1. Methods I: Action Research
IS6602 – Seminar 3
Methods I: Action Research

2. Introduction
Action Research (AR) is a method of research and organisational change that is sometimes adopted by consultants
AR is useful for IS6602 because it facilitates a very structured approach to the activities that consultants undertake
I have used AR in several consulting projects in different industry sectors

3. Origins
AR was developed in the mid-1940s by Kurt Lewin and focused on a three-stage process: Unfreezing, Changing and Freezing
The existing mind-set has to be dismantled
The old is replaced with something new
The new mind-set is frozen into place and an equilibrium is restored
Lewin also argued that only through experience can people really change

4. Lewin, AR and Consulting
Lewin’s contributions to knowledge are important for consultants, who must:
Work with clients to help them understand the nature of a problem
Provide a change process that addresses the issue
Help clients to accept the new mind-set that is created
The client experience is central to consulting practice

5. Later Developments
In 1978, Roger Susman and Gerard Evered proposed a new model for AR
This now involves five key stages which operate in a cyclical fashion
Diagnosis, Action Planning, Action Taking, Evaluation, Reflection
Here the formal structure is more clear, as is the need for a formal agreement between the researcher or consultant and the client

6. Consultant-Client Agreement
Modified 1978 Model
Consultant-Client Agreement

7. AR Definition Action Research involves…
solving organisational problems
improving organisational circumstances for stakeholders (employees, managers, customers)
… by means of consultant intervention, thus…
contributing to knowledge about method, theory & organisational practice

8. AR Characteristics Iterative Rigorous Collaborative
One or more cycles of interventions is normal
Rigorous
Carefully planned iterations to develop detailed problem context knowledge and to identify relevant solutions
Continuous problem (re)diagnosis
Flexible application of the method
Collaborative
Consultants and Clients must work together
Clients must actively participate in the project

9. AR and Clients
As a method, AR has seen application by both researchers (academics) and consultants
AR is quite formal and academic. It includes the application of theory.
This may not be what the client cares about – all the client wants is a solution to an organisational problem
AR requires consultants and clients to work together collaboratively – this can be a huge challenge

10. AR and Theory
A theory is a plausible body of principles offered to explain phenomena
The Theory of Planned Behaviour
Punctuated Equilibrium Theory
The purpose of theory is “to describe and explain how things actually work” (Lynham, 2002)
A theory helps us “organise our thoughts, generate coherent explanations and improve our predictions” (Hambrick, 2007)

11. AR and Theory Application
We use theories to
organise and make sense of phenomena
explain and predict human behaviour
focus on the most fundamental ideas, showing the relationships between these ideas
provide a consistent set of concepts and principles that we can compare with reality
Theories are useful if they guide and structure the design of a project
Theories may need to be adapted to a specific context

12. AR and the Organisation
An AR project can be expected to investigate the evolution of an organisational change process in detail
Each organisational context will have a unique set of constraints and idiosyncrasies
Organisations are not static objects:
You can’t plan everything in advance
There is an infinite variety of circumstances to which you must adapt!
A plan is useful, but must also be flexible

13. The Need for Guidelines
Any method needs guidelines if it is to be used consistently and correctly
Consultants need to know what they are doing and how to do it well, so as to ensure:
Consistency when applying the method
Plans and interventions are rigorous (methodologically correct) and relevant (useful, consumable, readable, meaningful and value adding to the client)

14. Improving AR as a Method
AR has been applied quite extensively in the last 35 years, but before 2000 there were no ‘how to do’ guidelines
Based on our experience, we wrote up such a set of guidelines in two papers
These were designed to be helpful, but not deterministic
These guidelines were originally written for researchers, but I adapt them here for consultants

15. Principles of AR (2004)
In our first paper, we developed a set of five principles and 31 criteria that were designed to:
apply to most AR situations
be interdependent yet flexible
facilitate
clear/systematic presentation of findings,
justification of courses of action,
explicit contributions to knowledge
an assessment of how well done the AR was

16. Theory & AR (2012)
In our second paper, we revised some criteria, added others and focused in particular on the role of theory
We identified two different types of theory
instrumental
focal
and documented how each contributes to making AR better.

17. Principles & Criteria Consultant-Client Agreement
Cyclical Process Model
Role of Theory
Change through Action
Specification of Learning

18. 1. Consultant-Client Agreement
Guiding foundation for the project
Client must understand what CAR involves
Mutual guarantees for behaviour, including an NDA and consultant rights
Basis for building trust in the organisational context
Promote a spirit of shared inquiry, such that the client accepts the principle of collaboration and the consultant gains access to resources

19. CCA Criteria
Did both the consultant and the client agree that AR was the appropriate method for the organisational situation?
Was the focus of the project specified clearly and explicitly?
Did the client make an explicit commitment to the project?
Were the roles and responsibilities of the consultant and client stakeholders specified explicitly?
Were project objectives and evaluation measures specified explicitly?
Were the data collection and analysis methods specified explicitly?

20. 2. Cyclical Process Model
Sequential progress through the Cyclical Process Model helps to ensure rigour
Some between-stage iteration may occur – needs to be justified
Usually several cycles are necessary
It is rare that the problem can be fixed quickly
Considerable time and energy, from many people, are required

21. Consultant-Client Agreement
Modified 1978 Model
Consultant-Client Agreement

22. New Cyclical Process Model (2012)
Project Start
Project End
Diagnosis
Action Planning
Reflection
Instrumental Theory
Focal Theories
Consultant-Client Agreement
Evaluation
Intervention

23. CPM Criteria
Did the project follow the cyclical process model or justify any deviation from it?
Did the consultant conduct an independent diagnosis of the organisational situation?
Were the planned actions based explicitly on the results of the diagnosis?
Were the planned actions implemented and evaluated?
Did the consultant reflect on the outcomes of the intervention?
Was this reflection followed by an explicit decision on whether or not to proceed through an additional process cycle?

24. CPM Criteria
Were both the exit of the consultant and the conclusion of the project due to either the project objectives being met or some other clearly articulated justification?
How was the independent diagnosis of the organisational situation conducted?
Which instrumental theories did the consultant use?
How were these theories selected?
How did these theories support the identification of the focal theory used to guide the changes?
Post-intervention, did the consultant reflect on the instrumental theories used and their suitability?

25. 3. Theory Theory is a central component of Action Research
Theory can help the consultant to analyse a situation, to ask the right questions and then to plan the changes
However, it is highly unlikely that a consultant will know definitely and in advance the exact theory that will be used
So the consultant may need to engage in theory-free problem diagnosis at the start of a project

26. Theory Lewin (1945): “There is nothing so practical as a good theory”
Ghoshal (2005): “Nothing is as dangerous as a bad theory”
Both of these two statements apply equally to AR
Selection of an appropriate theory must be handled with great care given the potential for negative consequences in the organisational setting.

27. Instrumental Theory Instrumental theories help us to
“organize our thoughts, generate coherent explanations … [and so] achieve understanding” (Hambrick, 2007).
Such theories will be practical (Lewin 1945) and closely match reality (cf. Weick 1995).
Instrumental theories are particularly valuable for diagnosis and planning
They play a mediating role between client and researcher
They are used to explain and analyse organisational activities related to the project/problem
They include any tools, models or processes that help us to make sense of how work is done or how outcomes are achieved.

28. Examples of Instrumental Theories
Balanced Scorecard
Value Shop, Value Chain,
Business Process Models
Porter’s Five Forces Analysis
SWOT and PEST
Work Systems Theory
Any model or theory that can be applied to an organisational situation so as to make sense of what people do

29. Focal Theory
Provides the intellectual basis for action-oriented change in a CAR project.
Is unlikely to remedy an organisational problem alone; must be in combination with one or more instrumental theories
Must be aligned to the precise organisational circumstances
TPB, TAM, PET and TMT are good examples of general purpose focal theories

30. PET: Punctuated Equilibrium Theory
Unlike theories of steady but slow incremental change, PET suggests that change takes place in revolutionary bursts, triggered by significant environmental changes that break apart a system’s deep structures
Technological innovation can be one such environmental change
Killer IT innovations can be seen as
examples of these punctuations

31. TMT: Transactive Memory Theory
Individual people can serve as external memory aids to each other (Wegner, 1986)
Members of a Transactive Memory (TM) System (TMS) can benefit from each other’s knowledge and expertise if they develop a good, shared understanding (meta-memory) of who knows what.
TMS enable better use of knowledge held by members and so higher performance

32. Indigenous Theory
Sometimes it may be that you cannot find any theory that adequately maps onto a specific organisational situation and gives you guidance about what kinds of action to follow
You may need to develop your own theory, perhaps after the intervention is completed, in order to explain better what happened
Do Western theories make sense in China?
Are there local constructs, concepts, ways of thinking that are not represented in the Western theories, yet which are critical to local behaviour?

33. Theory & Consequences
What might go wrong if we pick an inappropriate theory?
We could push the organisation to change in a direction that does not fit its organisational culture, leading to internal conflicts, or worse.
We need to choose a theory that fits the organisational circumstances, the IT, the people, the culture.
The client needs to approve the theory.

34. Theory Criteria
Were the project activities guided by a theory or set of theories?
Was the domain of investigation, and the specific problem setting, relevant and significant to the interests of the consultant as well as the client?
Was an instrumental theory used to derive the causes of the observed problem?
Did the planned intervention follow from this instrumental theory?
Was the focal theory used to evaluate the outcomes of the intervention?

35. Theory Criteria
Did a focal theory emerge from the situation or during the problem diagnosis?
Was this focal theory acceptable to both client and consultant?
What role did instrumental and focal theories play with respect to the diagnosis and the action planning?
Were these theories evaluated for their applicability to the organisational context, considering current organisational practices?
Did both the consultant and the client undertake this evaluation?
Were theoretical explanations for the current organisational problem situation evaluated and reflected upon?
Did the consultant reflect on the focal theory used and its ability to predict the change outcomes?

36. 4. Change through Action Action and change are indivisible
If there is no change…
No problem, intervention failed, or obstacles prevent successful intervention
Both consultant and client must be motivated to design and implement change
The change needs to be contextually and culturally appropriate

37. Change through Action Criteria
Were both the consultant and the client motivated to improve the situation?
Were the problem and its hypothesized cause(s) specified as a result of the diagnosis?
Were the planned actions designed to address the hypothesized cause(s)?
Did the client approve the planned actions before they were implemented?
Was the organisation situation assessed comprehensively both before and after the intervention?
Were the timing and nature of the actions taken clearly and completely documented?

38. 5. Learning through Reflection
After the intervention is complete, the consultant and the client need to reflect on progress
Did the practical solutions work?
If not, why not? What else could be done?
Was the theory and the method appropriate?
What else was learned that can inform either future interventions in the current project or future projects?

39. Learning through Reflection Criteria
Did the consultant provide progress reports to the client?
Did both the consultant and the client reflect upon the outcomes of the project?
Were the research activities and outcomes reported clearly and completely?
Were the results considered in terms of implications for further action in this situation?
Were the results considered in terms of implications for action to be taken in related research domains?
Were the results considered in terms of implications for the consulting community?
Were the results considered in terms of the general applicability of AR as a method?

40. Conclusions AR is a very practical and flexible method
It provides a framework for consultants to apply to different situations and explains how theory can help
It provides many criteria (questions) that push the consultant to engage in different activities
It does not go into the precise details of how the client’s needs can be diagnosed – we will look at this next week.