea that the video could be
674 SKILLS
uploaded to a server, but this was abandoned This approach to teaching was engaging
due to issues of confidentiality. The contract but also very demanding for the students
with the actual organization was based on the because it differed so much from what they
expectation that the material and the reports experienced in other courses. The reception
were confidential and only used for teaching by students and by my colleagues was quite
purposes. Confidentiality was secured as the positive, the teaching was quite successful,
students signed a declaration of confidential- and I was awarded the university’s prize for
ity and we guaranteed to keep close track of innovative pedagogy. But is it fundamentally
the CDs. In an early phase of the teaching a way to train students in action research?
members from the ‘case’ organization were The most evident disconnection from an
invited to give a guest lecture which created action research process is the lack of direct
an opportunity to present their experiences exposure to the field. It is simply impossible
and perspectives of their own organization. to send out 30 to 50 students to almost any
This was usually done in a two or three hour kind of location. In addition, it is certainly
session in the class. Some weeks into the impossible for the students to take on respon-
semester, either at a video conference or in sibility for running an action research based
class, people from the ‘case’ organization change process. This would be neither
attended a ‘questioning’ session where stu- socially nor logistically possible. Involving
dents could seek additional information. students in the field is not an option unless
The assignment was simple: ‘Develop an there are less than perhaps 10 students in the
OD plan that improves this organization’s class. However, this video-based presenta-
operation.’ This straightforward and un-pre- tion and later simulation of a change process
cise problem statement (actually lack of it) was sufficiently realistic to train undergradu-
frustrated many students. The formidable ates in some elements of action research. The
experiential situation highlighted how real focus for intervention had to a certain degree
life situations are messy and unclear. An to be negotiated with locals, and students had
important segment of professional capability to seriously think through and argue for what
is actually to make sense of a holistic and kind of learning arenas they suggested in
complex real life situation and to be able to order to support change.
formulate a grounded understanding.
Finally, at the end of the course, members
of the actual organization were invited to par- THIRD THEATER – ACTION RESEARCH
ticipate in the students’ final presentation PHD PROGRAMS
where direct and grounded feedback was
given from the problem owners. The students’ The quintessence of an action research inter-
analysis and OD planning were always well vention is to create opportunities for collec-
received by the organizational members, tive learning through integrating local
even though the report often had a critical members and action researchers in the same
stance. reflection and learning process. For me, the
A demanding and time-consuming part of most promising educational action research
this assignment was to analyze the inter- activity has been the PhD training, for the
views. This was problematic and challenging students are more mature when they enroll
as the students had only rudimentary knowl- and the program involves at least four years
edge of data gathering and analysis. It was of deep intellectual engagement. One obvi-
necessary to give a crash course in data ous way to organize a PhD program is to
analysis and the students were advised to center it on individual action research pro-
watch the CDs in pairs to enable a necessary jects, where the advisor(s) directly support
minimal control over the understanding and and guide the student both in the field and
sensemaking process. in academic reflection and writing. This
individualistic type of advising recreates the perspectives created by the conventional

one-to-one relationship seen in conventional disciplines. The group did not produce much
PhD programs. Throughout my career, I have in terms of conventional academic output,
designed three larger PhD programs (a more but the one paper we managed to create col-
detailed presentation of these programs is lectively won the best prize award at an inter-
contained in Levin, 2003). The first genera- national conference.
tion program was built around a larger The third PhD effort intended to create an
Norwegian evaluation effort. The program international program in work life action
had seven students in the cohort and two research. The program had initially 24
responsible professors, one of whom left students and a staff of nine – five Norwegian
after the first year of operation. In order to members and four international – and was
manage the work load I involved a number of planned to operate for four years. The
national and international scholars both to program was funded by the Norwegian
teach and to advise. The student group devel- Research Council and was closely connected
oped a strong collective spirit, and gradually to a regional developmental program
took initiatives to organize seminars and (Value Creation 2010; see also Chapter 4 in
invite professionals to speak. This created a this Handbook). The program was organized
different and more symmetrical balance in four yearly one week sessions (16 weeks
between students and mentors. The struc- altogether) and with a strong emphasis that
tured progression of the advising sessions students should follow the pre-programmed
also supported the individual progression. plan to enable them to finish by the end of
All participating students graduated from the the fourth year. The program has so far been
program. successful in creating a network among par-
The next program had a focus on creating ticipating students, but the broad spectrum of
transdisciplinary knowledge in the field of competence held by the nine staff members
operation of a chemical process plant. The turned easily dysfunctional because it was
program had nine students, four with engi- difficult to coordinate positions in such a
neering background and five with a back- way that they made sense for the students.
ground from organization and leadership. The program will end by December 2006 and
The staff comprised four professors, two a preliminary analysis indicates that the pro-
engineers and two from social science. The gram had too many students and too large a
program was organized around bi-weekly staff. The next generation program, which
seminars, enabling in-depth discussion that will start in January 2007, will only have 16
included all students and professors. These students and a permanent staff of five.
discussions were probably the most success-
ful part of the program, and greatly enjoyed
by all participants. The students worked in THE CHALLENGES IN ACTION
peer groups and in the earlier phases the RESEARCH EDUCATION AND THE
cooperation and integrated development cre- ASSOCIATED SKILLS
ated elements of transdisciplinary knowl-
edge, but when students started to dig deep Action research obviously includes both
into the thesis research they reverted more to action and research. It presupposes an ability
disciplinary perspectives. The student group to act in order to solve pertinent problems
was more fragmented and did not develop and it demands that these actions aiming to
the same strong peer culture as in the previ- resolve pertinent questions also lead to a
ous program. In many respects, the most research based reflection process. Skills to
interesting outcome was for the participating promote action and intellectual capacity to
professors, who managed to create a playful enable social science research must be con-
transdisciplinary discourse broadening the tained in the same person.
676 SKILLS
I now devote attention to identifying and to new types of data, different experiences
discussing skills involved in educating action from the field, a different take on sensemak-
researchers. Two perspectives on skills will be ing, and alternative ways of dealing with reli-
relevant for this discussion. First, educating ability and validity.
action researchers will demand professorial Introducing action research in social
skills understood as competencies of a sub- science teaching creates a praxis where stu-
stantial and pedagogical nature that teachers dents take more responsibility for their own
would have to master in order to be competent learning process simply because the teaching
facilitators for action research education. will be driven by the actual problem focus. In
Second, educating action researchers will have this perspective, the teacher will have to con-
to be grounded on an understanding of what nect the students to people’s working and liv-
kind of skills are mandatory for professional ing conditions outside of the university or to
work as an action researcher. These two sets of create opportunities that have similarities
skills are separate but interconnected. A with a real life situation through elaborate
professor cannot teach action research unless use of multi-media technologies.
the pedagogical perspective is aligned to the I am clearly in favor of integrating action
core values and processes of action research. research in everyday teaching but I realize
In addition, the teaching has to include training also that there are courses that cannot be
in skills that are necessary for engaging in designed to accommodate action research
action research. principles. Two issues are important. First,
The discussion will be structured around action research calls for the teaching to be
an identification of the current challenges in constructed from real life problems. With
action research education. This is the point of this premise, the pedagogical process must
departure for discussing skills for the action integrate theoretical reflection and reasoning
researchers and skills for teachers. Its focus with the concrete problem solving process.
is to raise the principal issue of what level Students will acquire understanding of the
should action research be taught at and research process, but in undergraduate edu-
should it be organized in separate courses. cation they will not have the capabilities to
enable quality research. Second, dealing with
real life problems creates a sound platform
Should Action Research be a for substantial professional knowledge
Separate Course or Integrated in because everyday social practice will create
the opportunity to reflect on social science
Ordinary Undergraduate Courses?
theories. In addition, the action research
A general learning from teaching methods in teaching directs attention to how social
social science is that it is very difficult if not change processes can contribute to a resolu-
impossible to teach method separate from tion of a concrete practical problem. From
substantial issues. Method is intrinsically my own experience, this action-oriented
linked to the theories, concepts and the approach to social science is a premise for
praxis of research within each profession. engaging in change activity. Students who
Disconnecting methods from the profes- have finished undergraduate education with-
sional content leads to loss of epistemologi- out this perspective in their hands and mind
cal underpinning, so integrating teaching of have real difficulties later in engaging in
method with content in everyday teaching is change related practice. The distant analyti-
essential. Introducing action research as a cal perspectives of traditional teaching and
method in teaching different disciplines is research hamper the ability and willingness
very important in order to show that it is a to risk involvment in change activity because
useful alternative that can be integrated into the grounded role model for a professional is
the methodological repertoire giving access the distant observer.
The core argument is that action research social and economic resources. A key issue
should be integrated in teaching social in the mentor/apprentice relationship is the
science, but such integration will demand gradual transfer of control to the apprentice.
new pedagogical approaches and a focus on This challenging situation has to be dealt
the dynamics of social systems instead of with very consciously and carefully by the
promoting a static conceptualization. mentor. In the three major PhD programs
described above, the asymmetrical one-to-
one relationship has been compensated
Mentor/Apprentice and Collective through creating advising teams consisting
Reflection of more than one professor.
A strength of the mutual presence in the field
The skills required in action research cannot is that the experiences are shared, whereas it is
be precisely formulated as written role possible to engage in ‘reflection on’ processes
requirements simply because they are deeply without necessarily sharing the same experi-
integrated with the action researcher’s actions ences. The mentor/apprentice relationships are
(Ryle, 1949). The heart of the mentor/ obviously most powerful when the mentors
apprentice relationship is the creation of also are present in the field but, to a certain
learning possibilities directly linked to con- degree, the same relations can be developed
crete praxis, either through mutual engage- when mentor and apprentice reflect on experi-
ment in the shared work or in reflecting on ences. However, the very important reflection
shared work experiences. This training can in action process can never be substituted by
only take place in real life situations. working together in the field as this reflection
Students and advisors have to share responsi- process is inevitably linked to the concrete
bility for the design of learning processes project activity.
that enable both reflection in action and Furthermore, the relationship between stu-
reflection on action (Schön, 1983). The advi- dents and professor in everyday teaching
sor must concretely be engaged in the field models a mentor/apprentice relationship. The
and be able to manage the art of reflection in kind of dialogues that shape the learning sit-
action and through that make it possible to uation will model how professional knowl-
see and understand why and how actions are edge can be communicated and made
taken (see also Chapter 46 in this Handbook). relevant for the students, a conversation that
Reflection on action is much easier as this actually is the same as the one that underpins
has the character of experiential learning and concrete action research activity.
there is some distance to the actual events.
This alliance of an experienced mentor and
an apprentice eager to learn can, if all goes Collective Reflection for Advisors
well, lead to valuable in-depth cooperation. In
and Students
contrast, if it doesn’t work, it can easily become
a disaster. Insights necessary for running action In conventional PhD programs individual
research projects are acquired through working students meets individual professors, creat-
in the field and in conversations with experi- ing what we have identified as an asymmet-
enced actors. The essence of the learning rical relationship. The asymmetry is equally
process is conversations between mentors and problematic for the powerholder and for the
apprentice through concrete problem-solving students subject to authority, as I have
and common reflections on actions taken. The pointed out in the previous section. One solu-
mentor/apprentice relationship is asymmetrical tion to this problem has been to build peer
and unbalanced. The mentor has the power groups of students and faculty cooperation in
grounded in the skills of a proficient action teaching and advising. It seems important to
researcher and in control over the project’s create PhD programs that have a minimum
678 SKILLS
intellectual ‘mass’ to enable broad and envisioned and practically made operational.
diverse discourse on the epistemology and Communicating, cooperating, and engaging
the praxis of action research. This enables a in practical problem solving are all practical
reflective space that is important both for the and concrete tasks. The necessary ‘knowing
student community and for the communica- how’ (Ryle, 1949) to do such work is
tion between students and professors. A sec- undoubtedly one of the most important skills
ondary effect of creating a PhD program in in the action research repertoire. These
action research is that it also makes it possi- knowing how skills embedded in action are
ble to create a team of teachers cooperating vital to action research: no one can become a
in advising students. proficient practitioner unless they have
In addition, cooperation between teachers in appropriated the necessary tacit knowing.
mentoring and teaching has the important side The best way to enhance the students’ inven-
effect of creating a reflection space for advi- tory in knowing how is to have them engaged
sors, both regarding professional knowledge in the concrete practical activity of projects.
and in advising. This kind of cooperation does In addition, two teaching strategies have
not come easily to professors. Large egos and been shown to be feasible. First, as has
fierce competition might easily destroy the been discussed above, creating video-based
potential of peer learning. Good cooperation is simulation exercises forces the student to
extremely valuable but hard to achieve. actively engage in making decisions on how
For students it is even more important to a change process should be conducted.
gain access to colloquial groups. Probably Second, exercises can be created that engage
the most recorded single dissatisfactory the students both as executors and as partici-
factor in a traditional PhD program is the dis- pants, as in the well developed tradition of
connectedness from other students. In under- group dynamic exercises (Kolb et al., 1971).
graduate education, this is equally important, Alternatively, the students can be asked to
but probably easier to shape the conditions design and conduct a search conference
for. One way forward is to create a group of (Emery, 1999) on issues of importance for
students that are involved in action research the class, which give students experience
and use this peer group as a joint learning both as facilitators and participants in change
arena (Levin, 2003). It has turned out that and learning processes. Through planning for
much of what is needed to become a profes- participation in learning processes and as a
sional takes place in peer-based discourses, consequence of being a participant, students
both with regard to fieldwork and to make can have access to the know how necessary
sense of the relevant literature. This is the for running change processes and the tacit
road I am now following in PhD programs knowing of being a participant in the same
where a cohort of students (9 to 20) follow in processes.
parallel the teaching and advising. Each stu-
dent has more then one advisor, and the
whole faculty cooperates in teaching and Framing Research Questions From
advising. The underlying idea is to have both Everyday Life Experiences
a student collective and a collective spirit
among the faculty. With a smaller faculty, it In conventional social science the modus
has been possible to create good cooperation. operandi is to develop research questions
from a reading of the literature which makes
Training Must Include Tacit the research frontier solely dependent on the
issues of concern to the research community.
Components (Knowing How)
In action research, the research should sup-
Running action research projects is prac- port the effort to solve pertinent local prob-
tical work. Learning arenas have to be lems that are shaped by everyday experience.
However, this is only half the truth for, as skills for students that will enable them to
Greenwood and Levin (1998/2006) demon- understand what problem owners are talking
strate through their cogenerative model of about and enable students to talk back on the
action research, good research questions are premises of professional knowledge. These
developed at the borderline between local communication skills penetrate all practical
understanding and academic-based insights. action research work, and they are impos-
The action research practitioner needs skills sible to teach in the classroom without prac-
to enable such a fusion of perspectives and tical experience.
this proficiency must be developed through
the teaching process. The primary ability is
to listen and understand the problem owners’ Writing the Action Research
points of view, to relate that to substantive
PhD Thesis
knowledge in the area, to seek out potential
alternative ways of making sense of the situ- The hallmark for PhD education is the ability
ation and to communicate this position back to transform the research into a PhD thesis. A
in such a way that it creates new insights for PhD is conventionally understood as a sign
all involved. of craft competence in research and it is now
In practical teaching, the core problem is more than ever a mandatory prerequisite for
get access to how local people construct a an academic career and the ability to com-
problem horizon. If the students are working pete for research funds. There is no future
in a real life situation this is straightforward, road for action research unless it finds a
they automatically have access to local sound location in academia (Greenwood and
problem statements. If this is not possible the Levin 2005; Levin and Greenwood, 2001,
option of the multi-media approach described Chapter 14 in this Handbook), and the pre-
above is available. The task is to create a requisite for that is to ensure that enough
bridge between local problems and scientific action researchers have the necessary qualifi-
questions. This forces the students (and the cations to compete for and win academic
professors) to have an understanding of the positions. The major challenge is to integrate
relationship between theory and practice. I both the deep involvement and reflective dis-
have often experienced this as a very difficult tance, to write a thesis that captures the rich-
issue simply because students seldom are ness of active engagement in the social
asked to reflect more than on the theoretical change process and at the same time lends
level. Connecting theory and practice raises enough weight to the researcher’s critical
issues that span beyond the description and distance to the process that he or she has
understanding of a social situation by making been engaged in. One mode of writing is to
visible questions of how this knowledge can organize the thesis to communicate the grad-
be used for improving the participants’ life ual learning that takes place in an action
situation. It is easy to see how university research process, singling out major inci-
education creates barriers for shaping dents, identifying what has been learnt
research questions from everyday experi- through the practical achievements and what
ences. But this issue is not really so difficult new actions were taken. In this way the the-
to tackle in everyday teaching, for the sis shifts from the traditional linear structure
teacher can confront students with the practi- to a cyclical spiral of reflection and action
cal implications of theoretical positions by that gradually creates new practical results
always asking students to consider what their and new conceptual insights.
practical recommendation would be in a A PhD will demand command over all the
given practical problem situation, drawing skills elements I have been arguing for in the
on theoretical insights. The second and more previous sections. It is also evident that it
difficult element is to create communication would be beneficial for the students to have
680 SKILLS
met action research based teaching before through the undergraduate program, it is very
entering a PhD program. If not, they will have hard later to acquire the competency. The
to be in the fast lane in order to both handle socialization to an analytical and detached
action elements as well as the critical reflec- social scientist is all too strong.
tions that are engraved in the research practice. These capabilities in change are important
to enable an integration of research and
action. This combination will necessarily
CONCLUSION have to take place in PhD programs. It is at
this level students gain the necessary profi-
The thrust of my argument is that PhD train- ciencies theoretically, methodologically, and
ing is key and this is where we should con- analytically to operate as a skilled researcher.
centrate our efforts. It is at the PhD level that If action research intends to be part of the
students learn the craft of research. But this current international debate in the research
does not mean that all training in action community, there is no option to bypass pro-
research should be postponed until PhD ficiency in research. Accordingly, PhD edu-
training. This is a too simple a conclusion. cation for action researchers is necessary.
Even though the argument is that in action The challenge is to create PhD programs that
research action and reflection are inter- really combine action and research.
twined, this does not necessarily imply that Institutions of higher education can
all training in action and reflection have to be accommodate the education of action
simultaneous and parallel. One option is to researchers. Constraints created by conven-
have a major focus on processes of change in tional academic practice shape a background
courses at undergraduate level. Such training from which action research education will
would shape professionals that can master have to be crafted. My experiences have
participative change processes with an shown that action research teaching can be
emphasis on collective and mutual learning. accommodated in higher education. In an
These skills are necessary for an action earlier paper I have described the introduc-
researcher, and they should be present in a tion of PhD education action research as a
repertoire of proficiencies that are one process in disguise until it is shown to be
important building block for the training in practically feasible through making it happen
action research. (Levin, 2003).
In conventional social science training, the In the changing university of today (see
students learn the basics of the discipline’s Levin and Greenwood, 2001, Chapter 14;
vocabulary, theories, and knowledge generat- Greenwood and Levin, 2005) there is a
ing procedures. This enables them to work swing away from disconnected and abstract
later as professionals. These grounding con- towards contextualized and concrete social
cepts of social life create the backdrop for science. Training action researchers in uni-
interpreting social reality and subsequently versities has also potentially a much broader
advising concrete actions to solve pertinent perspective. In this chapter I have suggested
problems. These courses seldom make it to that teaching action research creates a differ-
the point that the students learn how to sup- ent type of professional able to combine con-
port concrete actions. An in-depth under- textualized problem-solving, knowledge
standing of social process and social generation that includes local actors and
structures are the knowledge base upon insights communicated to the scientific
which social change activity is founded. world. This is precisely what Gibbons et al.
Practicing change is not disconnected from (1994) and Nowotny et al. (2001) envisage
theoretical reflections and it is my experience as the essence of the new situated knowledge
that if basic skills in organizing social change generation where the new knowledge is
are not engraved in the student’s mind negotiated between scientists and problem
owners. This is what cogeneration of Greenwood, D.J. and Levin, M. (1998/2006)

knowledge is all about. If the Gibbons/ Introduction to Action Research: Social Research for
Nowotny perspectives sketch the direction Social Change. Newbury Park, CA: Sage.
Greenwood, D.J. and Levin, M. (2000) ‘Reconstructing the
which university knowledge production will
relationship between universities and society through
take, action research is currently the mode of action research’, in N.K. Denzin and Y.S. Lincoln (eds),
doing research that is closest to this ideal. The Sage Handbook of Qualitative Research, 2nd edn.
This should be a strong argument for pursu- Newbury Park, CA: Sage. pp. 85–106.
ing on a broad basis the education of action Greenwood, D.J. and Levin, M. (2005) ‘Reform of the
researchers in institutions of higher educa- social sciences and of universities through action
tion. This is the road to follow in order to not research’, in N.K. Denzin and Y.S. Lincoln (eds), The
only expand action research but also to Sage Handbook of Qualitative Research, 3rd edn.
change higher education and revitalize it to Thousand Oaks, CA: Sage. pp. 43–64.
become a knowledge producer that impacts Horton, M. and Freire, P. (1970/1995) We Make the
social development. Road by Walking (ed. B. Bell, J. Gaventa and
J. Peters). Philadelphia: Temple University Press.
Kolb, D.A., Rubin, M. and McIntyre, J.M. (1971)
ACKNOWLEDGMENT Organizational Psychology: An Experiential Approach.
Englewood Cliffs, NJ: Prentice Hall.
Levin, M (1989) Dialogisk pedagogikk (Dialogical
Davydd J. Greenwood, Ann W. Martin, Pedagogy). Trondheim: ORAL-NTH.
David Coghlan, and Peter Reason have Levin, M. (2003) ‘Ph.D. programs in action research: can
contributed with critical and constructive they be housed in universities?’, Concepts and
comments to earlier drafts of this chapter. Transformation, 8 (3): 219–38.
The comments have been most helpful for Levin, M. and Greenwood, D.J. (2001) ‘Pragmatic action
the development of the chapter. research and the struggle to transform universities
into learning communities’, in P. Reason and
H. Bradbury (eds), Handbook of Action Research:
REFERENCES Participative Inquiry and Practice. London: Sage.
pp. 103–13.
Clark, R.B. (1995) Places of Inquiry: Research and Levin, M. and Greenwood, D. (2007) ‘The future of uni-
Education in Modern Universities. Los Angeles, CA: versities: Action research and the transformation of
University of California Press. higher education’ in P. Reason and H. Bradbury The
Coghlan, D. and Brannick, T. (2005) Doing Research in SAGE Handbook of Action Research: Participative
Your Own Organization, 2nd edn. London: Sage. Inquiry and Practice, 2nd edn. London: Sage.
Denzin, N.K. and Lincoln, Y.S (2000) The Sage pp. 211–26.
Handbook of Qualitative Research, 2nd edn. Nowotny, H., Scott, P. and Gibbons, M. (2001)
Thousand Oaks, CA: Sage. Re-Thinking Science Knowledge and the Public in an
Denzin, N.K. and Lincoln, Y.S. (2005) The Sage Age of Uncertainty. London: Sage.
Handbook of Qualitative Research, 3rd edn. Reason, P. and Bradbury, H. (2001/2006) Handbook of
Thousand Oaks, CA: Sage. Action Research: Participative Inquiry and Practice.
Elden, M. and Levin, M. (1991) ‘Cogenerative learning: London: Sage.
bringing participation into action research’, in White Ryle, G (1949) The Concept of Mind. London:
(ed.), Participatory Action Research. Newbury Park, Hutchinson.
CA: Sage. Schön, D.A. (1983) The Reflective Practitioner: How
Emery, F.E. (ed.) (1999) Systems Thinking. London: Professionals Think in Action. New York: Basic Books
Penguin. Silva, E.T. and Slaughter, S.A. (1984) Serving Power: The
Freire, P (1970) The Pedagogy of the Oppressed. New Making of the Academic Social Science Expert.
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Gibbons, M., Limoges, C., Nowotny, H., Schwartzman, Stringer, E.T. (1999) Action Research, 2nd edn. Thousand
S., Scott, P. and Trow, M. (1994) The New Production Oaks, CA: Sage.
of Knowledge: the Dynamics of Science and Whyte, W. F. (ed.) (1991) Participatory Action Research.
Research in Contemporary Societies. London: Sage. Newbury Park, CA: Sage Publications.
682 SKILLS
48
Finding Form in Writing
for Action Research
Judi Marshall
This chapter explores how form emerges and can be worked with in writing action research.
It considers notions of form, and advocates writing in which form, content and thematic con-
tribution are analogically congruent. Virginia Woolf’s The Waves (which explores patterns of
thought and the nature of identity) is taken as an exemplar of such resonance. A strand in
the chapter considers what can be learnt from Woolf’s approach to writing. Conventions and
the politics of form in writing are discussed. The chapter offers practices for enabling writers
to find appropriate form. It gives a range of illustrations of the processes involved. Attention
is paid to the need to craft writing to achieve desired effects, so that it can communicate art-
fully to the reader. Issues of voice and potential silencing are also considered.
ASPIRATIONS [The Waves] is an exploration of the workings of the

minds of the six named characters within the text. …
The sun had not yet risen. The sea was indistinguish- The life-span of the six. … is conveyed through a
able from the sky, except that the sea was slightly series of ‘dramatic soliloquies’, interspersed with
creased as if a cloth had wrinkles in it. Gradually as passages of depersonalized prose which describe
the sky whitened a dark line lay on the horizon divid- constantly shifting patterns of light and water pass-
ing the sea from the sky and the grey cloth became ing from dawn to dusk, spring to winter, across the
barred with thick strokes moving, one after another, globe. (Flint, 1992: ix)
beneath the surface, following each other, pursuing
each other, perpetually. No author’s comment or interpretation is
As they neared the shore each bar rose, heaped
itself, broke and swept a thin veil of white water
offered. The novel can be read as Woolf’s
across the sand. The wave paused, and then drew investigation of patterns of thought and the
out again, sighing like a sleeper whose breath nature of identity (Briggs, 2005; Flint, 1992).
comes and goes unconsciously. Identity is not portrayed as information about
(opening lines of The Waves; Woolf, 1931/1992: 3) the characters, but as
FINDING FORM IN WRITING FOR ACTION RESEARCH 683
primarily constructed from within, through an writer. This voice is appropriate in the
individual’s deployment of language. ... All the speak- writing workshops I run. I adopt it in the
ers in The Waves have certain set phrases or habits of second half of the chapter, offering practices
thinking to which they return, carrying them through
life like talismans. .... It is through such verbal accre-
to enable writing, with illustrative stories.
tion, Woolf suggests, that identity establishes itself The analysis and processes presented imply a
.... the image of waves, with their incessant, recur- solo writer (perhaps in a phase of writing
rent dips and crests, provides a far more helpful [than alone in order to present drafts to co-inquirers),
‘stream of consciousness’] means of understanding but can be adapted to writing with others.
Woolf’s representation of consciousness as some-
thing which is certainly fluid, but cyclical and repeti-
Thirdly, I thread into the chapter notes in ital-
tive, rather than linear. (Flint, 1992: x–xi) ics on what I learn from Virginia Woolf’s
writing of The Waves, my aspirational exem-
When I first read The Waves I was so plar of the kind of congruence between form,
excited. Academic writing seldom does this for content and thematic contribution which I am
me. The form and informing motif of the novel advocating here.
were so congruent with its themes that I lived I have held my process open, but a more
the latter richly, without that strong a concep- ‘creative’ form has not emerged for this
tual sense of all I was exploring. Only later did chapter. So I feel a sense of paradox; I advo-
I articulate what I felt in the novel’s construc- cate experimentation and yet this writing is
tion and ideas, and seek out commentaries. relatively conventional. This, then, is an
In this chapter I explore how form aspirational text.
emerges and can be worked with in writing. I This chapter is a small addition to the bur-
draw on my experiences of writing and of geoning literature about writing and repre-
supporting other writers, especially graduate sentation. There is a great deal happening,
students doing action research. In these for example in qualitative research, as schol-
activities I have pursued long-term interests ars work creatively beyond the crises of
in issues of voice, overcoming silencing, legitimation and representation outlined by
multiple forms of knowing and finding form. Denzin and Lincoln (2005). Conventions of
I use examples from my own experience and realism in writing have been fundamentally,
from other people I know as I can tell the irrevocably, challenged. I can assume, rather
processes involved more fully. than argue, therefore, that there is no one
Some features of who I am may be rele- objective reality to be discovered and por-
vant to this chapter. For example, I tend trayed, that there are multiple (potentially
towards introversion and working through shifting) ‘truths’ seen from different perspec-
intuition. Whilst these are not fixed prefer- tives, and that writing only, but potentially
ences, they may explain my wish when writ- valuably, represents the constructed perspec-
ing alone to scurry away into a protected tive of the author(s). I welcome experiments
corner with a view of interesting surround- with diverse forms of writing which reflect
ings (especially of hills and trees). Your pref- the contentious, provisional, perspectival and
erences may be different. But, in my multi-faceted nature of knowing (Denzin
experience, for many people writing involves and Lincoln, 2005; Eisner, 1993; Ellis and
a movement inwards to enable their move- Bochner, 2000; Lather et al., 1997; Richardson,
ment outwards into expression. 2000; Sparkes, 2003; Weil, 1996).
This chapter incorporates different forms. I do not seek to encompass all these devel-
As I write and publicly present this material, opments here lest I lose my own intent,
the tone of advocacy, of making a case, keeps which is to offer a focused contribution on
coming through, and so shapes the first half working with those tentative, precious
of the chapter. Some of my thinking about moments in which form is coming into
finding form finds expression as direct being. I shall suggest that often we need to
invitations or injunctions to the potential ‘listen’ to what form our writing is seeking
684 SKILLS
to take because this has analogic congruence, suppression of voice, depersonalization,

in some way, with the substantive themes we acquiescence to norms. Well established con-
are exploring or to our relationship with them ventions favour linear arguments, rational-
as inquirers. We can then craft the emerging ized discourse, quantitative analysis (or
form, to communicate out to the reader. similar principles applied to qualitative data),
In the next section I say what I mean by value neutrality and so on. Understanding is
form and why I think it so important as a expected to confer potential control. These
focus of attention. are political, gender-associated, issues about
how knowledge is framed. And much of the
resulting writing is dull, boring and poorly
NOTIONS OF FORM contextualized as a result.
To reach beyond these conventions and pay
By form, I mean the shape of the writing – its more attention to form, I draw on a distinction
pattern, style, flow and eventual structure. between digital and analogic aspects of com-
While form can be distinguished notionally munication (Watzlawick et al., 1967). In digi-
from content – what the text purports to be tal communication ‘the relation between the
about – in practice these are inseparable. No name and the thing named is an arbitrarily
content can appear without form of some established one’ (p. 61). Meaning can be con-
kind. Czarniawska (1997) thinks this lan- veyed with some precision within the conven-
guage potentially misleading. Talking about tions of such a language system, and it is
analyzing identity as narrative, she says ‘the possible to communicate negation, that some-
traditional “form and content” dichotomy thing is not. ‘In analogic communication, on
unavoidably brings to mind an image of form the other hand, there is something particularly
as something external, holding the content “thing-like” in what is used to express the
within it (“a container”). This makes it seem thing’ (p. 62). It is based on likeness, similar-
perfectly possible to analyze form regardless ity. It includes ‘virtually all non-verbal com-
of content and content regardless of form’ munication’, including body movement,
(p. 47). She prefers to borrow the terminol- ‘posture, gesture, facial expression, voice
ogy of material and device from the Russian inflection, the sequence, rhythm, and cadence
formalist Bakhtin (1928/1985), because the of the words themselves. … as well as the
notion of an ‘outer/inner dichotomy vanishes communicational clues unfailingly present in
and it is thus easier to see why one cannot be any context in which an interaction takes
considered without the other’ (p. 47). There place’ (p. 62). Watzlawick et al. suggest that
can, then, be no material without device, no analogic communication has its roots in more
device without material. Even if we seek to archaic periods of evolution, and is therefore
analyze a device, ‘it simply becomes a mate- of more ‘general validity’ (p. 62).
rial to be elaborated with the use of a meta- Analogic communication is especially
device, as it were’ (p. 47). In this chapter I used to convey the nature of relationship
work with Czarniawska’s appropriate cau- (Bateson, 1973) and therefore signals the
tions, but continue to use the terminology of status of digital messages. ‘It is easy to pro-
‘form’, because it is widespread and because fess something verbally, but difficult to carry
I enjoy its associations – in-forming, forma- a lie into the realm of the analogic’
tive and so on. (Watzlawick et al., 1967: 63).
All writing has form. All form communi- However much we name and frame what
cates, something. In conventional academic we think we are doing (Fisher et al., 2003),
scholarship, which seems alarmingly imper- form is a meta communication, analogically
vious to any crises of representation and ‘framing’ that digital attempt at clarification,
legitimacy (Denzin and Lincoln, 2005), which may thus be contradicted or rendered
much form communicates a deadening and meaningless (Watzlawick et al., 1967).
Analogic communication typically has a researchers are not artists. ‘The greater freedom
‘curiously ambiguous quality’ as it ‘has no to experiment with textual form. … does not
qualifiers to indicate which of ... discrepant guarantee a better product’ (Richardson,
meanings is implied’ (p. 65). Digital and 2000: 936).
analogic communication complement each Nonetheless, we need to develop the crafts
other, and the former is always accompanied of working multi-dimensionally through rep-
by the latter. We can seek to translate from resentation, so that all scholars question their
one to the other, but there are always irre- processes of knowing and forms of represen-
ducible differences; ‘information’ of some tation as an artist or novelist might do.
kind is always beyond translation. Finding form is also an epistemological and
I am interested in analogic aspects of writ- political matter (see Chapter 27). Generating
ing, because form is often taken for granted appropriate forms to express our work draws
or conventionalized. As writers we need to from and therefore has the potential to commu-
be thoughtful about analogic communica- nicate or evoke multiple ways of knowing –
tion, and the ways of knowing we depict and intuitive, emotional, tacit, embodied knowing
invoke. And we cannot choose how form will alongside the propositional. Sometimes content
be received and interpreted. cannot be expressed until a compatible version
of form is achieved.
With others (Clough, 1992; Denzin and
ADVOCATING CONGRUENCE Lincoln, 2005; Richardson, 2000), I advocate
OF FORM AND CONTENT writing as a method of inquiry, as a forma-
tive, integrated research process rather than a
I advocate a notion of ‘analogic appropriate- later stage when what is already known is
ness’, in which form and content are congru- ‘written up’. ‘There is, in the final analysis,
ent in some way – when the analogic reflects no difference between writing and fieldwork’
the issues explored, and therefore the digital (Clough, 1992: 10).
symbolic messages, in a kind of mirroring, And I see the presentation of the resulting
when something is an example of itself (a writing as also often a continuation of
concatenation of resonances as achieved in inquiry, an offering to engage the reader and
The Waves). Apprehending this is as much a stimulate debate. In this we can be more or
felt experience as a cognitive understanding. less deliberately provocative. I enjoy work in
For example, a piece of writing about frag- which the core issues of contention in sense-
mented knowing can itself be fragmented, making are made available to the reader –
providing a mirroring or resonance that also through form as well as content, for example
communicates. Then the text is ‘informative’ in devices which render interpretation
in itself, although what we experience may problematic – to stimulate their exploration.
be partly tacit. This is a genre of third person action research
Finding form is partly an aesthetic matter. (Reason and Torbert, 2001).
But it is not only about potential beauty, har-
mony, elegance. It is about the aesthetics of
whatever needs to be, including that of ugli- Learning from Woolf: Working
ness, fragmentation or discord, if appropri-
with intent
ate. Artists know this. For example Edward
and Nancy Reddin Kienholz confront us with Woolf wanted to develop ‘a new kind of play
political and systemic conundrums and … prose yet poetry; a novel and a play’ (Woolf
abuses of power through their pieced in Briggs, 2005: 240). This would allow and
together, sometimes rough hewn, figures and require the writing to have an abstract and
scenes that are crafted to achieve that effect. compressed quality and a sense of rhythm
This is my aspiration. But sadly, most action (Flint, 1992). ‘Could one not get the waves to
686 SKILLS
be heard all through?’ Woolf asked (Flint, conventions, including the demands for
1992: xxi). I think the realization of these inten- demonstrating expertise, of particular knowl-
tions contributes significantly to how dense The edge communities. Golden-Biddle and
Waves is with explicit and tacit association and Locke’s own metaphor is that of crafting sto-
potential meaning, and its sense of having rylines – the ‘macrostory’ of theory within
emergent properties. ‘Nothing in The Waves is which the fieldwork story is nested.
simply one thing’ (Dick, 2000: 67). They have systematically analyzed the dif-
Woolf also wanted to avoid linear form ferent storylines people use at each stage of
(Whitworth, 2000, associates this with her cri- an article. These stages are assumed to be
tique of patriarchy) and realism (the ‘appalling reasonably straightforward and usually take
narrative business of the realist: getting on a linear path through gaining attention, posi-
from lunch to dinner’; (Woolf in Whitworth, tioning oneself in relation to existing theory
2000: 155). I resonate with these very contem- (with choices of being more appreciative or
porary intentions. And I admire and agree with more disparaging towards other people’s
Woolf for choosing to address them through work), and constructing a fieldwork based
radically experimenting with form. analysis which contextualizes the article’s
These aspirations gave her criteria to theoretical points. There are parallel
judge her work. As she wrote, she could processes in which writers characterize
assess whether it was achieving the desired themselves as storytellers, either invoking
effects. On completing the first draft she images of institutional scientist and objectiv-
said: ‘I begin to see what I had in my mind’ ity or distinguishing themselves in atypical
(Woolf in Briggs, 2005: 256). ways.
And she was aware that her style might chal- Work of this kind has value in making
lenge the reader. ‘I am writing to a rhythm and some of the implicit codes of writing
not to a plot ... it is completely opposed to the explicit. Such stories may well be your pref-
tradition of fiction and I am casting about all erence. And it is a highly socialized, adaptive
the time for some rope to throw the reader’; view of writing. I should aspire to this writ-
Woolf in Briggs, 2005: 257). ing competence, but do not. Over many years
I have been seeking not to have the richness
and political aspects of my research sub-
THE POLITICS OF FORM verted by subordinating it to dominant forms
of writing, seeking not to have to ‘tell it
Going beyond rational, analytic conventions slant’ (Olsen, 1977). These issues clarified
of writing can be risky, and therefore political. for me in researching women in manage-
Of course, what I say here will be of little ment, when I was developing a feminist per-
use to you (could actively mislead) if you spective and therefore especially aware of
want to or must publish in ‘mainstream’ aca- the politics of knowing and of potential
demic journals with their conventions of aca- silencing (Marshall, 1984). They have
demic style. Then you can look to advice like tracked my steps ever since, as I have
that of Golden-Biddle and Locke (1997) who explored other topics, always wanting to pay
analyze different forms of academic story- due respect to multiple ways of knowing.
line. They offer an interesting aid to success-
ful journal publication for qualitative
researchers, although they assert that they WORKING OPENLY WITH FORM
‘want to avoid espousing a normative “how
to” guide’ (p. xx). They depict writing as Here I am especially interested in those pre-
seeking to join in a conversation with a par- cious moments as experiences, ideas and
ticular theoretical disciplinary audience. inquiry move towards expression in writing.
Texts need, then, to be persuasive within the As this happens, form is taking shape in a
mutual process through the articulation of the the uncertainty, as form is arising. And I enjoy
content. When we work with an open sense of being there for other writers as this happens for
possibility about form we are engaging in the them. I see this as the realm of what Heron
processes of knowledge-making and can (1992) and Heron and Reason (Chapter 24 in
glimpse their contentiousness in action in our this volume) call presentational knowing, in
own self-reflective practice. Form often their modelling of a radical epistemology. I am
becomes established early in the writing interested in the movement to presentational
process, and what shape it takes can be fateful. knowing which ‘emerges from the encounters
It can also be worked with and changed later, of experiential knowing, by intuiting signifi-
throughout drafting and redrafting, if we allow. cant form and process in that which is met’
We need a double move to go beyond conven- (Heron and Reason, Chapter 24). Presentational
tional academic storylines, one in which con- knowing can be expressed in ‘the arts’ such as
tent and form are both radicalized. storytelling, music, dance and painting. And I
take it also to be a mundane, continuous,
moment-by-moment process, as experience
Learning from Woolf: Opening takes shape or pattern and some sense of form
emerges. When writing is inquiry, this bound-
all to Question
ary is always open.
Often Woolf explores issues and then ques- I am seeking to notice presentational
tions the ground she has just set out. In her knowing arising, to catch it in process, before
autobiographic writing (Woolf, 2002), for it is overtaken, discounted, devalued by con-
example, she identifies her first memories ventionalized forming. And I appreciate that
and names one (in which waves are figural) this process may not be fully accessible to
as the base for her life. But she then ponders the conscious mind (Heron, 1992). In this
whether it is possible to know and write venture I aspire to the multiple attentions of
about a life with any assurance, one’s own or the first person action researcher (Marshall,
anyone else’s as a biographer or novelist. 2001/2006; Fisher et al., 2003).
Can she/we say who the person is to whom
things happen, or which memories are more
important, or how to account for the exten- Learning from Woolf: Engaging in
sive times of non-being which surround our
Continuing Self-reflection
‘moments of being’ (p. 90)? She also sug-
gests that unless we analyze the forces of Working on The Waves Woolf said, ‘I want to
society which influence us – she later notes trace my own process’ (Woolf in Briggs, 2005:
‘the patriarchal society of the Victorian age 246). This is shown as a continuing preoccu-
[which] was in full swing in [their family] pation in her diaries, which I know through
drawing room’ (p. 154), then life writing commentators (Briggs, 2005; Flint, 1992;
becomes ‘futile’ (p. 92). We see Woolf’s con- Marcus, 2004) who record and analyze the
stant sense of inquiry; she cannot write auto- complex pathway of the book’s long gestation,
biographically without questioning the showing Woolf’s tenacity, her sense of quest-
foundations of the genre. The issues she iden- ing exploration. ‘Writing it required a long
tifies as contentious are played out in The and dedicated expedition into the interior’
Waves, explored and left open. Some of (Briggs, 2005: 238). Woolf thought about the
Woolf’s questioning – about identity, writing, novel for 3 years before starting to write. She
biography – is given to the book’s characters then did four revisions between July 1929 and
to speak (Marcus, 2004). I admire the fluid- its completion in July 1931.
ity of meaning-making achieved. Appropriate form needs to emerge from
I have come to enjoy, but also sometimes to working with the phenomena we study;
dread too, holding on expectantly, allowing it should not be imposed or turned into
688 SKILLS
technique, otherwise it will lose its resonant PRACTICES FOR WORKING WITH
and evocative quality and will not work ana- ARISING FORM
logically. There are conformist tendencies
even in experimenting genres, such as a cur- The practices for working with finding form
rent tendency for everything to become ‘nar- set out below are drawn from my own writ-
rative’. Any new development can become ing experience and from enabling other writ-
orthodoxy by reaching for new conventions ers. The examples show two phases of
(Clough, 1992; Denzin and Lincoln, 2005). activity. There is the initial, sometimes chal-
I have a notion of emergent form, being lenging, process of catching presentational
‘grounded’ in some appropriate practices of knowing arising and finding form of some
engagement with the stuff of inquiry – experi- kind. But this alone is seldom enough to pre-
ence, data, issues – within a sense of the larger sent our work artfully to the reader. In a
context or field (Senge et al., 2005), making it second phase, the writer needs to craft the
analogically appropriate to the material it emergent form with some care and skill to
expresses. It then becomes a process equiva- realize its potential in practice. Finding
lent to that of ‘grounded theory’ (Glaser and appropriate form provides clues about what
Strauss, 1967). My notion of grounded form sort of writing craft to develop. We can also
aligns with constructivist re-visions of explore established writing genres which
grounded theory, which do ‘not subscribe to have similarities, and engage in active dia-
the objectivist, positivist assumptions in its logue with (rather than con-form to) their
earlier formulations’ (Charmaz, 2005: 509), disciplines and quality processes.
and see the entire research process as interac- Below, I address you as a writer directly.
tive. Thus questions of the nature of knowing This seems somewhat presumptive – you
are brought into contention. There is no one may well not need my encouragement. But in
way to write the material, someone ‘chooses’ running writing workshops I find this voice
how to write it. What, then, might be the appropriate – speaking to the writer in each
quality, validity, equivalents to the constant participant, the person who knows how to
comparative method, the care of iterative write what it is theirs to write – and so have
coding and categorizing, theoretical sam- replicated it here. As enablers of writers, one
pling and theoretical saturation (Glaser and of our strongest interventions is to invite
Strauss, 1967)? I suggest that an engaged, people to keep faith with their own process.
emergent, iterative process is required to Writing processes are highly individual, as
facilitate the generation of analogically the accounts of novelists show. But on this
appropriate form. Is it possible to account for edge of writing creatively for academic study
the processes involved? Not fully, as they I find that some practices for enabling writ-
cannot be fully translated into digital expres- ing are sometimes transferable. And each
sion. But whilst there might be limits to any person needs to develop their own approach.
account we can give, we can still strive for
some account. This is a highly process based
notion of quality, drawing on disciplines of Accept and Seek to Express What Is
writing as inquiry (Richardson, 2000). We Rather than What Should Be
can, for example, ask: How did this writing
come to be like this? What quality processes At the core of my notion of grounded form is
did the author engage in? How did they the suggestion that form should be congruent
expose them to critique? with content. We are therefore seeking to
In the second half of this chapter I offer express ‘what is’, for us in relation to the
practices for working towards grounded world we are seeking to know and articulate,
form, each implying quality processes we not as an objective reality. Finding appropri-
can track as we develop our writing. ate form can give the confidence of fit with,
allowance into expression of, voices that organizations in the UK. Their data, gathered
through their work as trainers, was contentious. If
matter, one’s own and those of co-inquirers.
reported directly, it could expose women, increase
I often find that the ‘problem’ that obstructs the vulnerability and marginality they sometimes
writing is a key to form. ‘I cannot write that experienced. Riley and Phillipson therefore trans-
because …’ a graduate student will say. And posed their understandings and data into an ‘ima-
then they proceed to articulate their perspec- gined scenario in which a group of women meet
together to decide how to “help” their male
tive, with its conceptual quality, which
Director understand what it is like to manage as a
becomes what they must write. This example woman, a request he has made of them’ (p. 43). In
illustrates too that speaking what we know can this way they could explicitly address the politics of
surprise us. ‘How can I know what I think till I articulating women’s experience through research,
see what I say?’ (a little girl quoted in Wallas, using a form analogically resonant with issues
about voicing and silencing. The fictionalized
1926: 106). Also, being heard and affirmed can
women debate what motives the manager might
provide valuable encouragement. have in asking, how much to reveal, whether they
can speak for other women, what language to use
I sit at the side of a seminar room only half attend- and so on. They experience ‘a relief in sharing ...
ing to the speaker on some aspect of qualitative examples of the daily bruising’ (p. 53) which they
research methods. I have been worrying for days had learnt to pretend was not happening. They
about how to write the logical bridge between devise a presentation to the management meeting
chapters 2 and 3 of a book on women in manage- to communicate their multi-layered understanding.
ment. Chapter 2 reviews women in management
literature, which accepts male as the norm and
argues women are only suitable as managers if Repeatedly, I find that people’s writing flour-
they demonstrate their similarity to this, doubts ishes, and achieves more conceptual quality,
women’s career motivations and so on. (It is the
when they engage the dilemmas they per-
early 1980s.) Chapter 3 reports where my dissatis-
faction with this literature took me, my unsettling ceive by finding form that addresses rather
journey into feminist analysis – questioning stereo- than avoids them.
typing, meaning-making, language and more. I Finding form is an ongoing process, to be
realize suddenly, after all my logical, conceptual worked with throughout writing. Sometimes
trying, that there is no clear progression from
a form we have adopted early on needs to be
Chapter 2 to Chapter 3 and that that is the point.
I am relieved and excited. I can approach the writ- changed radically, because we realize it is not
ing differently. And the form I now have is concep- working and another breaks through, or
tually based (it mirrors the sense-making), not a needs to be allowed to do so.
trivial, discretionary artifact. I write a few sen-
tences reporting this insight – naming and owning
‘my changing orientation: from reform to radical Learning from Woolf: Finding Appropriate
feminism’ (Marshall, 1984: 43) – with a sense of Form both Frees and Sharpens Writing
clear, direct knowing and voice. These become the
How the characters in The Waves could be
opening to Chapter 3.
Now that I have the potential device I can work portrayed and the nature of the impersonal
with it and craft it. I decide to tell my sense- interludes took shape as the writing pro-
making journey more explicitly as the book’s con- gressed. Commentators report the exciting
ceptual storyline, as an appropriate form to lead moments in which Woolf discovered answers to
me through theoretical and fieldwork explorations.
her dilemmas of form. Once each of these
(Account written July 2006 in Freefall writing
mode – see below – from placing myself back in occurred, specifics of content could be crafted
that moment.) with more confidence. And she iteratively re-
conceived form as detailed working brought
Telling ‘what is’ may not be a straightfor- her new insights. For example, when she finally
ward matter, depending on the issues of hit upon the device of the characters speaking
representation involved. through soliloquies, she experienced a sense of
release and could rush on to finish that draft
Riley and Phillipson (1993) wanted to depict the (Briggs, 2005: 253). In a later phase of revision
experiences of women managers in social services she wanted to clear out irrelevances, sharpen
690 SKILLS
and make ‘the good phrases shine. One wave Learning from Woolf: Working Between
after another’ (Woolf in Briggs, 2005: 256). As Uncertainty and Confidence
Briggs notes ‘even the process of writing had In the early stages of writing, Woolf’s ‘diary
begun to echo the primal rhythm of waves’ (pp. entries alternate between the repeated
256–7). We see, then, a mirroring of content, admission “I don’t know”, and the firm con-
form and writing process. viction that “there is something there” ’
Perhaps finding form is as simple as that (Briggs, 2005: 249). Throughout the writing
and there is no more to say. Yes, and no. It process, she questioned the appropriateness
can be difficult to sit with the tentative uncer- of emerging structures. I admire her persis-
tainty and hope that a unique articulation in tence, the combination of restless creativity,
its uniquely appropriate form will emerge. In purposefulness, hard work and inquiry that I
the rest of this section I offer some practices see in the accounts of her process – her will-
for being there. They are by no means guar- ingness to take this as her task.
anteed, and this is not a comprehensive array.
Employ disciplines and respect Invoke the Writer in You and Your
emergence Own Direct Voice, Whatever Shapes
it Takes
Writing takes time. We need to learn to toler-
ate slow starts and uneven processes, and stick Finding form requires bypassing the censors,
with them. If it is difficult, it is worth persist- accrediting your right to write, identifying
ing. But if it is very difficult perhaps some- and dismissing internalized notions of ‘stan-
thing is not right; I need to pause and pay dards’ which are inviting your conformity or
attention to the process, for its potential to be subduing your voice. Freed from such expec-
in-forming. I often write side-notes on the tations you may then know how to write
writing process and arising issues as a holding what is yours to write. In writing workshops
device. Some notes initially seem to reflect on I use a range of approaches, including
me as a sensemaker, some might seem quite Freefall writing, to invite people into their
personal. But they might become apparent as competence as knowers and writers.
themes in the topics I am exploring or politi-
cal aspects of sensemaking. They might then Learning from Woolf: Respecting What We
take on a significance of their own, becoming Bring to Writing
figural in the text and giving it form. The Waves echoes Woolf ’s first, most
important, memory. ‘It is of lying half
Example of a discipline: Freefall Writing asleep, half awake, in bed in the nursery at
St Ives. It is of hearing the waves breaking,
Just writing and seeing what came has long been
an approach I followed. Learning about ‘Freefall’ one, two, one, two, and sending a splash of
writing – Goldberg (1986) and Turner-Vesselago water over the beach’ (Woolf, 2002: 78).
(1995) who calls it ‘writing without a parachute’ – Woolf brought herself and her life fully to
has added texture to this approach. her writing. Her reflective process appears
In our research community we find Freefall writ-
thorough, self-engrossed but working with
ing especially helpful as a simple disciplined
process inviting the writer to speak in their own issues in a personal/universal sense, seem-
voice and articulate their knowing. We take prac- ingly unashamed.
tices from these two sources and apply them to
writing research. The basics of Freefall are: keep
the hand moving; don’t cross out; don’t worry
about spelling, punctuation, grammar; don’t think –
Create Resonant Spaces and
write; show, don’t tell – give the sensuous detail; Cditions for Writing
and go where the energy is, which may be fear-
ward. Both authors suggest that writing practice How do you ready yourself to have the inter-
can be built up through doing timed exercises. nal attentions and the external conditions to
write? Woolf (1929/1977) argued that ‘a I was invited to write a chapter from a feminist
perspective for A Handbook of Career Theory
woman must have money and a room of her
(Marshall, 1989). I explored themes of being, inac-
own if she is to write fiction’ (p. 6). This can tion, interdependence, cyclic patterns and whole
be taken literally and metaphorically. lives, drawing on notions of communion to accom-
You can pay attention to: pany the more control and anticipation based
foundations of career theory informed by agency.
The editorial review process was challenging. The
• How you come to writing. There is a sense of editors liked the content, but were concerned that
inquiry here. When are you prevaricating and the chapter sometimes had a ‘non-linear style’,
need to push yourself? When are you gently especially given their North American base. They
moving towards writing emerging? When do asked me to revise accordingly. I tried, but could
apparent difficulties offer understanding about not achieve a more linear storyline. I came to real-
the writing? ize that as the form mirrored my argument for less
• Whether certain times of day enable, or con- linear notions of career, abandoning it could
strain, your writing. I can often write well first threaten the foundations and integrity of the
thing in the morning, especially when I speak to chapter. So I sought both to explain and protect it
by being explicit about how the style reflected the
no one before I start. Form is often clear to me
content, and about the reviewers’ reservations, in
then, confident. the introduction.
• What kinds of writing spaces work for you. The editor in charge of my chapter still tells this
• How you work with the physicality, the embod- story as an abiding memory of my work; some indi-
iedness, of writing/thinking. Sometimes we need cation that it was an unusual experience for them.
to turn away, go for a walk, do something else.
And the notion of form we have been seeking
comes to us.
In this case I claimed author-ity for my style
of writing and this was accepted. Had this
Michelsohn (2006) had to write his final thesis for
been a journal article, I doubt if I would have
the Masters in Responsibility and Business Practice. been so ‘lucky’.
He is a banker, musician, very concerned about
issues of ecological sustainability, a Brazilian living Gloria Bravette (1997), a British woman of African
in Europe. His first draft portrayed some of the descent, was using writing as inquiry. She felt a
identity and issue-based tensions he experiences. strong imperative to write the final section of her
But the tutors said it did not do his thinking and PhD thesis in a direct voice to a composite white
engagement justice. They both suggested inde- ‘other’ which contained people and experiences to
pendently that he create special circumstances to which she had failed to respond during her life
allow him to write up the project. He went to Rio because of fear and shame. ‘I realise that I have
de Janiero, to the library in his grandparents’ broken my silences [about race] in defiance of
house, a positioning full of analogic resonance you – it was the only way that I knew how to break
with the issues he was addressing. He wrote the away from the hold that you were having over me’
final thesis, in only eight days, as a conversation (p. 225). She explored the challenge of claiming
with his departed grandfather, a kindred radical her right to know as ‘black, and therefore inferior’
spirit, and drawing on imagery from a cartoon (p. 223), and the difficulties of distinguishing
book from his childhood, Mafalda. He created a ‘white’ people who love humanity from racists.
text which is rich, multi-layered, questioning, por- Gloria wondered whether or not to explain this
traying his tensions from a more encompassing device to the reader, and decided to do so. Her
consciousness. articulate framing, accompanied by her conceptual
model of ‘unleashing creative potential through
the unblocking process’ (p. 224), explained how
necessary it was to adopt this direct, confronting
Defend Emergent Form, Claim voice to break the bonds that bound her, to place
Authority limits on her fear. Only then could she write the
earlier sections of the thesis fully.
Sometimes our emerging form does not meet
with approval or later seems inappropriate, One choice to be worked with is when and
and we have to decide how vital it is to our how to read the work of others and when and
writing, or whether it was a temporarily sig- how to allow one’s own voice, inquiry and
nificant device that we can now relinquish. accumulated sense of others’ work to come
692 SKILLS
to some articulation. Especially in finding the book’s structure. Short analytic commentary
pieces (for example ‘Is gender at issue?’,
form, it is important not to swamp or stifle
pp. 98–101) were interspersed amongst the
your own voice, authorship, authority. And, women’s stories to offer conceptual threads and
usually, eventually, a blending and integra- questions relevant to interpreting them, and to
tion is appropriate. treating their interpretation as provisional, open,
worthy of reflection. Happily the publisher was
willing to accept a manuscript with 42 ‘chapters’,
Value the Imaginal and Metaphorical as long as we did not call them that.
as Guides to Form In both cases, once the image had emerged as
an articulation of the form the writing was begin-
Catching moments of form taking shape ning to show, I could use it more deliberately,
amplify it, develop and craft that incipient way of
often involves a sense of knowing beyond
working.
language. Sometimes this can be encapsu- These devices allowed several dilemmas in the
lated in an image or metaphor that can then sensemaking process, which I realized were impor-
be articulated, explored and worked with. tant features of the field being explored, to be
engaged with rather than controlled. They were an
Some years ago I studied women who had reached attempt to offer a sense of ‘truth’ relevant to the
middle or senior level management positions and topic area at a process rather than content level.
then left, contemplated leaving or been forced out The book sought, then, to be a continuation of
of employment. I wanted to tell the stories of such inquiry, wanting to throw the questions it raised
women, because their behaviour seemed a mys- back into lives and organizational worlds akin to
tery or was taken by some commentators as evi- those I studied.
dence that women are not tough enough for
senior management jobs. Learning from Woolf: Working With,
Two images that arose from the processes of
sensemaking provided forms that shaped the result-
Developing, Imagery
ing book (Marshall, 1995). Both emerged, as if spon- As Woolf developed The Waves there were
taneously, following sustained immersion in the significant shifts in her guiding images which
study’s material and puzzling about how to write it. she sought, embraced. Moths and the mater-
They relate to self-reflexive sensemaking in polit- nal instinct were early potential devices.
ical and contested terrain. They provide articula-
tions of the warrant I had to speak from the
Waves appeared too, and then replaced
research study, and address issues of validity in moths as a central motif (Briggs, 2005; Flint,
interpretive social science. Neither is unique to me. 1992; Marcus, 2004).
But in this project they were fitting epistemologi-
cally and therefore carried a felt sense of ‘insight’.
The first image was that of ‘turning things in the
light’ (p. 7). I had worked with 16 women in CLOSING THEMES AND QUESTIONS
depth, hearing their experiences and writing ver-
sions of their stories which could be told publicly. In this closing section, I return to some
The image referred to my wish to offer the poten-
tial for different interpretations of the women’s
themes considered earlier and explore their
experiences to be considered. Each story was like a implications for action research.
crystal or prism, reflecting and refracting light, If we work with a sensitivity to form,
always offering new impressions. This affected whether, how much and how to explain form
how I wrote the stories and accompanying text. are open choices. Should we show rather than
The second image arose when I was reflecting
on what warrant I had for drawing out shared and
tell, letting the reader make sense and experi-
contrasting themes from the women’s stories. ence for themselves? We are open to analogic
During a Freefall writing exercise, I found myself ambiguity. Interpretation of our writing is even
likening the kind of sensemaking I was seeking to more than usually beyond our control. I gener-
trying to free the ends in a multi-coloured, multi- ally favour some attempts at framing, some
stranded tangle of wool. I realized, inter alia, that
‘If I pull too tightly, if I interpret beyond my war-
signposting to help the reader, and writer,
rant, the wool/theme will tense and lose its tex- through. And yet, if form is fundamental to our
ture’ (p. 37). This image provided the rationale for meaning-making, explaining it can seem like
appeasement, aesthetically inappropriate, a craft our work. This will include finding
conventionalizing, taming, move. The Waves devices for showing the provisionality of know-
was well received by friends, critics and public, ing, as Woolf did, as aspects of what we offer.
who coped with what it offered.
‘Un-conventional’ writing forms can be
demanding of the reader, who cannot scan or REFERENCES
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49
Concluding Reflections: Whither
Action Research?
To conclude this volume, the editors asked all contributors to reflect on the future of action
research. This chapter outlines the action research community’s aspirations to work on the
‘big issues’ of our time. It explores the different definitions of action research, the institutions
that do and do not support action research practice, the development of practitioners, and
the tension between supporting those who are marginalized and attempting to influence the
powerful and privileged.
For this closing chapter we asked all contrib- researchers to contribute to the big issues of our
utors to respond to the question ‘Wither time, and the imaginative capacity of so many
Action Research?’, inviting them to help of our community. Picture, if you will, the front
identify the key issues that our broad com- page of the International Herald Tribune circa
munity should be addressing. It is a bookend 2020
of sorts to Chapter 1, where we asked our
Action research in global peace-building! Action
Editorial Board to tell us about the personal
research practitioners are engaged in a major exer-
and theoretical grounds of their practice. Our cise of global peace-building; their professional
specific questions included: What is the network is offering hands-on methodology for
future of action research? Who are its future understanding and addressing the pressing con-
leaders? What are the issues to which action cerns of divided communities and humanity. This
network of action researchers had grown out of
researchers need to respond?
the ‘new’ paradigm of community-based partici-
patory research, where the worlds of academe
and practice organically collaborate in educating
THE BIG ISSUES and training a new generation of professionals.
The first response was from Rajesh Tandon,1 This global ambition was echoed by Ernie
and reflected the ambitions of many action Stringer2 and Dave Brown.3 Ernie wondered.
696 SKILLS
How do we in wealthy nations, where many of the limited to the challenges of theory and practice.
discourses and practices of action research take Our purpose always, to quote Orlando
place, make the resources we embody available to Fals Borda,6 has been to ‘transform and
those in poorer nations? This is especially impor-
tant in a climate dominated by economic rational-
re-enchant our plural worlds’. Peter has, at
ism and user-pays knowledge production processes. the time of writing, drafted a statement of
I believe we have much to gain … from interacting purpose for the next action research doctoral
with this issue. programme at Bath:
And Dave wrote: The staff associated with this programme share a
profound concern for the state of the planetary
I think action researchers should and will get more ecology. We are alarmed at the failure of western
involved with the ‘big issues’ of our shrinking society and its institutions to recognize the severity
world – poverty, ecological catastrophes, water of the challenge of global warming and the degra-
distribution, HIV/AIDS – to help with the construc- dation of ecosystems and to address these with
tion or reconstruction of global institutions and the urgency they call for. We believe that signifi-
problem-solving arrangements. … Since many of cant changes will be needed in all aspects of eco-
the most difficult problems involve social construc- nomic and cultural life.
tion processes and interventions, some AR Our intention is that by initiating and facilitating
approaches could be very helpful. this programme we will be playing our part in the
‘Great Turning’ which Joanna Macy writes about,
This issue is explored at the end of the shift toward a life-sustaining civilization.
Chapter 5 (this volume, Bradbury et al.) with We believe that the practices of action research
reference to some consensus among social which we have developed over the past 25 years
scientists on how successful large-scale might play a significant part in developing our
shared capacity to approach these challenges in a
change might occur.
spirit of mutual inquiry.
Kenneth Gergen4 makes the important
point that action research has quite different
ambitions from traditional research models
which look to the past in order to predict and DEFINITIONS
control the future.
Do we need to define action research and
If we live primarily in worlds of constructed meaning, clarify its boundaries more clearly? Do we
and these meanings are of pivotal significance to our
need, as Ian Hughes asked, to clearly distin-
actions, then the traditional goals of prediction and
control should be abandoned. Rather, the point of guish between action research, participatory
the sciences ceases to be that of looking backwards research and participatory action research?
in hopes that we can make future predictions. Do definitions matter? As Lai Fong Chiu7
Rather, we are challenged to engage in the kind of wrote:
research that creates futures about which we care. In
this sense action research is a vanguard orientation. Action research is an umbrella term for a variety of
It represents the most forward looking orientation to practical and intellectual efforts for change. Its
practice existing within the social sciences. Its poten- seemingly broad outlook, fluid boundaries and
tials must be nurtured with utmost care. inter-disciplinarity provide both opportunities and
danger for future development.
John Heron and Gregg Lahood5 point to
the central role of AR in realizing justice for Ed Schein8 raised a similar question:
the human community:
The future of action research will depend upon
such justice seen primarily as empowering partici- what we mean by that concept and how we show
pative and transformative decision-making in every both academics and practitioners the value of col-
kind of human association and in every field of laboration for learning and helping. I think we are
human endeavour. still very confused about the ‘essence’ of what we
are talking about. Note that we still have in our
As editors of this volume, our concern and lexicon ‘action research,’ ‘action learning,’ ‘action
interest in action research has never been science,’ ‘collaborative interactive action research,’
CONCLUDING REFLECTIONS 697
‘participatory inquiry,’ and several other labels that interconnections that are complex and unpre-
seem to deal with various aspects of this so called dictable. It is simplistic to think one can create
field of practice. We are still uncertain whether we boundaries around them that allow for traditional
should 1) be scientific and rigorous, allying our- problem solving approaches. Working with such
selves with our academic colleagues who are con- demands requires having a capacity for remaining
cerned with knowledge production or 2) be in relationship with emerging experience through
helpful, allying ourselves with our clients and with time, working with co-inquirers who are socially
other practitioners for whom data production itself and professionally diverse.
is secondary to learning and change.
Bill Torbert11 reaches for a challenging
Robert Chambers9 asked also about labels definition:
and limits:
Action research can reach its potential only when it is
Are there boundaries to what it is useful to call recognized and practiced as a far more challenging
action research? Does it, for example, include and inclusive art and science than modernist empiri-
‘Reflect’ and other movements where local people cal research and postmodernist critical/constructive
are facilitated (or on their own) conduct their own research. Modernist social science research predomi-
research and analysis (see Chapter 20)? Does it nantly involves separating the researcher from
include Integrated Pest Management, where farmers the object of study, analyzing the data only after the
are facilitated to do their own research on the ecol- events researched, and reporting primarily single-
ogy of pests? Is the implicit definition in the volume loop incremental results only in a third-person
a bit more restricted, a bit more intellectual, acade- voice to the community of academic scientists.
mic … ? If the answer is yes, they should be Postmodern constructivist research attempts a dou-
included, do they join popular education and other ble-loop critique of naïve empiricism and occasionally
mass movements as sources of insight? And if so, introduces a first-person voice but fails to engage in
what are the implications for future priorities? real time practice. Full-blown action research repre-
sents a double-loop paradigmatic transformation
One way to approach these questions is to which interweaves action and inquiry in real time and
attempt to tie down definitions. Another including participants as co-researchers [see Chapter
16 for a fuller discussion of Torbert’s vision].
approach is to be expansive and inclusive, to
hold open the ambiguity and unpredictability Others are clear that action research must
of our work, as indeed does Ed Schein in make links with other post-objectivist disci-
answering the challenge he has posed: plines. As Sonia Ospina12 and her colleagues
I believe the essence of this process, whatever we write in Chapter 28, there are fruitful links to
end up calling it, is the initial definition of the situ- be made with the emerging qualitative
ation as being a collaboration between someone research disciplines. Bjørn Gustavsen points
with a question, problem or issue and someone to the importance of:
with some helping skills. How we then proceed is
always a joint effort between the ‘client’ and the developing platforms of co-operation with forms
‘consultant/helper’ and, as my own process con- of research that do not use the concept of ‘action
sulting experience has taught me, is quite unpre- research’ but which are nonetheless involved in the
dictable. And it should be. We should not at this generation of practical change. Many such
stage of the game have a model of these human researchers shy away from entering the action
processes that we impose, but, rather, continue research discourse (which is sometimes seen as
the inquiry of what collaboration between clients quite difficult) and it is better to create platforms
and helpers reveals as we get into ever more inter- of co-operation based on complementarity than to
esting problem arenas. demand that other researchers should understand
and accept action research ‘from inside’.
Lyle Yorks10 writes in a similar vein:
Victor Friedman13 asserts that the war with
The future of AR lies in the combination of robust positivism is more or less over, while
epistemological awareness with flexible and positivist, mainstream social science is still
adaptable methodology. This combination holds
the potential for enabling people to develop dominant and powerful, it is now widely
the capacity for responding to the complex accepted that its account is deeply flawed. In
demands of our time which are characterized by consequence:
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Doors are opening for new and innovative research namely that action research has won all
approaches – many fall within the realm of action debates on ethics and epistemology but has
research. The implication of this is that posi-
been less influential in creating large scale-
tivism/positivists are no longer the ‘enemy’. To the
contrary, the time may have come to look for new change and influencing national policy. He
allies among our old enemies and to create new argues that ‘the action research entrepreneur’
coalitions in order to face the big challenges. of the future will have to find a new context
and purpose for action research that turns it
Our own inclination has always been to be into a major actor that has impact at the soci-
eclectic, inclusive and expansive, to see action etal level. He writes that while action research
research as a family of approaches where dif- is gaining ground, and research in all disci-
ferent needs and interests will pull practitioners plines is to a growing extent dependent upon
and participants in different ways. If action practical contexts and developments, action
research is about engaging with people to research has still not truly established itself at
address issues in their lives, then the whole the level of institutionalizing change. He is
range of practices that Chambers points to must impatient with the ‘continued production and
be included; if action research is to address the reproduction of the epistemological and ethi-
pathologies of epistemology and politics that cal arguments for action research’ and sees as
beset our universities (of which see more inadequate the ‘flow of individual action
below), then we must also be addressing philo- research cases, limited in time and space’.
sophical questions about the nature of knowl- Thus action research must demonstrate abil-
edge in action, about quality and ‘validity’, and ity to reach out in scope and create effects that
the organizational issues that divide academics are visible in society. This has implications:
into scholarly silos. Action research is about projects must be linked into networks so they
creating forms of inquiry that people can use in can speak together, the emphasis must be on
the everyday conduct of their lives; and action practices that link projects, action researchers
research is part of revisioning our worldview, a must stop being exclusive and collaborate
paradigm shift, changing what we take as with other forms of research.
knowledge. Bjørn is likely correct most of the time,
As we have argued elsewhere, while we but it’s also important to note the degree to
can point to broad characteristics of action which the work of action researchers does
research – we have written of an emergent have significant impact, as the work of
process which seeks human and ecological Rajesh Tandon, Dave Brown, Ernie Stringer,
flourishing through practical focus, partici- Meghna Guhathakurta, Ann Martin as well
pation, and many ways of knowing – action as others in this book, evidences.
research is a complex living process which Meghna Guhathakurta15 and her col-
cannot be tied to definitions. Action research leagues have ambitions to contribute to the
is far more a work of art than a set of proce- transformation of Bangladesh, a country of
dures; there are always more possibilities many millions:
than can be encompassed, and quality in
inquiry comes from awareness of and trans- Several of RIB’s projects are on the verge of mov-
ing beyond individual projects to that of a move-
parency about the choices open to you and ment. They are a telecentre movement providing
that you make at each stage of the inquiry rural livelihood information through ICT dissemi-
(Bradbury, 2007; Reason, 2006). nated through locally owned information centers
(Pallitathya Kendros) across villages in Bangladesh;
the Kajoli early childhood learning centers for
children of extreme poor families; interactive the-
POLICY, SCOPE AND SCALE
atre activism and PAR by volunteers; the Sannyasi,
a village of pre-literate mendicants who as a result
Bjørn Gustavsen14 reminds us of what he has of PAR decided that they must learn to read and
also written elsewhere (Gustavsen, 2003) write!
Some of the common themes evident in these reflective base to our work. Mary Brydon
endeavours of RIB are:
Miller18 writes similarly:
(a) how far the community is involved
(b) whether the area of involvement has to do The trick is staying rooted while moving ahead. I
with their existential needs worry that unless we can find ways of remaining
(c) the sincerity and capacity of the animator firmly grounded in the values that brought so
(d) whether there are adequate and qualified inter- many of us to the practice of action research – the
nal animators (i.e. animators internal to the commitment to social justice, democratic practice,
community) to take the movement forward and respect for people’s knowledge – that we will
(e) how far they are adaptable and flexible to lose our way. Action research seems to have
changing circumstances gained a certain popularity of late, and it’s this very
(f) existence of supportive action groups and popularity and the potential watering down of our
organizations to help them on their way. vision for social change that will accompany it that
are of greatest concern to me. And yet I think it is
vitally important that we do find ways of moving
forward rather than staying locked in the past wor-
STAYING RADICAL OR SELLING OUT
shipping our departed heroes. My hope is that we
can remain mindful of our shared history and
Geoff Mead16 raises some of the questions that values while embracing new practices and new
action researchers may experience as they technologies that will enhance our ability to bring
work to influence mainstream organizations: about positive change.
An issue which continues to interest and concern

me is how to take action research into mainstream Brinton Lykes19 writes about her recent
environments and still maintain rigour and quality. experiences in the USA, with feminist-
By the mainstream I mean the institutions of the informed PAR in local communities in
democratic/capitalist society in which we function. Boston, anti-racist activism on her campus
If we hold back we run the risk of being an elitist
and in her community, and activism and
academic pursuit with no real claim to be trying to
make significant change. If we allow the ‘system’ protest within/among the profession of psy-
to colonise our practice as action researchers then chologists (specifically vis-à-vis the growing
we run the risk of dilution and becoming just evidence of psychologists’ participation in
another instrumental technique. The challenges cruel and unusual treatment of prisoners at
are heightened by the overt commercial pressures
Guantánamo and the profession’s refusal to
on the process when we take it out of the acad-
emy. I think this dimension of action research condemn this work):
brings its own pressures. The empowerment
In all instances I have collaborated more closely
offered by action inquiry/research to the managers
with US-based peoples of color across the educa-
etc. we sometimes work with is subversive of the
tional and professional spectrum and interacted
status quo and of existing power structures.
more directly with white privileged academics, my
Doing action research in organisations often feels
peers in the profession. And in each situation I
to me like a subtle form of guerrilla warfare –
have become ever more aware of how even those
perhaps this is inevitable?
of us engaged in PAR, AR, PR and feminist
research, that is, on the ‘intellectual margins’ of
Marianne Kristiansen17 was disturbed at the the university, are central players in a ‘professional-
2006 ALARMP-PAR World Congress in managerial class’ (Ehrenreich and Ehrenreich,
1977), serving as buffers between the elite and
Groningen as she experienced a broad ten-
peoples of color, youth, workers, environmental-
dency towards reducing action research to ists, etc. From the comfort of our university’s pro-
change management and an instrumental tool fessorships – where we worry about tenure and
without questioning change itself. She promotion, the legitimacy of our research, the
emphasizes the importance of ‘action source of funds to support the next study, etc. –
we generate discourses of liberation and transfor-
research as emergent ways of being’ and that
mation as our governments and elected or
the tools and methods are not aims in them- appointed leaders transform democratic systems
selves. She argues for the importance of into police states where a darker tint to your skin,
first-person practices to provide a critical a head scarf or other covering of the body, or an
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accent are grounds for imprisonment, interrogation PEDAGOGY OF THE OPPRESSED AND
without the right of habeas corpus, and torture,
particularly if you are not a US citizen and are
PEDAGOGY OF THE PRIVILEGED
living in post-9/11 Amerika. Although there is
plenty of reason for those targeted by US policies These arguments could easily become polar-
and laws to crouch in fear it is rather those of us ized, with some action researchers emphasiz-
within the professional-managerial class who
ing the importance of standing alongside the
seemed paralyzed into apathy or the agitated
activities of our profession in lieu of activism, oppressed and disadvantaged and others
building solidarity, and mass-based organizing. emphasizing the need to influence main-
One is reminded daily of Germany during the stream decisions and get involved in policy
ascendancy of Hitler and of the words of Rev. matters. We would argue that both matter
Martin Niemoller, who in 1945 upon his emer-
enormously, and while we must open our
gence from prison said: ‘Then they came for me,
and by that time there was no one left to speak minds to challenges such as those offered by
up for me’. Brinton Lykes and follow Anisur Rahman in
As we labor for quality and validity – which supporting the self-reliance of ordinary
are, are they not, legitimacy and recognition – people, we must also recognize that some
and celebrate the recognition of AR within the
things won’t change unless we are also able
panoply of legitimate research methodologies in
universities, NGOs, the World Bank and the UN, to enter and work effectively in the corridors
can we simultaneously press for the revolutionary of power, influence and have an impact on
change needed to ensure life on earth and justice questions of policy and gradually change the
for the human community? Can action, partici- quality of discourse in mainstream organiza-
patory and feminist research contribute to elite
tions. We must seek to link the grassroots
intellectuals in a professional-managerial class of
the condescension, white privilege, and objecti- with the governmental and global, as Marja
fying rhetoric which make it difficult if not Liisa Swantz, Dave Brown and Rajesh
impossible to forge a mass-based movement for Tandon argue in their chapters.
social justice? Must we clearly re-articulate our The pedagogy of the oppressed must be
work and ourselves as activist, not action,
matched by a pedagogy of the privileged if
research(ers) and choose lives that more fully
reflect the discourse that we generate and the we are to move our world toward justice and
material realities of those with whom we gener- sustainability.
ate knowledge, that is, the majority populations
of the world? What is the meaning of earning
wages including research dollars that situate us
within the top quartile of the world’s income dis- REFORM OF UNIVERSITIES
tribution when those with whom we collaborate
frequently live on less than $2 a day or lack
healthcare or housing? These are the challenges One set of institutions that action researchers
that face us today; if we fail to engage them, would dearly love to change is the academic
then we and our research take a place alongside institutions in which many of us live. We will
those in the academy that have come before us, not rehearse the problems that action
domesticated by our quest for legitimacy,
absorbed into a system of power and resources
researchers experience in universities at
that assuage our fear and guilt, and protect length, because they are already well covered
us, at least temporarily, from those who will by Morten Levin and Davydd Greenwood in
‘come for us’ when there will be ‘no one left to Chapter 14.
speak up’. Davydd Greenwood21 argues that we must
‘move institutions of higher education in the
And as Wendy Frisby and Colleen Reid 20 direction of Mode 2 knowledge production,
point out, while more and more marginalized i.e., the co-generative creation of “socially
groups are getting engaged in different forms robust” knowledge’. John Burgoyne22 dreams
of action research, there remain numerous of a business school ‘in which teaching and
silences and omissions. We must be careful research, action learning and action research,
not to silence each other. fuse into a combined process of mutual
inquiry and learning, a meeting of critically legitimacy so in the longer run we can con-
reflective practitioner researchers and facili- tribute to a transformation of higher education.
tators which develop themselves and their Ernie Stringer catches some of this mood:
practice, contribute to, share and draw on a
My reading of these issues is that action research is
collective body of knowledge and under-
now in a similar position to that attained by quali-
standing’. Morten Levin23 argues that it is tative research in the 1970s. Issues of legitimacy,
vital to ‘locate AR in institutions of higher its place in academic research and the need for
education because this creates legitimacy for institutional support have now largely been won in
AR. … Institutions of higher education are relation to qualitative research. I think we action
researchers now need to find ways to support and
probably the most fruitful arena that can con-
inform our institutional stakeholders as they strug-
nect legitimacy and diffusion’. David gle with a methodology that doesn’t seem to fit
Coghlan24 points to the paradox that while into the frameworks that have been formulated to
there are continual complaints about rele- accommodate other types of research. This process
vance and the gap between academic can be very productive, since it challenges the very
assumptions that are built into those structures
research and practitioners, academic institu-
and therefore holds the possibility of focusing on
tions continue to support a mode of research their intent. By going ‘back to the basics’ of insti-
that apes the natural sciences and separates tutional practice we may assist in enhancing or
theory from practice. He argues that we must improving the processes of research in academic
‘continue to batter at that door … however and other institutional settings. If we see this as a
developmental process that we work through with
firmly it is locked and barred so that action
institutional stakeholders we can enhance the life
research does not disappear’ and ‘publish of the institutions within which we work as well as
strong action research that contains clear evi- the people we and they serve.
dence that can be accepted in major jour-
nals’. Jennifer Mullett25 is concerned about While Victor Friedman strikes a more cautious
the tidal wave of ‘evidence based research’ note:
which is usually based on positivist founda-
tions but is of dubious value; and on the other There is a need for a new political economy of
knowledge. One of the fundamental assumptions
hand the espousal of ‘participation’ as devel-
of PAR has been that ‘knowledge is power’.
oping purely instrumental rather than authen- However, power in the world today does not seem
tic relations. John Heron and Gregg Lahood to have much connection to knowledge. As one
call for greater explicit attention to the trans- World Congress participant put it, the US decision
formation of academic departments into to invade Iraq was not the result of positivist think-
ing. Indeed, the contrary may be true – knowledge
ongoing AR projects.
does not carry much weight.
On the one hand these challenges of
reforming institutions of research and learn-
There is another dimension to this, which
ing are important: they clearly have monop-
rings with Bjørn Gustavsen’s call that we
olized the criteria by which ‘knowledge’ is
stop underplaying the practical impacts that
judged and have a huge influence on what is
actually emerge out of action research pro-
seen as legitimate. On the other hand, in the
jects, and other calls for us to work with
light of our discussion above about main-
rather than against other academic practices.
streaming and challenges such as those from
Jenny Rudolph26 points to her work with
Brinton Lykes, these issues can look like aca-
what is called ‘translational research’ to sup-
demic concerns of the worried privileged.
port ‘evidence-based’ practices in healthcare,
There is a delicate balance to be struck
where the challenge is ‘how findings pub-
here. Our task is not to worry about gaining
lished in scholarly and professional journals
legitimacy on the terms of institutional crite-
should be implemented in practice’:
ria, but to use our positions to create spaces
for genuine learning and inquiry-oriented How should these findings be translated into prac-
universities, and to create new forms of tice? This challenge presents a classic action
702 SKILLS
research challenge: how should propositional centres, e.g. in those to do with complementary
knowledge found in leading healthcare journals be
therapies of all kinds, with green, environ-
made actionable by clinicians on the ground? In
the US, the Agency for Healthcare Quality and mental and eco-sensitive issues.
Research (AHRQ), for example, has been a leader We have pointed to the importance of such
in putting an emphasis on clarifying the processes independent and quasi-independent institu-
by which such translational research, research tions in our introduction. Such places and net-
focused on the barriers and catalysts for imple-
works are often communities of inquiry in
mentation, should be done. The tenets of partici-
patory action research (PAR), and of action their own right, with more or less explicit
science/action inquiry, both have much to offer in ongoing inquiries into how to establish and
clarifying this process. PAR-based approaches maintain quality action research work within a
could help illuminate how practitioners themselves broader institutional setting and wider con-
choose and utilize evidence-based practice. Action
text. It is entirely possible to gain credits
science/action inquiry based approaches could
help clarify how to surface the underlying values within a university system and gain an exter-
and assumptions that guide current practice and nal reputation while operating within an
the adoption of new practices. Together these two action research paradigm, although we should
approaches could make the adoption of evidence- not underestimate the challenges of managing
based practice and learning from this practice
this kind of situation which demands the kind
more robust.
of ‘late stage’ leadership development Torbert
and Taylor briefly describe in Chapter 16
which is ‘self-conscious [about] mission/phi-
DEVELOPING ALTERNATIVE
losophy … invites conversation among multi-
INSTITUTIONS
ple voices and reframing of boundaries …
cultivating interplay, reattunement and contin-
Another response to the challenges posed by ual triple-loop feedback among purpose, strat-
the politics and epistemology of higher edu- egy, practice, and outcomes’ (p. 527).
cation is to create new alternative institu- A comment Victor Friedman heard at the
tions. As Dave Brown writes: World Congress from a participant from
Manila challenged this view:
This kind of work (‘tackling big issues’) may require
creating institutions that are independent of, or at
Action research should focus on expansion and
least not wholly dependent on, academic institu-
development through emerging organizations and
tions that are almost entirely controlled by acade-
institutions in the rapidly developing world (e.g.
mic disciplines. Creating thinktanks or institutes
Asia). He argued that attempts to infiltrate, influ-
that are good at knowledge production but also
ence and transform established institutions (like
responsive and accountable to external con-
CARPP or our action research center [Max Stern
stituents will be a key piece of this development.
Academic College of Emek Yezreel in Israel] or
many similar efforts around the world) are a waste.
Lai Fong Chiu, pointing to issues of legiti- The thinking was that past attempts to influence
macy, suggests: deeply entrenched institutions have had only
limited success and only for short periods of time
Alternative institutional support such as action (and we haven’t really learned from those experi-
research regional groups which could come ences). Rather than investing energy and resources
together at least twice a year to exchange ideas or swimming against the current of the establishment,
to work on practical educational projects such as we might ride the enormous wave of change that
training new researchers in various kinds of AR is sweeping across other parts of the globe.
practices would be helpful. Maybe leaders in the
field should seek financial support from the ESRC Again, we doubt whether this is an either/
(Research Council) for such activities. or choice, and point rather to the potential for
complementarity between institutions in dif-
John Heron and Gregg Lahood call for ferent contexts and with different missions
more attention to fostering the development and approaches. This is all the more reason
of AR in alternative education and research for holding open the boundaries of action
research rather than closing on one definition brave and creative work of others round the
and seeing the community of action research world we are touched at times almost to tears.
as inclusive rather than exclusive. To mis- One means of supporting the development
quote Tennyson, we must beware ‘lest one of community, through valuable websites
good purpose should corrupt the world’. suggests the kinds of concrete steps – first
order results – that are needed for communi-
ties of practice to flourish (see, for example,
BUILDING COMMUNITY http://www.alarpm.org.au/public/home; and
the comprehensive list of websites to be
If we are to embrace a pluralist view of found on Jack Whitehead’s Living Inquiry
action research and a pluralist community pages at http://people.bath.ac.uk/edsajw/).
then that community itself needs nurturing
and developing. Mary Gergen27 writes:
THE NATURE OF KNOWING
One of my oldest concerns/interests in AR has
been with the embedded, interactive, but solitary
stories of individual researcher teams working in a There was curiously little written in the
particular setting without much cross-fertilization responses about epistemological issues,
from others, both within AR and without. I think almost as if everyone was in agreement with
this has been picked up on by yourself and your Bjørn Gustavsen that ‘action research has
colleagues across the world, and much has hap-
won all debates on ethics and epistemology’
pened to publicize AR activities and to raise ques-
tions and generate conversations both within the and Victor Friedman’s remark that ‘The war
community and without. I think you and those you with positivism is more or less over’. More
work closely with have done a remarkable job in generally Lyle Yorks calls for ‘robust episte-
holding conferences (to support and inform the AR mological awareness with flexible and adapt-
community and close-in others), the journal, which
able methodology’. Apart from this, two
I am sure will wobble and then walk, if not fly, and
in the handbook, and in conversations such as this. important themes are raised.
Robert Chambers writes about the impor-

tance of this wide community learning from Participative knowing
the spread of good (and bad) practice: John Heron raises an important point concern-
There are the huge challenges in spreading paring what he calls ‘declarative validity’ which
ticipatory action research in and through big he sees as resting at the heart of a participative
bureaucracies with their hierarchies, tendencies to worldview. How do we recognize the ‘authen-
standardise, set targets, regulate. … Is a big future tic signature’ of participative relationship, the
frontier of knowledge, and of action research quality of experience that provides warrant for
itself, to understand better what can work and
what not, and how to do better? claims that we are engaged in empathic parti-
cipative knowing? If we are to lay claim to
It is not just exchange of information that experiential knowing in participative relation-
keeps community going: it is appreciating ship as the grounding of our work, are there
both our common purposes and our differ- qualities which ‘declare themselves’ which we
ences and cherishing ourselves and other can point to as touchstones of the authenticity
people round the world. Orlando Fals Borda of these experiences?
has done wonderful service here in both
stimulating and offering legitimacy to the Presentational knowing
dialogue between South and North (Fals
Borda, 1996, 2001/2006), for we have so Rita Kowlaski28 and Steve Taylor29 both
much to learn from each other intellectually point to the importance of presentational
and emotionally: often, when we hear of the knowing in action research, knowing that is
704 SKILLS
conveyed through aesthetic forms of graphic deepen and widen our understanding of the
arts, poetry, movement and dance. Rita many ways of knowing we engage in. There
writes: is much to do to fully understand the quality
claims of knowing that is rooted in experi-
I have found presentational knowing freeing and ence and expressed in presentation, practical
essential for application. I have learned more
and propositional forms.
about relationships, behavior and creative tension
conflict consciously using forms of presentational
knowing in my work. There is something about
conflict and creative tension we could learn more THE ART OF PRACTICE
about if we watched it ourselves.
As Bill Torbert wrote:

After giving a short account of a project in
which team members are using presenta- I hope you will emphasize that … action research
tional forms to communicate with each other can reach its potential only when it is recognized
and noticing the powerful effect this can and practiced as a far more challenging and inclu-
sive art and science …
have, and contrasting this with the way orga-
nizations ‘take pride in objectifying people’,
Rita Kowalski writes more personally of the
she goes on to write:
challenges of practice:
Until I understood how art and stories and music
Action research is challenging not simply because
bring life to experience and concepts, I could not
it involves choices points, but because as you do
help others use or apply what I had learned. I lost
action research the reflection needed to complete
opportunities since I had cut myself off from an
a cycle reminds you about choices. It isn’t neat, but
important source of knowledge.
very human, open to different possibilities and
uses time differently. It doesn’t end; the impact of
Steve Taylor articulated the same issues: action research continues when we are mindful of
leaving a legacy, an infrastructure behind.
I think one of the real issues with working across
different ways of knowing and different forms of
These comments point to a theme that we
representation is with the movement between the
different ways of knowing. If we start with rich- see as important but find underplayed in the
ness of experience, we then need to be an artist to responses we have. If, as Stephen Kemmis so
represent that richness with presentational know- clearly writes, the first and central step in
ing. The real difficulty is then in moving from the action research is ‘the formation of commu-
richness of experience and the artfulness of pre-
nicative space’ (Kemmis, 2001/2006: 100),
sentational form to propositional form. So often
the move to propositional knowing is done with an what are the qualities and abilities that action
incredible violence to the richness of experience research needs to develop in order to do this?
and the artfulness of presentation. As we try to be There is an art to engaging with people
precise, we often strip away feeling and are left that is intensely human whether we are run-
with dry, banal concepts that trivialize the experi-
ning a dialogue conference in Scandinavia, a
ence they are supposed to describe. We need to
find ways to artfully capture and honor the richness feminist project in Canada or a village meet-
of the experience as we try to also use the precision ing in Bangladesh. There are embodied, tac-
of propositional forms. As we try to be rigorous tile, emotional, rhetorical, even seductive
scholars we must also be passionate artists, not only skills that bring bodies and energies together
in our presentational and propositional knowing,
in a way that opens the possibility of collab-
but also in our pragmatic knowing – in our action in
the world. oration. If we dare, in a school of manage-
ment, to sit our students in a circle with a
These contributions suggest that while table of flowers in the middle, we create a
action research may in broad terms have different form from when we sit in a tiered
‘won’ the epistemological arguments, there is lecture hall, with both obvious and subtle dif-
much more we can do to fully articulate and ferences in communicative possibilities. If as
PRA practitioners we get literally close to the on action research which have played an important
ground, as Chambers describes (Chapter 20), role locating action research in higher education and
supporting high level scientific training in AR. In
we open new possibilities for empowerment.
economies dominated by a rougher type of capital-
Maybe we can say we evoke different arche- ism other strategies have to be implemented. This is
typal patterns (Hillman, 1975) and spiritual a process that must have a perspective of many,
qualities in the different ways we engage with many years. Sustained effort is important.
each other. What qualities of individual and
collective leadership are appropriate? There is Hilary responded to Dave Brown’s sug-
a huge amount of work needed to fully under- gestion that alternative institutions were
stand and articulate the many forms of the art needed with concern that if many action
and practice of action research. researchers leave the tenure track (in the
USA) and create or join ‘think tanks’ it may
be more difficult to ensure we train future
action researchers.
TRAINING AND DEVELOPMENT
OF PRACTITIONERS As research professor at USC rather than associate
professor at Case, I am not in direct line any more for
mentoring PhD students – they have to come find
These considerations all point to the impor- me. But I see also that this means that fewer stu-
tance of the development of the next genera- dents are trained/encouraged as a result. ... I wonder
tion, with several people pointing to the need if there is a way we can combine admittedly slim
for training and development of action resources here in the US (and abroad?) and offer a
research practitioners, facilitators and anima- place (maybe virtual) for inter-institute support and
development of training for action researchers?
tors. Anisur Rahman in Chapter 3 describes
animation in PAR as an ‘art in which one can, This is clearly an area for future conversa-
with practice and reflection, develop one’s tions in the action research community,
skill, given the necessary commitment, cre- hopefully linking and learning from a wide
ativity and sensitivity to the specifics and variety of sources: the concerns of animators
dynamics of a given situation’. He argues that in PAR endeavours; the work on national
animators must learn to unlock their own spirit projects in Scandinavia; the development of
of inquiry if they are to be able to help others doctoral candidates in higher institutions; the
do the same. Meghna Guhathakurta points out practice of those supposedly established in
that the expansion of PAR work in Bangladesh the field; and many more.
depends not only on such ‘professional’ ani-
mators but also on whether there are adequate
and qualified animators internal to the commu- CONCLUDING REFLECTIONS
nity to take the work forward. Robert
Chambers suggests that the training and devel-
As we opened this volume with accounts
opment of action research facilitators is a pro-
from the Editorial Board of the grounding
ject for action research in itself.
influences on their action research practice,
Morten Levin from a very different con-
so we close with reflections on the future
text argues that:
from those who actually contributed to this
The most fundamental task for action research in volume. This last chapter clearly has limita-
academia is to train professionals as action tions: we could, maybe should, have
researchers. Without new trained cadres of extended the conversation by establishing an
researchers there will be no future for action internet discussion forum and engaged in
research. Institutional arrangements and different
more cycles of inquiry; we could have found
political economies indicate that there must be dif-
ferent strategies that are applicable. In the ways in which the interpretive work that we
Scandinavian context (maybe only Norwegian) it is as editors have undertaken was more collab-
possible to create large national programs building orative. But these limitations in the final
706 SKILLS
product are less important than the ongoing 2 Ernie Stringer (Australia) is a white Australian
debates and conversations which are opening who has worked for many years with Aboriginal
people.
up both within and between different action
3 Dave Brown (USA) is Associate Director for
research groupings. As a broad community International Programs at the Hauser Center for
of action researchers we have opened many Nonprofit Organizations and Lecturer in Public Policy
possibilities for creative conversations across at the Kennedy School of Government.
disciplines, across countries, and across gener- 4 Ken Gergen (USA) is a leading social construc-
tionist who has been closely related with the devel-
ations where we can and will continue to
opment of appreciative inquiry.
reflect on how to continue to make our pres- 5 John Heron and Gregg Lahood (New Zealand)
ence felt. have been engaged in co-operative inquiry into
In closing on our shared reflections on the spirituality. John is a humanistic and transpersonal psy-
question of whither action research, Judi chologist who developed the practice of co-operative
inquiry.
Marshall30 reminds us that we need to be
6 Orlando Fals Borda (Colombia) is one of the
attuned to the future: elders of the participatory action research movement.
7 Lai Fong Chiu uses participatory research in med-
I have a strong sense of responsibility to younger
ical work, in particular with immigrant communities
people wanting to work through action research.
in the UK.
Many seem to be mashed up in the politics of
8 Ed Schein (USA) is one of the elders and found-
academia (as shown by people’s stories at the
ing figures of organization development and process
World Congress). What field of legitimacy, imagi-
consultation.
nation and proliferating practices are we creating
9 Robert Chambers (UK) has been a key figure in
for them? This does not have to be a conformist
the development of participatory approaches to
space, but we need to recognise the ethics of
development.
responsibility in this direction too.
10 Lyle Yorks (USA) works at Teachers College,
Columbia University, where he teaches and uses
We therefore give the last word to Victor’s action research for transformative education.
words of wisdom. Victor Friedman, returning 11 Bill Torbert (USA) developed the theory and
from the World Congress in Gronigen, writes practices of action inquiry.
of his impressions of a coming change in the 12 Sonia Ospina (USA) heads the Research Center
for Leadership in Action at Wagner School, New York
field and a new generation of action
University.
researchers beginning to emerge: 13 Victor Friedman (Israel) works with action
science to help individuals, groups, organizations,
My impression was that their perspective on action
and communities learn.
research, the role it should play, and how it should
14 Bjørn Gustavsen (Norway) is senior researcher
move ahead are very different from the dominant
at the Work Research Institute, Oslo.
views of the past 20 years or so. … I found it difficult
15 Meghna Guhathakurta (Bangladesh) is
to clearly articulate all I heard, so if I were to go to this
Executive Director of Research Initiatives Bangladesh.
conference all over again, I would try to spend most
16 Geoff Mead (UK) is a former police officer
of my time listening to this new generation of action
whose work is increasingly focused on the role of
researchers (people just emerging from graduate
story and narrative in leadership and organizational
school or initial involvement in the field). I would want
development.
to hear about what attracts them to AR, what they
17 Marianne Kristiansen (Denmark) is founder of the
would like from it, what they see as problematic, and
Centre of Interpersonal Organizational Communication
where they see the future of the field. Perhaps it’s an
at Aalborg University.
idea for a special issue of Action Research.
18 Mary Brydon-Miller (USA) is a participatory
action researcher who engages in both community-
based and educational action research.
19 Brinton Lykes (USA) works with community-based
NOTES participatory action research to respond to and
understand the effects of structural violence includ-
1 Rajesh Tandon (India) writes as Founder and ing war, poverty and gender oppression.
Director of PRIA (Participatory Research in Asia) 20 Wendy Frisby and Colleen Reid (Canada) work
which has pioneered PAR with communities in India with women using feminist participatory action
for 20 years. research in Western Canada.
21 Davydd Greenwood (USA) supports participa- Ehrenreich, B., and Ehrenreich, J. (1977),’ The profes-
tory action research work from Cornell University. sional-managerial class’. Radical America, 11: 7–31.
22 John Burgoyne (UK) is Professor of Fals Borda, O. (1996) ‘A North-South convergence on
Management Education at Lancaster University who the quest for meaning’, Special Issue of Qualitative
draws on action learning approaches.
Inquiry ‘Quality in Human Inquiry’, 2 (1): 73–5.
23 Morten Levin (Norway) uses and teaches action
research from Trondheim University.
Fals Borda, O. (2001/2006) ‘Participatory (action)
24 David Coghlan (Ireland) uses and teaches research in social theory: origins and challenges’, in
action research at Trinity College Dublin. P. Reason and H. Bradbury (eds), Handbook of Action
25 Jennifer Mullett (Canada) is a community psy- Research: Participatory Inquiry and Practice. London:
chologist in private practice involved in community Sage. pp. 27–37.
action research projects in Western Canada. Gustavsen, B. (2003) ‘Action research and the problem
26 Jenny Rudolph (USA) works with medical prac- of the single case’, Concepts and Transformation,
titioners at Boston University. 8 (1): 93–9.
27 Mary Gergen (USA) is a scholar at the intersec- Hillman, J. (1975) Revisioning Psychology. New York:
tion of feminist theory and social constructionism.
Harper Collophon.
28 Rita Kowalski (USA) works in organization
development with the US Veterans’ Adminstration.
Kemmis, S. (2001/2006) ‘Exploring the relevance of crit-
29 Steve Taylor (USA) teaches management at ical theory for action research: emancipatory action
Worcester Polytechnic Institute and works with orga- research in the footsteps of Jürgen Habermas’, in
nizational aesthetics and reflective practice. P. Reason and H. Bradbury (eds), Handbook of Action
30 Judi Marshall (UK) teaches and researches ‘liv- Research: Participative inquiry and Practice. London:
ing life as inquiry’ at the University of Bath. Sage. pp. 91–102. Also published in P. Reason and H.
Bradbury (eds) (2006), Handbook of Action
REFERENCES pp. 94–105.
Reason, P. (2006) ‘Choice and quality in action research
practice’, Journal of Management Inquiry, 15 (2):
Bradbury, H. (2007) ‘Quality, consequence and “action-
187–203.
ability”: what action researchers offer from the tra-
dition of Pragmatism’, in R. Shani et al. (eds) The
Sage Handbook of Collaborative Research. Los
Angeles, CA: Sage Publications.
Reason & Bradbury (2e)-3562-Index.qxd 9/24/2007 7:16 PM Page 708
Index
Aboriginal peoples, 133, 185, 590, 594 action research action research cont.
academic freedom, 217, 222–4 action learning and, 322–4 socio-technical perspective, 77–81, 86
academics, 329, 426 action science and, 252–63 somatic development of, 83–6
Academy of Finland, 34, 36 barriers to, 390–1 spirituality and, 439, 440–1
Academy of Management, 282, change to (workplace project), 499–501 sustainable development and, 559
499–500, 505 citizen participation, 207, 231, 339 systemic/systematic thinking, 149–52
access (OCAP), 594 clinical inquiry, 3, 266–78 systems thinking/practice, 12, 139–57
accountability, 2, 204, 335, 502, 551, communicative action, 127–30, themes, 435–8
632, 702 132, 135–6 transformation of higher education,
in feminist PAR, 95, 100 community, 340, 382, 384, 416, 12, 211–25
power and knowledge, 183, 186 452–4, 461,510, 531–2, 534–5 varieties of, 435
universities, 212, 214, 215, 218 critical, 12, 121–36, 263, 329–30 at work, 77–91, 384, 385
accomplishments (co-design), 353–4 cycles, 390 writing for, 586, 682–93
Achiever (action-logic), 246, 247, 248 definitions, 1–6, 696–8 see also appreciative inquiry;
act (look-think-act cycle), 525–6, 531 description/characteristics, 3–6 charismatic inquiry; co-operative
action, 3, 49, 227–8 dialogue, see dialogue inquiry; collaborative action
affirmative, 411, 475 dimensions of, 4–5 research; participatory action
collective, 510, 511 distributive/low-intensity forms, 72 research; systems thinking
communicative, 42, 122–3, 125, education (associated skills), 675–80 Action Research, Action Learning
127–31, 132, 135–6 emancipatory, 134–5, 384 and Process Management
construction and, 164–7 ethics and, 12, 199–209 (ALARPM), 3, 699
forms of, 101–2 experiential, 240 Action Research Issues Association, 3
human (general theory), 324–7 facilitation as ongoing, 586, 615–28 action researchers, education of, 585–6,
hybrid design, 423–6 family of approaches, 7–8 669–81, 705
impact of frames, 662 feminism and, 20, 93–5, 102, 174–5, action science, 154, 235, 252–63, 299,
inquiry and (integration), 426–31 586, 686 327, 351, 354, 696, 702
large-group process, 394–405 future, 23–4, 113–16, 695–707 advances in, 256–62
-logics, 246–9 in healthcare, 236, 381–91 definitions, 252, 253–6
models, 246–9, 254, 256, 257, 261, humanistic approach, 109–10, 319 skill development, 648, 656–66
322, 328, 658 insider (capabilities), 586, 643–53 teaching reflective practice, 656–66
participation and, 179–80, 181, 384–6 integration of theory/practice, 24–6 action sensemaking 573–82
participatory research as popular, 181 knowledge creation, see knowledge action strategies, 322
phases, 366–7, 370, 372–3, large-scale projects, 236, 394–405, action theories, 83
376–7, 453–4 586, 629–41 actionable knowledge, 227, 228, 254
precepts for, 306–8 learning history, 12, 350–63 ActionAid, 312, 336, 338
reflection and (cycles), 1, 4, 16, 19, modes, 384–6 actionalizing knowledge, 90
181, 235, 303, 366, 390, 423–4, new technology, 573–82 active hierarchy, 376
443, 450, 521, 536, 574–7, 580 organization change and, 12, 77–91 activity theories, 327
reflection on, 24, 571, 677 origins, 3 actor network theory, 327
research as political, 164–5 paradigms, 18, 329 actors, 40, 134, 327
systemic/systematic thinking and, 147–8 participation, 8–9 actors animators, 512, 516–19, 521
turn, 5, 236, 420–32 partnerships and social impact, 227–32 adult education, 36, 49, 51, 55, 58
Action Anthropology, 37 PhD programmes, 674–5 Advanced Change, The, 657
Action Design, 256–8, 262, 662 PhD thesis (writing), 679–80 advisors, 677–8
action evaluation, 259–60, 262–3, 396–7 policy development (East advocacy, 107–8, 173, 230, 597, 648, 683
action inquiry, 178, 253, 702 Timor), 550–60 practices, 243–5, 255–6, 261
groups (AIG), 630–41 practice (groundings), 11, 15–27 reflective practice, 663, 666
practice, 239–50 pragmatic, 211–25 Advocacy Institute, 432
skill development, 648, 656–66 praxis and, 12, 106–18 affirmative action, 411, 475
teaching reflective practice, 656–66 purpose of, 4 Africa
action learning, 12, 148, 696, 700–1 quality/validity, 8, 12, 388–9 PAR practice, 11, 31–45
action research and, 322–4 race and, 12, 473–85 PORP in, 56–7
critical, 327–30 radical humanism, 109–10 African Americans, 112, 200, 661
definition, 320–1 radical nature of, 699–700 Cincinnati project, 395–402, 404
knowledge and, 319–24, 329 researching in, 153–4 SASHA process, 438, 473–85
in management education, 321–2 scope/scale, 2, 11–12, 63–74 African Caribbeans, 538
origin, 319–20 social construction and 159–70 agency, 19, 20, 101, 162, 175–6, 178–9,
praxaeology, 324–7 socio-historical context, 106, 107–9 195, 537
INDEX 709
Agency for Healthcare Quality and authenticity, 99, 130, 165, 180, 223, 441, capacities (large-scale projects), 641
Research (AHQR), 702 443, 445, 703 capacity-building, 450, 511, 517, 534,
agents, 4, 134, 375, 425 authoritarianism, 345–8 590, 595
aggregate data, 413 authority, 99–100, 319, 445, 677, 691–2 civil society, 227, 228, 229–30
aggression (in workplace), 497–508 authority figures, 666 competence and, 566–8, 571
agriculture, 34–6, 41, 43–4, 58, 113, 297, AutoCo, 353–4, 355, 356–9 policy and (East Timor), 551, 554–9
299, 301–2 Autonomous University (Yucatan), 523 capitalism, 37, 41, 107, 125, 213, 219,
AKRSP (India), 299 autonomy, 64, 74, 130, 163, 292, 294, 335, 699
ALARMP - PAR World Congress, 699 343, 376 caregivers (styles), 84–5
Alchemist (action-logic), 246, 247, 248 charismatic inquiry, 442, 443, 446 CARPP, 373, 602, 633, 637, 702
alcohol use, 526, 529 ethics and, 201, 202 Cartagena World Congress, 31, 40, 45,
alienation, 42, 125 universities, 217, 222, 223, 523 51, 701–2, 706
American Civil Liberties Union, 395, autopoesis, 216, 374 Cartesian thought, 18, 440
397, 398, 399 awareness 241, 510 Cartesian worldview, 8, 369, 371
American Cybernetics Society, 145 building, 174–5, 181–2, 183, 184–5 case studies, 54, 180, 322
American model, 220 epistemological, 147, 148, 151, 154, Case Western Reserve University, 90,
American Society of Training and 697, 703 280, 282
Development, 282 raising, 451, 513 cashew nut factory, 33
analysis-action stage, 525 see also self-awareness caste system, 308, 512, 513
ANANDI, 305 catalysts, self-transformation of, 519–20
Andhra Pradesh Coalition in Defence of back-staging, 652 Catch 22, 469–70
Diversity (APCDD), 338 Bagamoyo project, 34, 35, 44 catchments, 146
animation, 52, 60, 510, 511, 705 Bamba Thialene, 57 Catholic Church, 552
techniques/processes, 519 Bangladesh, 7, 23, 49 causal theory, 252–63
animator, 57–8, 313, 585, 699, 705 gonogobeshona, 58–60, 511, 512 causation, 148
actor, 512, 516–19, 521 Grameen Bank, 2, 58 celebration stage, 525
concept/sensitization, 6–7, 52–3, 60 RIB, 3, 58–61, 510–21, 698–9 Center for Business as an Agent of World
self-transformation, 519–20 theatre in PAR, 436–7, 510–21, 705 Benefit, 195
training, 52 BBC, 337, 338, 345 Center for Human Resource Management
anthropology, 24, 447, 529 Bedford Hills Correctional Facility, 408, 416 Studies (CHRM), 499
social, 37–8, 40, 298, 299 behaviour, 201, 241–2, 245, 298, 306–9, Center for International Education, 21–2
transpersonal, 439, 440 310, 377, 440 Center for Organizational Learning, 352,
Apollonian approach, 377, 445, 446 purposeful/purposive, 154–5, 156 353, 358–9
Appalachia, 16, 111, 173, 299 behaviourism, 167 Center for Research and Advanced
applied systems thinking, 153 being, 23, 109, 444 Studies Merida, 523, 529
appreciative inquiry, 77, 85–6, 89, 169, being-in-the-world, 17, 25, 369, 374 Centre for AR in Professional Practice
190–6, 266, 312, 430 Belaichondi, 58–9 (CARP), 373, 602, 633, 637, 701
forms of engagement, 283 belief systems, 25, 246, 441, 651, 658 Centre for Development Theatre, 516
4–D cycle, 282–4 Belmont Report, 200, 201–2 CEOs, 248, 488
practice of, 280–95 Benedictine University, 282 ceremony, 368, 439–48
argumentation, 128, 129, 131 beneficence, 201, 202, 203, 207, 208 certainty, 604
ARIA Group, 395–7, 399–401, benefits, risk and, 201, 202 cervical screening, 535, 542, 544
402, 404 between-field, 446, 447–8 changa cha mulungu, 43–4
Aristotle, 21 Bhoomi Sena, 22, 51–2, 53, 54, 56, 61 change
art, 34, 169, 368, 373, 628, 685 bias, 6, 174, 191, 192, 564 appreciative inquiry and, 281–2
of appreciative inquiry, 193–4 bicultural identity, 108 collective, 111–12
presentational knowing, 450–61, ‘big issues’, 695–6, 702 culture of dependency, 522–32
687, 704 binaries, 19 diffusion and, 358–9
artificial intelligence processes, 290–4 biomedical research, 200–1, 381, 384, 390 first-order, 437–8
Arts, The (CI group), 489, 491, 494 Black is Beautiful movement, 475 large-scale projects, 394–405
Arusha Declaration, 37 black feminists, 95, 96 learning and, 470–1
‘as if’ approach, 148, 155 Black Men’s Support Group, 476 making (challenges of PAR), 596–8
Asia, 37 body/mind, 5, 8, 241, 243, 245 non-linear progression, 403–4
language/culture, 538 body language, 624, 684 organizational, 77–91, 351–2,
PORP in, 53–5, 61 bodywork/bodysculpts, 610 575–6, 581
PRIA, 3, 227–32 Bologna Process, 214, 215 politics of, 112–13
Asian NGO Coalition (ANGOC), 229 boundary crises, 122–3, 129–31 second-order, 438
aspirations (AR writing), 682–4, 685–6 BP3s, 552, 554 systemic, 90
assessment brainstorming, 223, 490, 565, 570, 577 third-order, 438
devices, 162 breast screening, 535, 537–9, 543, 544–5 see also social change
large-scale projects, 630, 637–8, 639 bricolage process, 169 change/design, 256, 262
qualitative research, 425–6, 428 British Coal Board, 79 change agents, 202, 209, 282, 291, 571
assignments (reflective practice) 664–5 British Holistic Medical Association, 377 change immunity map, 659, 662
‘assimilated Negro’, 477 bureaucracy, 45, 184 Changing Minds, 408–11
Association of Maya Ixil Women, 96 Burkina Faso, 57 charismatic inquiry, 368, 373, 437, 439–48
assonance, 241 Business as an Agent of World Benefit, 282 child marriage, 518, 519
attachment theory, 84, 85 children (ill parents), 1, 562–71
attention, 240, 241, 242, 245, 377 C4H project, 544, 546–7 choice, 19, 536, 568
attitudes, 298, 306–9, 312 Cabinet Office, 630, 632, 634, 637–40 in healthcare, 386–90
research, 266, 267 Café method, 483, 631 choreography of energy, 624–7
attraction, logic of, 291 ‘campus paradigm wars’ (USA), 8 Cincinnati Black United Front, 395, 397,
attributions, 648–9 cancer, 1, 562–71, 594 398, 399
audiences, 4, 236, 407, 416 screening, 535, 537–9, 542, 543, 544–5 Cincinnati Collaborative Agreement, 260
interactive theatre, 1, 437, 510–21 capabilities Cincinnati project, 395–402, 404
presentational knowing, 456–9 building, 497, 508 CINVESTAV, 523, 529
Australia, 3, 133, 151 developing (insider AR), 586, 643–53 CITES, 360
citizen control/power, 207 collective reflection, 677–8 conferences, 69–72, 236, 402–3, 630, 704
citizen participation, 207, 231, 339 collective research, 56, 122, 123–5 confidence, 690
‘citizen science’, 185 collective voice, 498, 504–7, 508 confidentiality, 270–1, 563–4, 634, 673–4
citizens’ jury, 183–4, 312, 333–48 colonialism, 111, 112, 550, 560 conflict, 20, 72, 160, 168, 174, 177,
Citizens Council, 334, 336, 338, 342 colonization, 112 261, 608
Citizens Space CJ, 337, 339 of consciousness, 445 resolution, 259, 262, 304, 591
citizenship, 523 of lifeworld, 639 confrontive inquiry, 648
CIVICUS World Alliance for Citizen Colombia, 50 connectedness (systemic), 491, 492, 493
Participation, 231 command-and-control perspective, 292 Connecticut State Inter-Racial
civil associations, 529 commitments, 292, 541–2, 659, 661–2 Commission, 81
civil organization, 529 Committee for Development Action conscientization, 16, 20, 50, 52, 58, 60,
Civil Rights, 2, 16, 19, 25, 110, 112–13, (Bamba Thialene), 57 108–10, 112–13, 177, 227, 461, 511
132, 174, 475 communalism (ujamaa), 37, 41 consciousness, 1, 17, 20, 109, 122, 174–5,
civil society, 108, 122, 186, 212, 213, 224, communication 179–80, 195, 369, 447, 459–61
232, 335, 340 analogic, 684–5 collective, 117, 483
capacity-building, 227, 228, 229–30 digital, 684–5 colonization of, 445
intersectoral influence, 227, 228, 230 skills, 679 critical, 110, 181, 585
organizations (CSOs), 551 standardization and, 344–5 historical, 123–5
policy development (East Timor), technologies, 107, 108 individual, 23, 111–12
552, 560 communicative action, 135–6 -raising, 2, 42, 87–8, 101, 110, 513
Clark University, 299 system/lifeworld development, consensus, 129, 131, 134, 136, 180, 240,
class, 41, 42, 49, 53, 108, 117, 125, 400, 122–3, 129–31 399, 446
512, 658 theory development, 42, 125, conference, 336, 338
classroom, 659 127–8, 132 truth and, 50, 55
clean questions, 663–4 communicative space, 3, 7, 8, 122, consent, 563–4, 565, 566, 581
Cleveland Clinic (Ohio), 280 127–31, 135–6, 634, 639, 704 consonance, 241
clients, 267–74 communicative turn, 70 constructionism, 371, 422
clinical inquiry/research, 3, 266–78 communism, 52, 58, 80, 83, 113 appreciative inquiry, 169, 194–5
client initiated, 270–4 Communist Party (India), 52 as catalyst, 167–70
definition/dimensions, 266–78 communities of inquiry, 1, 5, 6, 377, social, 3, 5, 9, 12, 63, 159–70, 291, 325
limitations, 277 632, 702 social constructivism, 24, 263
researcher initiated, 267–70 action science, 253, 255, 262 worldview, 194, 195
closed system, 221 communities of practice, 5, 311, 632 see also social construction
Clutterbuck Associates, 630 action science, 327, 351 constructivism, 66, 70, 148, 688, 697
co-design, 350–1, 353, 360, 397, community, 4, 202–6 see also social constructivism
436–7, 620 action work (WHIM project), 452–4, 461 consultant/helper, 697
co-generated learning, 221, 395, 400–2 agencies/groups, 451, 460–1 consultation, 181, 183, 271, 556
co-generative research team, 397 -based PAR, 37–8, 43, 340, 381–2, 384, Consultations with the Poor project, 182
co-inquirers, 369–72, 376, 446, 646 388–9, 416, 510, 531–2, 534–5 Consultative Group for International
co-design by, 436–7 building, 81–2, 86–7, 89, 703 Agricultural Research, 302
in jury process, 340–1, 345, 346 development, 2, 3, 180, 525, 537 consumer-survivors, 590, 598–9
co-learning, 463–71 education (for women), 450–61 content, 570
co-operation, 68, 74, 230, 376, 442, 446 global (at work), 86–8 form and, 683, 684–8, 693
LOM programme, 66–7, 70, 71 groups (Highlander), 16, 165, 299 context, 220–2, 435, 436
co-operative inquiry, 178 health education, 534–47 WHIM project, 451–2
charismatic inquiry, 442–3, 447 identity, 205 contract research, 268, 271–2, 274, 277
group, 487–95 learning, 703 contradictory skills, 616–19
practice of, 12, 165, 366–78 participation, 595–6 control, 80, 369, 541, 569, 696
qualitative research, 236, 422–5, power-sharing, 590–5, 599 of inquiry, 421, 424–6, 428
427, 429 power/strength of, 207–8 OCAP, 594
second-person groups, 586, 602–13 Community-led Total Sanitation, 302, conventions (in writing), 683, 684
transpersonal, 370, 447–8 305, 312 conversations, 123, 152, 243, 499
co-researching, 425, 542–4 Community Advisory Group (CAG), 596 appreciative inquiry, 85, 196
coal industry, 79, 80 Community Approaches to Rangelands learning history, 351–2, 358, 359
codes of conduct, 200 Research, 154 positive, 291–2
coercion, 202 Community Health Educator Model, 537, convocation stage, 525
coexistence (just/sustainable), 195–6 540–1, 542–3, 546–7 Cooperative Economics for Women, 115
cognition, 83–4 Community Health Program, 528–9 coordinators (WHIM project), 451–2, 456–8
cognitive approach, 167, 447 companions, 523–6, 528–31 core values, 204–5, 494
cognitive justice, 186 company transformation, 82–3 Corporation for Positive Change, 282
collaboration, 20, 165–6, 195–6, 202, compassion, 483, 484 Council, The (CI group), 489
205, 427 compatibility (aims/methods), 43 counselling, 82, 446, 517, 586
in plural worlds, 168–9 competence, 292, 294, 375, 377, 446, counter-practices, 99
reciprocal, 423, 424, 431 562, 579, 666 counterintuitive effects, 140
workplace stress/aggression, 497–508 capacity-building and, 566–8, 571 countervailing power, 52, 56
collaborative action research, 3 competing commitments, 659, 661–2 course feedback memo, 664–5
interactive, 274–5, 696 competitive advantage, 573 creation-centred spirituality, 17–18
PRIA and IDR, 227–32 complexity sciences, 144, 146 creative approaches (facilitation), 626–7
collaborative inquiry, 6, 372, 377, 657 complexity theory, 240, 389–90, 621 creative beings, 511
charismatic, 373, 437, 439–48 conceptual design, 579 creative development, 110
children with ill parents, 1, 562–71 conceptual formulations, 444 creative economy, 216
see also dialogue conceptualization credibility, 292, 591, 598–9
collaborative learning, 89 facilitation as ongoing AR, 619–23 credit, 58, 60
collective action, 510, 511 of interactive theatre, 520–1 critical action learning, 327–30
collective change, 111–12 of PAR (Bangladesh), 511 critical action research, 12, 121–36,
collective consciousness, 117, 483 of power, 173–6 263, 329–30
INDEX 711
critical awareness, 181–2 design Earth Systems Science, 140

critical consciousness, 110, 181, 585 co-design, 350, 351, 436–7 East Timor, 2, 403, 436–7, 550–60
critical realism, 324–5 criteria, 351, 352–9 Echoes of Brown, 411–16
critical recovery of history, 56 degree of distance from, 437 Ecological, Social and Health
critical reflection, 7, 125–7, 191, 305, for ongoing evaluation, 404 Assessment Program, 523, 524,
490, 536 opportunities, 402–3 525, 529
critical social theory, 328 parameters, 401–4 ecological perspective, 4, 8–9, 17–18,
critical subjectivity, 445, 476 phase, 85, 283–4, 287–8, 290, 294 374, 524–8
critical theory, 3, 24, 42, 263, 329–30 process, 256 economic development, 40–1, 42, 44, 69
PAR and, 12, 121–36 research (hybrid), 422–6 education, 4, 21, 34, 115, 299
critical thinking/speaking, 492, 494 destiny phase, 85, 283–4, 288–90, 294 of action researchers, 585–6,
cross-cultural dialogue, 402 development 669–81, 705
cross-site analysis, 424–8, 429–31 configurations, 72–3 adult, 36, 49, 51, 55, 58
crossing over, 494, 495 organizational, see organizational banking model, 114
cultural assessment, 271, 273–4 development clinical inquiry and, 272, 277–8
cultural capital, 523–4, 532 planning, 44 interventions/facilitation, 268, 272
cultural context (of AR), 203–4 policy (East Timor), 2, 550–60 management, 321–2
cultural representation, 544–6 of practitioners, 705 Opportunity Gap Project, 411–16
cultural reproduction, 130 theatre, 511–12 policy (East Timor), 2, 437, 550–60
cultural values, 206 developmental action inquiry, 239–50 transformation of higher, 211–25
culture, 20, 24, 40–1, 44, 108, 130, developmental processes, initiating, 555–6 of women (health choices),
200, 540 developmental theory, 240, 246–8 437–8, 450–61
cross-cultural dialogue, 402 device, material and, 684 of women prisoners, 408–11
of dependency, 436, 522–32 diagrams, 298, 299, 306 see also learning; pedagogy
of science, 174 dialectics, 19, 20, 61, 111 educational research, 20–21
surveys, 271–2 dialogic inquiry, 463–71 Egerton University, 299
customers (of ORG), 578 dialogical argumentation, 50 ego identity, 83
cybernetics, 144, 145–6, 148, 151, 152 dialogical pedagogy, 671–2 einstellung, 77
dialogue, 3, 6, 7, 82, 85, 131, 195, 205, El Regadío, 55–6
dalit class, 59 240, 281–2, 290, 351, 395, 399, ELCAM, 606, 607, 608
dance, 34, 205, 610, 625–6, 511, 514–15, 520–1 elections/electorate, 339
687, 704 conference, 69–72, 236, 402–3, emancipation, 4, 20, 93, 101–2, 134, 589
Dance, The (CI group), 489, 491, 630, 704 emancipatory action research, 5, 12, 50,
494, 495 cross-cultural, 402 134–5, 384
Danish company project, 463–71 democratic, 65, 66, 70 embodied group process, 443, 446
Dar es Salaam, 32–3, 36, 41, 43, power dynamics and, 463–71 emergent form, 691–2
44, 51 social (internalization), 460–1 emergent mutual involvement, 464–5
data collection, 83, 565–6, 577 social construction, 160–4 emotional intelligence, 162
death (of parent), 1, 562–71 transformative, 169 emotional knowing, 685
debriefing process, 257–8, 262 see also conversations emotions, 521, 570–1
decision-making, 64, 152, 361, 376, dictatorship of the proletariat, 61 appreciative inquiry, 289, 293–5
529–30, 696 difference, 98–9, 605, 609 cognition and, 83–4
approaches, 580 diffusion, 40, 56, 71, 351, 701 workplace stress, 502, 504, 506–7
citizens’ jury, 344, 346 problem, 60, 64, 65, 66 see also feelings
consensus, 180, 240, 399, 446 social movements and, 73–4 empathy, 89
decentralized, 52, 57 validation and, 358–9 empiricism, 42, 240, 367, 697
emotion and, 83–4 Dionysian approach, 377, 445, 446 empowerment, 283, 339, 386, 534,
ethics, 202, 206 Diplomat action-logic, 246, 247, 248 560, 568
‘muddling through’, 629–41 dirty questions, 663–4 challenges of PAR, 589, 591, 594
power and, 173, 175, 180, 185–6 discipline/disciplinarity, 217, 220–2, 690 charismatic inquiry, 440, 445, 448
deficit assumptions, 89 discourse, 72, 131, 147, 175, 463–71 culture of dependency, 524–5
deliberations, 183–4, 185, 342–4, 536 of transformation, 519–21 feminism and, 99
Deliberative Mapping, 336, 338 Discovery (CI group), 489, 493, 495 knowledge and, 174–5, 177,
democracy, 4, 19, 21–2, 24, 61, 122, discovery phase, 85, 283–4, 286, 290, 294 179–82, 184
183–4, 216, 308, 424, 432 discrimination, 100, 102 mutual, 343–4
citizens’ jury, 333–48 dissemination, 60, 73–4, 108, 204, 208, programmes, 297, 301, 303–6,
deficit, 108 259, 261, 565–6, 593 307–10, 705
participative, 64, 73–4, 312, 451, dissipative structures, 151 role of PAR, 2, 227, 229
581–2, 589 dissonance, 240, 241 social change and, 175
policy development (East Timor), 2, distillation, 351, 355–8 transformatinal liberation, 113, 116
437, 550–60 distractors, 581, 582 enablers, 581, 582
sustaining, 491, 492, 494–5 distributive action research, 72 energy, 581–2, 603–4, 619, 624–8, 635–6
democratic agency, 491, 492, 493–4 diversity, 310, 492, 493 engagement, 184
democratic capacity, 492, 493 DIY juries, 336, 338, 340–1, 345 appreciative inquiry, 283–4, 286–90
democratic dialogue, 65, 66, 70 ‘doctor’ model, 271 Enlightenment, 163
democratic identity, 491, 492, 493 doing, knowing and, 90, 504 enterprise development, 66, 67–8, 70
democratic practice, 199–209 domination, 19, 54–5, 97, 101, 125, enthusiasm, shared, 445
democratic turn, 24 134–5, 177–8 entrepreneurialism, 219–20
demography, 268 donors, 228, 229, 231, 300 environment, 228, 229–30
Department of Health, 342, 537 ‘double-dry toilet’, 526, 529 natural resources, 297, 301, 304, 310
Department for International double-loop feedback, 240–2, 246–7, sustainable development, 299, 559
Development, 231, 338 249, 697 see also rural areas
Department of Veterans Affairs, 498–500, double-loop learning, see learning epidemiology, 537
503, 506 dramas/drama workshop, 54, 60, 544–5 episteme, 38
dependency, 32, 436, 522–32 dream phase, 85, 194, 283–4, 287, 290, 294 epistemological awareness, 147, 148,
descriptive voice, 498–502, 508 dual process model, 569–70 151, 154, 697, 703
epistemology, 17, 18, 19, 20, 32, 94, 112, facilitators, 81, 375, 390–1, 490, 585, 615 frames, 253, 577–8
147–8, 151, 153–4, 178, 227, 243–5, AIG, 632–5, 638–40 framing process, 243–5, 254, 257, 262,
447, 501–2, 678, 687, 698, 702, 703 behaviour, 621, 622–3 648, 663, 678–9
extended, 12, 22, 236, 366–78, 451, of PAR, 340–1, 343–4, 346–7, impact on action/outcomes, 662–3
482, 495, 625 523–31, 603 non-existent/vague, 580–1
Epsilon programme, 353–4, 355, 356–9 training of, 531, 705 organizational, 574, 575–6, 580–2
equal opportunities, 202 fact, 162 unconscious, 659, 660
equality (citizens’ jury), 342 faith, 405 Frankfurt School, 121, 125, 160
equity, 297, 301 Fals Borda, O., 8, 11, 16–17, 31–2, 40, Freefall writing, 690
Erie County project, 395–403 42, 49–56 Freirianism, 50
erotic process/energy, 442, 445 families, 32, 33, 563, 571 Freudian psychology, 78
Esalen Institute, 243–5, 250 family therapy, 262 Friends Association for Integrated
eService, 574, 577, 578, 580 Farleigh-Dickinson University, 499 Revolution (FAIR), 512–13
espoused theories, 254, 322, 568, 652 Farmer Participatory appraisal, 113 Full Analytical Criteria Method, 577
ethics, 384, 652–3, 698, 703 Farmer Participatory Research, 297, 302 funding, 60, 113, 154, 174, 202, 204–6,
clinical inquiry, 270–1 faultfinding, 463–71 214–15, 220, 224, 232, 340–1, 343,
collaborative inquiry, 563–4, 566 feedback, 83, 140, 288, 387–8, 401, 428, 346, 391, 500, 513, 538, 604
social justice, 12, 18, 199–209 468–70, 639–40, 664–5 fusion energy, 282
ethnicity, 34, 535, 537–41 loops, 240–3, 245–7, 249, 390, 621, 697 Future Lab, 464–5
ethnography, 38, 79, 269, 273, 277, 354, feelings, 241, 242, 245, 368, 377 future scenarios, 23–4
422, 425, 427, 429, 447, 488 femininity, 477 futures, emerging, 242–3
eugenics, 447 feminism, 2, 4, 19, 110, 116, 174–5, 179,
Eurocentrism, 447 586, 686, 689, 700 gap analysis, 283
European Citizens’ Deliberation, empowerment and, 99 gender, 20, 302, 303
337, 338 PAR (FPAR), 12, 20, 93–102, 699 oppression, 95, 97, 98, 111
European Commission, 229, 338 research grounded in, 93–6, 102 power and, 94, 95, 97
evaluation, 39, 67, 396, 404, 525, 636–7 voice in, 96, 98–9, 100 see also men; women
everyday experience, 4, 5, 192, 678–9 field experiments, 2, 64, 69, 70, 71 General Electric Company, 322
charismatic inquiry, 437, 439–48 field study, 38, 686 general systems theory, 141–2, 143, 144–5
lived experience, 100, 512, 589–600 field theory, 26, 78, 253 general theory of human action, 320, 324–7
living inquiry, 11, 15–27 fields of action, 126 generalizability, 421, 428, 598
evidence-based practice, 386–8, filters generativity, 88–90, 191–4, 281,
391, 701–2 internal, 662 289–90, 430
exclusion, 463–71 unconscious, 659, 660 Geographic Information Systems, 297,
social, 59–60, 262 Finnish culture, 44 304, 305, 306–7, 309, 310, 313
experience, 6, 84, 289 Finnish Development Co-operation, 39 Germany (emancipatory research), 50
lived, 100, 512, 589–600 first-person research, 6–7, 204, 327, 435, GESS inquiry, 612–13
personal, 414, 646–7 475–8, 485, 536, 547, 656 getting in, 602, 603–6, 613
presentational knowing, 450–61 charismatic inquiry, 437, 439–48 getting on, 602, 606–9, 613
shared, 491, 492, 493 insider AR, 644–6 getting out, 602, 609–12, 613
territories of, 240–3, 245–6, 377, 619, power dynamics, 437, 463–71 global community (at work), 86–8
630, 637–8 practice of, 239–45, 247–50 global peace-building, 695–6
see also everyday experience women’s health choices, 437, 450–61 Global Positioning Systems (GPS), 304
experiential AR, 240 First World Assembly of Adult globalization, 97, 107–8, 146
experiential knowing, 22, 498, 502, 647, Education, 36 GM crops, 336–7, 338, 344, 347
687, 703 fishing communities (Tanzania), 38 gonogobeshona, 58–60, 511, 512
charismatic inquiry, 443, 446, 448 FLMN, 110 gossip, 530
extended epistemology, 366–71, flowcharts, 578–9, 582 government, 36–7
374–6, 378, 625 focus groups, 334, 339, 403, 409, graduate students, 115
experiential knowledge, 368, 502, 647 513, 542 Graffiti Museum, 412, 415
experiential learning, 151, 303, 305, 306, folk culture, 56 Grameen Bank, 2, 58
319, 325, 525, 677 folk forms/theatre, 518, 519 ‘Great Turning’, 696
clinical inquiry, 266–78 follow-up mechanisms, 520 Grenland case, 68–9, 70, 71, 72
experiments, 24, 88, 254–5, 268–9, 384, Food Standards Agency, 338 grief, 569
521, 646, 665, 670, 671, 683 Ford Foundation, 274, 487 grievances, power and, 174, 175, 180
Expert action-logic, 246, 247, 248 Fordism, 24 grounded theories, 355, 688
expert consulting, 268, 271–2, 273 forestry, 54, 87, 301 group-visual synergy, 306–10
expertise, 22, 173–4, 177, 180, 183, form group dynamics, 81–2
185–6, 271, 310, 322 appropriateness, 688–90 group process, 445–6
experts, 174, 177, 179–80, 183, 185–6, aspirations, 682–4 group technologies, 402–3
217–19, 400–1, 505, 565, 582 content and, 683, 684–6, 687, groups, 308–10, 446
exploratory diagnostic inquiry, 648 688, 693 development, 81–2, 621–3, 627
expression, 450–61 notions of, 684–5 purpose of, 619–20, 627
extended epistemology see epistemology politics of, 686 social justice leaders, 487–95
external reality, 658–9 practices, 688–92 training (T-groups), 77, 81–2, 272, 586
external research teams, 398, 400–1 working openly with, 686–8 see also co-operative inquiry
extra-individual fields/features, 126 writing for AR, 586, 682–93 groupthink, 343
formal correspondence, 580 growth, relationships and, 71
facilitation formal systems, 647 guilty conscience, 469, 470
clinical inquiry, 272 Forum for New Manufacturing Concepts
continuous process, 586, 615–28 in the Process Industry, 68 Habermas, J., 121–3, 126, 127–31, 132–3
definitions, 616 forum theatre, 511–13, 515, 515, 517–17 habitus, 126
second-person inquiry, 613 foundation event, 631 haiku poems, 459
skills/qualities, 616–19 4-D model, 191, 282–4 Haney, W., 659–60
witnesses/deliberations, 342–4 fractionation of work, 80 hard systems thinking, 147–8
INDEX 713
Harmony Buck, 357 inclusion, 184, 369, 394, 463–71 intellectual development, 53
Harvey Milk school, 414 social, 262, 535 intellectual property rights, 212, 220, 223
Harwood experiments, 78 India, 22, 51–3, 54, 56, 61 intent, 685–6
Hauser Center (Harvard), 2 indigenous knowledge, 22, 38, 111, intention, 241, 242, 245, 377
health 115–16, 133, 174, 179, 180, 299 interactive theatre, 1, 437, 510–21
assessment (Yucatan), 436, 524–8 indigenous rights, 133 interbeing, 441
choices (women), 437, 438, 450–61 individual academic freedom, 222–4 interchange, 631
holistic medicine, 372, 373, 377, 381 individual consciousness, 23, 111–12 interdependence, 17–18
promotion, 3, 437, 510, 521, 534–47 individual research, 124 interdisciplinarity, 531
services, 34, 39, 40 individualism, 165–6, 218 Internal Learning System (ILS), 302,
healthcare Individualist action-logic, 246, 247, 248 304–5, 309, 312
action research, 236, 381–91, 701–2 individuation, 126 internal perceptions, 658–9
consumers, 437, 534–47 inference, 649 internalization process, 460–1
hegemony, 174, 330 ladder of, 255, 261, 490, 500, 648, internalized racism, 473–80, 484, 485
Helsinki, 36 659–60, 665 International Campaign to Ban
Helsinki Declaration, 200, 201 test, uncritical, 659–60 Landmines, 108
hermeneutics, 22, 42, 125 influences, 16, 17, 204 International Council for Adult
hierarchical initiatives, 442, 446 how we know, 18–19 Education (ICAE), 36, 49, 51
hierarchical structures, 319, 495, 632 intersectoral, 227, 228, 230 International Forum for Capacity
higher education informal systems/information, 647 Building (IFCB), 228, 229–30
alternative institutions, 702–3 information, 145, 307, 640, 647 International HIV/AIDS Alliance, 301,
public management of, 213–16 clinical data, 266–78 310, 312
transformation of, 12, 211–25 cycle, evidence-based, 387 International Institute for Environment
see also universities PGIS, 297, 304, 305, 308, 309, 310, 313 and Development, 299, 338, 339
Higher Education Funding Council for see also data collection; knowledge International Labour Organization, 11,
England (HEFCE), 215 information technology 34, 49, 5
Highlander Research and Education action sensemaking and, 438, 573–82 PORP, 53–8, 61
Center, 16, 165, 299 spatial, 304 International Management Association, 282
Hindus, 512 informed consent, 201, 202, 582 International Network on Participatory
historical consciousness, 123–5 infrastructure, 57, 361, 437, 499, 551, 704 Research, 51
historical materialism, 40, 41–2, 50 INGOs, 300, 302, 310–11 International Sociological
history, understanding and, 143–7 initial data gathering (WHIM), 452–4 Association, 40
HIV/AIDs, 185, 207, 303, 311, 381, initiators of citizens’ juries, 340 Internet, 108, 577
383–4, 426, 563, 696 inner cities, 40 internship, 268, 272, 278
Hmong women, 95 innovation, 40, 44, 67, 69, 72, 73, 493 interpersonal clearing, 369
holism, 90, 143, 148, 239, 241, 447, 480, Innovation Norway, 66, 67 interpersonal development, 246–8
485, 492, 510, 511 inquiring, 243, 649, 663, 666 interpersonal dialogue, 6
holistic medicine, 373, 374, 377, 382 inquiry, 19, 243–5, 261, 666 interpersonal relationships, 441, 446
honesty, 483, 484 action and (integration), 426–31 interpretation, 125, 127
hope, 492, 494–5, 531 action phases, 370, 372–3, 376–7 interpretivism, 147, 421, 426
Hospital Internal Communications, 323 charismatic, 368, 373, 437, 439–48 see also hermeneutics
how 155 communities of, 1, 5–6, 253, 255, intersectionality, 95, 97–8, 101, 107
of participation, 540–6 262, 377 intersectoral influence, 230
how we know, 18–19 control of, 424–6 intersubjectivity, 6, 128–9, 131, 255, 445
human action (general theory), 320, 324–7 cycling, 377–8 intervention, 1, 22, 133, 262, 270–2, 281,
human resources, 499, 531, 551, 574–5 groups (second-person), 602–13 629–30, 648–9
human rights, 112–13, 132, 303, 490, 513 in-action, 3 interviews, 354, 355, 543
humanism, 3, 12, 23, 82, 109–10 learning and, 292–3 intimacy, 195, 369, 370, 441, 483
humanistic approach, 319 outcome, 370, 373, 375, 376–7, 443–4 intuition, 191, 683, 685
humanitarian aid, 113, 114 process, 5, 442–4 Involve, 347
Humboldtian system, 211, 212, 214, 217, reflection phases, 369–70, 371–2, 374–6 involvement, emergent mutual, 464–5
222, 670 researcher initiated, 267–70 IrelandAid, 552
Hungary, 57–8, 61 self-reflective, 122, 126 Ironist action-logic, 247
hybrid approach, 70–1, 447–8 see also action inquiry; appreciative Ixil women, 96
design, 420–1, 422–6, 430, 431, 432 inquiry; clinical inquiry/research;
‘hyphen’ (liminal position), 100 co-operative inquiry Japanaid, 552
hypothesis testing (on line), 276 insider-outsider, 95, 101, 205, 408, 478, Jefferson Institute, 334
484, 590, 604 Jipemoyo project, 34–6, 40–1, 43–4, 45
I-Thou relation, 368, 441 actionable learning, 351, 353, 360, 362 joint optimization, 79–80
ideal community, 526 qualitative research, 423, 426, 429, 431 journaling, 205, 647–8, 650
identity, 19, 126, 133 insider AR (capabilities), 586, 643–53 judgement, 646
global, 117 Institute for Development jurors, 334, 340–1, 344
multiple, 95, 102, 204 Research, 227–32 justice, 3, 132, 195–6, 696
nature of, 682–3, 684 Institute of Development Studies, citizens’ jury, 183–4, 312, 333–48
illness, parental, 1, 562–71 113, 231 social, 199–209, 487–95
illustrating, 243, 244, 245, 649, 663 Institute of Local Government, 630 justification, 128, 129, 132, 134
imagery, 194, 692 Institute for Public Policy Research, 340
images, 194, 371, 692 institutional collaboration, 2–3, 12, 227–32 Kabarole Research and Resource
Images and Voices of Hope, 282 institutional context, 203–4, 421–2 Centre, 305
imaginal world, 371–2, 445, 446, institutional racism, 475–6 Kahnewake Mohawk community, 207
625, 692 institutions, 345–6, 702–3 key concepts, 656–66
Imagine Chicago, 282 Integrated Pest Management, 297, 301, questionnaire, 577, 578
implementation, 394 302, 311, 312, 697 key informants, 354
implicit association test, 659, 660–1 integration, 16, 20, 24–6, 351, 426–31 key practices (reflective practice),
Impulsive action-logic, 247 feminist/action research, 93–5, 102 656–66
key stages (reflective practice), 658–65 language, 151, 184, 195, 368, 373–4, 456, liberation, 19, 54–5
King Baudouin Foundation, 338 458, 494, 540 pedagogy of, 460
know how, 22, 507, 678 centrality of, 161–2 theology, 12, 107, 111–14, 117
see also capabilities community, 537, 538 transformational, 12, 106–18
knowing, 1, 16, 683, 686 critical theory, 125, 127–8, 132, 136 liberationism, 3, 7, 19, 21, 37
doing and, 90, 504 knowledge and, 346–7, 370 liberatory discourse, 111–13
embodied, 685 linguistic capital, 351–2 life, miracle of, 193–4
forms of, 178 linguistic turn, 5, 12, 18, 19, 70 life experiences, 11, 15–27
intuitive, 685 logos of, 128, 132, 136 see also everyday experience
nature of, 703–4 unconditional questions, 191, 194, 293 life process, 445–6
participative, 445, 703 language games, 19, 161–2 life project, 107
in service of practice, 22–3 large group technologies, 402–3 lifeworld, 38, 136, 367, 369, 458, 461
teaching and, 21–2 large scale projects system world and, 122–3,
ways of, 4, 108, 114, 178–9, challenges, 394–405 129–31, 638–9
195, 306, 367–73, 501–2, in healthcare, 236, 381–91 liminal position, 100
504–8, 698, 704 management of, 586, 629–41 linguistics, see language
see also epistemology; experiential Latin America, 32, 36–7, 42 lived experience, 100, 512
knowing; practical knowing; PORP in, 54, 55–6 negotiation skills, 589–600
presentational knowing; trends in PAR, 50 local constructivism, 64–7
propositional knowing leadership, 86–7, 88, 321–2, 376, 436 local growth points, 66–7
knowledge, 3, 8, 18, 108–9, 421, 468–9, democratic, 495 local knowledge, 397, 426, 428, 431, 598
530, 666, 675, 698 Development Profile, 240, 247, 249, 702 local policies, 179–80, 182
accumulation of, 169–70 large-scale projects, 586, 629–41 local theory, 65
-action, 227, 228 LOM programme, 66–7, 70, 71 Logos-Mythos technique, 371, 373
action learning and, 319–24, 329 organizational transformation lok chetna jagoran, 52
actionable, 227, 228, 254 and, 248–9 LOM programme, 66–7, 70, 71
actionalizing, 90 in participation, 436 long-term hope, 531
co-generated, 221, 395, 400–2 as relationship, 492, 493–4 look-think-act cycle, 525–6, 531
creation, 5, 41, 99, 179, 190, 192–3, social change, 420–32, 488, 489 love, 89, 369
195, 232, 424, 425–6, 428, social justice, 487–95 low-intensity action research, 72
430, 670 tapestry of, 491–5
dissemination, see disseminationa Leadership for a Changing World, 373, Maasai, 34, 35–6, 43, 44
empowerment and, 179–82 421–3, 427, 430–2, 487–8, 489, 491 macro-subjects, 123
experiential, 368, 502, 647 lean production, 68 macro level change, 110
generation, 7, 9, 19–23, 24, 54, 94, learning, 24, 26, 39, 151, 175, 232, macro level PAR, 182–6
110, 122, 173, 202, 208, 213, 304–5, 404, 461, 490, 507–8, macro level policies (East Timor), 550–51
216–17, 644, 670–3, 680–1 525, 701 macrostory of theory, 686
indigenous, see indigenous knowledge action sensemaking project, 577–81 Macy Conferences, 145
internal/external, 575–7, 582 actionable, 350–63 Make Poverty History campaign, 186
language and, 346–7, 371 by doing, 326 management
learning history, 350, 362 capabilities, 586, 643–53 education, 320, 321–2
local, 397, 426, 428, 431, 598 capacity (of research team), 401 of large-scale projects, 586, 629–41
-making, 687 change and, 470–1 meetings, 470
objective/subjective, 41 co-generation, 221, 395, 400–2 managers (as mentors), 437, 463–71
participatory research as, 179–81 co-learning, 463–71 Manchester Business School, 321
politics of, 162 culture of dependency, 531–2 map making, 166–7
power and, 12, 113, 117, 162, 172–86, cycle, 670 mapping, 261
374, 424, 568, 701 double-loop, 245, 248–9, 256, process, 307, 336, 338, 400, 503
practical, 4, 5, 38, 375 259, 697 strategy, 166–7
presentational, 194, 450, 456, from success (LFS), 258–9, maps, 261, 298, 299, 304, 374
458, 567 262, 263 marginalization, 2, 19, 21–22, 94–5,
preunderstanding, 644, 645, 646–9, 653 history, 83, 236, 350–63 102, 113, 162, 184–5, 460–1,
production, 9, 22, 54, 56, 173–9, inquiry and, 292–3 511, 700
181, 220–2, 266, 322, 424, 432, laboratories, 357 see also oppression; race/racism
700, 702 organizations, 6, 78 Marxism, 3, 17, 19, 31, 37, 40–1, 50,
propositional, 367, 374, 378, 702 pathways grid, 257, 659, 662–3, 665 53, 111, 536
public, 426–7, 428, 431 process, 326, 482–3 masculinity, 32, 96
in relationships, 195 reflective, 7 matching, 612, 613
scientific, 32, 125, 146, 160 single-loop, 249, 256 material, device and, 684
social construction of, 371 shared, 491, 492, 493 material production, 49, 54, 56, 177
social movements and, 73–4 system, 155, 403 materialism, 40, 41–2, 44, 50
social origins of, 161 transformational, 248 matrilineal culture, 43–4
tacit, 502, 508, 678, 685 transformative, 175, 248, 471 maturity (action research/learning), 323
transfer, 427, 431, 497–508 triple-loop, 245, 249 max-mix groups, 286
see also epistemology see also experiential learning; Max Stern Academic College, 702
Kushtia, 59–60, 512–14, 516, 517 organizational learning Mbegani Fisheries Development
Kwere culture, 34, 43, 44 Learning Window, 490, 500, 649 Centre, 38
legitimacy, 131, 174, 183–4, 432, 684, meaning, 358, 581
labour market, 66, 67, 68 701, 702, 703 making, 252–63, 491, 687, 693
labour movement, 53 legitimation, 131, 132 medical model, 537
ladder of citizen participation, 207 Leninism, 53 medicine
ladder of inference, see inference lesbian feminists, 96 evidence-based practice, 386–8
land grant universities, 211–12, 215, 217 Lewin, K., 77–9, 81 holistic, 372, 373, 377, 382
Land Surveyors Law (Malaysia), 304 liberal humanism, 3 medium-term uncertainty, 531
Landless Workers Movement, 338 Liberating Disciplines, 658 Meeting of Minds CJ, 337, 338
INDEX 715
men nanotechnology, 347 open space, 402, 452, 631

masculinity, 32, 96 narrative analysis, 458 open sytems theory, 80, 173, 180, 221
paternalism, 202, 523, 530 narrative inquiry, 422, 424–5, operating principles (SASHA), 483–4
see also patriarchy 427–30, 488 operational research, 329
menopause, 451, 454, 455, 459 narratives, 373, 457–8 operations research, 146
mental health consumer-survivors, finding form, 586, 682–93 Opinion Leader Research, 338
590, 598–9 National Commission for the Protection Opportunist action-logic, 246, 247, 248
mental health housing, 592, 597–8 of Human Subjects of Biomedical Opportunity Gap Project, 411–17
mental models, 151, 254, 357, 362, 625, and Behavioral Research, 201 oppression, 50, 100, 116, 135, 174, 178,
657, 661 National Environment Secretariat, 299 208, 343–4
‘mental phenomena’, 164 National Executive Committee, 37 Bhoomi Sena movement, 22, 51–4,
mentor/apprentice, 677 National Health Service, 153, 537, 539, 56, 61
mentors, 206, 288, 292, 322, 608, 564, 630 dialectics of, 111
627, 631 National Institute of Clinical Excellence, gender, 95, 97, 98, 111
managers as, 463–71 336, 338 institutionalized, 594–5
Meskwaki Indians, 37–8 National Institute of Health, 3 internalized, 473–80, 484, 485
Mesoamerican Biological Corridor, 530 National Programme of Adult living inquiry, 19, 20, 21
meta-communication, 684 Education, 55 pedagogy of the oppressed, 21, 111,
neta-narratives, 109, 329 National School of Government, 630 115, 182, 300, 511, 700
meta-set, 632, 633–5, 639–40 National Science Foundation, 500–1 pedagogy of the oppressor, 182
meta-skill, 624 National Socialism (Nazism), 132, 200 social construction and, 162, 168
metaphor, 610, 692 natural resources, 297, 301, 304, 309 structural, 12, 107, 109, 111–12
methods natural sciences, 21, 122, 252–3, 322, Tanzanian case, 36–7, 40
in action research, 155–6 447, 701 theatre of the oppressed, 1, 437,
hybrid research design, 422–3 Natural Step (NGO), 90 510–21, 705
learning history, 361 naturalization of social order, 375 transformational liberation, 12, 106–18
methodology, 1, 153, 155, 235 nature, 8–9 oral history, 354
PRA, 298, 302–5, 306, 308–12 negotiation, 326, 589–600 ORG, 574–82
micro level change, 110, 305 Nelson community, 452 organization
micro level PAR, 182–6 neo-liberalism, 417 LOM programme, 66–7, 70, 71
micro level policies (East Timor), 551 networked society, 146 work (challenge of scope), 2, 63–74
mind/body, 5, 8, 241, 243, 245 networks, 568, 575, 649–50 Organization of Rural Associations for
mindsets, 306–8, 310 challenge of scope, 63, 66–7, 71–3 Progress (ORAP), 56–7
miracle of life, 193–4, 196 learning, 327, 631 organizational change, 77–91, 281,
mirror/mirroring, 1, 519, 685, 689, 690 participant research, 49, 51 351–2, 575–6, 581–2
missing communities, 510, 511 of relationships, 639–41 organizational development, 3, 7, 190,
MIT, 81, 352, 353, 355, 357, 358–9 Right to be Heard, 335, 347 220, 229, 280–1, 321–3, 327, 355,
Mode 1 knowledge production, 221 of social boundaries, 176 644, 672–4
Mode 2 knowledge production, 221–2, 704 neurobiology, 83–4, 85 action-logics, 246–8
Model I values, 254, 263, 657 New Delhi, 54 action research and, 12, 77–91
Model II values, 253–4, 256, 260, 261, New Educational Environment, 262 Network, 282
263, 657 New Entity for Social Action, 304 trends (future), 86, 88–90
Modernisation and Diffusion of New Jersey, 411–16 at work, 77–91
Innovation new social movements, 182, 186 Organizational Development
research committee (Varna), 40 New York, 408–16 Institute, 282
modernism, 8, 697 Necastle University, 338 organizational insider, 586, 643–53
modernity, 122, 132, 133, 374 NGOs, 58, 60, 63, 90, 113, 115, 184, organizational learning, 221, 253, 294,
Mondragón, 24 186, 416, 512, 525, 700 327, 500, 501, 502
monitoring, 39 citizens’ juries, 336–8 in Action (OLA), 260–2
motivation, 162, 513, 530 East Timor, 554, 558 learning history, 351–2, 354, 361–2
‘movie poster’, 502, 506 institutional collaboration, 228–31 organizational politics, 644, 645–6, 651–3
Movement, The (CI group), 489 sharing/pluralism, 298–300, 303–5 organizational roles, 649–51
Msoga village, 34, 43–4 Nicaragua, 55–6, 110 organizational transformation,
multi-perspective dialogue, 402 NIREX, 338 241, 248–9
multi-stakeholder co-design, 351, 353–4 ‘No – You Don’t Know How We Feel!’ organizations
multiple action research groups, 629–41 (film), 562–71 based researchers, 497–508
multiple identities, 95, 102, 204 non-authoritarian leadership, 357 relationships between, 71
multiple leadership, 523 non-linear progression, 403–4 orientation to inquiry, 1
multiple players, 399–400 Nordvest Forum, 73 Other, 98, 100, 124, 163, 176
multiple systems, 399 North-South divide, 3, 12, 228–9, 231, -centred behaviour, 567
music, 34, 442, 516, 687, 704 382, 703 self and, 175
Muslims, 512 Norway, 3, 64, 66–73, 671, 673, 675 Ottawa Charter, 535, 536
mutual inquiry, 424, 696, 701 not knowing, 463–71 outcomes, 389, 438, 662
mutual involvement, 464–5 NTL Institute, 81, 282 of co-operative inquiry, 370, 373,
mutual resonance, 370, 372, 441, 442–6 nursing, 3 375, 376, 377, 443–4
mutual understanding, 127, 129, 131, nutrition studies, 38 culture of dependency, 436, 522–32
134, 136, 590 developing new capabilities,
mutuality, 537 object, 9, 124, 306–7, 374 644, 645
MYRADA, 299 objectivity, 3, 6, 7, 32, 50, 55–6, 129, outside world, 241–3, 245, 377
Mystery-Mastery frames, 657 134, 162, 179, 202, 421, 502, oversight panel (CJs), 334, 340–1, 345
myth/mythic stance, 351, 356 564, 591 Owens College, 321
Mzumbe Conference, 36 obsolescence, 573 ownership, 50, 64, 208, 303, 308, 309,
on-line hypothesis testing, 276 430, 563, 595
Na Maalo Menta Hani, 526, 529 on-line quality management, 68 ownership (OCAP), 594
Naam groups/leaders, 57 ontology, 18, 166, 168 Oxfam, 347, 552
paediatric surgery, 385–6 participatory research, 299 physical classroom, 659

palafitte power, 526, 529, 530 culture of dependency, 522–32 Planning for Real, 312
palliative care, 1, 562–71 future, 113–16 Platonic inquiry, 25
paradigm shifts, 18 network, 49, 51 pluralism, 7, 122, 703
paradigms, 4, 16, 329 praxis and, 106–18 practice and theory, 297–313
paradox in facilitation, 617, 618–27 radical humanism, 109–10 poetry, 194, 373, 414–16, 610, 704
parallel process, 626 socio-historical context, 106, 107–9 presentational knowing, 450–61
parasitism, 528–9 Participatory Research in Asia, 3, 227–32 police (Cincinnati project), 395–404
parent-teacher associations, 551, 552–9 Participatory Research and Gender policy
parents, life-threatening illness of, Analysis programme, 302 analysis and advocacy, 230
1, 562–71 Participatory Research Project, 36, 51 deliberation and, 183–4
participant observation, 42–3, 269, Participatory Rural Appraisal, 39–40, 60, development (East Timor), 2, 550–60
273, 277 113, 177, 180–2, 235, 297–313, scope and scale (future of AR), 698–9
participant researcher (role), 42–3 322, 334, 585, 705 spaces (new), 182–6
participants, 122, 386, 423 Participatory Technology political action, research as, 164–5
co-researching with, 542–4 Development, 302 political economy of CJs, 339–40
perspectives of, 443–4 participatory worldview, 8, 17, 368–9 political groundings, 15, 19–27
participation, 436, 532, 591 Partido Revolucionario Institucional, 523 political rights, 113
action and, 179–80, 181, 384–6 paartnership, 2, 12, 20, 89, 227–32, political theory, 41
advancing (representations), 544–6 284–90, 357, 360, 574, 599 politics, 173–4, 183, 185–6, 394
central insight of, 8–9 Parvez, Rajib, 512 of change, 112–13
encouragement of (challenges), 595–6 passive hierarchy, 376 of form, 686
grounding, 17–18 paternalism, 202, 523, 530 of higher education, 702
‘how’ of, 540–6 pathology, 17, 165, 266, 277, 698 of knowledge, 19–21, 162
ladder of, 535 patriarchy, 41, 96, 97, 107, 447, 516, PAR and, 38–9, 41
paradox, 334–9 586, 686, 687 positionality, 421, 422–3, 424, 426–7,
qualitative research, 420–32 patronage, 59, 523–4, 530 428–9, 604
‘who’ of, 537–40 pedagogy Positive Change Corps., 282
participative democracy, see democracy of conscientization, 58 positive core, 287, 293, 294
participative knowing, 445, 703 critical, 113, 115 positive questions, 191, 194, 293
participative turn, 5 dialogical, 671–2 positivism, 8, 32, 43, 125, 164–7, 169,
Participatory Action Learning System of liberation, 460 178–80, 183, 191, 194, 320, 325,
(PALS), 302, 305, 312 of the oppressed, 20–21, 111, 115, 368, 421, 426, 697–8, 701, 703
participatory action research (PAR), 182, 300, 511, 700 positivist science, 19, 252–3
8, 31–45, 263, 267, 299, 385, of the oppresser, 182 possession (OCAP), 594
389–90, 702 peers, 376 post-industrial society, 639
action research and, 12, 106–18 charismatic inquiry, 439–48 postmodernism, 8, 22, 91, 132, 194, 697
action sensemaking, 573–82 decision-making, 442, 446 poststructuralism, 98, 132, 147
alternative form of knowledge, 179–81 wisdom of (questioned), 328 poverty, 58–60, 109, 112, 116–17, 180,
audience, 407–18 Pell Grants, 408 182–3, 185–6, 301, 308, 311, 511, 514
citizens’ jury, 333–5, 338–48 People Living With HIV/AIDS Poverty Reduction Strategy Papers, 185
critical theory and, 12, 121–36 (PLWHA), 303 power, 7, 45, 394, 651–2
East Timor, 2, 550–60 people power, 56 acknowledging, 591, 592–5
feminist (FPAR), 12, 20, 93–102, 699 People’s Institute for Development and of appreciative inquiry, 282
further developments in use of, 37–40 Training (New Delhi), 54 bivariate theory, 541
future, 113–16 people’s research, 58–60, 511, 512 citizens’ juries, 339, 345–7
health promotion, 437, 510, people’s self-review (Hungary), 57–8, 61 communicative, 131
521, 534–47 Pepperdine University, 574 of communities, 207–8
indigenous knowledge, 179, 180 perceptions, internal, 658–9 conceptualization of, 173–6
institutional collaboration, 227–32 performance/performing, 284–90, countervailing, 52, 56
negotiating challenges, 586, 589–600 329, 413 critical perspectives, 19–20
Opportunity Gap Project, 411–16 actual (example), 515–16 cultural, 547
political grounds for, 36–7 interactive (example), 517–18 dynamics (among managers), 463–71
power/knowledge in, 172–86 see also theatre ethics and, 200, 202, 204–6, 207–8
praxis of, 49–61, 436–7, 510, person (in lifeworld), 130 feminist perspective, 93, 95–7, 98,
521, 534–47 personal cases, 255 100, 101, 102
role of participant researcher, 42–3 personal development, 246–8, 324 gender and, 94, 95, 97
symbols (role), 43–4 personal experience, 414, 646–7 knowledge and, 12, 113, 117, 162,
Tanzania, 11, 31–6, 45 personal identities, 130 172–86, 374, 424, 568, 701
theatre in, 1, 437, 510–21, 705 personal inquiry projects, 665 nature/locations of, 177–8
theory (role), 40–2 personal learning contract, 631 of the aggregate, 413
women’s health, 437, 438, 450–61 personal narratives, 458–9 over others, 109, 175, 177, 592
women’s prison, 408–11 personal tension, 446 of professorate, 115–16
participatory boundaries, 541–2 personal voice, 498, 502–4, 508 sharing, 562, 567–71, 590–5, 599
participatory development strategies, 231 personality, 492, 493–4 social, 50, 54, 110, 177–8, 374, 378
participatory evaluation (PE), 39 PhD structures, 108, 699
Participatory Geographic Information programmes, 674–5, 677–8, 679–80 symbolic, 546, 547
Systems, 297, 303–5, 309, 311, 313 thesis (writing), 679–80 to, 175, 178
Participatory Irrigation Management, 301 phenomenology, 3, 22–3, 41–2, 147, 160, transformation of, 546, 547
Participatory Learning and Action (PLA), 368–9, 447, 456, 459, 641 unilateral, 658
177, 235, 297–313 Philippines, 53, 54 voice and, 99, 176, 179–80, 182, 184–5
Participatory Organizations of the Rural philosophical approach, 11, 15–27 with, 175
Poor (PORP), 53–8, 61 philosophy of the subject, 122 with others, 592
Participatory Poverty Assessments, photovoice, 205 within, 175, 178
301, 312 phronesis, 21, 133–4 see also authority; empowerment
INDEX 717
power relations, 127, 375, 494, 536, problem-solving, 4, 72, 83, 85, 181, rape theme, 516, 517, 519
545, 658 227, 230, 273, 320, 529–30, 640, Rapid Rural Appraisal, 297–300, 302, 305
gender and, 93, 95, 97–8, 100–1 696, 697 rational-purposive action, 130
knowledge and, 172–7, 179, 181, 184 appreciative inquiry, 191, 193, rationalism, 41, 155
pluralism and, 304, 306, 308, 310 281, 283 rationality, 132, 263, 536
powerlessness, 568, 569–70 educating action researchers, 670, scientific, 447
practical, primacy of, 446 676–7, 680 technical, 21, 146, 154, 241
practical knowing, 4, 5, 22, 25, 366–7, universities (future), 218, 223 Raufoss indutrial district, 73
375–7, 378, 446, 451, 498, 502, 505 process reader-response theory, 358
practical knowledge, 4, 5, 38, 375 consultation, 268, 273–4, 354 realism, 686
practical reason, 133–4 industry/plants, 68–9, 70, 72 realities, granted, 194
practice(s), 6–8, 235–7, 426–7, 444 innovation, 357 reality, 63, 180, 306–8, 369, 375,
action inquiry, 239–50 issues, 77, 81 444, 683
action learning, 319–30 philosophy of, 17 action science, 255–6, 261
AR (living experience), 11, 15–27 Procter and Gamble, 605–6, 607–11, 613 external, 658–9
AR in healthcare, 381–91 productivity, 73, 90, 241 research to transform, 131–3
AR in large-scale project, 394–405 products, 407, 409–10, 416–17 social, 51, 107, 181, 194–5, 532, 680
action science, 252–63 Professional Assistance for Development social construction, 18, 160, 351, 657,
appreciative inquiry, 280–95 Action (PRADAN), 304–5 658–64, 665
art/challenges of, 704–5 professionals, 177–8, 217–19, 222–4, 306 Realm of the Between, 370, 373, 439–48
audience, 407–18 professorate, power of, 115–16 reason, 133–4
citizens’ jury and PAR, 333–48 programme evaluation, 262 reasoning, 21
clinical inquiry/research, 266–78 proposal, 604–6 recidivism rates, 409, 410
co-operative inquiry, 366–78 propositional knowing, 366–8, 371, ‘recruitment nodes’, 66
communities of, 5, 311, 327, 351 373–5, 378, 502, 610–11, 647, 685 red pen dialogue, 465, 467–8, 470, 471
knowing and, 22–3 propositional knowledge, 367, 374, reductionism, 148, 191
learning history, 350–63 378, 702 Reflect, 297, 303, 309, 311, 697
PAR as, 31–45 provocation, 407, 417 reflection, 303
praxis and, 123–4, 126–7 provocative propositions, 288 action and (cycles), see action
qualitative research, 420–32 psychoanalysis, 23, 24 co-operative inquiry, 366, 367, 369–70,
reflective, see reflective practice psychological contract, 267–8, 270, 277 371–2, 374–5, 376, 454
systems thinking and, 12, 139–57 psychology, 21, 107, 111–12, 116–17 collective, 677–8
theory and, 4, 16, 24–6, 297–313 psychotherapy, 267, 586 critical, 125–7
practitioner, 124 Public Conversatons Project, 166, 168 for future actions, 529–30
reflective, 122, 656, 658, 666, 701 public goods, 211–12, 214, 216, 222 in-action, 299, 571, 650, 677
-researchers, 16 public health, 3, 437, 534–47 on-action, 24, 154, 571, 677
training/development of, 705 public knowledge, 426–7, 428, 431 post project, 581
pragmatic research, 426 public management (of higher WHIM project, 454, 459–61
pragmatic science, 426 education), 213–16, 222 reflective interviews, 354
pragmatic turn, 70 Public Service Leaders Scheme (PSLS), reflective learning, 7
pragmatism, 3, 18–19, 40, 132, 192, 630–4, 636–41 reflective practice, 3, 18, 305, 327, 504
196, 221 public sphere, 122, 128, 131, 202, 223 teaching, 586, 656–66
action learning and, 12, 319, 322, 325–6 pure inquiry, 648 reflective practitioner, 122, 656,
learning history, 12, 351, 356–7, 361 purpose, 142, 152, 154–6, 426, 619–20, 627 658, 666, 701
Prajateerpu CJ, 336, 338 purposeful behaviour, 154–5, 156 reflexivity, 8, 23, 95–6, 100–1, 147, 311,
praxaeology, 320, 324–7 purposive behaviour, 154–5, 156 593, 649
praxis, 8, 109, 114, 181, 327, 351, 494 reframing, 243, 244, 245, 254, 257, 261,
critical PAR, 123–7, 131–2, 134, 135 Quakers, 17 262, 285
educating action researchers, 669–81 qualitative research, 8, 19, 236, 240, 363, regional growth, 67, 68–9, 72, 675
historical consciousness and, 123–5 367, 420–32, 439, 683, 697, 701 Regional Integrated Project
liberation theology, 111 quality, 7, 19, 273, 378, 445–6, 535, Support, 39
liberatory, 112, 117 688, 698 regional support organizations, 229
PAR, 49–61, 510, 521, 536 of action research, 8, 12, 388–9 relatedness, 292, 294
participatory (health), 534–47 in learning history, 12, 351, 359–62 relational inquiry, 443, 444
participatory and AR, 106–18 of working life, 2, 11–12, 63–74 relational know-how, 88, 89
philosophy, 122 quality assurance, 212, 214, 215 relational self, 163–4
practice and, 123–4, 126–7, 132, 135 quality management, 68 relational theory, 195
-reflection skills, 647–8, 650, 651 quantitative research, 240 relationships, 65, 71, 163–4
‘preference’, 235, 441, 446 ‘quantum universe’, 82 building (challenges), 591–2
prehension, 368 questioning, 194, 321, 687 creating knowledge in, 195
presentational knowing, 236, 611, 625, questionnaires, 274, 276, 543, 577, 578 leadership as, 492, 493–4
647, 703–4 questions structures, 257
co-operative inquiry, 366–7, 370–3, 378 framing (from life experience), 678–9 Release One/Two project, 574–82
facilitation and, 626–7 unconditional positive, 191, 194, 293 relevance (of AR), 388–9
form (in writing), 687, 688 reliability, 270–1, 388–9
necessity for/effect of, 450–61 race/racism, 2, 12, 16, 111, 112, 400 religion, 17–18, 23, 40, 44, 97, 132,
workplace stress/aggression, 497–508 ethnicity, 34, 535, 537–41 441, 447
presentational knowledge, 194, 450, institutional, 475–6 liberation theology, 12, 107,
456–8, 567 internalized, 473–80, 484, 485 111–14, 116–17
preunderstanding, 644, 645, 646–9, 652–3 Opportunity Gap Project, 411–16 see also spirituality
Prince George community, 452–3, 453–4 SASHA process, 438, 473–85 replacement, logic of, 291
priorities (theory/practice), 167 see also African Americans representation, 3, 371
prisoners, 83, 408–11, 699–700 Radiance Breathwork, 478 cultural/symbolic, 544–6
privilege, 8, 12, 102, 200, 202, 204–5, radical humanism, 109–10 new forms (in FPAR), 99–100
207, 700 randomized controlled trials, 387–8, 391 voice and, 428–31
research school districts, 395–403 sensemaking, 4, 254, 323, 372, 490, 610,
aim, 133–5 schools, 408 690, 692
attitudes, 266, 267 East Timor, 2, 437, 550–60 action, IT and, 438, 573–82
communicative space, 127–31 science, 31, 50, 185, 270 large-scale projects, 396–401
contract, 268, 271–2, 274, 277 complexity sciences, 144, 146 sensitization, 6–7, 52–3, 60, 625
cycle, 140, 153, 181, 241, 282–4, positivist, 19, 252–3 sentience, 368
326, 374, 384 scientific knowledge, 32, 125, 146, 160 separation thesis, 191
design (hybrid), 422–6 scientific management, 64, 79, 211, 216, seriousness, lack of, 530
-enterprise combinations, 67, 72 219, 221 service user researchers, 592
ethics, 199–209 scientific method, 125 sets, action learning, 324
focus, 422 scientific rationality, 447 sex worker peer education, 208
modes (choices), 384–6 scientific revolution, 18, 32 sexuality, 95, 455, 477, 518
participants, see participants scope, 78 shared narrative, 350
as political action, 164–5 challenge of, 2, 63–74 shared values, 201–3
by practitioners, 16 Scorpion Tree Municipality, 524–9, 531 sharing, 298–9, 310
qualitative, see qualitative research scripts, 514, 662 Shekinah, 441–2, 443
quantitative, 240 search conference, 403 silence/silencing, 99, 100, 111, 538,
questions, 678–9 Sechelt Mature Women’s Group, 686, 700
teams, 397–8, 400–1 453–4, 458 voice and, 85, 184, 191, 683
to transform reality, 131–3 second-person research, 327, 437 single-loop feedback, 240–2, 245–7,
Research Assessment Exercises, 214–16 co-operative inquiry, see 249, 697
Research Center for Group Dynamics, 81 co-operative inquiry single-loop learning, 249, 256
Research Center for Leadership in health promotion, 536, 542, 547 situations, 123
Action, 488, 489–90 insider AR, 644–6 skills, 375, 376–7, 444, 585
Research Committee on Innovative practice of, 239–40, 242–5, 247–50 developing capabilities, 643–53
Processes in Social Change, 40 racism, 476–8, 480–1, 485 facilitation, 615–28
Research Council of Norway, 66, 67 working with second-person inquiry inquiry, 5
research and development, 66, 151–2, groups, 602–13 managing large-scale project, 629–41
463, 464–5, 466 second-order change, 435, 438 negotiating challenges, 586, 589–600
Research Initiative Bangladesh (RIB), 3, security, 297, 301 praxis of educating
58–61, 510–21, 698–9 self, 17, 23, 163–4, 292, 375 researchers, 669–81
researcher other and, 175 second-person inquiry groups, 602–13
-animators, 510, 511 practice/praxis and, 126–7, 135 teaching reflective practice, 656–66
-client involvement, 268–70, 271–4 social construction of reality, 661–3 writing for AR, 682–93
as facilitator, see facilitator self-affirmation, 480, 481 skits, 506–7
initiated inquiry, 267–70 Self-Affirming Soul Healing ‘skunk works’ projects, 359
positionality, 421, 423, 424, 426–9 Africans (SASHA) process, slavery, 34, 474–5, 482–3
roles, 649–51 438, 473–85 social action, 374, 426
resocialization, 523, 531, 532 self-awareness, 23, 82, 125, 181–2, 241, social architecture, 294
respect (for persons), 201, 202–3, 207–8 311, 483–4, 511, 515, 657 social capital, 6, 71, 551, 560
review (action learning), 323–4 self-centred needs, 567 social change, 40, 50, 167, 208, 232,
review boards, 202, 204, 206, 208 self-consciousness, 109, 135, 175, 242 303, 305, 680
revolutionary movements, 109 self-control, 80 empowerment and, 175, 179–82
Right to be Heard network, 335, 347 self-determination, 23, 51, 52, FPAR, 94, 96, 98, 100, 102
rights, 297, 301 135, 590 knowledge and, 175, 176, 179–82
rigorous testing, 253, 255, 258, 361, 388 self-development, 22–4, 50, 53, 59, 319, leadership, 420–32, 488, 489
Rishi community, 511, 520 323, 324, 510, 511, 513 negotiation processes, 589, 596–8
risk, 324, 607, 610 self-governance, 202, 551 transformational liberation, 107, 111–14
benefit and, 201, 202 self-hatred, 475, 477, 478 social construction, 12, 659
imperative, 326, 329 self-help groups, 305, 323, 446, 590 of reality, 18, 160, 351, 657–64, 665
society, 146 self-image, 79, 219, 542 social constructionism, 3, 5, 9, 12, 63,
Rita’s story (workplace stress/aggression self-inquiry, 6–7, 52–3, 110, 510 159–70, 291, 325
project), 502–4 self-interest, 124, 127, 263 social constructivism, 24, 263
ritual, 22, 32, 40, 44, 369, 651 self-knowing, 78 social context (of AR), 203–4
Roadway Express, 280, 284–90, self-knowledge, 657 social defences, 23
291, 292–4 self-learning, 110, 182 social dialogue, 460–1
Rogaland-Hordaland area, 72 self-management, 290, 292 social exclusion, 59–60, 262
role-play, 272, 521, 664 self-monitoring, 83 social imagination, 24
role duality, 644–6, 649–51, 653 self-observation, 18 social impacts, 227–32
role models, 504 self-organizing systems, 155, 240, 246, social inclusion, 262, 535
root cause analysis, 281, 283 303, 374 social integration, 130
Rowntree Trust, 338 self-referentiality, 464–5, 467, 470–1 social justice, 14, 421, 590, 699–700
rural areas, 34–5, 37–41, 51, 56–7, 400 self-reflection, 52, 82–3, 101, 122, ethics and, 199–209
see also Participatory Rural Appraisal 125–7, 135–6, 205, 431, 476, 537, feminist PAR, 94, 98, 102
644, 687–8 leadership, 487–95
sacred presence, 439, 440, 444, 448 self-reflective inquiry, 122, 126 PAR cases, 412, 413–14, 417
sameness, 605, 609 self-reflexivity, 589, 692 social learning, 24
Sandinista movement, 55, 110 self-regulation, 122, 123, 223 social movements, 6, 20, 24, 44, 51, 55,
SASHA process, 438, 473–85 self-reliance, 23–4, 34, 37, 44, 229, 303, 348, 377, 417
scale (of AR), 78, 698–9 50–3, 700 civil rights, 2, 16, 19, 25, 110, 112–13,
developing (challenge), 2, 11–12, 63–74 self-review, 57–8, 61 132, 174, 475
Scandinavia, 2, 11–12, 63–74, 705 self-study research, 88 feminist PAR, 2, 12, 93–102
schema, 657, 662 self-transformation, 514, 519–20 participative democracy, 64, 73–4
organizational, 574, 575–6 self-understanding, 44, 58, 115, 128–9, policy spaces and, 182, 186
School Boards Association, 395 132, 135 transformational liberation, 12, 106–18
INDEX 719
social organizational context, 192 structural adjustment, 42 technocracy, 45

social power, 50, 54, 110, 177, 178, structural oppression, 12, 111–12 Tempered Radical, 604–5
374, 378 structure, content and, 570 tenure system, 219–20
social problems, 24, 40, 114, 116, 202, students, 33–4, 114–15 testing (action science), 254–6, 262
421, 589 collective reflections for, 677–8 theatre, 36, 43, 312, 372
social program (Yucatan), 524–8 Opportunity Gap project, 411–16 in PAR (Bangladesh), 1, 437,
social reality, 51, 107, 181, 194, 195, subject, 9, 124, 134, 201–2, 206, 374, 510–21, 705
532, 680 375, 386, 420 thematic contribution, 683–4
Social Responsibility NGO, 39 -client relationship, 267–70, 273 thematic writing, 351, 355–8
social sciences, 3, 8, 20, 31, 32, 40, 122, -object dualism, 17 themes (of theatre production),
159, 432, 447, 575, 656, 680 -subject relation, 8, 50 514–15, 517
social structures, 125 subjectivity, 8, 40, 43, 55, 126, 128–9, theoretical framework (design), 422
social systems, 23, 116, 122–3, 130, 134, 178, 590 theories-in-action, 652
148, 192 critical, 445 476 theories of action, 253–4, 256, 262
social transformation, 43–4, 199, 229 subordination, 97, 98, 101, 177 theory, 114, 657–8
socialism, 3, 23, 37, 41, 42, 55, 57, suburban districts, 400 -in use, 246–9, 254, 256–7, 261,
58, 109 support organizations, 229–30, 231–2 322, 328, 658
socialization, 89, 126, 130, 523, 532 surveys, 34, 268–70, 271–2, 274 practice and, 4, 16, 24–6, 297–313
society, 130 sustainability, 86–8, 90, 195–6, 231, 232, think (look-think-act cycle),
Society for Organizational Learning, 502 490, 570, 700 525–6, 531
Society for Participatory Research in Sustainable Agriculture Programme, 299 think-tanks, 2, 90, 339, 340, 702, 705
Asia (PRIA), 3, 227–32 sustainable development, 299, 559 thinking
socio-historical context, 26, 106, 107–9 Sweden, 64–7, 70, 71, 231 critical, 492, 494
socio-technical systems, 77, 86, 90, sweeper community, 1, 59–60, systematic, 139, 142–3, 147–9, 151–2
221–2, 276, 646 511–15, 519 systemic, 3, 12, 25, 139, 142–3,
origins, 78–80 Swiss Air disaster, 596 147–9, 151–2
theory, 80–1 SWOT analyses, 70 see also thought
Socratic inquiry, 25 symbolic representation, 544–6 third-person research, 6–7, 327, 435,
soft systems thinking, 147–8 symbols/symbolism, 22–3, 32, 41, 437, 485, 536, 547
Solidaridad clinic, 527 306, 346 insider AR, 644–6
solidarity, 58, 60, 113, 123, 130, in social transformation, 43–4 practice of, 239, 240, 242,
131, 135, 574 Synergos Institute, 230 246, 248–50
somatic development of action synergy, 94, 306–7, 309, 351, 354 third-person voice, 6, 644–6,
research, 83–6 system world, lifeworld and, 122–3, 649–51, 653
song, 34, 194, 373, 480, 516 129–31, 638, 639 third-order change, 438
presentational knowing, 450–61 systematic thinking, 139, 142–3, thought
soul-healing, 480, 481, 483 147–9, 151–2 -action repertoires, 293
soundness, 445–6 systemic change, 90 patterns of, 683
South Asian trend (in PAR), 11, 51–3 systemic connectedness, 493 realm of, 241, 242, 377
space, 245, 499, 691 systemic thinking, 3, 12, 25, 139, 142–3, see also thinking
speaking, critical, 492, 494 147–9, 151–2 3-D models, 304
spectators, 512, 521 systemic understanding, 637–41 three dimensional view (power), 175–6
see also audiences systems time, 245, 342, 579
speculative action learning, 329 alpha/beta/gamma, 326–7 Tök, 57–8, 60
speech, 70, 128–9, 184, 240, 242–3, 244, engineering, 147–8 topic choice (Roadway Express case),
663, 648 learning by, 326–7 285–6
spirituality, 4, 5, 17–18, 242, 459, 656 making sense of, 396–401 tracking, 469
action research and, 440–1 tools/techniques/methods, 155–6 tradition, innovation and, 493
charismatic inquiry, 439–48 traditions/lineages, 140–3 training, 38–40, 261, 277–8, 524, 525,
transpersonal inquiry, 447–8 systems thinking, 12, 88–9, 139–57 542, 678
sponsorship, 327, 353, 620 socio-technical, 77–81, 86 of animators, 52
spooning exercise, 482–3 of facilitators/companions, 531
Sri Lanka, 52, 53, 88 T-Groups, 77, 81, 82, 272, 586 of practitioners, 705
stakeholders, 4, 83, 183, 203, 223–4, tacit knowledge, 502, 508, 678, 685 role of, 276
340, 344, 701 tangibles, 306 T-groups, 77, 81, 82, 272, 586
healthcare, 381, 385 TANU Party, 37 see also education
large-scale research, 398–402, 403 Tanzania, 11, 31–6, 37–45, 51 transdiciplinarity, 217, 220–2
learning history, 350, 360–2 Taos Institute, 282 transformation
muddling through, 586, 629–41 task, 261 appreciative inquiry, 282
policy (East Timor), 552–5, 557–8 activities, 77 of being, 444
standardization, communication choice, 290–1 of company, 82–3
and, 344–5 Tavistock Institute, 64, 78–81, 221, 278 discourse of, 519–21
standards, 690 Taylorism, 64, 79, 211, 216, 219, 221 of higher education, 12, 211–25
stepping back/stepping up, 494, 495 teaching, 3, 21–2, 206, 401–2 organizational, 248–9
Stepping Stones, 297, 303, 312 reflective practice, 586, 656–66 potential of PAR and, 106–18
Stop and Reflect, 500 team building, 81–2 of reality, 131–3
storylines, 686, 687, 689 team leading, 354 self-, 519–20
storytelling, 43, 83, 87, 165, 195, 372, team members, 397–8, 400–1 structural, 109–10
373, 455–6, 512, 610, 686 teams (collective voice), 498, 504–7 Transformational Leadership
Strategist action-logic, 246, 247, 248 techné, 38, 123–4 QuestionnaireTM, 631
Straight Talking project, 535, 539, 542–3 technical AR, 384, 385 transformational learning, 248
Strategy (CI group), 489, 490, 494 technical errors, 530 transformational liberation, 12, 106–18
strategy system, 326, 630, 637–9 technical rationality, 21, 146, 154, 241 transformative learning, 248
strengths, 70, 293–4 Technical Working Group (TWG), transformative research, 21
stress (in workplace), 497–508 556, 557 translational reseach, 701–2
transparency, 7, 43, 100, 219, 345, USA cont. willingness principle, 483, 484
355, 490, 551, 560, 562–3, 591–2, workplace stress/aggression, 497–508 witnesses (in CJs), 334, 340, 342–3
666, 698 see also African Americans Woman-to-Woman project, 535,
transpersonal USAID, 229, 230, 231 538–9, 540, 542
activities, 370, 443, 447–8 women, 33, 35–6, 41, 54, 59,
anthropology, 439, 440, 447–8 valid knowledge, 130 208, 301
sciences, 439 validation, 351, 358–9, 361, 517 experiences, 97
trialling PTA development, 557–8 validity, 64, 688 femininity, 477
triangulation, 240, 276, 491 of action research, 8, 388–9 health in mid-life project, 437,
trust, 72, 95, 425, 431, 442, 469, 483, action science, 255–6, 261 438, 450–61
591, 592, 625 claims, 127, 128, 129 managers, 370, 372–3, 605, 607–11
truth, 112, 134, 161–2, 179, 194, 325, clinical inquiry/research, 270–1, 276 matrilineal culture, 43–4
357, 483, 484, 683, 692 criteria, 42–3 power relations, 93, 95, 97–8, 100–1
claims, 376 declarative, 368, 445, 703 prisoners, 408–11, 417
consensus and, 50, 55 of PAR, 50, 55 see also feminism
critical theory, 122, 127–9, 132 qualitative research, 421, 428–9, 430 Women’s Research Committee, 54
regimes of, 175, 177, 374, 464 value, 4, 162, 165, 421 Woolf, V., 682–3, 685–6, 687–8, 689–93
TurboTax, 580 differences, 400 words, reality and, 63
Tuskegee Syphilis Study, 200 learning history quality, 351, 360 work
two-column case, 255, 257, 263, 648, Value Creation 2010 project, 66–8, 71, action research, 77–91, 384, 385
659, 662–3, 665 72, 73, 403, 675 -family interactions, 274–5
value judgements, 646 global community, 86–8
ujamaa (communalism), 37, 41 value systems, 8, 204, 205–6, 326, 493 groups, 579–80
UN, 90, 551, 554, 700 values, shared, 201–3, 208–9, 231 Lewin’s influence on study of, 78
uncertainty, 261, 531, 604, 658, 687, 690 Vernon community, 452, 454, 457 organization (scope), 2, 63–74
unconditional positive questions, 191, verstehen (understanding), 426 organizational, 77–91
194, 293 video projects, 544, 546–7, Work Environment Fund, 66
unconscious filters/frames, 659, 660 562–71, 673–4 Work Research Institute, 3, 64, 68–9
uncritical inference test, 659–60 village culture, 34–5, 37, 39–41, 43–4, working life (Scandinavia), 2,
undergraduate courses, AR in, 676–7 45, 56–9, 61 11–12, 63–74
understanding, 4, 16–17, 23, 123, 125, violence, 95, 96, 109, 110, 112–13, 408 workplace, 24, 384
305–10, 646 Violent Crime Control and Law Scandinavia, 2, 11–12, 63–74
mutual, 127, 129, 131, 134, 136, 590 Enforcement Act, 408 socio-technical systems, 77, 78–80
self-, 44, 58, 115, 128–9, 132, 135 virtual learning centre, 631 stress/aggression project, 498–508
systemic, 637–41 VISIO, 579 World Bank, 2, 3, 42, 90, 182, 228–9,
traditions of, 143–7 vision/visioning, 241–2, 542, 630, 637–8 231, 301, 303, 334, 530, 552, 700
verstehen, 426 visuals, 306, 308–10 world café, 483, 631
UNDP, 113, 229, 230, 231 vivencia, 16, 107, 115 World Congress (Cartagena), 31, 40, 45,
‘unfashion show’, 454–5, 456 voice, 6, 236, 243, 399, 421, 684, 51, 701–2, 706
UNHCR, 107 690, 692 World Congress (Gronigen), 706
UNICEF, 107, 383, 552, 556–7 collective, 498, 504–7, 508 World Congress of Sociology, 40, 54–5
Unilever, 82–3, 86–8, 89 descriptive, 498, 502, 508 World Congresses of Action Research,
unintended consequences, 101, in FPAR, 96, 98–9, 100 3, 206
140, 148, 389 in hybrid design, 423–6 World Development Report on
universities, 3, 7–8, 204 personal, 498, 502–4, 508 Poverty, 301
-based researchers, 497–508 power and, 90, 176, 179–80, World Health Organization, 107, 381,
educating action researchers, 182, 184–5 535, 563
586, 669–81, 705 representation and, 428–31 World Neighbours, 302
future of, 12, 211–25, 236 silence and, 85, 184, 191, 683 worldviews, 9, 97, 115, 148, 151,
Humboldtian system, 211, 212, 214, 202, 698
217, 222, 670 Wagner School of Public Service, 488, Cartesian, 8
qualitative research in, 236, 420–32 489, 657 constructionist, 194, 195
reform of, 700–2 Waves, The (Woolf), 682–3, definition, 142
in transition, 211–13 685–8, 689–93 modernist, 8
University of Bath, 602, 617–18, weapons of mass instruction, participatory, 8, 17, 368–9
633, 696 407, 416–17 writing, 129
University of Birmingham, 630 web of influence, 15, 16 finding form, 586, 682–93
University of North Carolina, 388 websites, 703 PhD thesis, 679–80
UNMISET, 551 Weekenders, 483–4, 485
untouchable community, 59–60 Wellcome Trust, 338 Yolngu community, 133
UNU-WIDER, 38 what is/what should be, 688–9 Young Women Managers (YoWiM), 370,
urban social problems, 40 ‘who’ (of participation), 537–40 372, 373, 605, 607, 608–9, 610–11
URNG (guerilla movement), 110 Whole System, 122, 195 youth (Opportunity Gap project), 411–17
USA, 699–700 appreciative inquiry, 283, Yucatan (Mexico), 436, 522–32
educating women prisoners, 408–11 286–92, 294–5 Yunus, Mohammed, 2
large scale projects, 394–405 Roadway Express, 285, 286–90
SASHA process, 438, 473–85 Williams Lake community, 452, 454, 455 Zapatistas, 108

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qxd 9/24/2007 5:51 PM Page i

The SAGE Handbook of

The SAGE Handbook of

© Sage Publications 2008

First published 2008

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SAGE Publications Ltd

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PART ONE GROUNDINGS 11

1 Living Inquiry: Personal, Political and Philosophical

2 Participatory Action Research as Practice 31

3 Some Trends in the Praxis of Participatory Action Research 49

4 Action Research and the Challenge of Scope 63

5 Action Research at Work: Creating the Future Following

6 Continuing the Journey: Articulating Dimensions

7 Towards Transformational Liberation: Participatory

8 Critical Theory and Participatory Action Research 121

9 Systems Thinking and Practice for Action Research 139

10 Social Construction and Research as Action 159

11 Power and Knowledge 172

12 Appreciable Worlds, Inspired Inquiry 190

13 Ethics and Action Research: Deepening our Commitment

14 The Future of Universities: Action Research

15 Action Research, Partnerships and Social Impacts:

PART TWO PRACTICES 235

16 Action Inquiry: Interweaving Multiple Qualities

17 Action Science: Linking Causal Theory and Meaning

18 Clinical Inquiry/Research 266

19 The Practice of Appreciative Inquiry 280

20 PRA, PLA and Pluralism: Practice and Theory 297

21 Action Learning 319

22 The Jury is Out: How Far Can Participatory Projects Go

23 Learning History: An Action Research Practice in Support

24 Extending Epistemology within a Co-operative Inquiry 366

25 Action Research in Healthcare 381

26 Action Research on a Large Scale: Issues and Practices 394

27 Theorizing Audience, Products and Provocation 407

28 Taking the Action Turn: Lessons from Bringing Participation

PART THREE EXEMPLARS 435

29 Charismatic Inquiry in Concert: Action Research in the

30 Presentational Knowing: Bridging Experience and Expression with

31 Working with ‘Not Knowing’ Amid Power Dynamics Among Managers:

33 The Tapestry of Leadership: Lessons from Six Cooperative-

34 The Workplace Stress and Aggression Project:

35 Theatre in Participatory Action Research: Experiences

36 Changing the Culture of Dependency to Allow for

37 Health Promotion and Participatory Action Research:

38 ‘This Is So Democratic!!’ Action Research and Policy Development

39 ‘No – You Don’t Know How We Feel!’: Collaborative Inquiry Using

40 IT and Action Sensemaking: Making Sense of New Technology 573

PART FOUR SKILLS 585

41 Negotiating the Challenges of Participatory Action Research:

42 Getting in, Getting on, Getting out: On Working with

43 Facilitation as Action Research in the Moment 615

44 Muddling Through: Facing the Challenges of Managing a

45 Insider Action Research: The Dynamics of Developing