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Initial Activities in Implementing
an
Action Research Project
in a
Community of Interest

by

Rory O'Brien

April 1998


Course: ES6144

Course Director: Beth Franklin




Table of Contents


Introduction        1
Methodological Preparation        2
Preparation for Intervention        2
Develop general overview of the field(s)        2
Develop personal research tools        4
Create introductory and background documents        4
Develop an initial schedule        4
First Contact        5
Make initial contacts        5
Create website        6
Begin a funding proposal        6
Consider alignment with a domain-based organization        6
Design Team        7
Develop the design team        7
Create web forum for the design team        8
Create strategy, and assign and implement sub-tasks        8
Evaluate        8
Conclusion        9
Appendix A - Listing of Key Activities        10



Introduction

Action Research proceeds by using a series of theory-practice cycles to improve the circumstances of the people involved in the research. Plans are created, then implemented, and the results evaluated to inform the next cycle of planning. But this chicken and egg situation has to start somewhere - an initial plan has to be created. This document itself has been created to serve as just such a plan. It is written in the form of a listing of some things I think are potentially important to do in the first stages of an anticipated action research project.

My particular planned intervention involves participants in a community of interest, rather than a particular organization or geographic locale. This community is world-wide and addresses a multitude of broad social problems, and it is my aim to facilitate their focusing on a particular problem. In this case, I am preparing to assist the social investment field to focus more on how they might influence corporations to reduce greenhouse gas emissions, thereby reducing the dangers of climate change.

Since this situation is relatively unique, and not typical of most Action Research projects (e.g., the researcher isn't an outside party "called in" by domain-based insiders to apply methodological expertise in addressing an already-perceived problem), this document should not be considered a 'recipe' to be applied in all cases, but rather an illustration of some theory-derived guidelines for beginning research with a specific circumstance in mind. It will also provide a baseline for reflection on the methodology as the project proceeds. For brevity and the sake of generalization, however, I have not included the details pertinent to my own particular research.

As the following sections describe, there are four main sets of activities that flow into one another when initiating the research: 1) methodological preparation, which involves acquiring knowledge of action research principles and techniques; 2) preparation for intervention, which includes acquiring knowledge of the field, developing personal research tools, creating introductory and background documents, and developing an initial schedule; 3) first contact, which involves making initial contacts, creating a website, beginning a funding proposal, and considering alignment with a reputable organization; and 4) design team, which includes creating a web forum, developing strategy, assigning and implementing sub-tasks, and evaluating.

Methodological Preparation

It is quite useful to have a good grasp of the methodology prior to undertaking an Action Research project. This helps provide the researcher with a procedural framework upon which to base decisions and actions. One might take a course, or read a number of books and articles, but writing a paper will help to consolidate knowledge of the subject. It can also be tailored to the situation and distributed to participants as background reference material. In particular, researchers would do well to anticipate which types of related methods might be used over the course of the project and include these in their studies, if possible. These sub-methods might include focus groups, participant observation techniques, surveys, and the like.

Since the field of Action Research is continually evolving, serious practitioners should strive to keep up with the latest insights provided by the experience of other researchers. Subscribing to the relevant journals, or to the Internet mail lists (e.g., Action Research List (Arlist-l) and Action Research Methodology Network (Armnet-l), will provide information and forums for inquiry for ongoing learning.

Preparation for Intervention

Once the researcher is methodologically aware, the next stage is to prepare for the research undertaking at hand. This period is for gathering background information on the community of interest and developing the tools to be used. Note that this phase of information collection is not an end in itself - while no significant contact is made yet with participants in the 'community', the researcher will be continually corroborating and updating this initial information during subsequent interactions in the field.

Develop general overview of the field(s)

Prior to entering into purposeful interactions with members of a working community of interest, it is very helpful to have acquired a good understanding of the concepts, history and general knowledge of the field. This will not only serve to impress contacts, but will also allow the researcher to be less of an outsider in their eyes and make collaboration more likely. It also makes communication flow more smoothly if the researcher has already learned their worldview, values, and 'language'. One must be aware that this background research may produce a bias, though, and one must be prepared to keep an open mind in later interactions.

There are several areas to focus background preparation on: the players and their activities, their modes of communications, and the historical dynamics of the community.

First, developing a good overview of the players and their activities is important to avoid future oversight of relevant stakeholders in the process. Researching the players is a matter of discovering the organizations involved and what they do. Core organizations will be those whose work is directly related to the central tenets of the field. Peripheral organizations are those that share similar aims to the core groups, or occasionally provide similar services, but whose work is primarily in another area. The distinction is useful, insofar as it helps to situate the main body of participants in the 'domain', and at the same time provides a working knowledge of potential 'allies'.

Knowing what they do involves scanning a gamut of individual players, noting their main operational objectives, and placing them into various categories. This typology (which may already exist, which makes things easier) will help in better understanding their communications and linkages. Though it will take time, knowing the 'network' of interactions is important to weaving people and activities together.

There are two other aspects to work on. One is to be able to rank the organizations within each of their categories to know which are seen to be the more important players. The other is to identify the individuals who are considered noteworthy decision-makers in the field - these are the ones to involve on a personal basis as the initiative progresses.

It is good to know the communication venues of the players as well. These are the main means by which news and ideas are disseminated, and collaborative ventures initiated and coordinated. Knowing which magazines and newsletters are produced, which reports and news articles have been written, and which mail lists and websites are available, will make it easier to find information as well as distribute it. Again, wherever possible, it helps to rank these communication vehicles, especially in terms of their audience size and perceived importance.

The interorganizational dynamics of the community will be difficult to glean at this point, since much of that kind of information is not often published, but it is helpful to keep notes on any alliances, joint ventures, and other linkages among the players, as well as any rifts or divisions encountered.

Develop personal research tools

Preparation is not just a matter of background research, it is also important to get several research 'tools' ready for deployment. Such tools involve setting up systems for managing information as it is acquired, and so it is highly recommended that information technology be used in this regard (i.e., computers and software programs).

Keeping a research journal will help in remembering the details of activities undertaken, and make periodic summaries easier. Setting up a listing of contacts, including their e-mail addresses, will facilitate communication. A document repository system will be needed in the collection of reference materials - using both electronic and paper-based filing systems. And, since the Internet is becoming so popular, a means of categorizing and filing e-mail correspondence and website bookmarks will prove invaluable.

Create introductory and background documents

Just as it is handy to have a business card to hand out when meeting someone, it is also of benefit to have prepared documents ready to give to contacts and potential participants. A personal introduction should include a statement of bias - the relating of beliefs and opinions to show others "where you're coming from". At some point, depending on the impetus for the project, it is useful to introduce people to the research procedure with a description of expected or possible activities (e.g., a plan such as this document). A paper on the Action Research methodology may be distributed here, as could any other overviews of particular issue areas that affect the project, but that are not necessarily common knowledge to participants. Finally, a statement on ethics and privacy, along with any consent forms needing participants' signatures, may be required to conduct the research.

Develop an initial schedule

A key part of intervening in a community of interest is the timing of activities. Knowing not only the upcoming dates of significant events, such as major conferences, but also the general scheduled activities of certain players in the community (such as work 'recesses' for politicians or teachers), will help in the planning of research interventions. It is also vital to be aware of one's own upcoming future since, as a major initiator of action, the researcher must have the time available to carry out certain requirements of the work. It helps to develop such a scheduling system in the beginning, and constantly revise it as the project proceeds.

First Contact

Once the preliminary, pre-intervention preparation is complete, it is time to begin making initial contacts and becoming interactive. From here on, actions taken will be based on the feedback and advice of members of the research 'domain'.

Make initial contacts

Initial contacts must be made to solicit the involvement of insiders required by Action Research. These people will hopefully do three things: a) provide insider information about the domain - its scope, stakeholders, problems, issues and dynamics; b) give the researcher advice and feedback on the initial deployment of the methodology and the strategy for intervention; and c) suggest suitable people as possible members of the project's design team, and comment on the means by which to engage them. They may also advise on finding resources, particularly funding for the research.

Careful thought must go into choosing the 4 to 6 people initially contacted. They should be representative of the community of interest, have a good working knowledge of the domain, and, if possible, be well-connected and respected by their colleagues. It is also necessary for them to be sympathetic to the research ideals and have the time to interact with the researcher.

Unless the researcher's reputation is of sufficient stature, or the case for the research project overwhelming, it will be difficult to elicit the participation of busy decision-makers immediately. For this reason, there are two strategies that may prove useful. First, personally-known contacts can be tapped to provide assistance. If they are in the domain, so much the better; if not, they may provide personal links to those that are. Personal relations are definitely superior to 'cold calls' to strangers, although such calls may be necessary. Second, try to locate those people who have expressed a concern about, or are already working on, the particular problem of interest. They may not have the influence or resources needed, but they will probably have the inclination to participate. If they can't spare the time, they may be able to suggest someone who can.

Communication with these first contacts will be one-to-one with the researcher, by telephone unless face-to-face meetings can be arranged, with subsequent follow-up in written correspondence (mainly via e-mail). A summary of feedback should be written up by the researcher at this point, and distributed to these first contacts. It is possible that some of them will become members of the design team.

Create website

The Internet is proving to be an excellent communication tool for facilitating group processes, and one of the best ways to keep people informed about a project as it unfolds is to make use of a website. It can not only provide a common online 'file cabinet' for relevant documents, it also can act as a central reference point for gathering and disseminating information. Online forms, for example, can provide a quick means of conducting surveys, sound bites and video clips can be mounted online, and areas restricted by passwords can be used in conjunction with computer conferences to allow private group discussions.

To create a good website is no easy task, and resources should be found to get professional assistance here as soon as possible. However, it is not too difficult to set up a simple, functional site by oneself, so lack of professional resources should not preclude establishing one at the outset of the project. The initial contacts can provide feedback on the design and utility of this initiative.

Begin a funding proposal

While many social endeavours are carried out purely on a volunteer basis, any large-scale or long-term social change intervention will require significant resources. A funding source is thus essential, particularly to elicit the support of overworked personnel of underfunded non-profit organizations.

Advice on potential funding sources, as well as suggestions about fundable activities, can be solicited from initial contacts to form the basis of a draft funding proposal.

Consider alignment with a domain-based organization

In order to immerse oneself even more in the domain, the researcher could consider alignment with an organization in the field. Part-time work is a possibility, with full-time work to be considered only if it could contain the action research project itself. Voluntary service, such as joining a board of directors, or working on a committee or campaign, is another way to become more of an insider. It could also help to obtain endorsement or sponsorship for the research from a reputable organization.

Design Team

Successful action research requires the development of a cadre of people working in the field who accept the responsibilities of becoming co-researchers in the project. They do not have to share the same values, visions, or beliefs, but they must all be prepared to accept the basic premises of action research as a method for improving their collective situation. Such a group is representative of the domain as a whole, and forms the core of the decision-making regarding subsequent activities. Due to this role in formulating plans for action, it is usually referred to as a design team.

Unlike the case of the initial contacts, whose interactions with the researcher were one-to-one and of a minimal nature, the design team interacts as a group, with significant involvement in the process. These are the people who will define the problem, propose initial strategies for intervention, seek out and deploy resources, and evaluate the consequences of their actions.

Develop the design team

Potential members of the design team can be initially contacted by the researcher, or by the person who suggested their name. The researcher will explain the situation and provide the background documents (revised upon feedback from the initial contacts). If they are unwilling or unable, they might suggest others who are more likely to participate.

Once they commit themselves, it will be a matter of determining the nature and degree of their involvement. Barriers to further participation and ways to circumvent them should be identified. Communication procedures will need to be established, and all members must understand the basic principles of Action Research. These people, along with the project initiator, will become co-researchers, mutually responsible for effecting change and learning from their experiences.

The design team will set the research agenda by creating an action plan, comprised of problem definition, vision, strategy, tasks, resources, schedule of activities, and methods of evaluation. Such a plan cannot encompass too onerous an undertaking, since there will be few resources at hand initially, but it will suffice for the first research cycle. One of the first steps, presumably, will be the finishing and submission of a funding proposal to acquire resources for future cycles.

Create web forum for the design team

Good communications among design team members is essential. Face-to-face meetings are the best way for people to do group work, and these should be conducted whenever possible, but it is unlikely that sufficient resources will be found in the early stages of the project to allow for this, particularly since the members of the design team could be living in several different countries. This, along with the fact that telephone conference calls are expensive and difficult to schedule, means that some kind of electronic forum will be needed for group interactions.

The simplest and most expedient means to stay in touch is via an Internet-based mail list. Correspondence is many-to-many, and, as it arrives in each individual's mailbox, is more likely to be attended to on a daily basis. At some point, though, the group may wish to establish a private computer conference accessible from the project website. Experimentation will be needed to ascertain the optimal interaction patterns for such diverse group procedures as brainstorming, consensus building, joint documentation creation, and the like. The design team will decide on the frequency and nature of their ongoing communications, and this will be dependent on their circumstances at that time.

Create strategy, and assign and implement sub-tasks

After assessing environmental constraints and opportunities, and visioning the "desired futures", an initial strategy of action will be established. Out of this strategy, a number of activities will be decided upon to realize the goals set. Members of the design team will accept individual responsibility for carrying out these sub-tasks. In order to have a basis for future evaluation, the tasks will have timelines, resource budgets, and reporting mechanisms attached to them.

Evaluate

Ongoing communication on the implementation of the assigned tasks will be occurring on both a regular and ad hoc basis. This 'formative' evaluation is needed to maintain group interest and involvement, coordinate action, and share support when difficulties are encountered.

At the predetermined 'end' of the initial research cycle, a 'summative' evaluation will also be needed to assess to what degree the group's actions have succeeded. The project initiator will most likely be the one to write up the evaluative report, after getting feedback from the others. This report will form the basis for the next cycle of research.

Conclusion

Once the design team has begun operating effectively, the initial phase of the project can be said to be complete. The onus for conducting the project has been removed from the initiating researcher and is now shared among several people willing to work together on the issue. But, as is the nature of all cyclical processes, many of the activities begun in this phase will have to be maintained, and improved on, during subsequent research phases. The tools and techniques used will be re-applied as the project evolves and expands, and new ones added, and they will be made all the better as the result of the experience gained from these initial preparations.

Appendix A - Listing of Key Activities

Methodological preparation

Improve knowledge of the methodology


Preparation for Intervention

Develop general overview of the field(s)

Develop personal research tools

Create introductory and background documents

Develop an initial schedule


First Contact

Make initial contacts

Create website

Begin a funding proposal

Consider alignment with a domain-based organization


Design Team

Develop the design team

Develop the design team, i.e., those "resonant" insiders - sympathetic, in-the-know, known by you or recommended by someone who knows them

Create web forum for the design team

Create strategy, and assign and implement sub-tasks

Evaluate

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