part I

First principies

Research is about creating new knowledge, finding ways of testing its

validity, and sharing the knowledge for specific purposes. In action
research terms, those purposes are always to do with learning and personal
and social growth.
In Part 1 we consider the nature of action research, how it is similar to
and different from other kinds of research, and what is special about
action research that means it leads to personal and social nourishing.
We emphasise throughout that action research is a term which refers to
the processes of people conducting their real-life enquiries, as they ask,
individually and collectively, 'How do 1 improve what 1 am doing for our
mutual benefit?'
Chapter 1

The nature of action research

This chapter deals with basic issues about action research. Many of
these issues apply to research in general, not only to action research.
Action research has specific characteristics that make it different
from other kinds of research. The chapter describes the features
common to all research, and explains how action research is different;
that is, how a research process can be understood as action research
and not as something else. It locates action research within the new
scholarship, a name given to recent trends in education and social
research that place the 'I' at the centre of enquiry processes. This
means that action research may be seen as a form of self-study, or
first-person enquiry.
The chapter deals with the following questions:
• What is action research, and what is it not?
• How is action research different from other kinds of research?
• How can action research be understood as a new form of scholar-
ship?

What is adion research, and what is it not?

We do research when we want to find out something that we did not
know before. There are many ways of doing this; action research is one
way. Researchers need to be aware that there are different ways of doing
research so that they can justify their choice of doing action research. It is
important to be clear about the characteristics of all kinds of research to
see what is special about action research.
 The nature of action research 11
10 You and Your Action Research Project
Gather data
Characteristics of all kinds of research
All research involves observation and keeping records of what is happen-
AlI research sets out to generate valid evidence to support a claim to new ing. This data gathering refers to what is happening in the research
knowledge, that is to say that a person knows something now which was process. Firsthand data are 'raw' data about the immediate situation,
not known before. The new knowledge may take different forms. It can such as photographs or tape-recorded conversations. Secondhand data
take the objective form of a new discovery or creation, such as the dis- are derivative and are contained in reports or other documents about the
covery of penicillin or the invention of a new manufacturing process. It research.
can also take a subjective personal form such as when a person comes to
understand something that they did not understand previously. Although Set success criteria
all kinds of research share the same characteristics, these characteristics
tend to be interpreted differently and are often contested. There is Criteria need to be identified to show how the data may be judged in rela-
always a political dimension to doing research, because researchers have tion to the research aims. In traditional types of research, these criteria
different ideas about what counts as knowledge, and so they also have tend to be fixed from the start, and relate to specified aims and objectives.
different ideas about what counts as valid research. In newer types of research, such as action research, they may emerge as
Doing research of any kind involves the following: the research proceeds and relate to the values that inform the research.

Identify a research issue Generate evidence from the data

The issue can be set out in a tightly formulated way, such as a hypothesis This involves interpreting the data to show how they relate to the criteria.
to be tested, or in a looser way, such as an idea to be explored. If they do, the data take on a new status as evidence. Always remember
that evidence is not the same as data (see page 63).

Identify research aims Make a claim to knowledge

The researcher says what he or she hopes to achieve, and why. The
research aims are often stated as research questions. The form of these Based on the evidence, making a claim to knowledge means showing how
new knowledge has been generated, and why the knowledge should now
questions varies according to the kind of research chosen. Questions of count as legitimate knowledge. The claim is not necessarily related to
the kind, 'What is happening here?', which are asked in traditional quali-
whether or not the research influenced external circumstances, or had
tative research, are different from questions of the kind, 'How do 1
other implications. The claim relates to the new knowledge and its poten-
improve my work?' (Whitehead, 1989), which are the kinds of questions tial validity.
asked in action research. In traditional qualitative research, the researcher
stands outside the research and observes what other people are doing. In
action research, the researcher is the centre of the research, and the focus Link new knowledge with existing knowledge
is on self-improvement.
Once it has been created, the new knowledge is placed within the existing
body of knowledge, so that the claim may be perceived as a new contribu-
Set out a research design tion, not a repetition of what has gone before. It therefore adds to the
existing body of knowledge, usually in the form of a report that can be
The research design may be understood as the overall plan. It explains referenced by other researchers.
how the research will be conducted. Will it be conducted according to a
fixed set of action steps, or in a developmental way, where new ideas
Submit the claim to critique
may be explored as they emerge?
So that the claim is not regarded simply as an opinion, it is necessary to
obtain feedback from others about the validity of the claim.
12 YOII and YOllr Action Research Project
The Ilatllre o/ actiOIl research 13 j
Disseminate the findings ships are important, because an improvement in personal practice usually
involves a deeper understanding of oneself in relation with others.
Ihis involves making the research process and its findings available to
Action research is different from social scientific research which aims to
wider audiences so that it can now count as public knowledge.
Ihe above are features common to all kinds of research. understand and describe an external situation. Action research is a process
that helps you, a practitioner, to develop a deeper understanding about
what you are doing as an insider researcher. Action research has both a
How is action research different from other personal and a social aim. Ihe personal aim is the improvement of your
kinds of research? own learning, while the social aim is an improvement of your situation.
Both are equally important and interdependent. Your report is an account
Action research is different from other kinds of research in the following of how your learning developed through studying your practice within the
ways. situation, and how your learning influenced the situation. It do es not
matter if the social situation does not reach successful closure; it probably
It is practitioner based will not because any solution allows new questions to emerge. What does
matter is that you show your own process of learning, and explain how
Action research is conducted by practitioners who regard themselves as your new learning has helped you to develop your work within the situa-
researchers. It is therefore also called practitioner research, practitioner- tion. (Unfortunately, some agencies that support action research these
led research and practitioner-based research. It is also called action
days expect concrete 'outcomes' in terms of externally imposed targets,
enquiry. (Action learning is different, although the distinctions between a trend that potentially constrains learning and distorts the research
action research and action learning have become increasingly blurred. process - see Introduction.)
Action research involves making public an explanatory account of prac-
tice.) In health and social care contexts, terms such as 'user-research' or
'service-user-led research' are used (see Winter and Munn-Giddings, It embodies good professional practice, and goes beyond
2001). Ihe practitioner base to action research means that all people in
When people do action research for the first time they often say, 'Ihis is
all contexts who are investigating the situation they are in can become what 1 do in any case.' Io an extent, this is so. We act, reflect on our
researchers, regardless of their age, status, social setting, or social or pro- actions, and modify our practice in the light of what we learn. Ihis is
fessional positioning. Ihe situations may be in virtually any context - in
good professional practice, which emphasises the action (often problem
the workplace, in the home, in an aeroplane - and in any personal or pro- solving), but it is not action research. Action research is more than
fessional arena. Because action research is always done by practitioners problem solving, and involves identifying the reasons for the action which
within a particular social situation, it is insider research (not outsider
research), which means that the researcher is inside the situation, and are related to the researcher's values, and gathering and interpreting
data to show that the reasons and values were justified and fulfilled.
will inevitably influence what is happening.
Good professional practice emphasises the action but does not always
In some forms of interpretive action research, however, people believe it
question the motives. Io be action research, there must be praxis which
is appropriate for an external researcher to stand outside the situation and
embodies practice. Praxis is informed, committed action that gives rise to
watch others doing their action research. Ihe external researcher then knowledge as well as successful action. It is informed because other
writes about the situation, checking his or her interpretations with partici- people's views and feelings are taken into account. It is committed and
pants. While this book includes an interpretive perspective, it is written
intentional in terms of values that have been examined and may be
argued.
out of a value that participants should evaluate their own practices
rather than try to evaluate someone else's.
It can lead to personal and social improvement
It focuses on learning
Action research is about individuals' learning, in company with other We said in the Introduction that we believe people (severe pathology
people. People are always in relation with others in some way. Relation- aSide) are capable of learning (to be more precise, they are incapable of
not learning), and should accept the responsibility of thinking and acting
14 You al1d YO!lr Actioll Research Project The l1ature 01 actiol1 research 15

for themselves, starting by focusing on their own practice within their have nothing to do with its original aims, yet are important to under-
situation. This means that people commit to evaluating their own work standing the situation with a view to changing it.
and finding ways of improving it with a view to influencing others. Self-
evaluation enables people to hold themselves accountable for what they It is intentionally political
think and do. The idea of social change is embodied in the processes of
groups of individuals who are committed to changing the way they think Deciding to take action is itself a political act, because what one person
and acto Individual practitioners can become dynamic change agents do es invariably has consequences for someone else. Action researchers
who can generate wide-scale social change by working together. Action need to understand that they are frequently in potentially politically con-
research is a form of personal enquiry, but it is always done collaboratively tested scenarios. When practitioners begin to question the current and
because it involves individuals working together to achieve commonly historical contexts of a situation, and perhaps begin to reveal injustices,
agreed goals. they have to make decisions about whether they wish to follow their
own value commitments and try to improve the situation according to
what they believe in, or whether they will go along with the status quo.
It is responsive to social situations
These are difficult decisions to make and can involve personal discomfort.
People do action research when they want to investigate what is happen- The affirmation that one has contributed to social development, however,
ing in their particular situation and try to improve it. They not only can be a powerful incentive to act in the interests of social justice.
observe and describe what is happening; they also take action. They
begin by trying to understand how they are positioned within their parti- The focus is on change, and the self is the locus of change
cular situation, and whether what they are doing is in accord with their
values. They try to understand how they might improve what they are Situations do not change themselves. People change, and they change
doing, on the assumption that their decision to improve the situation, their situations. Change begins in people's minds, so that when people
beginning with themselves, will enable them to influence others in their decide to do something about their work, they set up a process of personal
contexts, in accordance with their values. They do not aim to change change (individual learning) that can transform into a process of social
other people. They aim to change themselves by questioning what they change (collective learning). Traditional kinds of research usually stop at
are doing, evaluating it rigorously, and explaining to others how their the level of describing a situation. They sometimes go on to suggest
personal improvement can contribute to social improvement. ways in which the situation might be changed. Action researchers take
action, and begin by asking, 'What can Ido? How do I do it?'
It demands high order questioning
Practitioners accept responsibility for their own actions
They begin this process by questioning the assumptions that underlie
their practice and their situation. Action research may not be problem In traditional types of research, researchers usually carry out what is
solving (bringing an investigation to closure), but it does imply problem required by someone else, such as policy makers or funders. They
posing (or problematising); that is, not accepting things at face value. may make decisions about research procedures, but they do not make
This involves questioning at several levels. These levels are often called decisions about the aims of the research. Action researchers make their
'first, second and third order learning'. First order learning refers to learn- own decisions about what is important and what they should do. This is
ing about a situation: for example, 'How many women managers are in a massive responsibility, because researchers then base their decisions
the firm?' Second order learning is learning to question what has been for action on how they understand what is good, and how they think
learned: 'How can we involve more women managers?' Third order learn- the world should be. They use their values as the basis for their action.
ing is learning to ask why the situation is as it is, and why one might need Because this is such a massive responsibility they always need to check
to change the way one thinks about it: 'Why is it necessary to ask ques- whether theirs are justifiable values, whether they are living in the direc-
tions about the involvement of women managers in the first place?' tion of their values, and whether their influence is benefiting other
Developing this type of critical perspective means recognising that situa- people in ways that those other people also feel are good. This involves
tions are not 'given', but are created by people with particular intentions highly rigorous evaluation checks and restraints, to make sure that action
over time. The research project might unearth issues which seemingly researchers can justify, and do not abuse, their potential influence.
16 You alld Your Actioll Research Project The Ilature 01 actioll research 17

It emphasises the values base of practice Action research is part of the new scholarship. It emphasises the idea of
Action research begins with practitioners becoming aware of what is knowledge generation as creative practice that evolves through dialogue.
It recognises knowledge not only as an outcome of cognitive activity, but
important to them - their values - and how they might act in the direction
of those values. Action research is value laden, which differs from the also as embodied; that is, mind and body are not perceived as separate
neutral stance claimed for some other types of research. Action research entities but as integrated. Knowledge is arrived at, and exists in, feelings
and multiple sensory modes. Consequently knowledge exists as much
be comes a process of living in a way that practitioners feel is right. This 'in here' as 'out there'.
has serious implications for issues of justification and validation of
The new scholarship covers many different disciplines and areas of
research findings (see Chapters 9 and 10).
enquiry, but its significance and implications are far-reaching. Human
enquiry and now moved to finding better ways of living together to sustain
How can action research be understood as a ourselves and the planet, and recognises that social and environmental
new form of scholarship? well-being can happen only when individual people make delibera te com-
mitments to working together to achieve their democratically negotiated
Since the 19405, considerable shifts have been taking place in the knowl- goals.
edge base of social and education research. The term 'knowledge base' We continue these themes in Chapter 2, and offer a summary of the
refers to ideas about what counts as knowledge, how the knowledge is main features of action research.
tested to ensure its validity, and what it looks like in terms of its products.
This has considerable implications for who counts as a knower, and why.
From about the 19405, and for a long time before that, though less
noticeably so, movements had been afoot to dislodge the stranglehold
of traditional approaches that emphasised technical rational forms of
knowing. These movements appeared as new forms of research that
were qualitative rather than only quantitative; new are as of investigation
appeared that were concerned with human experience rather than only
behavioural 'performance; and practitioners as well as intellectuals came
to be regarded as researchers. These new, more inclusive forms of research
concentrated on understanding the relationships among people, and
between people and their environments. They used methodologies that
offered descriptions and explanations of the experience of practice,
instead of aiming to predict and control potential outcomes. Research
was no longer a search for one objective Truth, but the creation of multiple
truths that communicated varieties of pluralistic and democratic living.
Practitioners were now acknowledged as legitimate knowledge workers.
Democracy in research was coming of age.
These different traditions have been variously described as 'old' and
'new' paradigm research, and the 'old' and 'new' scholarship. There is
little difference between what the terms communicate, and they are used
interchangeably in this book. What continues to be interesting are the
attitudes of researchers working in the different traditions. While most
people get along amicably, serious hostilities can break out when people
feel their territory is threatened, understandably enough, because for
many people territory symbolises intellectual and physical property, and
therefore status and income.