THE HISTORY OF ACTION RESEARCH

Janet Masters 1995

This article may be cited as: Masters, J. (1995) 'The History of Action esearch' in !. H"#hes (ed) Action Research Electronic Reader, The $ni%ersity of &ydney, on'line htt(:))***.behs.cchs."syd.ed".a")aro*) eader)rmasters.htm (do*nload date ++.++.++++)

The origins of action research are unclear within the literature. Authors such as Kemmis and McTaggert (1988), Zuber !"errit (199#), $olter and !chwart% &arcott (199') state that action research originated with Kurt (ewin, an American )s*chologist. McKernan (1988 as cited in McKernan 1991) states that action research as a method of in+uir* has e,ol,ed o,er the last centur* and careful stud* of the literature shows -clearl* and con,incingl* that action research is a root deri,ati,e of the scientific method. reaching bac" to the !cience in /ducation mo,ement of the late nineteenth centur*.- (McKernan 199108) McKernan (199108) also states that there is e,idence of the use of action research b* a number of social reformists )rior to (ewin, such as 1ollier in 1923, (i))itt and 4ad"e in 1925 and 1ore* in 193'. McTaggert (199#0#) cites wor" b* 6stettner and Altricher which has a )h*sician named Moreno using grou) )artici)ation in 191' in a communit* de,elo)ment initiati,e with )rostitutes in 7ienna. 8reideres (199#0' 2) asserts that the conce)t of )artici)ator* research emerged in the 199:s from de,elo)ment wor" in low income countries and mentions names such as 8als &orda and 8reideres. ;es)ite the clouded origins of action research, Kurt (ewin, in the mid 192:s constructed a theor* of action research, which described action research as -)roceeding in a s)iral of ste)s, each of which is com)osed of )lanning, action and the e,aluation of the result of action(Kemmis and McTaggert 199:08). (ewin argued that in order to -understand and change certain social )ractices, social scientists ha,e to include )ractitioners from the real social world in all )hases of in+uir*- (McKernan 199101:). This construction of action research theor* b* (ewin made action research a method of acce)table in+uir*. (McKernan 199109)

HISTORICAL AND PHILOSOPHICAL FOUNDATIONS

Mo,ements that ha,e had historical and )hiloso)hical influences on action 4esearch are0 1. The !cience in /ducation Mo,ement of the nineteenth and earl* twentieth centur* in which the scientific method was a))lied to education, notabl* in the wor" of &ain (1999), &oone (19:2) and &uc"ingham (19#5) (McKernan 199108). #. The /<)erimentalist and =rogressi,e educational wor", es)eciall* of >ohn ;ewe*, -who a))lied the inducti,e scientific method of )roblem sol,ing as a logic for the solution of )roblems is such fields as aesthetics, )hiloso)h*, )s*cholog* and education- (McKernan 199108). '. The 6rou) ;*namics mo,ement in social )s*cholog* and human relations training. This mo,ement was used in the nineteenth centur* to address the social )roblems of this era through +ualitati,e social en+uir*. (McKernan 199109). ?t was again utilised in the 192:s to address some of the )roblems (such as the onslaught of @orld @ar ??, inter grou) relations, racial )reAudice, and social reconstruction) being e<)erienced at this time. Bne of the noted researchers of this time was Kurt (ewin. $e discussed action research as a

form of e<)erimental in+uir* based u)on the grou)s e<)eriencing )roblems. -(ewin argued that social )roblems should ser,e as the locus of social science research. &asic to (ewin.s model is a ,iew of research com)osed of action c*cles including anal*sis, fact finding, conce)tualisation, )lanning, im)lementation and e,aluation of action. (McKernan 199109) ?n the fifties and earl* si<ties action research was used in the stud* of industr*, it de,elo)ed a committed following in the C!A at the Massachusetts ?nstitute of Technolog*, and in the CK at the Ta,istoc" ?nstitute. (McKernan 199101:) 2. =ost war 4econstructionist 1urriculum ;e,elo)ment Acti,it*. Action research in education was utilised in this era as -a general strateg* for designing curricula and attac"ing com)le< )roblems, such as inter grou) relations and )reAudice through large curriculum de,elo)ment )roAects (McKernan 199101:). 6enerall* the research was carried out b* outside researchers with the coo)eration of teachers and schools (McKernan 199101:). Doted researchers of this era were 1ore* (193'), Taba (1929) and &rad* and 4obinson (193#) (McKernan 199101:). $owe,er b* the end of the 193:s action research was in decline and under attac" (McKernan 199101:). !anford (199:, as cited in McKernan 199101:) suggested that the decline was directl* related to the s)lit between science and )ractice which was su))orted b* the mo,ement, and to the shift towards the establishment of e<)ert educational research and de,elo)ment laboratories. This shift highlighted the se)aration of theor* and )ractice =rofessional researchers were insulated from the teaching ran"s and were )re,ented from stud*ing )roblems in the field (McKernan 1991011). 3. The teacher researcher mo,ement. This mo,ement originated in the CK, with the wor" of !tenhouse (1991, 1993) and the $umanities 1urriculum =roAect. !tenhouse felt that all teaching should be based u)on research, and that research and curriculum de,elo)ment were the )reser,e of teachers. (McKernan 1991011) Bther significant teacher researcher de,elo)ments include the 8ord Teaching =roAect, and the 1lassroom Action 4esearch Detwor".

ACTION RESEARCH: WHAT IS IT?

Three of the man* definitions for action research are0 a -s*stemic in+uir* that is collecti,e, collaborati,e, self reflecti,e, critical and underta"en b* )artici)ants in the in+uir*- (Mc1utcheon and >ung 199:0128). -a form of collecti,e self reflecti,e in+uir* underta"en b* )artici)ants in social situations in order to im)ro,e the rationalit* and Austice of their own social or educational )ractices, as well as their understanding of these )ractices and the situations in which these )ractices are carried out- (Kemmis and McTaggert 199:03). -action research aims to contribute both to the )ractical concerns of )eo)le in an immediate )roblematic situation and to the goals of social science b* Aoint collaboration within a mutuall* acce)table ethical framewor"- (4a)o)ort 199:0299 as cited in McKernan 199102). @ithin all these definitions there are four basic themes0 em)owerment of )artici)antsE collaboration through )artici)ationE ac+uisition of "nowledgeE and social change. The )rocess that the researcher goes through to achie,e these themes is a s)iral of action research c*cles consisting of four maAor )hrases0 )lanning, acting, obser,ing and reflecting (Zuber !"errit 19910#). 6rund* and Kemmis (1981 as cited in 6rund* 1988) state that there are three minimal re+uirements for action research. -These re+uirements incor)orate the goals of im)ro,ement and in,ol,ement which characterise an* action research )roAect. The conditions which are set out there as indi,iduall* necessar* and Aointl* sufficient for action research to e<ist are0

1. the )roAect ta"es as its subAect matter a social )ractice, regarding it as a strategic action susce)tible to im)ro,ementE #. the )roAect )roceeds through a s)iral of c*cles of )lanning, acting, obser,ing and reflecting, with each of these acti,ities being s*stematicall* and self criticall* im)lemented and interrelatedE and '. the )roAect in,ol,es those res)onsible for the )ractice in each of the moments of the acti,it*, widening )artici)ation in the )roAect graduall* to include others affected b* the )ractice and maintaining collaborati,e control of the )rocess (6rund* and Kemmis 1981 as cited in 6rund* 19880'3').

TYPES OF ACTION RESEARCH

6rund* (19880'3') discusses three modes of action research0 technical, )ractical, and emanci)ator*. $olter and !chwart% &arcott (199'0':1) also discuss three t*)es of action research, that of a technical collaborati,e a))roach, a mutual collaborati,e a))roach and an enhancement a))roach. McKernan (1991015 #9) also list three t*)es of action research0 T*)e 10 the scientific technical ,iew of )roblem sol,ingE T*)e #0 )ractical deliberati,e action researchE and T*)e '0 critical emanci)ator* action research. Mc1utcheon and >urg (199:0123 129) discusses three )ers)ecti,es of action research0 a )ositi,ist )ers)ecti,e, an inter)reti,ist )ers)ecti,e and a critical science )ers)ecti,e.

TYPE 1: Technical/Technical-Colla o!a"i#e/Scien"i$ic-Technical/Po%i"i#i%"

/arl* ad,ocates of action research such as (i))itt and 4ad"e in 1925, (ewin in 1929, 1ore* in 193', and Taba and Doel in 1939 )ut forward a scientific method of )roblem sol,ing. (McKernan 1991015) The underl*ing goal of the researcher in this a))roach is to test a )articular inter,ention based on a )re s)ecified theoretical framewor", the nature of the collaboration between the researcher and the )ractitioner is technical and facilitator*. The researcher identifies the )roblem and a s)ecific inter,ention, then the )ractitioner is in,ol,ed and the* agree to facilitate with the im)lementation of the inter,ention. ($olter and !chwart% &arcott 199'0':1). The communication flow within this t*)e of research is )rimaril* between the facilitator and the grou), so that the ideas ma* be communicated to the grou) (6rund* 198#0'5:). Technical communication (6rund* 198#0'5:)

6rund* (199#0'33) has de,elo)ed a model describing technical action research.

(6rund* 198#0'33) Techne being the s"ill of action research, the idea being how the e,ent will occur, the e,ent is the ta"ing of the idea and the thoughts that the researcher has about the e,ent and ma"ing them ha))en. A )roAect guided b* technical action research will ha,e the following characteristics0 the )roAect would be instigated b* a )articular )erson or grou) of )eo)le who because of their greater e<)erience or +ualifications would be regarded as e<)erts or authorit* figures. Technical action research )romotes more efficient and effecti,e )ractice. ?t is )roduct directed but )romotes )ersonal )artici)ation b* )ractitioners in the )rocess of im)ro,ement. -?t fosters the dis)osition characteristic of the artisan within the )artici)ating )ractitioners- (6rund* 19890132). This a))roach to action research results in the accumulation of )redicti,e "nowledge, the maAor thrust is on ,alidation and refinement of e<isting theories and is essentiall* deducti,e ($olter et al 199'0':1).

TYPE &: '("(al-Colla o!a"i#e/P!ac"ical-Deli e!a"i#e-In"e!)!e"i#i%" Pe!%)ec"i#e

?n this t*)e of action research )roAect the researcher and the )ractitioners come together to identif* )otential )roblems, their underl*ing causes and )ossible inter,entions ($olter et al 199'0':1). The )roblem is defined after dialogue with the researcher and the )ractitioner and a mutual understanding is reached. -=ractical action research see"s to im)ro,e )ractice through the a))lication of the )ersonal wisdom of the )artici)ants- (6rund*, 198#0 '39). The communication flow in this t*)e of action research must be unim)aired between each member of the grou) and the facilitator. (6rund* 198#0'5:)

P!ac"ical an* E+anci)a"o!, Co++(nica"ion -.!(n*, 1/0&:1234 This design of action research allows for a more fle<ible a))roach, not a,ailable in the )ositi,ist )aradigm. -?ndicati,e of this fle<ibilit* is the fre+uent use of .inter)reti,e. as an umbrella term

that comfortabl* accommodates interacti,e and )henomenological )ers)ecti,es- (Mc1utcheon and >ung 199:0125). McKernan (19910#:) feels that the )ractical model of action research trades off some measurement and control for human inter)retation, interacti,e communication, deliberation, negotiation and detailed descri)tion. -The goal of )ractical action researchers is understanding )ractice and sol,ing immediate )roblems- (McKernan 19910#:). The )ractitioners in,ol,ed in the mutual collaborati,e a))roach to action research gain a new understanding of their )ractice, the changes im)lemented tend to ha,e a more lasting character. $owe,er the changes tend to be connected to the indi,iduals directl* in,ol,ed in the change )rocess, and therefore the inter,entions tend to be short li,ed when these indi,iduals lea,e the s*stem or there is an influ< of new )eo)le ($olter etal 199'0':1). -=ractical action research fosters the de,elo)ment of )rofessionalism b* em)hasising the )art )la*ed b* )ersonal Audgement in decisions to act for the good of the client- (6rund* 19890132). This mode of action research -)romotes autonomous, deliberati,e action ..)ra<is- (6rund* 19890132). 6rund*.s (198#0'39) model for this t*)e of action research is detailed below.

(6rund* 198#0'39) 6rund* (198#0'35) discusses three t*)es of "nowing. The first is techne or "nowing how, the source of s"ilful action. The second is e)isteme, the source of scientific action or "nowing that. The third t*)e of "nowing is )hronesis, the "nowing wh*, the source of moral action which is often called )ractical Audgment. Techne, as occurs in T*)e 1 action research results in a ma"ing action, it is )roduct related. @hile )hronesis results in a doing action or )ra<is, and is therefore )roduct centred. The .?dea. in the interaction is )ersonal, subAecti,e and ne,er full* formed, rather it is constantl* being formed and being influenced b* the situation (6rund* 199#0'39).

TYPE 1: Enhance+en" a))!oach/C!i"ical-E+anci)a"o!, Ac"ion !e%ea!ch/C!i"ical Science )e!%)ec"i#e

/manci)ator* action research -)romotes emanci)ator* )ra<is in the )artici)ating )ractitionersE that is, it )romotes a critical consciousness which e<hibits itself in )olitical as well as )ractical action to )romote change.- (6rund* 19890132) There are two goals for the researcher using this a))roach, one is to increase the closeness between the actual )roblems encountered b* )ractitioners in a s)ecific setting and the theor* used to e<)lain and resol,e the )roblem. The second goal, which goes be*ond the other two a))roaches, is to assist )ractitioners in identif*ing and ma"ing e<)licit fundamental )roblems b* raising their collecti,e consciousness ($olter et al 199'0':#). >urgen $abermas, a critical social theorist )resents a theoretical model for understanding emanci)ator* action research. ($abermas 199# as cited in 6rund* 198#) $abermas )resents a

framewor" within which social criti+ue ma* be de,elo)ed. -?t is through the de,elo)ment of criti+ue that the mediation of theor* and )ractice is )ossible. The de,elo)ment of action orientated criti+ue has three )hrases0 theor*, enlightenment and action- (6rund* 198#0'38). /manci)ated strategic action follows from the dis)osition of critical intent. (6rund* 198#0'38) 1ritical intent is the dis)osition which moti,ates action and interaction at all stages of emanci)ator* action research and is )articularl* im)ortant in the de,elo)ment of the theoretical )ers)ecti,e which informs and under)ins a )roAect (6rund* 198#0'38). 1ritical intent is not -the intention to be rigorousl* discriminating onl* with regard to one.s own )ractice. ?t has a social consciousness as well in that it is a dis)osition toward the critical assessment of the e<tent to which the social milieu im)edes the fostering of the good- (6rund* 198#0'38). This mode of emanci)ator* action research does not begin with theor* and end with )ractice, but it is informed b* theor* and often it is confrontation with the theor* that )ro,ides the initiati,e to underta"e the )ractice (6rund* 198#0'38). The d*namic relationshi) between theor* and )ractice in emanci)ator* action research entails the e<)ansion of both theor* and )ractice during the )roAect. @hen a )erson reflects u)on theor* in the light of )ra<is or )ractical Audgment, the form of "nowledge that results is )ersonal or tacit "nowledge. This tacit "nowledge can be ac+uired through the )rocess of reflection. The interaction of theor* and )ractical Audgment through the )rocess of reflection, with the in)ut from critical intent leads to critical theorems (6rund* 198#0'39). The second function which $abermas distinguishes in the mediation of theor* and )ractice is the organisation of the )rocess of enlightenment in which critical theorems are a))lied and tested in a uni+ue manner b* the initiation of )rocesses of reflection carried out within certain grou)s towards which these )rocesses ha,e been directed. These grou) )rocesses of reflection will gi,e rise to enlightenment in the form of authentic insights ($abermas 199# as cited in 6rund* 198#0'5:). The facilitator must not attem)t to direct the outcome of the deliberati,e )rocess b* attem)ting to thrust enlightenment on the )artici)ants, but must allow s*mmetrical communication to occur from which enlightenment will flow (6rund* 198#0'5:). The third function which $abermas distinguishes is the organisation of action. The organisation of enlightenment has its focus u)on the )ast while the organisation of action is future orientated (6rund* 198#0'51). The form of strategic action resulting from enlightenment is a form of )ra<is. -@hereas action which resulted from )hronesis was also a form of )ra<is, the de,elo)ment of .critical theorems. and the )rocess of enlightenment result in the true )ra<is for it is action which is freed from the dominating constraints of the en,ironment- (6rund* 198#0'51).

6rund*

(198#0'5')

has

diagrammatic

re)resentation

of

the

abo,e

discussion.

Philo%o)hical 5a%e

Technical Ac"ion '("(al - Colla o!a"ion Re%ea!ch Ac"ion Re%ea!ch Na"(!al Science% Hi%"o!ical - he!+ene("ic

Pa!"ici)a"o!, Ac"ion Re%ea!ch C!i"ical Science% !ocial, economic. /<ists with )roblems of e+uit* and hegemon* ;efined in the situation based on ,alues clarification ?nterrelated, embedded in societ*

The na"(!e o$ !eali",

!ingle, measurable, fragmental ;efined in ad,ance !e)arate

Multi)le, constructed, holistic

P!o le+

;efined in situation

Rela"ion%hi) e"6een "he 7no6e! an* 7no6n Foc(% o$ colla o!a"ion "heo!,

?nterrelated, dialogic

Technical ,alidation, refinement, deduction =redicti,e

Mutual understanding, new Mutual emanci)ation, theor*, inducti,e ,alidation, refinement, new theor*, inducti,e, deducti,e

T,)e o$ 8no6le*9e )!o*(ce*

;escri)ti,e

=redicti,e, descri)ti,e

Chan9e *(!a"ion !hort li,ed

(onger lasting, de)endent on !ocial change, emanci)ation indi,iduals

The na"(!e o$ (n*e!%"an*in9

/,ents e<)lained /,ents are understood /,ents are understood in in terms of real through acti,e mental wor", terms of social and economic

causes and simultaneous effects

interactions with e<ternal hindrances to true e+uit* conte<t, transactions between one.s mental wor" and e<ternal conte<t 7alue bounded 4elated to ,alues of e+uit*

The !ole o$ #al(e 7alue free in !e%ea!ch P(!)o%e o$ !e%ea!ch

;isco,er* of laws Cnderstand what occurs and Cnco,er and understand underl*ing realit* the meaning )eo)le ma"e of what constrains e+uit* and )henomena su))orts hegemon* to free oneself of false consciousness and change )ractice toward more e+uit*

?t is not in the methodologies that the three modes of action research differ, but rather in the underl*ing assum)tions and world ,iews of the )artici)ants that cause the ,ariations in the a))lication of the methodolog* (6rund* 198#0'5'). -The differences in the relationshi) between the )artici)ants and the source and sco)e of the guiding .idea. can be traced to a +uestion of )ower. ?n technical action research it is the .idea. which is the source of )ower for action and since the .idea. often resides with the facilitator, it is the facilitator who controls )ower in the )roAect. ?n )ractical action research )ower is shared between a grou) of e+ual )artici)ants, but the em)hasis is u)on indi,idual )ower for action. =ower in emanci)ator* action research resides wholl* within the grou), not with the facilitator and not with the indi,iduals within the grou). ?t is often the change in )ower relationshi)s within a grou) that causes a shift from one mode to another (6rund* 198#0'5').

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