M2 cont

Acceptable Methods in Action Research

Schools of Public Service Leadership and Nursing and Health Sciences Version 1.1 Effective January 2015

Capella University 225 South Sixth Street, Ninth Floor

Minneapolis, MN 55402

PSL/NHS ACCEPTABLE METHODS

TABLE OF CONTENTS

Table of Contents .................................................................................................... 3

Action Research Acceptable Methods and Research Designs ................................... 4 Action Research is an Approach ................................................................................... 5 Qualitative Methods .................................................................................................... 5 Quantitative Methods .................................................................................................. 7 Mixed Methods ........................................................................................................... 8 References ................................................................................................................ 9

3

PSL/NHS ACCEPTABLE METHODS

ACTION RESEARCH ACCEPTABLE METHODS AND RESEARCH DESIGNS The overarching goal of Action Research (AR) is to collaborate with stakeholders and participants in an effort to empower and effect social change. AR can be considered a continuum ranging from appreciative inquiry to pure participatory research: appreciative and cooperative inquiry (Heron, 1996; Reason & Rowan, 1981, Stowell & West, 1991, Torbert, 1976, 2004), action research or action science (Argyris, 1970, 1980, 1994; Argyris, Putnam, & Smith, 1985), participatory action research (Freire, 1970), and participatory research (Lewin,1958). The common factor is that the participants or subjects are directly involved in the research activities and the project solves a practice or problem that impacts the participants (Springer, 2007).

Appreciative Action Participatory Participatory Inquiry Research Action Research Research

Research Mutually Question Question generated Community generates and Process generated

generated by the by the community. is in control of the process question organization. Research process

Research controlled by controlled and researcher conducted by researcher

Degree of Group Researcher asks High High Participation process. for participation

Authentic

as needed dialogue

Knowledge For practice Problem-solving Transform and Transformational Generation improvement advance scientific

knowledge Knowledge Advance Improve system. Community action. Social action. Utilization practice. Self-

Advance determination knowledge

Advance Development of critical knowledge. consciousness.

Power Shared Held by Shared

Egalitarian researcher

Outcomes Improvement Solution to Empowerment. Empowerment of shared organizational Generation of community

of

practice problem. scientific Scientific knowledg

knowle ge e

d

Association Slight or none Possible Strong Strong with Social Change

4

PSL/NHS ACCEPTABLE METHODS

Action Research is an Approach Action Research is an approach or form of research as opposed to a method. There are different approaches or models of action research depending on the action research approach in the continuum, for example Lewin’s (1958) input, transformation, output, systems model of action research process; and Kemmis and McTaggart’s (1999) plan, act, observe, reflect action research interacting Spiral. This document will review research methods and designs that are acceptable for dissertations using action research in the School of Public Service Leadership(PSL) and the School of Nursing and Health Sciences(NHS). The scholar-practitioner model must guide all decisions regarding what is and what is not an acceptable research methodology. The research methodologies and designs presented here offer a more general rather than specific discussion of those applicable approaches to dissertation research. In action research, the doctorate learner is considered a principal investigator. The role of the principle investigator is to facilitate or guide the study in collaboration with an interested organization or community. The term research methods is identified in this document as the broadest way in which the methodological concepts can be categorized. The term research design is identified as those overarching methodological approaches that are most commonly referred to as belonging to an umbrella of commonly accepted quantitative, qualitative, or mixed methodologies. As such, research designs are more precise than research methods, but still somewhat vague in the precise manner in which data are measured, collected, and analyzed. Research questions should emerge from the identified research problem or topic in a logical way. Only after learners have clarified their research questions do they begin to think about methods, particularly data collection tools or instruments. Research designs then evolve from the research questions. In other words, there needs to be clear alignment between the research question and the means of gathering data and the data has to answer the research question.

Qualitative Methods Qualitative research designs involve the principal investigator in exploratory studies that attempt to explain, define, or better understand phenomena. The principal investigator seeks to establish the meaning of phenomena from the viewpoint of participants (Creswell, 2009, p. 16). These are the major categories:

• Case study – The researcher explores in-depth a program (such as a program evaluation), event, activity, or process of one or more individuals (Creswell, 2009, p. 13). This is one of the most flexible designs to use with Action Research.

• Phenomenological – The researcher identifies lived experiences associated with the phenomena (requires a strong background in psychology).

• Generic Qualitative Inquiry – The researcher is interested in a thematic analysis of a particular topic from the perspective of many participants.

• Grounded Theory – The researcher derives a general abstract theory grounded in the views of participants.

• Ethnographic – The researcher studies an intact cultural group over a prolonged period of time.

5

PSL/NHS ACCEPTABLE METHODS

• Heuristics – The researcher and participants include their own personal insights and experiences during the research process.

No single research design dominates; however, the case study is one of the most flexible designs to use with action research (Stringer, 2007). Key to providing a sound rationale and justification for the chosen qualitative research design is to clearly and explicitly connect with authoritative sources on this design, by citing, discussing, and referencing these sources (e.g., Phenomenology - Moustakas; Grounded Theory – Glaser and Strauss, Strauss and Corbin; Case study - Yin, Stake). If the principal investigator can demonstrate or justify through scholarly support that their design meets the qualitative criteria and that they are sufficiently qualified to conduct the research, then the research design will be accepted. In action research these additional designs may include Delphi method, trend analysis, force field analysis, SWOT analysis, program evaluation, etc. The criteria for acceptable PSL/NHS qualitative action research designs are as follows:

• Creates an agenda for social change or reform. • Empowers or collaborates with the participants or stakeholders. • Contributes in some way to the specialization’s existing body of knowledge.

Qualitative research methods provide a wealth of information concerning an observed phenomenon. It is intended to better understand, explain, or define aspects of the research problem of interest. Each type of qualitative research design has a unique and defined process for collecting data based on that design’s accepted methods and procedures.

• Gathering this type of data requires planning, researcher experience, and a defined strategy.

• The researcher must be aware of participant feelings, emotions, knowledge, experiences, and culture. In addition, many of these techniques require that data be obtained on facial expressions, intonation and overall participant temperament.

The setting for conducting action research using qualitative design must be conducive to the research intent (e.g., a setting familiar to the participant).

• The researcher is an “active” part of the research when interacting with participants. It is critical to establish the role of the researcher, their overall experience and expertise on the proposed topic and methodology as they will guide and provide oversight for the research. The researcher is the key measurement instrument. Research bias is always a consideration.

• Additional consultants may be needed (e.g., counselors, translators, transcriptionists) to provide additional expertise. These individuals must also adhere to confidentiality protocols as dictated by the IRB.

• Multiple sources of data are common (e.g., interview responses, observations, document sources). See list below for other types of data sources for qualitative research. Triangulation of data for research questions is encouraged.

• Participant feelings, emotions and experiences must be captured and analyzed. • Inductive analysis – The researcher must search for emergent themes, explain and

interpret convergent and divergent information. • Credibility and believability of the results are important. • Ability to generalize – How the results can be used for an expanded set of

participants, sometimes called transferability (Creswell, 2009) is questionable given small sample sizes which are typically purposive by design.

6

PSL/NHS ACCEPTABLE METHODS

Data Sources for qualitative analysis include: 1. Fieldwork 2. Observation

• Participant • Direct • Naturalistic

3. Interviewing • Open-ended questions • Guided questions • Focus groups

4. Open-ended questionnaire 5. Journaling 6. Literature, poetry, and lyrics, 7. Biography 8. Personal documents 9. Historical documents 10. Photographs, video, films, pictures, and drawings

Quantitative Methods Using only quantitative methods in an action research study can make it challenging to engage stakeholders or produce results for actionable outcomes. Quantitative or fixed research designs are occasionally used for action research such as found in SOPSL; thus, they are discussed in this section. Non-experimental research designs are the most commonly used in action research. Correlational designs tend to be more common than experimental or quasi-experimental designs, as it is difficult to manipulate the types of variables under these types of study. Quasi and experimental designs are more common in scientific research studies where it is both desirable and possible to manipulate variables between participant groups. Designs specific to a particular discipline or specialization are acceptable as they meet the specified criteria. If the learner can justify with scholarly support that their design meets all of the quantitative criteria, then the research design will be accepted. The criteria for acceptable PSL/NHS quantitative research designs are as follows:

• Tests or verifies theories of explanations • Identifies variables to study • Relates variables in research questions • Uses standards of validity and reliability • Observes and measures information numerically • Uses unbiased approaches • Employs statistical techniques

Quantitative descriptive research such mean, range, standard deviations, etc., may be used with an action research project to add numerical information to the other data that is collected. Epidemiology data also falls into this category and may include rates, ratios, odd ratios, prevalence rates, and proportions. Such descriptive designs are rarely used exclusively for SOPSL dissertation action research.

7

PSL/NHS ACCEPTABLE METHODS

Principal investigators who seek to better understand phenomena (within PSL/NHS specializations) may use the following data collection methods:

• Survey Research: The use of surveys or questionnaires constitutes non-experimental research if testing for linear relationships, statistical differences or statistical independence. This approach is very common in correlation research designs used in academic disciplines relevant to PSL/NHS specializations. These data are subject to internal and external validity considerations.

• Internal validity – The assessment of trustworthiness of the data collected from participants. This includes items such as participant experience, knowledge, attitude and emotional well being

• External validity – The assessment of trustworthiness of data as it applies to other groups, settings, and situations.

• Secondary Data Analysis: In action research the use of secondary data can be used to help justify the need for the study or as a comparison to data that has been collected. It cannot be used as the primary data for the results of the study.

Mixed Methods Mixed methods research tends to be a more complex, costly, and lengthy process for dissertations. Mixed methods designs involve the principal investigator collecting diverse types of data that best provide an understanding of a research problem (Creswell & Plano Clark, 2011). This is an acceptable approach in action research pertinent to PSL/NHS specializations. Principal investigators who seek to adopt a mixed methods approach to their action research dissertation must be familiar and up-to-date with the current literature on mixed methods research in order to satisfy current accepted definitions and standards for conducting this type of research. Similar to the requirement for many types of qualitative research, the principal investigator is expected to cite, discuss, and reference authoritative sources in support of numerous design elements (e.g., overall design type, sampling methods, data analysis methods, mixed methods validity and applicability, etc.). The principal investigator is obligated to demonstrate an acceptable philosophical understanding and appreciation for the merging of positivist and social-constructivist perspectives within a pragmatist paradigm. This merging of philosophic traditions requires the need to collect, organize, analyze, interpret, and merge both quantitative and qualitative data into one study. The criteria for acceptable PSL/NHS mixed methods designs are as follows:

• Justification for using a mixed methods approach needs to be based on either the current state of knowledge on the topic and the nature of the phenomenon is sufficiently complex such that examining it through a single methodological approach would fail to describe and explain the phenomenon.

• Understanding and appreciation for both the positivist and social constructivist traditions, either separately or as combined within the pragmatist tradition.

• A visualization or methodological framework of the integration of qualitative and quantitative components.

• Design must align with the study’s stated purpose, goals, and objectives, and be capable of answering the study’s research questions.

• Research questions must meet current standards for acceptable research questions. • Data sources, data collection procedures, and sampling methods must meet current

accepted standards supporting mixed methods research. • Authoritative sources on mixed methods analysis must be cited, discussed, and

referenced.

8

PSL/NHS ACCEPTABLE METHODS

• Knowledge of how the quality and validity of mixed methods research is established and evaluated.

Mixed methods research represents an approach to examining action research phenomenon more holistically. It is quite possible, however, that the quality of a mixed methods study is based at least in part on the principal investigator’s systems-thinking capabilities, which is rooted in multiple philosophic perspectives, and who can work with both all types of data to uncover a deeper pattern of meaning through the merging of the quantitative and qualitative data.

• Interviews or extensive existing documents are generally acceptable as qualitative data. Open-ended questions included in a questionnaire, or as part of a predominantly quantitative survey are generally not acceptable.

• Surveys or questionnaires that collect quantitative information including secondary data, if appropriate.

• Sampling methods appropriate to each component, qualitative (e.g., purposeful) and quantitative (e.g., random).

• The use of a mixed methods design within a small number of scholar-practitioner approaches to disciplined inquiry—for instance, action research, evaluation research, survey or interview feedback, or appreciative inquiry are acceptable, as long the principal investigator demonstrates sufficient knowledge of this approach based on a thorough understanding of the literature and authoritative sources.

Undertaking a mixed methods dissertation is no small undertaking, and the decision to do so should be based on the current state of knowledge or the nature of the phenomenon, and familiarity with the literature on mixed methods research. In addition, the principal investigator should consider,

• Personal or Professional Goals: If a principal investigator has a desire to continue conducting research, then the completion of a mixed-methods study might constitute experience in conducting both types.

• Time and Resources: A mixed methods study is going to require additional time and resources.

• Current Philosophical Orientation and Methodological Competencies: The principal investigator must be competent to conduct both quantitative and qualitative research.

To gain approval of any dissertation proposal, regardless of methodological approach, the principal investigator must demonstrate doctoral-level knowledge and expertise in presenting a scientifically meritorious study. There needs to be consistency and alignment among the research problem, purpose, and research questions, based on a critical review of the literature, and supported by a methodologically sound research design. For mixed methods research, this ultimately requires two methodological approaches: quantitative and qualitative. Finally, undertaking a mixed methods study requires the support of a mentor or perhaps a committee member who has some familiarity with either mixed methods research specifically, or has sufficient knowledge and skills in both quantitative and qualitative research.

References

Argyris, C. (1970). Intervention Theory and Method. Reading MA: Addison-Wesley.

9

PSL/NHS ACCEPTABLE METHODS

Argyris, C. (1980). Inner Contradictions of Rigorous Research. San Diego CA: Academic Press. Argyris, C. (1994). Knowledge for Action. San Francisco CA: Jossey-Bass. Argyris, C., Putnam, R., & Smith, D. M. (1985). Action science. San Francisco: Jossey-Bass. Creswell, J. W. (2009). Research design: Qualitative, quantitative, and mixed (3rd ed) Thousand

Oaks, CA: Sage. Creswell, J. W., & Plano Clark, V. L. (2011). Designing and conducting mixed methods research (2nd eds.). Thousand Oaks, CA: Sage. Freire, P. (1970). Pedagogy of the Oppressed. New York: Herder & Herder. Glaser, B.G. & Strauss, A.L. (1967). The discovery of grounded theory. Chicago, Aldine. Heron, J. 1996. Cooperative Inquiry: Research into the human condition. London: Sage. Lewin, K. (1958). Group Decision and Social Change. New York: Holt, Rinehart and Winston. Kemmis, S., and R. McTaggart. (1999). The action research planner. Geelong, Australia: Deakin University Press. Moustakas, C. (1990). Heuristic research: Design, methodology, and applications. Newbury Park, CA: Sage. Moustakas, C. (1994). Phenomenological research methods. Thousand Oaks, CA: Sage. Reason, P. & Rowan, J. (1981). Human Inquiry: A Sourcebook of New Paradigm Research. London: Wiley. Stake, R. (1994). Case studies. In N.K. Denzin and Y.S. Lincoln (Eds.) Handbook of qualitative research (pp.236-247). Thousand Oaks, CA: Sage. Stowell, F. A., & West, D. (1991). The appreciative inquiry method: A systems based method of knowledge elicitation. In M. C. Jackson, G. J. Mansell, R. L Flood, R. B. Blackham, & S. V. E. Probert (Eds.), Systems Thinking in Europe, (pp. 493-497). New York, NY: Plenum. Strauss, A., & Corbin, J. (1990). Basics of qualitative research: Grounded theory procedures and techniques. Newbury Park, CA: Sage. Strauss, A., & Corbin, J. (1998). Basics of qualitative research: Techniques and theory for developing grounded theory (2nd ed.). Thousand Oaks, CA: Sage. Stringer, E.T. (2007). Action research 3rd ed.). Thousand Oaks, Calif., Sage Publications

10

PSL/NHS ACCEPTABLE METHODS

Torbert, W. R. (1976). Creating a community of inquiry: conflict, collaboration, transformation. New York: John Wiley. Torbert, W. & Associates (2004). Action Inquiry: The Secret of Timely and Transforming Leadership. Yin, R.K. (2008). Case study research: Design and method. Newbury Park, CA: Sage.

11