System Dynamics and Action Research

1. System Dynamics and Action Research Presentation by Hans J. (Jochen) Scholl Center for Technology in Government University at Albany December 6, 2001

2. Purpose • Why might Action Research be relevant to the SD field? • How can modelers benefit from this methodology? • Should we and, if yes, how can we incorporate Action Research into our research approach? • Can Action Researchers use SD to their benefits? Action Research - An Overview

3. Action Research (Introduction) • Traditional Research • Emphases and Limitations of Traditional Research • Historical Roots of Action Research (AR) • Methodological Principles of AR • Promises and Limitations of AR • Summary Action Research - An Overview

4. Traditional Research • Main Characteristics • Orientation on • Reduction • Problem Definition and Assumptions, • Piecemeal Analysis (Descartes), and • Minimum Explanation (Ockham’s Razor) • Objects and Treatments (Complete Control) • Quantification and Measurement • Cause-and-effect Hypotheses (Mostly Few Variables) • Researcher Independence and Impartiality • Repeatability • Generalization • Developed by and modeled after the Natural Sciences • The notion of a “hierarchy” of physics–chemistry-biology-psychology–social sciences) • Mostly Positivist Positions Action Research - An Overview

5. Emphases (Limitations) of Traditional Research • Focus on few variables • Orientation towards clear-cut linear causal relationships–difficulty of dealing with ambiguous causal relationships (for example, as in complex systems) • Focus on hard (mostly numerical) data - difficulty of dealing with soft variables • Research situation designed to fit literature • Literature review antecedes study • Sequential research design Action Research - An Overview

6. Emphases of Action Research • Focus on any number of variables • Fuzziness of causal (inter)relationships • Focus on soft data, verbal and non-verbal information • Research situation designed to increase scientific knowledge by solving a problem • Literature review accompanies study • Circular (iterative) research design • Theoretical framework emerges Action Research - An Overview

7. Historical Roots of Action Research • Education • Science in Education movement (1890s) • Experimentalists (for example, J. Dewey) • Reconstructionist Curriculum Development • Teacher-researcher movement • Psychology • Group dynamics movement (K. Lewin) • MIT • Tavistock Institute • Medicine Action Research - An Overview

8. Methodological Principles of AR (1) • True to label, that is, “action” and “research” • Developing scientific understanding and theory as a part of practice, particularly, when • theoretical foundations are weak, • causal relationships are fuzzy or controversial, and • the “problem” is irreducible and irrepeatable • Alternation between action and critical reflection • Action is aimed at informing and improving the understanding about action by iteratively (1) considering the results of action {reflection} and (2) understanding the meaning of the action {contemplation} • Collaboration of researcher and practitioner Action Research - An Overview

9. Methodological Principles of AR (2) • Researcher as co-subject and intervener • Geared at solving practical problems (mostly within social settings) • Iterative research • Orientation on disconfirmation of findings in subsequent cycles • Tension between action and research • AR as a social process Action Research - An Overview

10. Diagnosis Specifying Action Learning Planning Action Evaluating Taking The Action Research Cycle Client Structure Action Research - An Overview

11. Action Research vs. Consulting Action Research - An Overview

12. Flavors of Action Research • Technical Action Research • Practical-deliberative Action Research • Participatory-emancipatory Action Research Action Research - An Overview

13. The Positivist View (1) • First formulated by French social scientist Auguste Comte in the 19th century • Distinction between • Positive Science • Grounded in empirically verifiable research • Repeatability • Principle of vailidity • Metaphysics • Beliefs, hunches, emotions, intuitions, superstitions, etc. • Religion • Rejection of metaphysics and religion as part of positive science Action Research - An Overview

14. The World The World Observer Creating a representation of The World as “the World really is” as the body of scientific knowledge based on and verified by empirical inquiry The Positivist View (2) Action Research - An Overview

15. A Post-Positivist View Bringing forth A world Observer World Action Research - An Overview

16. Taxonomy of AR (1) Action Research - An Overview

17. Taxonomy of AR (2) Action Research - An Overview

18. Taxonomy of AR (3) Action Research - An Overview

19. Limitations of Action Research • Usually no causal explanations are provided • Predominantly qualitative data • Less precise problem definitions than in traditional research • Limited or even no impartiality on behalf of the researcher • Reduced control over the research process • Client/practitioner-need driven research process • Non-standardized research process • No reduction, no or little generalization • Situational • Few standards or generally agreed criteria Action Research - An Overview

20. Does AR Incorporate Scientific Rigor? • Depends on the definition of both science and rigor • Science as iterative pursuit of understanding • Rigor as systematic research on the basis of skepticism and empiricism Action Research - An Overview

21. Names to Know in AR • Kurt Lewin • Chris Argyris, Donald Schön • Peter Checkland • Jürgen Habermas • Stephen Kemmis, Wilfried Carr, Bob Dick, Robin Mc Taggert, Shirley Grundy • Edgar Schein, G. & R. Lippit • G. Susman & R. Evered, R. Rapoport • William Whyte • Richard Baskerville, D.E. Avison, Trevor Wood-Harper, Robert Zmud, Michael Myers Action Research - An Overview

22. AR– Substitute for or Complement to Other Scientific Methods? (Summary) • Method of choice when • other methods do not produce “relevance” • the problem is “fuzzy” • no theory or only highly controversial theories exist • AR readily complements other research designs • AR can also be accompanied by a meta-project (studying the process by non-participant observers) Action Research - An Overview

23. Any Questions so far? Action Research - An Overview

24. The SD Cycle Action Research - An Overview

25. An Initiative at CTG • A full day AR workshop (schedule: Tuesday, January 29, 2002) open to all CTG staff and guests • Assigned readings to teams of two to three • Each team prepares a 25 to 35-minute presentation of the reading itself as well as a practical method "tool" derived from it • Holding the workshop on Jan 29, 2002, giving the presentations, and discussing how the tools fit together • Converging all presentations and tools into a CTG AR toolkit • Making the CTG AR toolkit available on the web Action Research - An Overview

26. Questions • How does AR relate to SD? • How might we use AR? • Where can AR benefit from us, vice versa? • What are practical examples of integration? • Any other comment or idea? Action Research - An Overview

27. List of Suggested Readings(grouped by topical orientation) - to be jointly prepared by teams of (at least) two... (a) The Classics: Blum (1955), Sussman (1983), Sussman & Evered (1978), Rapoport (1970), Hult & Lenning (1980). (b) The Consultants: E.H. Schein (1969 & 1987), Lippit & Lippit (1978), Kubr (1986) (c) The Action Learning/OL & ODC People: Argyris, Putnam, & Smith (1985), Argyris & Schön (1991), Schön (1983) (d) The Australian Educators: Kemmis (1991), Kemmis & Mc Taggart (1988), Grundy (1987), Carr & Kemmis (1986), McKernan (1991) (e) The Psychologists: Lewin (1947 & 1951) (f) The System Thinkers: Checkland (1985, 1991), Checkland & Scholes (1990) (g) The IS Researchers: Baskerville, Myers, Zmud, Jarvenpaa et al, Jønsson) (h) The Methodologists: Grundy (1982), Morgan (1983), Whyte (1991a & b) (i) The Philosophers: Positivism, Post-Positivism, Phenomenology, & Constructivism (underpinnings in terms of the Philosophy of Science) Action Research - An Overview

28. Presentation Template • Papers reviewed • Key ideas • Methodological framework & idiosyncrasies • Areas of application • Cases (if appropriate) • Elements of a tool • Summary Action Research - An Overview