Department of Social Practice
Research Methods CSTU 7920
Book of Readings 2010
Transdisciplinary Research
CSTU 8002
Pre-readings, 2010
Edited and annotated by
Geoff Bridgman and Helen Gremillion
Research Project: Beginning the research project
CONTENTS
OVERVIEW
Beginning the research project
Citations and referencing
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9
HISTORY AND THEORY
The foundations of science, and the impact of modernism and postmodernism
Creating an overarching paradigm for research
Science wars
Beyond modernism and postmodernism
A study of the men’s movement - direction and development in Aotearoa
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27
28
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SETTING UP THE RESEARCH
Research Methods
Interviewing and the phenomenological approach
Interviewing
Interview schedules
Introduction to grounded theory
Grounded theory: a thumbnail sketch
The methodology and method for Study on the Effects of Body Image Issues
on the Lives of Young Women
Case Studies
Semi-ethnographic research
Focus groups
Methodology for a focus group on Mäori perceptions of Success
Focus group schedules
What is participatory action research?
Developing a Mäori health service using participatory action research
The Delphi method
Surveys and questionnaires
Setting up the survey
Methods of observation
The process of observation
Introduction to discourse analysis
Introduction to semiotics
Deconstruction
Other discourse analysis methods
RESEARCH ETHICS
Application processes, decisions and reader roles
Unitec Research Ethics Committee Policies and Procedures
Guidelines for completing Ethics Applications at Unitec
Sample Information Sheets
Sample Consent form
Misconduct in Research – UREC Policies and Procedures
Example of an Application for ethics approval for a research project
Examples of Focus Group, Interview, and Questionnaire schedules for
Ethics application
Guidelines for Researchers on Research Involving Maori
Mäori involvement with different models of research – some ideas
Inputting data into a spreadsheet
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51, 191, 193
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57
65
68
79
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89, 190
91
102
107
110, 192
112
126
130
131
133
142
150
157
158
156
160, 184, 186
163, 183, 184
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190
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Research Project: Beginning the research project
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BEGINNING THE RESEARCH PROJECT
1. Finding a topic area.
When picking an area for research, consider the following:

What are the areas of potential research that are most interesting to you?

What are the areas of potential research you know most about?

Can you work well within the culture(s) of your intended participants?

What are the areas of research that would be easy to research, because of access to
participants, fairly obvious methodologies, good agency support?

What kind of research methodologies appeal to you – qualitative or quantitative?

Who is around to help supervise the research?
3. Read, read, read. Once you have selected a topic area you need to develop a
strategy for reading. This will include information on

the topic area, and,

research methods
If you are going to use a grounded theory approach – one where you develop new
theory from data, rather than test a known theory against new data – then your reading
to start with will be restricted more to the understanding of research method and
theory, rather than reading about the topic area. In grounded theory you collect your
information analyse it and create theory, and then look round for theory and data that
support, extent or contradict you findings and theory. So most of your reading comes
at the end of your research, not at the beginning
Table 1:Topic Areas for:
The Status and Direction of
Men’s Groups and
Organisations in Auckland
Origins of Men’s Movement
New Zealand Issues for Men
Fatherless New Zealand
Models/Key People
Mythopoetic
Feminist Men’s Movement
Father’s Rights and
Fatherhood Movement
Men’s Rights Movement
Christian Men’s Movement
Development of the Men’s
Movement
New Zealand
Developments
Relationship to Feminism
Need and Acceptance
Patriarchal Dominance
Biological versus Social
Constructs
As a Social Movement
If the topic area was about the spiritual
experience of people who had suddenly lost a
loved one (a child, or a parent or partner) well
before their death could be expected, reading
could cover such areas as: the meaning of
spirituality, recovery from and the treatment of
trauma, and the grieving process. Within each
area there could be sub-areas.
Participant demographics (age, gender,
ethnicity etc) could also be an important area
for reading. This issue probably looks different
form the perspective of different cultures, and
also from different age and gender
perspectives. Suddenly losing a mother is
different than loosing a child or a partner.
Knowing how often an event occurs in the
population as a whole helps us determine the
importance of the research, so we need to read
about the demographic context of our intended
research.
Develop a list of key points from the readings
under topic headings. Table 1 shows the topic
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that were important in a research about the men’s movement in New Zealand
4. Develop a Research Hypothesis or Question.
An hypothesis is a statement which can be falsified. Here is an example:
Spiritual experience assists the healing of
individuals after the sudden and untimely
death of a loved family member.
Another research topic could be about growth and change in the men’s movement. A
two-part hypothesis about this topic could be:
The men’s movement has grown over the last ten years, and the issues emerging
have changed as the movement has grown
In theory it is possible to test these hypotheses to see whether they are true or false. A
research topic does not have to be put as a hypothesis. We can examine the experience
of grieving people and test whether spiritual experience was an important their
healing. We can count the number of men involved in the men’s movement, now and
ten years ago to test how much it has grown. We may feel that the above hypotheses
have too many unknowns (can we really work out how many men were involved ten
years ago?), are two rigid (is the size of the men’s movement an important piece of
knowledge?), or to vague (what actually does “assists the healing” really mean?).
Instead of setting out to prove something one way or the other it might be better to
describeand persuasively analyse the role of spiritual experience in relation to
traumatic loss or the way in which the men’s movement is evolving. So the research
questions might be put instead of a hypothesis:
How does spiritual experience influence the healing of individuals after the
sudden and untimely death of a loved family member? and
How has the men’s movement changed in the last ten years?
Initially it is better to start off with a research question and as you read and understand
more about a topic area, you may develop that question into an hypothesis.
Alternatively, you candeepen and refine your research question into a persuasive
argument:
While the men’s movement reflects progress towards gender equality, it
simultaneously entrenches certain gender stereotypes.
5. Define your key terms.
The words in the research hypothesis/question need to be defined at the outset.
Usually many of the words that we use in our hypothesis or research question will be
capable of many different meanings. If we are going to do credible research we have
to limit those meanings so that the reader is left with a single meaning for the
hypothesis or question or a limited set of options that s/he knows are to be explored.
What terms do we need to define from the question above? Firstly, we have to define
what is meant by the men’s movement. As we can see from table 1 opposite there are a
number of different strands to the men’s movement, and their common element is
what we are initially trying to define. Secondly, what is referred to by the word
change. Here we have to define the specific areas of change that we are referring to.
For example:

growth in participants
Research Project: Beginning the research project
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

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change in leadership
changes in approach, philosophy
change in the context in which the movement operates
In this case the period of change seems well defined (ten years), but once we do some
reading, a more natural starting point might emerge, such as the date of the first
national meeting or workshop of men involved in the men’s movement.
Any research looking at spirituality, might need to carefully define meaning of this
word in order to set manageable limits to their exploration of this topic..
6. What is the relationship of the key variables?
Note: As discussed in the final paragraph of this section, the causal processes
described in this section reflect a modernist and positivist paradigm. A postmodernist analysis would question clear distinctions between independent and
dependent variables, and would also question the very notion of “extraneous”
variables. Please keep this in mind as you read!
The research hypothesis or question contains words or variables that have to be
related to each other. There are four kinds of variables we have to think about:
a) Independent variables. These are variables that cause something to happen.
Spiritual experience is an independent variable is that it is seen as assisting
recovery from traumatic loss.
b) Dependent variables. These variables change with the independent variable (they
depend on it). According to our hypothesis healing depends on spiritual
experience.
c) Extraneous variables, co-variables. These are variables that can influence either
or both the independent and/or dependent variable. For example, an extraneous
variable could be income. Healing for a wealthy participant could be easier than
for a poor one. On the other hand spiritual experience could come easier to the
poor participant than to the wealthy one. The problem is, how do we tease out the
effect of wealth from the effect of spiritual experience? Worse, what about all the
other possible extraneous effects like the type of relationship between the
participant and their dead relative? Our literature review will identify which are
the important extraneous variables we should watch out for. We can minimise
their impact through statistics or by selecting a sample in which the key
extraneous variables are very similar across individuals. Sometimes we want to
ensure that broad range of extraneous variables are present, to prove that the
independent variable has power in spite of their presence. So even though wealthy
people might recover from the pain of grief using their money, that recovery may
be faster/deeper with spiritual support.
d) Background or demographic variables. These are the most common extraneous
variables (age, gender, ethnicity, income, education, occupation, housing, etc) and
often the most likely to influence our other variables. We always need to measure
these in some form or another.
The research question poses relationships between independent and dependent
variables – between spiritual experience and healing. Before we set out to do the
research we have to be as clear as we can about what aspects of these two variables
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we are going to be able to measure or describe. This may be different from what may
be generally defined as spiritual experience or healing. That is to say that while the
definition of spiritual experience includes many things, we will be describing or
measuring only some of those things in our research.
Variables can have complex relationships, and although the hypothesis gives a cause
and effect relationship, fully interactive relationships between variables are highly
probable. Just because we define a variable as independent or dependent does not
mean that they function exclusively in these roles. The experience of healing, for
example, might be seen as a precursor to a spiritual awakening rather than the other
way round.
Causal processes reflect a modernist and positivist position. A post-modernist
analysis might look at how meanings around spirituality are constructed to create
viable relations with the departed and a sense of purpose and stability in the present
world. We will discuss modernism and post-modernism in the next two sections.
7. Theory and research.
What are the key ideas and theories that are driving the research? Hypotheses come
from theories. So it is very important to look at theories to see what hypotheses they
generate. For example, in examining the spiritual experience of people who had
suddenly lost a loved one well before their death could be expected, theories about
the nature of spirituality need to be understood. Positions relevant to New Zealand
include the views of the Christian churches, Mäori and Pacific Island traditional
spiritual beliefs around the power of ancestors and of natural forces, and the impact
of eastern and new-age spiritual ideas. The churches place great store in the healing
power in the love of God, Mäori in the force of wairua, while the belief in
reincarnation in Buddhism and Hinduism might play a major role in healing, and so
on.
What key models of the healing process might be important e.g. recovery from trauma
and grief models? Some models of grief suggest that spiritual experience is a phase to
be passed through, not stuck in. Cognitive and behavioural models might describe
spiritual experience as a coping strategy.
What philosophical, psychological or sociological theories are there that would
suggest spiritual experience could be of critical importance in healing? These could
range from the holism of Ken Wilber and Te Whare Tapa Wha, through to
psychotherapeutic models, the philosophy of Alcoholic Anonymous, and the newer
“Continuing Bonds” theory of recovery from grief. All of these models argue from a
non-religious perspective that spiritual experience is a necessary part of living and
therefore healing. Religious perspectives are, of course, rich in theory
We seek understand theory so we can either set up hypotheses to test the theory (e.g.
people with a strong or particular type of spiritual practice recover from loss and grief
more quickly that people with weak or absent spiritual practice), or we can examine
the lives of people recovering from loss and grief to see how their practices and
beliefs relate to theory
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8. History and research.
Usually it is important to understand the history of ideas and events that led to the
research question. For example, the following questions are probably important to
understanding of how the men’s movement has changed:

What were the origins of the men’s movement internationally?

What was the social context of the times when it emerged?

What are the philosophical links between the men’s movement and feminism?
9. Previous research related to the question.
What information or data (not theory) is available to help refine the research
question/hypothesis. This may have to be divided into several parts:
a) research that directly examines the constructs, behaviours or processes under
study (in this case the response to the sudden and untimely death of a close
relative). For example, there is quite a bit of research around the grieving process
that people go through when they are involved with trauma or death. What data
can you find to show that spiritual experience is important in the grieving
process?
b) research that indirectly supports the hypothesis advanced (e.g. that spirituality is
important for recovery). For example, within mental health and the drug and
alcohol area generally there is good evidence of the effectiveness of therapies that
have a strong spiritual context. Alcoholics Anonymous and its offshoots are the
best examples.
c) research that indirectly negates the hypothesis (e.g. suggests that spiritual
involvement harms recovery) is also be important. Psychotic experiences can
have close similarities to spiritual experiences and are generally seen as
undesirable. How can the contradictions be resolved? We might, for example be
talking about different kinds of spiritual experience – some which heal and some
which harm.
d) research that deconstructs the fundamental assumptions underpinning concepts
such as healing, grief and trauma, spirituality, feminism, men’s rights, etc.
e) evidence that is not written down yet is important in understanding how the
research question arose. The personal experience of the researcher, or of a person
known to them, may be important. Information from cultural elders may be
important to the development of a research hypothesis.
What theoretical positions look valid in terms of the research discussed?
10. Why is this research worth doing?
Often some kind of direct benefit to the community is claimed. How many would
benefit? We need to look at demographics if these are readily available. What is the
proportion of the population that would experience a “sudden and untimely death” of
a close relative? Are there other groups of people that would benefit from the
information? For example, would it have relevance to trauma sufferers in general?
Other areas that might be explored are the financial costs relating the issue under
study. The number of people affected might be small but the costs of supporting or
not supporting them could be high.
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A poststructuralist approach to value might look at whether the way we conceptualise
research question will empower the participants in the research to discover things that
are useful to them, or whether it will support theories which marginalize participants.
11. How are we going to find a way to explore the research hypothesis?
We have a number of options some of which are qualitative (dealing with activities,
experience and ideas that can only described in words and not numbers) and some of
which are quantitative (dealing with activities, experience and ideas that can be
reduced to quantities or numbers like percentages). Firstly the qualitative approaches:
a) Interviews: These are usually one to one. They can range from highly structured
to free form. Interviews are good where the issues are not clear and where there
has been little research published. Better for research on sensitive issues, where
access to a large pool of participants will be difficult. Much harder to generalise
from and harder to analyse.
b) Focus groups and group discussions: Focus groups have a structured discussion
format and topics. Discussions can be more free-form. They have the advantage
that participants can be encouraged by the shared experience and have new
insights. They have the disadvantage of possibly being spoiled by the domination
of one or two participants. There are many discussion different discussion formats
such as fishbowl and Delphi methods. The fishbowl method involves dividing
your discussion group into two and having one half engaged in discussion while
the second operates as a reflecting team. The Delphi method is a written rather
than oral discussion process.
Next the key quantitative approaches:
c) Questionnaires and surveys. Usually presented in written form, but can be oral as
well. The questions usually require the participant to select from a number of
options. Good where the issues are well defined and you can get access to a large
pool of participants that will allow you to generate statistically significant results.
Many questionnaires are in a standard form that has been used across a wide
range of contexts. Methodologies like Q-sorts are like forced choice
questionnaires in that they present a whole lot of ideas/concepts in words and/or
pictures on cards about a topic and ask participants to sort and categorise these in
terms of their relationships or value.
d) Observational approaches: observation of the behaviour, including verbal
behaviour, of the participants. Behaviours include anything that is consistently
measurable from blood pressure through to word frequency. It generally excludes
the opinions, beliefs, thoughts and descriptions of internal states. Excellent for
demonstrating the differences between beliefs and attitudes and behaviours, and
for showing how external events can control behaviour. Often they produce
statistical information of high quality.
Research frequently involves a mixture of qualitative and quantitative approaches.
When we do interviews we usually collect quantitative information usually around
the demographics of the participants (age, gender, ethnicity, income, educational
level, occupation category). Often questionnaires contain comment or interview
sections where long replies can be anticipated. Information from taped interviews and
focus/discussion groups are often subjected to quantitative analysis where word and
concept frequency is counted. If interviews or discussions are video-taped then there
Research Project: Beginning the research project
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may be other behaviours that can be counted as well. There are other methods which
used a mixed approach
e) Use of pre-existing documentation: This includes written, taped and filmed
material, current and historical records, reports, databases and raw data.
f) Case Studies: An in depth analysis of information from and about a single person.
Can include interviews, questionnaires, historical and current pre-existing
information, and observation.
g) Participatory Action Research (PAR): This is a model where the participants in
the research have control over the research method and process - initiation,
design, management and writing of the research and the ownership and use of the
research, PAR research usually involves discussion and consensus building
processes which are frequently reported as research as well as the collection of
quantitative data.
12. Maintaining our objectivity?
The word objective has two distinct meanings of interest to us here1:

Based on observable phenomena; presented factually.

Uninfluenced by emotions or personal prejudices
Quantitative methods try to meet these two criteria of objectivity through
measurement. Measurement seems to transform observation into an objective process,
impervious to emotional influence. However, the choice of what we measure is a
subjective process and process of measurement can exert specific (unintended) effects
on the phenomenon that is being measured. Imagine trying to measure spirituality.
Would your own beliefs affect what you chose to measure - e.g. attendance at church,
acts of compassion, instances of hearing voices from the past? Would your
participants respond well to a process that just counted phenomena?
Postmodernist researchers question the concept of objectivity (although there is
widespread agreement amongst all kinds of researchers that opinions and raw
experience, presented in anecdotal and/or unmediated ways, do not by themselves
constitute “research”). Postmodernists argue that “facts” are always also
interpretations (there is no “pure fact”), and that no-one can be uninfluenced by
emotions or personal prejudices. Therefore it is imperative, as much as possible, for
researchers to understand and acknowledge their own emotions and prejudices and to
use research processes that fully explore the meanings that people give to experience.
This approach requires the use of qualitative methods and in its strongest form an
attempt to avoid theorising about possible research outcomes before embarking on the
research. Some form of “objectivity” is thus achieved by rendering transparent the
ways in which participants (including the researcher) address the topic area and shape
the research. It means that having decided on the topic, the researcher does not relyon
further reading to develop her specific project; rather, she engages the participants,
and the research is shaped by their responses. This process occurs withingrounded
theory – wherein theory emerges, in the first instance, from the ground of the
conversations with participants, rather than established theory. It is acknowledged that
already-established theory may be riddled with cultural assumptions. An important
part of research, then, involves deconstructing (critically questioning and examining
the effects of) existing research. In grounded theory, this critical questioning step will
1
The American Heritage® Dictionary of the English Language: Fourth Edition. 2000.
Research Project: Beginning the research project
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often take place after data collection and “grounded” theory development are well
under way.
Participatory action research methodsacknowledge that self interest is a vital energy
in research and that credibility with one’s intended readers is as important
as“objectivity” per se.
13. Critiquing Criteria for research projects. Once you have gone through the
twelve steps above, review what you have done.
a. Is the phenomenon a human experience/behaviour within a natural setting relevant
to social practice?
b. Can you clearly specify that aspect of behaviour/experience you wish to research,
or can you specify the steps you might have to take to be able to do that?
c. Can you specify the cultural/organisation context of your research and the
problems that emerge from this?
d. Does the general method you have chosen matche the questions you wish
answered and fit the context within which you wish to do research?
e. Have you identified the biases you have as a researcher and how this might affect
your research?
f. Have you a research framework that meets the limitations and opportunities
provided by your beliefs and experience?
Research Project: Citations and referencing
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CITATIONS AND REFERENCING
Two of the more tedious academic tasks are citing extracts from other sources that
you use in you text and providing appropriate references for all source materials.
There are a number of systems used for citations and references. All are complex. To
keep things as simple as possible for students we are adopting one reference style
across the BSocP courses. This is the American Psychological Association (APA)
system as set out in their Publications Manual2. APA style has a number of annoying
features:
 It uses a lot of unnecessary punctuation and filler words (periods and commas in
the author’s listing, words such as ‘retrieved’, ‘from’ and ‘web site’)
 It is inconsistent in its use of italics and would be preferable not to have them as
happens in other systems
 It reflects US usage rather than international usage (date style, inclusion of US
state name abbreviations)
 It discounts oral sources as valid references for academic writing [we ignore APA
at this point]
Given its quirkiness, it is vital that students learn to use it before getting into serious
note taking. Nothing is worse that trying to locate references days or months after that
perfect quote was recorded. Always get the reference down properly as you do your
reading.
APA INTEXT CITATIONS2
In general the following rules apply:
1. You must cite the author/s and year in the text and make a citation on the
reference page if you paraphrase or refer to someone else's work.
2. You must cite the author/s name, year and page number if you make a direct
quote from someone's work and identify the material using quotation marks. For
example: "Material directly quoted from another author's work or from one's own
previously published work, should be reproduced word for word. Incorporate a
short quotation (fewer than 40 words), in text, and enclose the quotation with
double quotation marks" (American Psychological Association, 2001, p.117).
3. The above quote is 38 words – if the quote is 40 words or more (4 lines), it
should be started on a new line and indented
4. While the page number is not required for paraphrased materials, authors are
encouraged to include one when it would help an interested reader locate the
relevant passage in a long or complex text (American Psychological Association,
2001, p.121).
Examples of in-text citations
In-text citations include the author's name and date of publication. The page number
is required if the cited material is a direct quotation.
2
This material has been slighted adapted from: Bennet, M., APA Style Formatting Guide. Retrieved
from February 22 2002, Indiana State University, School of Nursing. Web site:
http://www.indstate.edu/nurs/mary/apa2.htm
American Psychological Association (2001). Electronic References: Extracts from the Publication
Manual (5th Ed.). Retrieved February 22 2002 from http://www.apastyle.org/elecsource.html and
http://www.apastyle.org/electext.html
Research Project: Citations and referencing
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Direct Quote Example: As Childs (1981) reports, "the number of people
suffering Multiple Personality Disorder continues to grow" (p. 32).
If you are using a direct quote from an electronic source which does not provide
pages numbers, use paragraph number. Use the paragraph symbol ( ¶ or ‘para’ )
when citing the paragraph number. To insert the paragraph symbol using MS Word,
place the cursor where you want the symbol, click on Insert, Symbol, then select the
symbol you want.
Example: As Myers (2000, ¶ 5) stated "positive emotions are both an end ...."
or: As Myers (2000, para 5) stated "positive emotions are both an end ...."
If the author's name is not given in the signal phrase before the quote or
paraphrase, it must be given in the parentheses at the end of the citation.
Paraphrase Example: Mental health workers must be aware that the number
of cases of Multiple Personality Disorder continues to grow (Childs, 1981).
In a work with two authors, the names of both authors should be given. (Note the use
of the word 'and' in the text version while the '&' symbol is used inside a parenthetical
citation.)
Direct Quote Example: According to Smith and Jones (1995), "the study of
mathematics is an integral part of secondary education" (p. 11).
Or: Experts assert: "The study of mathematics is an integral part of
secondary education" (Smith & Jones, 1995, p. 11).
In a work with three to five authors, use all authors’ names for the first citation. In
subsequent citations, use only the first author’s name followed by "et al."
Example first citing: According to educational psychologists, raising children
is a responsibility of the entire community (Franklin, Childs, & Smith, 1965).
Subsequent citings: To be successful, "communities must be willing to take
this responsibility" (Franklin et al., 1965, p. 135).
When citing more than one source for the same information, a semi-colon is used to
separate the references.
Example: Distance from health care providers, lack of transportation, lack of
health care providers, lack of information about the disease and various
treatment options, poverty and social isolation due to geography are all factors
which affect treatment decisions of rural clients (Sullivan, Weinert & Fulton,
1993; Weinert & Burman, 1994).
APA REFERENCING FOR PRINT SOURCES
General Formatting Information
1. Start on a new page. Put the word References at the top.
2. Any citations made in the manuscript must be presented in this section and vice
versa. That is, if something is not cited in the text, then it should not appear in this
section. This is not a bibliography (which is a list of useful readings, some of
which have not been cited)..
3. In your writing, whenever you say something like 'studies have shown . . . ' you
must provide a citation. This section tells the reader where they can find these
citations.
Research Project: Citations and referencing
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4. This section is alphabetised by last name (of the first author involved in the
study).
5. For each author, give the last name followed by a comma and the first (and
middle, if available) initials followed by periods - Foliaki, A. P.
6. For articles with more than six authors, give the last name and initials of the first 6
authors, followed by et al. (note the period after 'al') – Foliaki, A. P., Tipene, W.,
Bryant, R. H., Prakash, D., Leung, G., Merceau, J. M., et al.
7. Separate multiple authors with commas and the last author with the ampersand
('&') rather than the word "and" - Foliaki, A. P., Tipene, W. & Bryant, R. H.
8. After the author(s) comes the year (in parentheses and followed by a period). Foliaki, A. P. (2002).
9. See the reference section below. It provides several types of references, including:
Single and multiple author, journal articles, book, and book chapter, web page, as
well as a government document.
10. Note the use of italics for Journal and Book Titles.
Examples of Common* APA Reference Styles (and some uncommon ones mostly
used by nursing students)
Publication of a professional Association, no author: Group/date/title in italics/city
of publication/state (USA only) or country
American Psychological Association. (1994). Publication manual of the
American Psychological Association (5th ed.). Washington, DC
Journal Article, pages numbered by issue. Authors/date/title/journal in
italics/volume(issue)/pages
Birney, M. (1991). Psychoneuroimmunology: a holistic framework for the
study of stress and illness. Holistic Nursing Practice, 5(4), 32-8.
Journal Article, pages numbered by volume. Authors/date/title/journal in
italics/volume/pages
Herberman, R., & Ortaldo, J. (1981). Natural killer cells: Their role
in defences against disease. Science, 14, 24-30.
Article in a special issue section of a regular journal. Authors/date/title/special
issue title/journal in italics/volume (issues)/pages
Kennedy, S., Kiecolt-Glaser, J., & Glaser, R. (1988). Immunological
consequences of acute and chronic stressors: Mediating role of
interpersonal relationships. Special Issue: Stress and health. British Journal of
Medical Psychology, 61(1), 77-85.
Book Authors/date/title in italics/edition if not first edition/city/state (USA only) or
country/publisher
Janowitz, H. D. (1994). Inflammatory bowel disease: A clinical approach (2nd
ed). New York, NY: Oxford University Press.
Edited Book Editiors/’(Ed(s).)’/date/title in italics/edition if not first
edition/city/state (USA only) or country/publisher
Phipps, W. J., Cassmeyer, V. C., Sands, J. K., & Lehman, M. K. (Eds.).
(1995). Medical surgical nursing (5th ed.). St. Louis, MO: Mosby.
Research Project: Citations and referencing
12
Article in an edited book. Authors/date/article title/Editors/(Ed(s).)/book title in
italics/edition if not first edition/pages/city/state (USA only) or country/publisher
Locke, S., & Kraus, L. (1982). Modulation of natural killer cell activity by life
stress and coping ability. In S.Levy (Ed.),Biological Mediators of Behavior
and Disease: Neoplasia (pp. 3-28). New York, NY: Elsevier.
Published paper from a conference. Authors/date/title/conference
name/date,city,state (USA only) or country in brackets/name of publication or journal
in italics/other details will depend on whether it is a book of proceedings or a journal.
Antoni, M., LaPerriere, A., Schneiderman, N., & Fletcher, M. (1991). Stress
and immunity in individuals at risk for AIDS. 2nd International Society for
the Investigation of Stress Conference: Stress, immunity and AIDS (1989,
Athens, Greece), Stress Medicine, 7(1), 35-44.
Paper presented at a conference Authors/date/title/conference/date month, day,
year/location/city/state (USA only) or country.
Bennett, M. (2001). Effect of Back Massage on Stress, Blood Pressure, and
Immune Function: Pilot Study Lambda Sigma Chapter of Sigma Theta Tau
Annual Research Conference. October 12, 2001.Indiana State University,
Terre Haute, IN.
Doctoral Dissertation abstracted in Dissertation Abstracts International and
obtained on university microfilm. Authors/date/title/journal title, etc in
italics/microfilm ref
Bennett, M. P. (1997). The effect of mirthful laughter on stress and
natural killer cell cytotoxicity. Dissertation Abstracts International - B,
58(07), 3353. (University Microfilms No. AAC-9802253)
Unpublished Doctoral Dissertation. Authors/date/title/’Unpublished doctoral
dissertation’/university/city
Wilfley, D. E. (1989). Interpersonal analyses of bulimia: Normal-weight and
obese, Unpublished doctoral dissertation, University of Missouri, Columbia.
Unpublished manuscript with a university cited
Bennett, M. (1995). Effect of complementary therapy on stress and wellbeing: Implications for nursing intervention. Unpublished manuscript, Rush
Presbyterian St-Lukes Medical Centre, Chicago, IL.
Personal Communications: Letters, Interviews, Phone Conversations, e-mail etc.
This is listed parenthetically within the text. It is extremely important that what is
cited in this way to be legitimate and have scholarly integrity.
Example: (R. Wilbur, personal communication, March 28, 1998)
Or: According to Connie May Fowler, the sources for her novel Sugar
Cane were largely autobiographical (personal communication, July 22, 1997).
[This is an area of APA obsession with the empirical cannon. If it is not written down
it does not exists. Of course Personal Communication can go into the references, and
where it refers to oral sources in cultural contexts where relevant written information
is hard to find, it must be referenced appropriately.]
Research Project: Citations and referencing
13
Example: Aho N (2001). Personal communication/interview/email/letter,.
January 28, 2001.]
APA REFERENCING FOR ONLINE SOURCES
Internet articles based on a print source
The same basic primary journal reference can be used, but if you have viewed the
article only in its electronic form, you should add in brackets after the article title
"Electronic version":
VandenBos, G., Knapp, S., & Doe, J. (2001). Role of reference elements in the
selection of resources by psychology undergraduates [Electronic version].
Journal of Bibliographic Research, 5, 117-123.
If you are referencing an online article differs from the print version or page numbers
are not indicated or additional data or commentaries in included, you will need to add
the date you retrieved the document and the URL.
VandenBos, G., Knapp, S., & Doe, J. (2001). Role of reference elements in the
selection of resources by psychology undergraduates. Journal of Bibliographic
Research, 5, 117-123. Retrieved October 13, 2001, from
http://jbr.org/articles.html
Article in an Internet-only journal. Authors/date/title/journal in
italics/volume/article ref if there is one/’Retrieved’/month, day, year/’from’/URL
Fredrickson, B. L. (2000, March 7). Cultivating positive emotions to optimise
health and well-being. Prevention & Treatment, 3, Article 0001a. Retrieved
November 20, 2000, from http://journals.apa.org/prevention/volume3/
pre0030001a.html.
Article in an Internet-only newsletter. Authors/year, month/title/journal in
italics/volume/article ref if there is one/’Retrieved from’/URL
Glueckauf, R. L., Whitton, J., Baxter, J., Kain, J., Vogelgesang, S., Hudson,
M., et al. (1998, July). Videocounseling for families of rural teens with
epilepsy - Project update. Telehealth News,2(2). Retrieved from
http://www.telehealth.net/subscribe/ newslettr4a.html1
*In an Internet periodical, volume and issue numbers often are not relevant. If they
are not used, the name of the periodical is all that can be provided in the reference.
*Whenever possible, the URL should link directly to the article.
*Break a URL that goes to another line after a slash or before a period. Do not insert
(or allow your word-processing program to insert) a hyphen at the break.
Non-periodical documents on the Internet
Stand-alone document, no author identified, no date. Title in italics/’(n.d.)’/
‘Retrieved’/month, day, year/‘from’/URL
Research Project: Citations and referencing
14
GVU's 8th WWW user survey. (n.d.). Retrieved August 8, 2000, from
http://www.cc.gatech.edu/gvu/usersurveys/survey1997-10/
*If the author of a document is identified, begin the reference with the author
Document available on university program or department Web site. Authors/date
/title in italics/‘Retrieved’/month, day, year/‘from’/university/department/‘Web
site:’/URL
Chou, L., McClintock, R., Moretti, F., & Nix, D. H. (1993). Technology and
education: New wine in new bottles: Choosing pasts and imagining
educational futures. Retrieved August 24, 2000, from Columbia University,
Institute for Learning Technologies Web site: http://www.ilt.columbia.edu/
publications/papers/newwine1.html
Electronic copy of a journal article, three to five authors, retrieved from
database. Follow the format appropriate to the work retrieved and add: ‘Retrieved’
/month, day, year/ ‘from’ database.
Borman, W. C., Hanson, M. A., Oppler, S. H., Pulakos, E. D., & White, L. A.
(1993). Role of early supervisory experience in supervisor performance.
Journal of Applied Psychology, 78, 443-449. Retrieved October 23, 2000,
from PsycARTICLES database.
Research Project: The foundations of empirical research
15
THE FOUNDATIONS OFSCIENCE, AND THE IMPACT OF MODERNISM AND
POSTMODERNISM
Science has evolved initially from Western philosophical thought. Plato in the 4th century BC
laid the foundation for science when he described distinctions between Beauty, Morality, and
Truth. Truth is the basis of science, and reason, said Plato, was the faculty through which
truth could be accessed. The influence of the Greek philosophers and the philosophers of the
early Christian era was barely felt during the European Dark and Middle ages which come to
an end in the 15th and 16th centuries with the Renaissance (the rebirth of “man”) and the
Reformation (the collapse of the singular authority of the Church of Rome). Both of these
movements refer to the desire to find a source of truth and autonomy that was independent of
the Church.
Cartesian dualism
Descartes (1596-1650) was a founding philosopher of the Renaissance. He was unwilling to
accept the received “truth” of the Church or of any other source, and after much travel,
discussion and reflection, decided that it was logical to doubt everything, even his own
existence. However it was not logical to doubt that he doubted. Doubting was thinking, and if
he thought, then he must exist – this is the meaning of his famous dictum “cogito ergo sum”
(“I think therefore I am”). Descartes looked for other logical propositions that would be the
fundamental building blocks of truth. He came up with two more. The first was that if he
could conceive of a “perfect entity” then that entity must exist because as an imperfect entity
it was impossible for him (or any other person) to conceive of a perfect entity without
assistance from such a being. Also a perfect entity could not be perfect if it did not exist.
The second was the idea of an “outer reality”, which was stable, measurable and had
mathematical properties. The justification for this was that if reason demonstrated that aspects
of outer reality had such properties then it must be so, because the perfect entity (God) would
not deceive us. Thus Descartes showed that there was “thought”, which was of the mind (the
inner reality), and “matter”, which was a property of the physical world, and that the reality of
the former is not the same as that of the latter. This “dualistic” split between “mind” and
“body” allowed for the emergence of positivism which is the theoretical basis of modern
science, but has also lead to an existential crisis (a crisis about the meaning of our existence)
by separating the soul (which is part of the inner subjective reality) from the objective
physical world of truth and reason.
Positivism
By splitting mind and body, Descartes laid the foundation for the principles of science. These
principles were further developed by the British empiricist philosophers (philosophers who
believed in the importance of experiment and observation, not just on logic) and the theory of
Positivism (Auguste Comte 1798-1857), which recognised only matters of fact and
experience as valid.
Positivism insists that theology and metaphysics3 (the search for first principles) are earlier
imperfect modes of knowledge and that positive knowledge is based on natural phenomena
and their properties and relations have to be verified by empirical evidence. Positivism has
several value and philosophical assumptions : -
3
Metaphysics is an area of philosophy that examines the nature of reality. It often concerns itself with the
theoretical or first principles of a particular discipline (as above) or the a priori speculations on issues that are
unanswerable to scientific observation, analysis, or experiment.
Research Project: The foundations of empirical research
16
Metaphysical assumptions
 Nature is orderly and regular;
 We can know nature. (Some theorists suggest that there exists a limit to such knowledge.
Up to now, such a limit has not been defined.)
 All natural phenomena have natural causes (Determinism).
 Nothing is self-evident (e.g. the assertion that “√2” is not a rational number4 has to be
proved.)
Epistemic assumptions5:
 Knowledge should only be derived from experience. (Empiricism)
 The meaning of a proposition consists in how it is verified by experience. (verifiability).
 The application of logical analysis will reach the goal of unified science. (Logicism).
 Sciences should all be unified syntactically (structure) and semantically (meaning),
An extreme form of positivism, logical positivism, insists since ethical, aesthetical, and
theological statements are neither verifiable through observation, nor able to demonstrate
logical relationships, they are cognitively meaningless. Therefore, according to the logical
positivists, we should ignore ethical, aesthetical, and theological statements.
A further component in the logical basis of science was Karl Popper’s “falsification”
principle. This principle stated that that aim of scientific inquiry was to prove hypotheses
wrong, as there was no logical process for proving them correct (see inset below)
Falsification of theory as the aim of science6
Karl Popper revolutionised the whole idea of what constitutes growth in science. Since the time of
Francis Bacon, most philosophers and scientists believed that scientific knowledge was based upon a
large body of confirming evidence. Because evidence continued to support a particular theory, by
inductive inference7 that theory had to be true. While David Hume and others had expressed
scepticism about whether the transmission of truth from observational statements to theory through
induction is adequate justification for science, none had proposed a more powerful alternative.
Popper's invaluable contribution (in 1934) in this area is due to his full understanding of the limitation
of induction and his subsequent reliance on a property of deductive logic, namely, the re-transmission
of falsity. In a deductive inference, we infer from premises of general statements to conclusions about
particular instances. Falsity of the conclusion then reflects falsity of at least one of the premises.
Arguing against the reliance on induction, Popper always emphasised that 1000 confirmations of a
theory still cannot guarantee its confirmation in the 1001st instance. Newton's Law of Gravitation, for
example, had dominated the world of physics for 200 odd years, and could therefore be safely
regarded as being universally true. However, it was eventually replaced, in the early 20th Century, by
the more acceptable theory advanced by Einstein. Popper came to the conclusion that even science,
which we used to think of as being an established and unerring branch of knowledge, is after all
fallible, because in actual fact scientific theories are only hypotheses, and may be falsified and
replaced one day. Accordingly, what is important in science is not the confirmation, but the attempted
falsification, of theories.
Rational numbers are made by dividing one whole number by another – “√2” is an irrational number – you
cannot produce it from whole numbers.
5
Epistemology is the study of the nature of knowledge, its foundations and the assumptions are made in order to
have a coherent view of what knowledge is or does.
6
Adapted excerpt from Yue-Ching Ho E, Lund P (1994). Sir Karl Raimund Popper: In Memoriam, Intellectus
31 (Jul-Sep), 1-3, p1.
7
See below for a description of induction and deduction.
4
Research Project: The foundations of empirical research
17
The foundations of empirical research
Most scientific research is based on empirical knowledge. Empirical knowledge:

obtained through the senses – emotions, thoughts, ideas and beliefs can also provide
verifiable sense experiences

can be verified, is quantifiable or able to be accurately described, and is used to describe,
explain, predict, or validate theory

objective within a frame of reference of determinism and rationalism, although there is no
agreed absolute objectivity or truth

involves seeking and generating explanations that are systematic and controllable by
factual evidence and that can be used in the organisation and classification of knowledge

uses methods that include inductive and deductive reasoning, hypothesis testing, and
phenomenological description
Deductive Logic in Quantitative Research
Deductive reasoning
All Granny Smiths are apples

a system of reasoning where Variables:
All apples have pips
propositions (assertions of
Logical
relationships) are interrelated
Reasoning
in an invariant way
Construct
All Granny Smiths have pips

the researcher begins with
two or more premises as
Empirical
propositions and draws a
Investigation
conclusion that is directly
Observations
Test
100
randomly
selected
dependent on the premises.
Granny Smiths for pips

leads from the general to the
particular - from a
generalisation or abstraction to specific instances or specific empirical data. It draws
specific predictions from general principles and provides feedback from investigation to
confirm/deny the generalisation.

is concerned with the structure of interrelationships among premises and conclusion
without regard to the soundness of the premises
Inductive Reasoning
Inductive Logic in Qualitative Research

a system of reasoning from
Concept
Granny Smiths are a type of apple
the particular (specific
Logical
empirical data) to the general
Reasoning
(principles, theory, laws)
Narrative:
Granny
Smiths
have
a
strong

inductive strategies use
resemblance to apples except that they
concrete observations of
don’t go red or yellow, they stay green
phenomena in the real world
Empirical
to build theories
Analyses

the researcher begins by
Observations: Granny Smiths have pips, are crisp,
observing particular
sweet, and green on the outside
instances and then
combining these particulars
into a larger whole - arriving at a conclusion from specific instances

the theory is brought to a conclusion when all instances of the specific event have been
observed. However, this is limited by the logical and practical impossibility of observing
all instances of a specific event.
Research Project: The foundations of empirical research
18
The empirical paradigm showing the relationship between deduction, induction, hypothesis
and theory. 8
EXPERIMENTAL RESEARCH DESIGN
Theory
Observations
Deduction
Induction
Research Hypothesis
Empirical test
Observations based upon a research design
to provide a test of the research hypothesis
Comparisons of observations of the empirical
tests and predictions of the research hypothesis
Disagreements of
observations and
predictions
Agreement of
observations and
predictions
Theory and research
hypothesis falsified
Theory and research
hypothesis not falsified
Modification to theory
to incorporate discordant
and formulation of further
research hypotheses
Development of other
research hypothesis
and further attempts
to falsify
Edwards E, Talbot R (1994). The hard pressed researcher – a research handbook for the caring professions.
Longman, Harlow, p38).
8
Research Project: Dueling paradigms: modernist v. postmodernist thought
19
Modernism
One of the consequences of positivism was the rejection of religion. This in turn created a
need for an alternative system of morality and ethics other than that reinforced by religion.
Humanism was an attempt to incorporate Christian ethics into a non-religious paradigm, and
by the 20th century orthodox religion and spiritual matters generally were under siege.
Modernism in the late 19th and early 20th century was, amongst other things, a celebration of
science, technology, individual capacity, progress and nature. There was a sense of dynamism
involved in the movement toward answers to fundamental questions. Progress was based on a
firm sense that reason was the ground from which freedom would arise. Specialisation,
uniformity and standardisation were its hallmarks.
The energy and talent unleashed through modernism was within a traditional context of
imperialism that justified the domination and exploitation of less technologically advanced
cultures. The scientific description of structures and evolutionary hierarchies within the
physical and biological worlds were used to justify repressive structures and hierarchies in the
social world. The response to modernism, particularly after two world wars and the nuclear
threat under the Cold War, has been a strong criticism of science and technology and a strong
resurgence of the need for spiritual connection. Also, postcolonial and feminist scholarship
has responded to modernism by showing how technological and individualistic approaches to
knowledge have always relied upon the (largely hidden, and/or unacknowledged) labour and
experiences of relatively oppressed groups (non-white groups, working class groups, women,
child labourers).
Postmodernism
Postmodernism has its roots in the 19th century philosophers’ attack on reason. Nietzsche
(1844-1900) argued that reason was the result of persuasion rather than logic. Truth, error,
morality were all illusory and there was no guarantee of anything. This leads to extreme
nihilism (rejection of all religious and moral principles) and ends in perpetual scepticism (the
belief that absolute knowledge about anything is impossible).
Existentialist philosophers (Heidegger, 1889-1976; Sartre, 1905-1980) also argued that you
could not understand the world merely through reason and that human existence itself is
unexplainable. However, they did not become sceptical as did Nietzsche, but reformulated
Descarte’s proposition of the existence of the perfect entity. Satre argued that because we are
the only beings conscious of our own existence we cannot have an “innate” nature. We have
to, in fact, create our own nature and the meaning of our existence. Instead of a single reality
we have multiple realities.
These realities are expressed in language and Derrida (b 1930) showed that language is not
neutral. He contends that the expression of ideas in language changes their meaning, and that
the author of a text is the only one source of its meaning. Western culture, Derrida argues, has
tended to assume that speech is a clear and direct way to communicate. Drawing on
psychoanalysis and linguistics, he shows that the author's intentions in speaking cannot be
unconditionally accepted. This multiplies the number of legitimate interpretations of a text.
Derrida used deconstruction9 to show the multiple layers of meaning at work in language. By
deconstructing the works of previous scholars, Derrida attempts to show that language (and
meaning) is constantly shifting.
9
Deconstruction is a process of textural evaluation in which the reader 1) explores specific tensions and
instabilities within a text; 2) questions the priority or importance of things which are set up as original, natural,
and/or self-evident; 3) charts how key terms, motifs, and characters are defined by binary oppositions within a
Research Project: Dueling paradigms: modernist v. postmodernist thought
20
The strength of postmodernism was that it was respectful of different cultural perspectives
and of individuals’ varied and complex inner realities. However, rather than addressing the
spiritual vacuum left by modernism, some versions of postmodernist thought intensified it, as
everyone was left with their own god and there was no means of connection or discovering
universal truths. Note, though, that there are many versions of postmodernism and not all of
them require alienation from spirituality or community, or from intersubjective processes of
knowledge construction.
Post-structuralism
Post-structuralist thinkers conceive of the social space (organisations, institutions, social
categories, concepts, identities and relationships, etc.) and the world of material objects as
discursive in nature. This claim, also commonly known as “there is nothing outside the text”,
has often been misconstrued, as if it would entail an idealistic denial of the existence of the
material world. In the words of Ernesto Laclau and Chantal Mouffe (1985:108):10
The fact that every object is constituted as an object of discourse has nothing to do
with whether there is a world external to thought, or with the realism/idealism
opposition. An earthquake or the falling of a brick is an event that certainly exists, in
the sense that it occurs here and now, independently of my will. But whether their
specificity as objects is constructed in terms of 'natural phenomena' or 'expressions of
the wrath of God' depends upon the structuring of a discursive field. What is denied is
not that such objects exist externally to thought, but the rather different assertion that
they could constitute themselves as objects outside any discursive conditions of
emergence.
A second, basic tenet of poststructuralist theory of discourse is that the process of meaning
making in relation to people and objects is either fractured and constradictory, or caught up in
an infinite play of "horizontal" difference/equivalence. Meaning is never finally fixed; it is
always unstable and contestable. Note that the stress on openness here is balanced (at least in
the work of Laclau and Mouffe and a number of others) by the assumption that objects and
social subjects and the relations between them may emerge in partially stable configurations
which last for a longer or shorter period of time. Newton’s laws on gravity would be an
example of a very stable and long lasting configuration, but none-the-less eventually subject
to challenge.
Ambiguities of meaning are held at nodal points. These points are areas of fluid (though not
necessarily infinitely fluid) meaning where a variety of “signifiers [ideas] are floating within
the field of discursivity [thought and language]”. Race relations and Te Tiriti could be seen as
a nodal point where conflicting ideas intersect and where there is no fixed meaning. Nodal
points can suddenly stabilize when some master signifier (idea) intervenes and “retroactively
reconstitutes their identity by fixing the floating signifiers within a paradigmatic chain of
equivalence”.11 So when a politician gets up and makes an inflammatory speech about racial
issues, a powerful shift in meaning or “truth” can occur.
text, how the oppositions are hierarchical (one term is prioritised and the other treated as derivative or
subordinate), and demonstrating that these oppositions are unstable, reversible, and mutually dependent on one
another; and 4) attends to how texts subvert, exceed, or even overturn their author's stated purposes.
Adapted from Hedges W (1998). Derrida & Deconstruction: Key Points, English Department, Southern
University of Oregon, http://www.sou.edu/English/Hedges/Sodashop/RCentre/Theory/People/derdakey.htm.
10
Laclau, E. & Mouffe, C. (1985). Hegemony and socialist strategy. Towards a radical democratic politics.
London: Verso.
11
Sarangi, S. & Slembrouck, S. (1997) Confrontational asymmetries in institutional discourse: a socio-pragmatic
view of information exchange and face management". In: Blommaert J. & Bulcaen C. (eds.), Political
Linguistics, 255-275.
Research Project: Dueling paradigms: modernist v. postmodernist thought
21
One of the achievements of post-structuralism is the radical way in which it has placed
discourse analysis at the heart of the social-scientific endeavour. Its consequences for
disciplines as diverse as anthropology, history, law, social psychology, sociology, etc. have
been enormous. For instance, a poststructuralist logic advocates the view that “historic facts”
or “legal facts” are discursive constructions. Needless to say, a “truth/rationality” crisis has
been one of the effects.
Because poststructuralist discourse theory was so encompassing in its critique of empiricism
it has been difficult work out how we should analyse text or social interactions. One
proposal12 is based on an elaboration of Michel Foucault's genealogical method to focus on
the socio-political context and deconstruction dominant ideas with the object of “dissolving
power/knowledge complexes”.
Foucault’s poststructuralist approach
In line with general post-structuralism, Foucault, in his analysis of archaeology, medicine and
psychiatry believes that the production of scientific “truth” cannot be separated from the
discourse formations of scientific disciplines:
“If there is one approach that I do reject [it is the one] which gives absolute priority to the
observing subject, which attributes a constituent role to an act, which places its own point
of view at the origin of all historicity [historical understanding]13 - which, in short, leads
to a transcendental consciousness. It seems to me that the historical analysis of scientific
discourse, in the last resort, be subject, not to a theory of the knowing subject, but rather
to a theory of discursive practice.”14
In this second stage of Foucault's work, discourse is arguably put on a secondary plane, as the
focus is now on truth/power…
“Power must be analysed as something which circulates, or rather as something which
only functions in the form of a chain. It is never localised here and there, never in
anybody's hands, never appropriated as a commodity or piece of wealth. Power is
employed and exercised through a net-like organisation. And not only do individuals
circulate between its threads; they are always in the position of simultaneously
undergoing and exercising this power.”15
Two areas of power that he examines are the “confession” (issues of power in counselling &
therapy-oriented practices in institutions) and the “examination” (issues of power in the
record keeping that is central to everyday, routine practices and decision-making within
modern institutions).16
An ethics of the postmodern subject.Foucault develops an ethical orientation for the
postmodern era. It is based on the idea that an analysis of the techniques of power can be
counterbalanced by an analysis of the techniques of the self. He uses:
12
Howarth, D (2000). Discourse. Open University Press, Buckingham.
Historicity describes how theories, methods, statements, and so on are situated in the history of science and the
history of society
14
Foucault, M. (1973). The Birth of the Clinic: an Archaeology of Medical Perception. London: Tavistock.
15
Foucault, M. (1980). Power/Knowledge: Selected interviews and other writings. 1980 (ed. C. Gordon).
Brighton: Harvester. p96.
16
Thus, the typical vocabulary of many scholars in critical discourse analysis will feature such notions as
'power', 'dominance', 'hegemony', 'ideology', 'class', 'gender', 'race', 'discrimination', 'interests', 'reproduction',
'institutions', 'social structure' or 'social order', besides the more familiar discourse analytical notions. (van Dijk
T. A. (1998). Critical discourse analysis. Retrieved 01/09/01 from http://users.utu.fi/bredelli/cda.html
13
Research Project: Dueling paradigms: modernist v. postmodernist thought
22
“the concepts of autonomy (practising and supporting independence and self
management), reflexivity (maintaining a critical examination of past and present, of
what passes as ‘good’ knowledge and practice, and how this influences our writing of
the field)and critique (attempts to understand a text (i.e. any cultural activity that
“means” something to somebody) from the inside)...”17
Methods of narrative analysis lean heavily on ideas of reflexivity and critique and concern
themselves with issues of status and voice.
Postmodern rejections of radical relativism
Note that Foucault is an example of a postmodern thinker who rejects radical relativism – the
“anything goes” or “any opinion or belief is as good as any other” conclusion that some have
drawn from strong critiques of modernism. Foucault – along with non-modernist scholars and
activists such as Linda Smith, Chandra Mohanty, bell hooks, and Donna Haraway – also
rejects the idea that different cultural and individual experiences are radically isolated from
one another (that they are strictly a matter of “perspective”). Rather, these thinkers take
seriously the very real, material, and social effects that our truth claims and meaning making
have on one another in the context of unequal positioning (power relations) in the world.
Arguably, an “anything goes” interpretation of postmodernism is a privileged (as in powerladen) position to take. Who can afford to claim that “anything goes”? Is it more likely that
someone doing well within the current status quo will take this position, or is it more likely
that someone interested in social change and social justice will take this position?
From a more “philosophical” stance, we can view radical relativism as too reliant on
modernist meanings (i.e., the belief that “if we can’t have modernist truth [fixed and absolute
truth], we might as well throw up our hands and have no agreed-upon truth at all,” seems to
depend on modernist definitions of truth – either we agree to that goal or we have no truth at
all). The radically relativist view of postmodernism has received the most attention in popular
culture, perhaps because it is framed as the opposite extreme of modernism and for many
confirms the value of modernism, which is alive and well and is backed by powerful interests.
Post-postivism18
The influence of post-structuralism forced science in general and the social sciences in
particular, to review their positivistic stance. .Troachim describes post-positivism as “a
wholesale rejection of the central tenets of positivism” However others.argue that postpositivitism still operates within the empirical paradigm. Troachim argues that one of the
most common forms of post-positivism is a philosophy called critical realism. A critical
realist believes that there is a reality independent of our thinking about it that science can
study. Positivists were also realists. The difference is that the post-positivist critical realist
recognizes that all observation is fallible and has error and that all theory is revisable. In other
words, the critical realist is critical of our ability to know reality with certainty. Where the
positivist believed that the goal of science was to uncover the truth, the post-positivist critical
realist believes that the goal of science is to hold steadfastly to the goal of getting it right
about reality, even though we can never achieve that goal! The table presents the key
differences between positivism and post-positivism.
17
McNay, L. (1994). Foucault. A Critical Introduction. Cambridge: Polity Press, p133
This section is slightly adapted form Trochim, B. (2002). Positivism and post-positivism, Bill Trochim’s
Centre for Social Research Methods. Retrieved 10/12/03 from http://trochim.human.cornell.edu/kb/positvsm.htm
Last modified 2002..
18
Research Project: Dueling paradigms: modernist v. postmodernist thought
23
Contrasts between positivism and post-positivism19
Multiple measurement and
triangulation
Positivism
Post-Positivism
Because all measurement is
Emphasis on parts and
Emphasis on whole and
decontextualization
contextualization
fallible, the post-positivist
Emphasis
on
separation
Emphasis on integration
emphasizes the importance of
Emphasis on the general
Emphasis on the specific
multiple measures and
Consideration
only
of
objective
Consideration also of subjective
observations, each of which may
and
the
quantifiable
and the non-quantifiable
possess different types of error to
Reliance on experts and outsider Consideration also of the
get a better bead on what's
knowledge--researcher as
"average" participant and insider
happening in reality. The process
external
knowledge- researcher as internal
of multiple measurement using
Focus on prediction
Focus on understanding
different methods is called
Top-down
Bottom-up
triangulation. The post-positivist
Attempt to standardize
Appreciation of diversity
also believes that all observations
Focus on the product
Focus on the process as well
are theory-laden and that scientists
(and everyone else, for that matter) are inherently biased by their cultural experiences, world
views, and so on. This is not cause to give up in despair, however. Just because I have my
world view based on my experiences and you have yours doesn't mean that we can't hope to
translate from each other's experiences or understand each other. That is, post-positivism
rejects the relativist idea of the incommensurability of different perspectives, the idea that we
can never understand each other because we come from different experiences and cultures.
Most post-positivists are constructivists who believe that we each construct our view of the
world based on our perceptions of it. Because perception and observation is fallible, our
constructions must be imperfect. So what is meant by objectivity in a post-positivist world?
Positivists believed that objectivity was a characteristic that resided in the individual scientist.
Scientists are responsible for putting aside their biases and beliefs and seeing the world as it
'really' is. Post-positivists reject the idea that any individual can see the world perfectly as it
really is. We are all biased and all of our observations are affected (theory-laden). Our best
hope for achieving objectivity is to triangulate across multiple fallible perspectives. Thus,
objectivity is not the characteristic of an individual, it is inherently a social phenomenon. It is
what multiple individuals are trying to achieve when they criticize each other's work. We
never achieve objectivity perfectly, but we can approach it. The best way for us to improve
the objectivity of what we do is to do it within the context of a broader contentious
community of truth-seekers (including other scientists) who criticize each other's work.
According to many post-positivists, the theories that survive such intense scrutiny are a bit
like the species that survive in the evolutionary struggle. (This is sometimes called the natural
selection theory of knowledge and holds that ideas have 'survival value' and that knowledge
evolves through a process of variation, selection and retention). They have adaptive value and
are, according to some, probably as close as our species can come to being objective and
understanding reality.
19
Jacobs, G. M (2001), Paradigm Shift: Understanding and Implementing Change in Second Language
Education, TESL-EJ, 5:1, A-1, JF New Paradigm Education, Singapore. Retrieved 10/12/2003 from
http://www-writing.berkeley.edu/tesl-ej/ej17/a1.html
Research Project: Dueling paradigms: modernist v. postmodernist thought
Modernism vs Postmodernism
Modernism was not simply superseded by
post-modernism and probably remains
the most powerful single philosophical
force in the world today. However, the
energy generated by the contrast between
modernism and post-modernism is
probably much more significant opening
up doorways to the past and to the future.
Hassan20 has produced a table (table 2) of
these contrasts. (Note: these
representations are generalizations and do
not necessarily apply to all modernist and
postmodernist thinkers).
The first set of contrasts rests on the
rejection of modernist determinism and
the search for an explanation for our
existence. Post-modernism lets us enjoy
our differences and our links (traces) and
the irony in being here without knowing
why.
Modernism creates structures and
hierarchies that look like well designed
root systems where everything has a
place. Post-modernism creates matted,
anarchic surface webs (like a rhizome) in
which the spaces within the web
(intertext) are as important as the skeins
(text) themselves.
Modernism seeks universal truths and
creates classificatory processes that
define us all, whereas postmodernism
celebrates our diversity and the necessity
to define ourselves.
24
Schematic differences between
modernism and postmodernism
Modernism
origin, cause
determinacy
metaphysics
Postmodernism
difference-difference, trace
indeterminacy
irony
root, depth
hierarchy
centreing
genre, boundary
design
rhizome, surface
anarchy
dispersal
text, intertext
chance
master code
type
symptom
idiolect
mutant
desire (need)
purpose
mastery, logos
play
exhaustion, silence
the history of great
events
romanticism/symbolism
creation, totalization
synthesis
form (conjunctive, closed)
art object, finished work
the history of little
events
paraphysis/Dadaism
decreation, deconstruction
antithesis
antiform (disjunctive, open)
process, performance,
happening
distance
presence
interpretation
reading
narrative
lisible (readerly)
participation
absence
against interpretation
misreading
anti-narrative
scriptable (writerly)
semantics
selection
signified
genital, phallic
paranoia
rhetoric
combination
signifier
polymorphous, androgynous
schizophrenia
God the Father
transcendence
The Holy Ghost
immanence
Modernism is about being purposeful with big ideas, emotions and creations and an
authorative voice (logos). Having fun, enjoying the process, rejecting cultural positions and
social conventions (Dadaism) and thinking small, reflects postmodernism
Objectivity requires modernists to keep their distance from the situations they observe, but
post-modernists want to be immersed in the situation. To the modernist, reading is a search
for the author’s meaning – the true story, the correct interpretation. Postmodernists focus on
all the things that are absent, the stories that could be told, the interpretations that
could be made, none of which are true (but all of which, many argue, have real effects).
20
Hassan I (1985). The Culture of Postmodernism, Theory, Culture and Society, v.2, , 123-4.
Research Project: Dueling paradigms: modernist v. postmodernist thought
25
The dilemma of post-modernism21.
Science. Is there a distinct role for logic, and for a kind of scientific objectivity that would not be
naive? Some post-modern critiques of science provide little re-understanding of anything specific in
science; they have no import for how we understand scientific procedures and findings, or how we
might reconceptualize a scientific object. They have little to say to science beyond globally
denigrating all of it as obviously not ‘objective,” not free of all sorts of assumptions22
Universals. Is there a way to think about inter-human parameters (perhaps of a new kind), taking
account of the utterly different meanings that the cultures give to even the most universal words such
as "body," "religion," "person," "marriage," and so on?
Experience. Is there a way to step outside of language and to be make observations and inferences
from there? Since individuals exist in historical, cultural, and linguistic contexts, can something that
might be called “experience” play some roll in our thinking? We know that assertions cannot be
grounded in a supposedly neutral experience. And since all description imports its assumptions and
categories, we know that no observational reports are just neutral.
Pragmatism. Can we adopt Pragmatism without the simplistic corruption which gave it its bad name?
Its criterion seems to be “what works,” but without a way to examine the purposes which are of course
assumed, when something is said to work, or not to work. Can we articulate how Pragmatism can
answer this charge?
Ethics and morality. Can we articulate the implicit political and ethical stand of using the critique of
assumptions [the process of deconstruction] to free people, rather than to silence them? The lack of
grounds for any approach, centreing, or categories has provided a valuable opening for critiques of the
dominant approaches by feminism, anti-colonialism, and other liberating movements. But implicitly
these movements go beyond critique, and beyond post-modernism which holds that liberation is
impossible because some categories, distinctions and social controls will always again re-surround any
liberating attempt, and also that liberation is not a ground for deciding anything. Going beyond these
two tenets of post-modernism, can we articulate the assumption that we will and should use the demise
of all categories to free people, rather than to justify a “superior” culture, class, or “free” market
economics?23
Teaching. Like post-modernism, but a generation earlier, the University of Chicago shifted the
recognition of ungrounded variety from the outer limits of thought to the centre and the beginning. No
student can be here for more than a few weeks without encountering our ethos that there are many
intellectual approaches to any issue, and no possible resolution of this fact.
One professor tells an audience of first-year students: “The University of Chicago holds that every
approach is cancelled out by some other approach, so there is no point in studying any of them.” The
students laugh. This indicates both that they have already encountered the problem, and that it is a
puzzle, since they find the thinking here so extremely exciting and rewarding. Obviously the different
viewpoints do not just cancel out, but how and why not has rarely been articulated.
21
Adapted notes from a Conference on After Postmodernism - University of Chicago November 14-16, 1997 apm@cs.uchicago.edu
22
See the work of Donna Haraway as one of a few recent counter-examples.
23
Some postmodernists do explicitly address these issues (of going beyond critique and striving for freedom).
Also, the idea that “liberation is impossible because some categories, distinctions and social controls will always
again re-surround any liberating attempt” is not, in fact, a “postmodern” viewpoint (it is more like a cautionary
or cynical neo-Marxist one).
Research Project: Dueling paradigms: modernist v. postmodernist thought
26
Where modernism searches single-mindedly for meaning and transcendence, postmodernism
emphasises communication, multiple ways of being (polymorphism) and linking, and for
some, a spiritual force that is an essence rather than an object.
Research Project: Creating an overarching paradigm for research
27
Creating an overarching paradigm for research
The distinction between modernist and post-modernist approaches to research are often
summarised as the difference between qualitative and quantitative methodologies. Cresswell23
does this well in the table 4 below. Creswell also suggests that researchers may be inclined by
temperament or experience to favour one particular style (see table 5).
Table 4: Quantitative and qualitative paradigm assumptions 24
Assumptions
Quantitative
Qualitative
Ontological assumption: What is the nature of reality
Reality is objective and singular, apart
Epistemological assumption:
from the researcher.
What is the relationship of the
researcher to that researched? Researcher is independent from that
being researched
Axiological assumption:
What is the role of values?
Value-free and unbiased
Rhetorical assumption What
is the language of research?
Formal:
Based on set definitions
Impersonal voice
Methodological assumption:
Use of accepted quantitative words
What is the process of
research?
Deductive process
Cause and effect
Static design - categories isolated
before study
Context-free
Generalisations leading to prediction,
explanation and understanding
Accurate and reliable through validity
and reliability
Reality is subjective and multiple as
seen by participants in a study
Researcher interacts with that being
researched
Value-laden and biased
Informal
Evolving decisions
Personal voice
Accepted qualitative words
Inductive process
Mutual simultaneous shaping of
factors
Emerging design – categories
identified during research process
Context-bound
Patterns, theories developed for
understanding
Accurate and reliable through
verification
Table 5: Reasons for Selecting a Paradigm25
Criteria
Quantitative
Qualitative
Researcher's world view
A researcher's comfort with the
assumptions (see above) of the and
quantitative paradigm
A researcher's comfort with the
assumptions (see above) of the
qualitative paradigm
Training and experience of
the researcher
Technical writing skills; computer
statistical skills; library skills
Literary writing skills; computer text
analysis skills; library skills
Researcher's psychological
attributes
Comfort with rules and guidelines for
conducting research; low tolerance for
ambiguity; only time for a study of
short duration
Comfort with lack of specific rules
and procedures for conducting
research; high tolerance for ambiguity;
time for lengthy study
24
25
Creswell JW (1994). Research design, quantitative and qualitative approaches, Sage, London p5
As above p9
Research Project: Creating an overarching paradigm for research
28
Nature of the problem
Previously studied by other
researchers; a body of literature exists;
known variables; existing theories
Exploratory research; variables
unknown; context important; may
lack theory base for study
Audience for the study (e.g.,
journals, services, media,
communities, students)
Individuals accustomed to/supportive
of quantitative studies.
Individuals accustomed to/supportive
of qualitative studies
The science wars26
The science wars are about a communication gulf between modernist and post-modernist
science. These wars reached a low point when a physicist, Alan Sokal, wrote an article which
was accepted for publication in post-modern journal Social Text. The article was a satire on
the poststructuralist writing which included many blatant errors of fact relating to the physical
sciences, such as the relativity of everything, which appealed to poststructuralist thinking. The
editors of Social Text27 took the article on face value and were subsequently humiliated when
it was revealed to be a spoof. Sokal and Jean Bricmont later published a book (1997, 1999)
called Intellectual Impostures28, which was a slashing attack on French poststructuralists,
which sparked further huge debate. Out of this debate many researchers have sought some
form of middle ground which recognises the contributions of both modernist and postmodernist thought, without trying to collapse them into a system of unified thought,
David Boje, a leading narrative
and qualitative research
specialist, presents a paradigm
of the relationship between
modern organisation science
(MOS) and post-modern
organisational science (POS)
and what he regards as their
unique and shared blind spots
(see figure 1).29
Both See. Both MOS’s and
POS’s have modern science at
their base (e.g. empirical
Marxism, Critical Theory).
There are radical positions
(e.g. Lyotard's dismissal of all
grand narratives) as well as
more moderate positions, such
as narratives of ecology and
chaos that do not assume away
"reality." Both MOS’s and
Adapted form Bridgman G. & and Brooker, G. (2003) Transdisciplinarity – History, Theory And Practice
Implications For Social Practice, Paper presented at the seminar for the International Association of Schools of
Social Work, Board Seminar, January 2003, Vaughan Park, Auckland.
27
Sokal, A. (1996). Transgressing the Boundaries: Toward a Transformative Hermeneutics of Quantum Gravity.
Social Text. 46/47, pp. 217-252.
28
Sokal, A. & and Bricmont, J. (1998). Intellectual Impostures, Profile Books, London.
29
Boje, D.M. (2002). Toward a Narrative Ethics for Modern and Postmodern Organization Science. Born on:
01/05/00, Last updated: 08/06/02, Retrieved 2/07/02 from cbae.nmsu.edu/~dboje/papers/
toward_a_narrative_ethics_for_mo.htm
26
Research Project: Creating an overarching paradigm for research
29
POS’s see that changes in the hard sciences, such as complexity and chaos theory are
changing assumptions about reality (time and space) and the nature of organizational studies.
There are also overlapping positions. Ethnostatistics, for example, looks at the quantification
of qualitative, and the qualitative aspects of quantification. Postmodern science can include
quantitative analysis. In sum, both use rhetorics (text analysis), interpretation, use qualitative
coding, and can both use quantitative knowledge.
POS’s Blind Spot. Boje argues that: our excessive rebel language, obfuscation and extreme
relativism, can prevent POS from taking feedback and criticism without deconstructing it –
i.e. reacting to all MOSs as hegemonic grand-narratives. He states: the postmodernist can
deconstruct the modernist narrative with ease, but can they think positive? There are world
views of great power and deconstruction requires reconstruction.
“The blind spot for POS narratives is to assume that all capitalism and all progress and
all technology is evil. Scientism and technocracy as well as predatory capitalism can
be informed by a narrative ethics appeal, but not when the dialogue is too shrill to be
heard.”41
MOS’s Blind Spot. MOS usually fails to recognise the depth of context, the vital importance
of the distinction between etic (insider) and emic (outsider) perceptions, or the relationship
between the observer and the observed. Where POS is fully conscious of how deconstruction,
genealogy of ideas and alternative readings influence their narratives, MOS is not, even
though these features are present within MOS narratives. MOS
creates strong dualities between theory/practice, theory/fact,
value/fact, etc which hide how value laden theories are and how
theory laden facts are. Induction/deduction are presented as an all
inclusive explanation of the relationship between fact and theory
under MOS, whereas iterative approaches such as the constant
comparison approach of grounded theory are neither.
Both Blind. The polemics of continuing the Science Wars is
damaging to both sciences. What is needed is a narrative ethics
that engages MOS and POS narratives and recognises that both
are many-stranded, interdisciplinary, overlapping
(commensurable) and with shared destinies
Lumping all the variants of POS into the label "postmodern" or all
the variants of MOS in "modern" over determines each term, and
returns us to the win/lose science wars.
Boje feels that across this artificial MOS/POS borderline
important and exciting transdisciplinary work is being done.
A metaphor30 used in organisational science by complexity
theorists31 uses the gestalt on the left to illustrate the dilemma of
being able to work in both the modernist and post-modernist
paradigms, but not at the same time.
30
Lefebvre, E. & Letiche, H. (1999). Managing Complexity from Chaos: Uncertainty, Knowledge and Skills,
Emergence, 1(3), 7–15.
31
McKelvey, B. (1999). Complexity Theory in Organization Science: Seizing the Promise or Fad? Emergence,
1(1), 5–32.
Research Project: Creating an overarching paradigm for research
30
Beyond modernism and post-modernism
Table 6 uses Ken Wilber’s32 holon paradigm as a way of unpicking the strands of qualitative
and quantitative research. Interior and Exterior are the qualitative/quantitative poles, and are
further subdivided by looking at Individual and Collective dimensions. The validity claims of
the interior reflect the philosophical positions of post-modernism, particularly those of the
individual interior, while the exterior quadrants reflect modernism, particularly the individual
exterior. However, the claim that Wilber makes with the holon is that each quadrant
represents a different reality that is not simply reducible to any other quadrant. So we have
more than just the modern/post-modern debate here, there are two other philosophical
positions here as well.
Many cultures would feel uncomfortable with both modern (colonising, materialistic) and
post-modern (individualistic, anarchic, spiritually neutral) perspectives. Cultures, for
example, that had strong tribal leadership, or powerful pan-tribal religious institutions. Unlike
modernism and post-modernism, which celebrate change, such cultures are likely to value
conservation. What research paradigms would operate within such cultures?
Because research is generally seen as an agent of change and a forerunner of exploitation,
people may be hostile to research. Research that occurs within tribal cultures (adaptations to
environment change, improvements in technology) will occur slowly over years and tens of
years. The resources to do research (for example, to become a master boat builder/designer)
will be highly dependent on the support of the tribe through its leaders and the use to which
the research is put will affect most people in the tribe (boats for migration and fishing). The
key process facilitating research will be discussion that ensures that research is done within
the customs of the culture and that it is understood by most people. Of course, it wont be
called research, because the process does not differ from the day to day processes of tribal
management.
The research methods of the collective interior reflect the research processes necessary for
working in a tribal context. In grounded theory there is no initial theorising or reference to
knowledge sources beyond the culture. Focus groups emphasise discussion and consensus
and Action Research emphasises community support and community control of the
information. Often the focus of research is conservation oriented, demonstrating the
effectiveness of traditional practices and processes.
Research did not begin with modernism and the explication of empiricism. In the theocratic
states that governed much of Europe and Asia prior to the modern era, much research was
undertaken by religious orders who built staggeringly innovative cathedrals and temples and
the libraries which became the cornerstone of academic research. Research, however, had to
be reflection of the divine will, and was suppressed where this was thought not the case. As
such it operated within a strong systemic context (collective exterior), bound by written rules,
procedures and historical precedents.Perhaps one of the most amazing examples of research in
the pre-modern era is the record of the theory and techniques of acupuncture collated during
and after the period of Huang Di (The Yellow Emperor) beginning more than 4600 years ago.
Huang Di and his physician Qi Bo had a series of recorded discussions on the whole spectrum
of the Chinese medical arts. Two thousand three hundred years later these discussions were
incorporated into the monumental text on acupuncture (162 chapters) called The Nei Jing
(The Yellow Emperors Classic of Internal Medicine)33. Acupuncture grew from
See footnote 14 for references to Wilber’s work. It is assumed that the reader has some familiarity with his
theoretical structure
33
Surrow S (1998) A History of Acupuncture in China, http://www.acupuncturecare.com/acupunct.htm.
32
Research Project: Creating an overarching paradigm for research
31
INDIVIDUAL
Table 6: Research paradigms and the four quadrant holon model
INTERIOR
EXTERIOR
Subjective/personal
Objective/observable
Validity claim: the truthfulness of sincerity of personal
statement. Beauty and aesthetics (taste in art) is
ultimately about personal taste (I like what I like). The
“I” perspective. Psychotherapy and counselling
research.
Validity claim: the truth or falsity of a proposition.
Logical, rational and universally observable.
Deterministic (cause and effect), rather than
probabilistic, the basis of science. The “It” perspective.
Psychology, psychiatry, and medical research
Research process: Phenomenological based on
Research process: Objective based on:
The use of an interview processwhere there is:
Understanding the “lived experience” of individuals
Awareness of researcher biases - these may be used as
a resource or be bracketed (put to one side)
Presentation of chunks of verbatim (exactly as it
happened) information
The use of inductive processes to explain results
Adaptation of the research path as a result of the
information received
Care taken by the researcher to avoid manipulation and
hidden agendas
Can include introspection (a self interview), and
participant interpretation of visual material, actions, etc
The use of observational processes where there is:
Discounting “experience” that cannot be measured and
universally verified.
The assumption of the detachment of the observer from
the observed.
A reduction of information to numbers or quantities
(tests and questionnaires are important tools)
The use of deductive processes to explain results
The use of a preset design – setting up an experiment.
Researcher may manipulate subject and may hide the
what treatment they are on or what the study’s purpose.
Naturalistic observational study: The use of structured
observational procedures, to view the behaviours or
Case study: An in-depth study of an individual or an products of people or animals. Similar to the above, but
aspect of their lives, usually using a phenomenological not involving manipulation. Participants may not know
approach, but objective measures can also be used.
they are under study.
Subjective/cultural
COLLECTIVE
Validity claim: the morality or justness of a group
perspective. Often refers back to the fundamental,
connecting and often unspoken moral and/or spiritual
beliefs with a culture. The “We” perspective.
Anthropology and social anthropology research
Research process: Ethnographic – also using a
phenomenological approach, but also based on:
Understanding experience of cultures or groups from
an “insider” perspective
If researcher is from another culture s/he is culturally
competent and brackets (puts to one side) own values,
etc
Participant observation, informant interviews, written
records and/or direct experience
Group discussion processes such as focus groups that
allow participants reach consensus views.
Objective/social/economic
Validity claim: the functional fit of a proposition within a
system of knowledge, about the behaviour of
populations. Logical, rational and universally observable
within the context of a system. Probabilistic (events have
possible relationships) rather than deterministic.
Statistical science. The “It” perspective. Sociology,
social psychology, economics research
Research process: Surveys – also using an
observational approach, butbased also on:
Theories of how to sample populations so that small
samples best reflect the attitudes, emotional responses,
beliefs and behaviours of large groups.
The objectification of societal attitudes, etc through
codification – the use of highly structured interviews
and questionnaires and standardized tests.
Heavy use of statistics to provide levels of confidence
about research data and enhance the research’s reliability
Grounded Theory: using inductive processes and
and validity.
categorical analysis to develop theories from data. The The use of longitudinal procedures which measure
researcher avoids initial theorizing. Key method where changes over time
there is little literature in a culture about the topic area.
System data analysis: Systems generate day-to-day
Action Research: Participants help to design and
management information that is also useful for research.
analyse the research, which may have many stages.
Systems data research involves a deeper analysis of
This ensures their beliefs are reflected in the outcome. existing data
Research Project: Creating an overarching paradigm for research
32
the ancient yin-yang principle of Taoist philosophy and flourished to such an extent that by
17th century an encyclopaedic work of 120 volumes Principle and Practice of Medicine had
been written by the famous physician Wang Gendung. However, shortly after, western
influence encouraged the Ching Dynasty to ban acupuncture for 200 years as it was
considered a bar to progress34. Because there is no empirical cannon or a tradition of
independent voices within theocratic systems, research and practice which falls foul of the
systemic context cannot progress.
The systemic modes of research suggested in the collective exterior in table 6 are underpinned
by the empirical cannon (reliance on observation), but their history considerably predates the
modern period. The Domesday book of 1086 was the first extensive population and land use
survey35, Systematic records of financial transactions that are the basis of modern economic
and social sciences research have an even longer history. Systems have always generated
written data (typically books – e.g. the acupuncture manuals) that have become the basis of
research and scholarship (system data analysis).
What is being argued here is that the collective exterior represents a research model favoured
by cultures dominated by strong institutional structures beyond the family and the tribe, where
research is aligned with the systemic requirements of those institutions and not necessarily
with the communities they supposedly serve as would be expected from collective interior
research paradigms.
If we look at the process of research we might start with an Injunction (a question or an
hypothesis drawn from a paradigm). We then move to an Apprehension (collecting data - an
experience or observation designed to somehow address the question or hypothesis), followed
by an Interpretation (what is made of the data in the contexts of the cultural milieu in which it
is situated) and finally by a Validation (the goodness of fit of interpretation within extant
paradigms). At this point a paradigm shift may occur and a new injunction arises.
Injunction: The earth is flat so if we sail a ship far enough out into the ocean we will
hit the edge of the earth. If it is not flat, who knows riches we might find.
Apprehension: We sail far out into the ocean and have the experience of finding
another land
Interpretation: The earth cannot be flat because through our voyaging we have
somehow connected with the other side of the earth. We are going round in a circle
and we have connected up with India and the people who live here are Indians, and
have lands and resources that we could easily subjugate
Validation: This interpretation fits in with other emerging critiques of the flat earth
view, and with opportunities sought within a system of territorial expansion and
colonisation.
Injunction: The other side of India is a prize plum waiting for picking, so if we send
out a military expedition we will get rich.
34
Lewith, GT (1998). The History of Acupuncture in China, Excerpted From: Acupuncture - Its Place in
Western Medical Science, Thorsons Publishing Group.
http://www.healthy.net/asp/templates/article.asp?PageType=article&ID=1819 20/02/2002
35
A short extract from the Domesday Book (1086), Vol. 2, p15. Latin. The land of Robert Malet: Fredrebruge
Hundred [about 1200 acres] and half Glorestorp. Godwin, a freeman, held it. Two carucates [an amount land
ploughable by eight oxen – 120 acres] of land in the time of king Edward. Then and afterwards 8 villeins [high
status peasant]; now 3. Then and afterwards 3 bordars [moderate status peasants]; now 5. At all times 3 serfs
[slaves], and 30 acres of meadow. At all times 2 carucates in demesne [land owned by the lord, but worked by
peasants]. Then half a carucate of the men, and now. Woods for 8 swine, and 2 mills. Here are located 13
socmen [high status freemen], of 40 acres of land. When it was received there were 2 r [‘r’ is untranslatable],
now 1. At all times 8 swine, then 20 sheep, and it is worth 60 shillings.
Research Project: Creating an overarching paradigm for research
33
Table 8: Mark Edwards’ epistemological framework for research
Mark Edwards36 has pointed out that a number of writers have suggested a similar
epistemology, notably Piaget in 1972 with his Psychology and epistemology: Towards a
theory of knowledge. Edwards suggests the following model of research (table 8) as a cyclical
process. Here the apprehensive strand becomes the intuitive strand.
An assumption emerging from this model is regardless of the quadrant or paradigm that we
focus on as the driver of the research, the research process actually involves all four
quadrants. One of the ironies of this process is that the focus of our attention as researchers is
not so much on the quadrant that we privilege and which most informs our practice, but on the
next one round our anticlockwise clock. For example, if we are doing grounded theory, focus
groups or action research our aim is usually to transform subjective cultural understandings
into objective systemic processes the create opportunities for the participant culture (e.g. the
focus group on Maori perceptions of success will result in policy, procedure and curriculum
changes that advantage Mäori). If we are involved in surveys or system data analysis we want
to project our findings onto individual people in statements of the type: a person who does x
(e.g. smokes cigarettes) will experience y (e.g. lung cancer). If our research context is heavily
empirical, we live in fear of subjectivity infecting and invalidating our data, and consequently
attempt to measure (objectify) all subjectivities with tests of personality, emotionality and
wisdom, and if we start from the premise of the utter subjectivity of experience we become
very concerned with how experience can be interpreted or represented in the cultural milieu.
36
Edwards M (2000). The Integral Cycle of Knowledge: Some thoughts on integrating Ken Wilber's
Developmental and Epistemological Models, University of Western Australia, Perth,
http://members.ams.chello.nl/f.visser3/wilber/edwards2.html
Research Project: A study of the men’s movement - Direction and development in Aotearoa
35
A STUDY OF THE MEN’S MOVEMENT - DIRECTION AND DEVELOPMENT IN
AOTEAROA37 (sample lit review)
Introduction and literature review
1. INTRODUCTION
The research project attempts to analyse and gain understanding of the men’s movement in
Auckland, Aotearoa; with particular reference to the status and direction of men’s groups and
organisations. Men have been engaged in men’s work for a considerable time (Bliss 1995,
Hoff 1995), this project is concerned with discovering whether the benefits from this work
flows on to the greater community.
Henry (1996) states that the purpose of social science research should be to focus on the
transformation of inequitable social arrangements. Thus, is the men’s work having a social
impact beyond the lives of the individual participants? Does the work benefit other
relationships, create positive social change and effectively enhance the community?
By analysing information presented at a recent seminar, ‘Essentially Men Community Event
for Men’s Groups’, the project researches the shared experience of the men and men’s groups
present to gain a greater depth of understanding and description of their developing
knowledge and direction. The project hopes to be able to inform and shape some of this
knowledge and discover further areas for research.
2. LITERATURE REVIEW
Origins of Men’s Movement
The men’s movement has had its beginnings from the great social movements and economic
changes that have shaped the last part of the Twentieth Century. These forces have challenged
the traditional concepts of ‘masculinity’ and male gender roles.(Doyle 1995)
Flood (1999) talks of the recent radical transformations- the changing patterns of work and
economy; the women’s movement, the sexual revolution, gay liberation, conservation
movement and other transforming movements.
The rise of industrialisation and modernisation leading to globalisation in ‘Western’ nations
has had a profound impact on men’s roles of provider and protector.(Keen 1992) The
traditional work ethic ‘dimension’ of masculinity, which stressed productivity, men defining
themselves by occupation and ‘breadwinning’ is now threatened.(Arkin and Dobrofsky 1978,
cited in Doyle 1995) These changes have been heightened by recent technological innovation
and advances.
Doyle (1995) argues that men’s recent and persistent distrust of established institutions such
as the family, religion, politics, military and the government have all facilitated the rise and
development of the men’s movement.
The women’s movement has had considerable influence on gender role assumptions and
Gray, S. & Ruddenklau, K. (1999). A study of the men’s movement - direction and development in aotearoa
Unpublished research project. Unpublished Research project, School of Community Studies, UNITEC,
Auckland, New Zealand
37
Research Project: A study of the men’s movement - Direction and development in Aotearoa
36
contributed to the need for men to reexamine their position and masculine constructs
(Doyle1995). Many seem to regard the men’s movement as a response to the women’s
movement(Thompson,1991) and some see it as a backlash against the Feminist movement
(Hagan et al 1992).
‘Historically the male has changed considerably in the past thirty years.’ (Bly p17,
cited in Thompson1991)
In this relatively short period of time, the traditional modes of men’s behaviour and attitudes
have been greatly challenged and this has led to many men experiencing varying degrees of
uncertainty and anxiety (Doyle1995).
Weller (cited in Thompson 1991) talks of ‘the dissolution of the masculine community’. How
this has led to increasing isolation and a sense of disconnectedness or lack of belonging.
‘As the patriarchy has been inevitably crumbling so too has masculine confidence.’
(McCann 1999, p66)
Isolation and alienation are heightened by men’s emphasis and belief in the importance of
competitiveness, which has reduced men’s ability to form and keep close personal
connections with other people. (Keen 1992) This competitive spirit forces men to value and
comodify everything in terms of fixed quantities and worth:
“ This competition forces many men to define part of their male role in terms of
acquiring limited goods as proof of their masculinity, to view every other man as a
potential rival(mistrust). . . and to believe competition is always good for men.’
(Doyle 1995, p152)
Keen (1992) contends that the central source of men’s alienation and dissatisfaction with their
current existence is due to the absence of a sense of meaning or ‘vocation’ in their lives. This
has been reinforced and highlighted by the rapid changes in all the major social institutions
and especially with perceptions of traditional gender roles. (Mark and Portugal 1996)
Due to the profound changes in society and its expectation on men, many are looking for new
definitions of being and finding ways of bonding with each other. (Mark and Portugal 1996)
Men are meeting, forming groups in an attempt to make sense of what it now means to be a
man (Doyle 1995).
Changes in society’s notion of male roles have led to men needing to make changes in their
individual personal lives (Ferniano 1990, cited in Doyle 1995). Significant numbers of men
have begun to question many of their inherited values. They are searching for something
deeper, something more meaningful in their lives. Men are attempting to understand and
explore themselves and their relationships to find a way of evolving into a more fully
integrated existence and experience of being male (Doyle,1995).
‘ In a sense the Men’s movement is the vital missing piece in this jigsaw of human
change.’ (Biddulph 1995, p238).
The time for masculinity and men to examine their potential, roles, responsibilities and future
has never been more opportune or urgent. This has been enabled by the societal shifts of
social, economic, political and institutional change (Law et al, 1999).
Research Project: A study of the men’s movement - Direction and development in Aotearoa
37
New Zealand Issues for Men
The consequences of this ever accelerating change has manifested itself in some seriously
negative outcomes for men living in Aotearoa New Zealand. Male unemployment is high;
there has been a decline in male education achievement at all levels; a significant increase in
male violence and imprisonment; high admission of males into psychiatric and forensic
services; high levels of alcohol and drug misuse and a record level of male suicide.
Auckland School of Medicine researchers have found that male suicides rate rose 119 per
cent nationally between 1974 and 1994, mostly males in the 15-24 age group (N.Z. Herald
1999). According to McCann (1999) New Zealand has one of the highest youth suicide rate in
the developed world, and the statistics are four times higher for males compared to females.
The Mental Health Foundation (1996) describes males experiencing higher rates of injury,
suicide and hospital admissions for psychosis. They found that men are more likely to be the
perpetuators, but also the target of violence in our society. That alcohol and drug use as a
form of self medication is very common for New Zealand men.
‘ It is also considered “macho” to drink heavily and this can lead to debt, mental
disorder, social disorganisation and physical ill health.” (p.37)
The Mental Health Foundation (1996) also argues that New Zealand men cling on to a
traditional perspective that creates difficulty in asking for help, that this is still largely viewed
as a sign of weakness. This position is confirmed by Bruce Mackie, director of Life Line - ‘
Men have to shift out of the self-contained and macho type self solving kind of approach and
recognise their symptoms and get help for them.’(N.Z. Herald, 1999)
Also within the education system, males appear to be having increasing difficulty. According
to the New Zealand Education Review Office Journal (1999)
‘ Only one quarter of boy’s School Certificate results are of grades A or B compared
with one third of girl’s results. This reflects a similar pattern of under achievement by
boys at all levels of schooling’.
Part of the reason for this decline, it has been argued, is that the education system does not
understand or cater for boys’ needs, and that there is a glaring absence of positive fathers in
their families, male teachers and mentors in the community. The concept of a fatherless
society (McCann 1999, Biddulph 1995)
Fatherless New Zealand
One consistent theme that is central to the Men’s movement is that men and masculinity can
be a positive, life affirming force, that needs to be valued. Within this context, fathers are seen
as critically needed, they are viewed as being responsible for being mentors, protectors, and
guardians of each other, families, communities and the earth (Bly,1990/ Keen, 1992).
Through the influential research work of conservative American author David Blankerhorn
(Blankerhorn 1995), fatherlessness is described as
‘. . . the leading cause of declining child well-being in our society. . . the engine
driving our most urgent social problems. . .’ (Blankerhorn cited in McCann, 1999,
p.19)
Fatherlessness in New Zealand has been cited as a key issue for the men’s movement. It is
claimed that fatherlessness can be linked to a wide range of childhood and adolescent
problems - from lower achievement, problems with self-control, insecure sexual identity and
Research Project: A study of the men’s movement - Direction and development in Aotearoa
an increased risk of emotional, educational and development problems. (McCann,1999)
3. MODELS/KEY PEOPLE
Michael Meade (Bliss 1995, Hoff 1995) articulated that there was men’s movements not a
single monolithic structure, that the men’s movement was in fact ‘plural’ in origin and
formation.
Shepherd Bliss (Bliss 1995, Hoff 1995) described three distinct movements: the mythopoetic,
men’s rights and the feminist men. He asserted that there was ‘too much infighting’ between
these groups. This is due to considerable diversity and disagreement over political questions
and direction:
‘. . .some men’s groups are in direct opposition to each other’. (Flood, 1996)
Another analysis (Clatterbaugh1990, cited in Doyle1995) described six perspectives; the
profeminist, mythopoetic/spiritual, men’s rights, the group specific, the socialist and the
conservative. Throop (1996) affirms these main categories, defining the main branches of the
men’s movement as mythopoetic/men’s recovery, feminist men’s movement,
fatherhood/father’s rights movement, men’s rights and the Christian men’s movement.
For some commentators (Gilkenson1999, Bliss1995) the men’s movement has been heavily
dependent and over identified with certain key individuals. Bliss (1995) argues that the
movement is hierarchically based, and centred around charismatic leaders - ‘the stars’. This
establishes a leader/follower dynamic with the potential to be dangerous and unhealthy;
decreasing the chance of a truly democratic movement. Bliss (1995) feels that this is due to
the culture of individual ‘western’ man and that we lack a certain tribal quality- ‘the kind of
indigenous quality of community empowerment’. He contrasts this with the women’s
movement, which he asserts is ‘polytheistic, polycentric, many centred’.
Mythopoetic
This group has received the most media coverage and the highest public profile.(Hagan et al
1992) The term ‘mythopoetic’ was an archaic literary term meaning to ‘re-mythologise’,
Shepherd Bliss claims to have adopted this expression because
‘mythopoesis has this forward-moving change component’.( Hoff 1995, Bliss1995)
The mythopoetics were unorganised and manifested through the work of charismatic leaders
such as Robert Bly, Michael Meade and Robert Moore, presenting writings, running
gatherings and workshops.(Doyle, 1995) The group is seen as predominantly apolitical and
concerned with recovery and healing work for men, using an introspective
focus.(Throop,1995) Group processes greatly inform their work; concepts of separating from
the mother and reclaiming the ‘absent’ father are seen as vital. The need for initiation and the
lack of elders to mentor young men is lamented – the lost wisdom of generations. (Bly1990,
Biddulph 1995)
Mythopoetic men are highly influenced by psychoanalysis and the work of Carl Jung.
Masculinity is seen as based in deep unconscious patterns and archetypes, that are revealed
through myths, stories and rituals. (Flood1996)
‘. . . men must work (via therapy, men’s gatherings etc.) through their shame (a
powerful negative emotion that develops when their essential maleness is denied) and
their wounds (psychic traumas caused by unhealthy relationships to get at their
essential mature masculine quality).’ (Doyle1995,p.10)
38
Research Project: A study of the men’s movement - Direction and development in Aotearoa
39
Key people: Some of the key influences and individuals in the mythopoetic movement have
included:
Carl Jung and his work around depth psychology, the movement ‘down’ has been an
important theme and area of work for the mythopoetics. (Flood 1996, Doyle 1995) Jung
described the ‘collective unconsciousness’ as
“a storehouse of latent memory tracesinherited from people’s ancestral past.”
(Weiten1995, p.483)
These ancient memories were the ‘archetypes’:
“emotionally charged images and thought forms that haveuniversal meaning”.
(Weiten 1995, p.483)
These primordial images were seen to be at the very core of the personality- ‘king, warrior,
jester etc.’- metaphoric images that have been adopted and utilised by the mythopoetics. Jung
claimed that and individual without myth
“. . .is like one uprooted, having no true link with the past, or with the ancestral life
which continues within bim, or yet with contemporary society.” (Jung 1976, cited in
Politsky, 1995, p.10)
Joseph Campbell a scholar at Sarah Lawrence College for 38 years, integrated various fields –
literature, anthropology, mythology and art history. He was an editor and author of numerous
publications, including ‘The Hero With a Thousand Faces’. His work on universal myths has
also been significant for the mythopoetic perspective. (Doyle1995)
James Hillman another key figure, described as a teacher, psychotherapist, editor and author.
He focused on ‘archetypal psychology’- interested in the therapy of ideas, looking at the
‘broader disorders of the collective’. Alleged to have reintroduced the concept of ‘soul’ back
into the psychological discourse, through his 1964 book, ‘Suicide and Soul’ and more
recently ‘The Soul’s Code: In Search of Character and Calling’. Hillman is a long time
collaborator with Robert Bly in running men’s workshops and seminars. (C and G Library
1998)
Robert Bly is the most widely recognised member of the mythopoetics through his
international best selling book ‘Iron John’ (Bly 1990). Award winning poet, anti-Vietnam
protester, early proto type male feminist – conducted ‘Great Mother’ conferences in the
1970s. Bly captured the metaphor of the ‘Wild Man’, a challenge for men to rediscover their
inherent raw, creative male energy, a move away from the ‘softness’ of modern man. Bly was
an organiser and speaker at men’s gatherings, retreats and workshops from the early 1980s to
the present. (Hoff 1995, Bliss 1995)
Shepherd Bliss: Writer/editor/farmer. Credited to have coined the expression ‘mythopoetic’.
Michael Meade: Drummer, storyteller, mythologist and author - ‘Men and the Water of Life’.
Robert Moore: therapist, facilitator and co-author of King, Warrior, Magician, Lover.
Discovering the Masculine Archetypes of the Mature Male (1990)
Rex McCann is widely recognised in Aotearoa/New Zealand as one of the key leaders of the
Research Project: A study of the men’s movement - Direction and development in Aotearoa
40
men’s movement coming from a mythopoetic/recovery focus. He is closely involved with
annual male leadership gatherings and has run for many years the Essentially Men and
Essence of Men workshops. His work has been responsible for the establishment of very
many groups throughout Aotearoa/New Zealand. He has recently published his first book
‘Fatherless Sons. The Experiences of New Zealand Men’. (Transcripts of Men’s Conference
1999)
Feminist Men’s Movement
This is historically much more political and identifies with the more militant end of
feminism.(Throop 1995) It provides a broad based social, historical, and political analysis of
men’s lives. It serves as a basis for social action – against sexism, racism, heterosexism etc.
(Doyle 1995) This group sees gender completely as a social construct. They are very opposed
to traditional sex roles, Christian and religious values.(Throop 1996) This movement sees
men as oppressors and is opposed to other men’s movements for their lack of analysis, being
anti-women and
‘. . . offering little if any challenge to patriarchal and sexist social structures.’ (Doyle
1995)
Profeminists believe the patriarchal structures within ‘western’ culture maintain men’s
dominant position in society and subjugate women’s roles. (Adams date unknown) That the
vast majority of men experience considerable privilege due to living in a sexist, patriarchal
society that principally oppresses women. (Shwalbe1996). According to profeminists, men
must relinquish their control and domination of others and begin a process of sharing in
mutual partnership with women to benefit and shape the leadership and direction of society.
(Shwalbe 1996).
This position appears to be strongest within the academic and social research communities.
(Doyle 1995), and is best represented by
John Stoltenberg. Proudly gay male and platonic partner of 19 years to Angela Dworkin,
militant feminist campaigner and writer. Stoltenberg is author of ‘Refusing to be a Man’
(1990) and ‘The End of Manhood’ (1994). He is widely accepted and highly regarded in
gender feminist circles. His views and the men’s movement that he advocates, receives the
most positive endorsement from feminist campaigners. (Hagan et al 1992)
Reece Helmondollar is one of the leaders of the profeminist model in Aotearoa/New Zealand
and is a therapist, counselor and coordinator of stopping violence programmes. He actively
supports the feminist analysis of the patriarchy, advocating that men through the men’s
movement can build support, initiate healing and help construct positive male communities,
based on feminist principles. (Helmondollar 1999)
Helmondollar’s analysis of the current situation is that there are three necessary stages to
build healthy, safe communities. Firstly, a behaviour change, stopping men’s violent, abusive
and controlling behaviour towards women in New Zealand. Secondly, men being actively
involved in their own individual processes of self-healing and finally, moving into an equal
pro-feminist and pro-male movement partnership – equal sharing of power in society with
women by men in New Zealand. According to Helmondollar the majority of the New Zealand
men’s movement remains immobilised in the second stage of intrapsychic healing, unable or
unwilling to transition to the third stage. (Helmondollar, 1999)
Research Project: A study of the men’s movement - Direction and development in Aotearoa
41
Father’s Rights and Fatherhood Movement
This group’s focus is primarily around issues of divorced men, court bias regarding access to
children and absent fathers and the consequences for society. There is a mixture of views on
gender roles and their attitude is generally anti-feminist.(Throop1996). This anti-feminist
perspective is supposedly based on the “feminist capture” of political/legal processes and
institutions, that have victimised men and fathers. Their struggle primarily focuses on marital
and parental rights and responsibilities. But it also involves action on fathers fighting for
rights over biological offspring, including fetuses, and campaigning for revised arrangements
for divorce and settlement requirements. (Law et al 1999)
The North American organisation, The National Coalition for Free Men, claim that fathers’
rights groups are the largest contingency of the men’s movement. That the fathers’ rights
movement is characterised by an inability to form strong alliances and ‘slow to embrace a
broader more general approach to men’s issues.’ (National Coalition of Free Men website
1999)
In Aotearoa New Zealand, there are a number of organisations operating from this
perspective: including Families Apart Require Equality (FARE), Separated Fathers Support
Trust (South Auckland), Men and their Children (MATCH) and North Shore Fathers.
Craig Davis is one of the key people behind North Shore Fathers which evolved out of the
Men’s Centre, North Shore.
Men’s Rights Movement
This group sees gender as a social construct. It claims to be strongly egalitarian, and opposed
to public policies that treat men and women differently. They are sympathetic to egalitarian
feminists, but highly critical of gender feminism. (Throop 1995). Most notably advocated for
by Warren Farrell, who disputes the ‘myth of male power’ and argues that men are ‘success
objects’ and ‘the disposable sex’. (Farrell 1993). Men’s rights groups have a considerable
overlap with fathers’ rights groups. (Flood 1996)
Warren Farrell is perhaps the best known exponent of this perspective. In an earlier
incarnation he was an extreme supporter of the women’s liberation movement. He was elected
to the board of the New York branch of the National Organisation for Women, three years in
a row, in the early 1970’s. Since the mid 1980s Farrell has moved to distance himself from
this position and now claims that the patriarchy is a myth – that men are really the ‘disposable
sex’ . In 1993 he published ‘The Myth of Male Power’, described as the ‘seminal’ work
defining the men’s rights ideological stance (Williamson 1997).
In Aotearoa New Zealand this perspective is represented by such organisations as the New
Zealand Men for Equal Rights Association (NZMERA) and the North Shore Men’s Centre.
Issues that concern these agencies in New Zealand include – anti male bias in the media;
feminist capture of education, legal and political systems; men’s health and longevity;
reproductive rights where father are excluded; anti-male hysteria concerning domestic
violence, and other contentious issues such as false allegations of sexual abuse. North Shore
Mens Centre mission is encapsulated in their statement- ‘ We aim to offer a counterpoint to
the ideological feminist perspective.’ (North Shore Mens Centre 1999)
John Potter is one of the key people involved with this group. North Shore Mens Centre is
involved in political activism, ranging from petitions and submissions to Government to street
picketing. (North Shore Mens Centre 1999)
Research Project: A study of the men’s movement - Direction and development in Aotearoa
42
Christian Men’s Movement
This group strongly support traditional gender roles, primarily fundamentalist Christian
values and anti-feminist, disapproving of homosexuality. A central focus on inner work,
mostly evangelical, but also strong political alliances with conservative forces.(Flood 1996)
The only men’s group to have successfully included large numbers of ethnic minorities in its
membership and leadership in North America. (Throop 1996) They are beginning to establish
themselves in Australia, but so far with little influence (Flood 1996).
4 DEVELOPMENT OF THE MEN’S MOVEMENT
Development in North America
Williamson (1997) traces the beginnings of the men’s movement to the early 1960s in North
America, and the development of conservative organisations that were concerned with
Christian values for parents and families. An example of this was PACE (Parents and
Children for Equality), a national organisation, especially dealing with divorce and custody
arrangements.
The late 1960s and early 1970s found men interested and supportive of the women’s
liberation movement, starting to meet and organise themselves (Williamson 1997). The social
revolution of the 1960s provided the background and momentum for men to challenge the
social and cultural conventions about their position and role in modern ‘western’ society. The
women’s movement emphasised and informed men of the links between their affective
relations and the public world of institution and power. It offered an introduction to
understanding the self, through developing a language of the personal interior. It was
‘. . . a time of radical questioning, and discarding of inherited attitudes and
conventions. . . constituting, new identities and a sense of belonging.’ (Rutherford
1995,p.8 cited in Doyle 1995)
For the first time ever, large numbers of men were able to openly rebel against the traditional
tough, ‘macho’, unfeeling, unflinching persona. In 1970 the Men’s Centre in Berkley,
California opened, other centres soon followed. There was a growing network of men who
wanted to support women’s issues and examine the masculine role’s contribution to the
oppression from patriarchy. These groups’ primary function was to support women in their
striving for equality with men ( Williamson 1997). Two of the best known books from this
period were ‘The Liberated Man’ by Warren Farrell and ‘The Male Machine’ by Marc Feigen
- both supportive of the feminist cause, giving insights into the difficulty of males
experiencing gender stereotyping (Williamson 1997).
In 1975 a group organised a weekend conference devoted to men’s issues at the University of
Tennessee, this was the first National Men and Masculinity Conference. From this a national
body was formed called the Men’s Awareness Network (MAN), this organisation evolved
into various forms and its current manifestation is the National Organisation for Changing
Men (Schocke 1994, Doyle1995).
The men’s/father’s rights movement, followed a similar time line. From the 1960s to the
1970s there was various divorce reform movements. In 1973 the Men’s Rights Association
was founded by Richard Doyle, author of ‘The Rape of Male’(Williamson 1997). Another
American group during this time was Fathers United which led to the National Congress for
Men and also the group The Coalition for Free Men. These groups have been described as
Research Project: A study of the men’s movement - Direction and development in Aotearoa
43
‘rage based’, preoccupied with men’s rights and a ‘backlash’ to the feminist movement
(Schocke1994, Hagan1992).
‘The Hazards of Being Male’ (1976) by Herb Goldberg and more recently Warren Farrell’s
‘The Myth of Male Power’ are regarded as ‘seminal’ works espousing the men’s rights
ideological perspective (Schocke,1994).
The Mythopoetic men’s movement began in the mid 1980s out of the work of, most notably,
the poet Robert Bly. Its roots were essentially from the feminist men’s movement. In the
1970s Bly had organised ‘Great Mother Conferences’- mixed gender workshops, stressing the
adoption to peaceful, feminine qualities for both genders. In 1990. Bly’s book ‘Iron John’
drew worldwide media attention to the men’s movement as embodied by the mythopoetics. It
was the first book from the men’s movement to make it on to the New York Times best seller
list (Williamson,1997).
Development in New Zealand:
In Aotearoa New Zealand there has been no in-depth study of the development of the men’s
movement (Law et al 1999). As such, much of the information is anecdotal. Bob Harvey,
mayor of Waitakere City, reminisces about meeting with a group of men at Bethell’s Beach,
banging drums and discussing masculine identity. This was organised by Brother Felix
Donnelly, over 30 years ago (Harvey1999).
‘ As the traditional male stereotype began to be questioned in the late 1960’s and
early 1970’s, people also became aware of the human costs which such a narrow
definition of male behaviour has imposed on New Zealanders.’ ( Phillips 1987).
Trends that developed out of North America have also taken root here, but with less overt
political mobilisation on men’s issues in Aotearoa New Zealand (Law et al 1999).
According to Reece Helmondollar, the men’s movement in New Zealand grew out of an
increasing awareness of the impact of men’s violence was having on New Zealand society.
This new awareness being primarily driven by the feminist movement. New Zealand men
describing themselves as male feminists began expressing their concern about the use of
violence against women, as early as 1968 ( Helmondollar1999). The men’s movement grew
out of a real need to stop the violence being perpetuated by men upon women in New Zealand
society. Men began to express this by reaching out for support individually, then coming
together to support one another collectively (Swain 1984).
It is claimed that the highest profile men’s group is the national organisation Men for Non
Violence (MFNV), which provides anger management and stopping violence programmes
and policy advice. This also includes a Maori initiative, under the umbrella of Te Runanga
Taore O Aotearoa (Fiddler, cited in Law et al 1999).
In 1994 the North Shore Men’s Centre was established, which claimed to be the ‘first men’s
centre in New Zealand’. And since the 90s a number of service agencies have been set up for
men. These include – Men’s Line, Men in Change, Man Alive and Men Experiencing Divorce
and Separation (MEDS) (North Shore Mens Centre 1999).
During this period, the work of Rex McCann through his Essentially Men workshops and
Men’s Trust in Christchurch and Welling Men in Wellington, a wide and varied support
network of men’s groups have been established, coming from the mythopoetic/recovery
Research Project: A study of the men’s movement - Direction and development in Aotearoa
44
model (McCann 1999).
Biddulph (1995) claims that there are now more than 300 mens’ groups in Australia and
leadership gathering and conferences are being held regularly between the leaders of the
movement in Australia and Aotearoa New Zealand.
5. RELATIONSHIP TO FEMINISM
Need and Acceptance
The relationship between the men’s movement and feminist understanding has been described
as ‘problematic’.Characterised by a response of sympathy, fear, confusion, anger and hostility
(Hagan et al 1992).
There is wide acceptance that men need to change and of the urgency of this situation‘Make no mistake about it: Women want a men’s movement. We are literally dying for
it.’ (Steinem,1992,p.v. Hagan 1992).
There is some agreement that men’s work involving exploring and expressing emotional
issues is beneficial.
‘All women active in feminist movement recognize the importance of males learning
how to express a wide range of emotions.’ (bell hooks,1992, p.114, Hagan, 1992).
Also that the men’s movement has created a forum to discuss the ‘dis-ease’ men experience
with the current social constructs of masculinity.(Carlin.in Hagan 1992) And how men need
to take responsibility for redefining and shaping new and more appropriate ‘personal and
cultural formulations’ (Gray in Hagan 1992).
The acceptable face of the men’s movement for most feminists is that of the anti-sexist,
profeminist, gay affirmative group that evolved out of the 1970s and is closely aligned to the
gender feminist movement – “the real men’s movement’ (Adair, in Hagan,1992).
Patriarchal Dominance
Most feminists emphasize that the men’s movement is fundamentally flawed (Gray, in Hagan
1992) because it lacks any analysis of the dominant position men have in this society. They
maintain that our culture is socialised and shaped to prefer men and ‘masculine’ values to the
detriment of other less powerful groups.(Spretnak, in Hagan1992). Also that there is no
acknowledgment of the injustice of men’s historical position of privilege and the economic,
political and social structures and ideologies that have maintained men’s world wide cultural
dominance and inheritance (Ruether, in Hagan 1992):
‘Its defect is that it never challenges, never sees, the most fundamental problem of the
construction of manhood: the assumption of male centrality. It therefore reproduces
patriarchy’. ( Kaufman, cited in Hagan,1992, p.162)
Some feminist writers feel that the men’s movement is a backlash, a ‘critical response’ to the
women’s movement and the gains that they have made.(Adair, in Hagan,1992) That it is
essentially ‘anti-feminist’ and more concerned with trying to
‘. . . reestablish the moral authority of the patriarchs.’ (Adair, in Hagan 1992, p.55).
Much is made of the deep masculine archetypes that are embraced, especially by the mythopoetic movement- king, warrior, magician etc. These are felt to be ‘atavistic’ and reinforce
Research Project: A study of the men’s movement - Direction and development in Aotearoa
45
masculine values of hierarchy and warfare.
‘. . . simply reiterating the old scripts’. (Ruether, cited in Hagan 1992).
There is a concern that the men’s movement depolitises issues of sexism and oppression, that
it trivialises these life threatening issues by being more concerned with personal self
actualisation for men.(bell hooks, in Hagan1992)
‘Women are fighting for their lives and men are looking for some peace of mind.’
(Kingsolver, in Hagan 1992,p.39).
The focus on ‘intrapsychic self affirmation’ is condemned for excluding a structural power
analysis and therefore the movement is unable to create any significant social change (Reuther
in Hagan 1992).
Feminist writers are upset at what they see as men casting themselves as ‘victims’ (Brown in
Hagan,1992) and blaming the demasculisation of men on feminism, women and the failure of
men to separate from the mother/son bond.(bell hooks, in Hagan,1992) The emphasis on
‘overthrowing the mother’ and reclaiming the ‘absent father’ for the men’s movement is
described as ‘the birthright of male domination’. (Reuther, in Hagan 1992)
Biological versus Social Constructs
Another important issue is the feminist interpretation of one of the men’s movement
perspectives, which some feel is one of essentially biological determinism against a social
construction of gender in our society, that most feminists subscribe to. (Brown,in
Hagan,1992)
The men’s movement endows men with certain irrefutable biological differences and
characteristics from women. This creates a position of opposition and ‘othering’ and leads to
‘contempt’ and unhelpful distinctions between women and men.( Caputi and Mackenzie, in
Hagan, 1992)
Segal (Porter,1992) discusses women having to relate to ‘socially constructed masculinity’
and the difficulty of seeing masculinity in terms of personal attributes, rather than acquired
social roles. (Segal, 1997) This differentiation of capabilities and capacities for either gender
based on biological differences is seen as limiting and ‘a form of masculinist nationalism. . . a
reconstellation of patriarchal rules and roles.’ ( Caputi and Mackenzie, in Hagan,1992)
As a social movement
b.hooks claims that the men’s movement core belief system is guided by sexist and
misogynist values; and as such it needs to change and ideally
‘. . . merely be a segment under the larger feminist movement.’ (b.hooks, in Hagan
1992, p113).
The men’s movement, much like the embryonic feminist movement, has been criticised for
being the preserve of the affluent, educated, white middle classes (Caputi and Mackenzie, in
Hagan 1992). And that it is not a social movement, because it fails to address issues of power,
that it is more concerned with ‘homosocial’ bonding around male power.
Gill (1992) challenges whether it is a movement at all, and prefers to define it as a
‘manifestation’:
‘. . . a true movement springs up spontaneously everywhere, as did the liberation
movements for blacks and women, and then perseveres to challenge society’s
fundamental assumptions.’(Gill, in Hagan 1992, p156).
Reseach Project: Collective interior
46
RESEARCH METHODS
This section elaborates the analysis of research methods using the holon model. We start of
looking at the methods of the collective interior (grounded theory, focus groups and action
research). Because all these methods draw heavily upon the theory of phenomenology, this needs
some explanation.
PHENOMENOLOGY
The qualitative methods are built on phenomenology, a philosophical movement which developed
in the late nineteenth and early twentieth century. Phenomenology is the study of phenomena38,
which can be defined as "that which appear real to the senses, regardless of whether their
underlying existence is proved real or their nature understood". Thus phenomenology is the study
of the possible appearances, forms, and structures of human experience.
We can distinguish four central assumptions of phenomenology.
 Firstly, perception is regarded as the primary psychological activity, since our perceptions
give rise to what we do, think and feel. Because of this, perceived meaning is more important
than objects, facts or physical events, so-calledobjective reality.
 Secondly, understanding is regarded as being the true end of science (in contrast to
prediction, for example). The aim is to produce explanations of the person's experiences and
actions in terms of intentions/purposes and meanings, usually in the form of a descriptive
narrative or lists of themes or defining features.
 Thirdly, a key assumption is that of multiple perspectives (epistemological pluralism). Each
person's perspective has its own validity (ie. it is how they see things); therefore multiple,
differing perspectives are equally valid and of interest for study. These multiple perspectives
constitute different self-worlds; for example, the same aging oak tree is radically different
when perceived by the forester, the lost child, the fox, or the wood beetle. These self-worlds
are the object of study for the phenomenologist.
 Fourthly, individuals' perceptions of their self-worlds are based on their own hidden
assumptions, which phenomenologists also try to understand. That is, what we perceive is
built on multiple assumptions about ourselves, others and the world. These assumptions are
the taken-for-granted, unquestioned context for our actions and perceptions. For example, if
an acquaintance greets you with "How are you?", you are not usually expected to give an
accurate or detailed answer; in fact, to anyone but a close friend it would seem quite odd to do
so. Although we accept these underlying assumptions or presuppositions, we are not
generally aware of them and do not question them. In other words, they are believed to be
"known to all" and part of what "everybody knows that everybody knows". One key set of
underlying assumptions is known as the "natural attitude", which comprises the unquestioning
belief that "things are what they appear to be", including the ideas that the world is made up of
objects (rather than fields of interconnection), and that all sane persons share the same world.
In fact, in everyday life it is considered strange or deviant to talk about many of these
presuppositions, so that their very obviousness at the same time hides them or prevents them
from being noticed..
38
This section is (with some adaptations) from Barker, C., Pistrang, N. & Elliott, R. (1994). Research methods
in clinical and counselling psychology, Wiley, New York, p74-75
Interviewing and the phenomenological approach
47
INTERVIEWING AND THE PHENOMENOLOGICAL APPROACH
Finally we have the individual interior. We have started the journey around the research
methods by looking first at people in relationship and trying to make that relationship the
subject of research by standing inside it (the collective interior). However, through research,
those relationships become more explicit (they are organised into systems), and the role of
the researcher becomes more externalised as we research systems and their interactions in the
collective exterior. As we depend more and more on systems, issues of validity and reliability
become increasingly important. The observation must be independent of the observer we
must understand individual behaviour before we can understand the behaviour of groups and
we need to use the methods of the individual exterior. But as we measure thoughts, beliefs,
feelings, etc, we constantly find our claims of valid measures being undermined by the
subjective experience of individual participants, and we have to use the methods of the
individual interior to subjective constructions which have such influence over our lives.
The interview becomes the focus of our research. It is not the structured pre-determined
process of the exterior methods, nor is it concerned with creating or using a group context for
the research. It is concerned understanding the lived experience of individual people under
the principles of phenomenology set out in the beginning of discussions on research methods
(p57). The table below shows the relationship between pure phenomenological research,
grounded theory and ethnography. The differences are not exclusive, particularly between
grounded theory and ethnographic approaches, and there is a considerable degree of overlap
in methods, and research and ethical issues
Phenomenology
Philosophy.
Persons who
have lived the
experience
Interviews
diaries, review
of art, music
and, literature
To generate
theory about
social
structures &
processes
Sociology. All
persons
involved in a
social process
Interviews,
participant
observations
document
review
To describe a
culture
Anthropology
All persons
past & present
in a culture
Interviews,
participant
observation,
document
review
Ethnography
To understand
the meaning of
a specific
human
experience
Grounded
Theory
Purpose
Comparisonof Key Qualitative Methods39
Intellectual
Data sources Data Analysis
Focus
Roots,
ofInterview
Subjects
& Analysis
39
Reflection on
the data,
explication, of
themes
constitutive
patterns
Constant
comparative
analysis
Constant
comparative
analysis
Research
Outcome
Common
practices,
exemplars,
paradigm
cases.
Full, rich
description of a
human
experience
Phases,
dimensions,
properties of
the social
structure
Integrated,
parsimonious
theory with
concepts that
have analytic
imagery
Well described
cultural norms
Domains
taxonomies
components,
cultural terms
Table adapted from unnamed document (n.d.). School of Nursing and Health Science research programme,
Texas A&M University at Corpus Christi, TX. Retrieved 02/02/99 http://falcon.tamucc.edu/~hamilton/
Nurs4318/Research.html.
Interviewing and the phenomenological approach
48
INTERVIEWING40
The interview guide
The first step is to prepare an interview guide which lists the important areas to be addressed
and may have some standard questions to be asked. It is usually a good idea to structure the
interview around some sort of framework, which could be, for example, conceptual or
chronological. The interview typically starts with general questions, as a warm-up. The
standard questions need not be covered in a fixed order, but the guide serves as an
aidememoire, to remind you what needs to be asked. It is vital to pilot test the interview
protocol on a few respondents and revise it accordingly.
Young and Willmott (1957), in their classic study Family and Kinshipin East London,
describe the use of their interview guide:
We used a schedule of questions, but the interviews were much more informal and less
standardised than those in the general survey. Answers had to be obtained to all the set
questions listed (though not necessarily in the same order), but this did not exhaust the
interview. Each couple being in some way different from every other, we endeavoured to
find out as much as we could about the peculiarities of each couple's experiences and family
relationships, using the set questions as leads and following up anything of interest which
emerged in the answers to them as the basis for yet further questions. (Young & Willmott,
1957, p. 207)
Interviewing style
The interviewer's general stance should be one of empathic and non-judgmental attention,
giving the respondent plenty of space to think and talk, and avoiding bias by not suggesting
possible responses. If you are unclear about anything, probe further, although legal-style
interrogation is obviously to be avoided.
In order to be an effective qualitative interviewer, you must start with an attitude of genuine
interest in learning from others, in hearing their story, and you must be able to listen to them
with tolerance and acceptance. The schizophrenia researcher John Strauss (Strauss et al.,
1987) realised after 30 years of quantitative research that he had learned very little about the
nature of schizophrenia; he felt that he had only really begun to learn when he started to listen
to what the patients had to say when he asked them about their experiences.
Your counselling skills, such as empathy and clinical intuition, are very much to the fore
here. However, there must be a clear distinction between research and therapy interviews, as
almost all therapeutic orientations involve interventions which are inappropriate for
qualitative interviewing. For instance, it would be wrong to conduct a qualitative interview
in cognitive-behavioural style, as this approach, like most therapies, is ultimately interested in
changing the client's thoughts and experiences rather than finding out about them. Even
client-centred therapists may engage in too much paraphrasing, which can easily end up
putting words in the client's mouth. Perhaps a better clinical analogy is the enquiry phase of
projective testing (e.g. "What was it about the card that made you think of a flying pig?"),
40
Barker C; Pistrang N; Elliott (1994). Research methods in clinical & counselling psychology. John Wiley &
Sons, Chichester, pp 95-99
Interviewing and the phenomenological approach
49
although this style of questioning does tend to fall into the traditional, detached interviewer
model.
Tape-record the interview if at all possible, since extensive note taking runs the risk of
distracting the informant and interrupting the flow of the interview. Therefore, note-taking
should be kept to the minimum needed to run the interview efficiently (e.g. topics covered,
important things to follow up). However, if you have to interview without a tape-recorder,
you then need to take verbatim notes, putting quotation marks around everything said by the
respondent. Also, as we suggested in Chapter 3, it is worth keeping a research journal to
record your impressions of each interview.
Qualitative interviewing skills
If one is motivated to understand and learn about people by interviewing, then a number of
technical skills in information gathering and listening become useful. One useful way to
describe these skills is in terms of what are called "response modes" (Goodman & Dooley,
1976), that is, basic types of interviewer speech acts or responses. These can be divided into
three headings: responses which are essential for qualitative interviewing; responses which
are sometimes useful; and responses which should generally be avoided.
Essential response modes. These lean heavily on the "active listening" responses such as
those made famous by client-centred therapy. Thus two key responses are open questions-to
gather information and to encourage the informant to elaborate-and reflections-to
communicate understanding and to encourage further exploration of content. Process
suggestions to guide the discussion ("I wonder if you could tell me about . . .") are also
essential for beginning and structuring the interview, while brief acknowledgment responses
(e.g. "I see" or "Uh-huh") build rapport and help the informant to keep talking. If a more
active, paraphrasing style is used, you are more likely to need to account for the interviewer's
possible influence on the data when you do your analysis.
Supplemental response modes. In addition, several other types of response are sometimes
useful, although they should not be overused. These include the following: closed questions,
to test hypotheses near the end of the interview; self-disclosures, which allow the interviewer
to explain his or her goals for the interview and to build rapport by answering questions about
him- or herself; and reassurances or sympathising responses ("It's hard"), to encourage
openness in the informant.
Responses to be avoided. These include problem-solving advice (telling informants how to
solve their problems); interpretations, which try to tell informants why they did something or
what they actually felt; disagreements or confrontations, which cut off communication by
criticising or putting the informant down (e.g. do not try to "catch"informants in
contradictions); and giving informants information (other than information about the structure
and purpose of the interview itself).
Useful types of questions. Because questions are so important for organising and structuring
qualitative interviews, it is worth describing some of the most important types, in the order in
which they typically occur in a qualitative interview.
1.
Entry questions set the interview up and help the informant to find a useful focus for
describing his or her experiences (e.g. "Can you think of a particular time when you were
Interviewing and the phenomenological approach
50
afraid of the dark?", "Can you give me a flavour for what it was like for you to go
through that?").
2.
Unfolding questions request information that will help the informant to unfold his or her
story for the researcher, including questions about activities ("What were you doing at
that moment?"), intentions ("What did you want to accomplish?"), feelings ("What did
that feel like, when you were standing there, listening to them talk?"), or sensory
perceptions ("What were you noticing as you sat there?").
3.
Follow-up probes are questions which seek further information or clarification about
something which the informant has said. They may be standardised requests for
elaboration; if the interviewer listens carefully to what the informant says, he or she can
probe more selectively when the informant fails to answer a question clearly or says
something which is unclear ("What do you mean when you use the word 'gnarly'?").
4.
Construal questions are usually saved for later in the interview, because they ask the
informant for explanations and evaluations and thus move away from the predominant
emphasis on description ("How do you make sense of that?").
5.
Hypothesis-testing questions are best saved for the end of the interview, in order not to
"lead the witness". They can be useful for following up hunches or confirming the
interviewer's understanding ("Are you saying that not knowing your diagnosis is what
frightened you the most?").
It is also good to keep validity considerations in the back of your mind while interviewing.
During the interview, you may become aware of possible inconsistencies which could be:
• internal, between different parts of the story;
• external, with another source, e.g. a document or another respondent;
• between manifest and latent content, e.g. between the words and the tone of voice.
Gently and tactfully enquire about these inconsistencies if they arise. It is obviously
counterproductive to take an attitude of attempting to ferret out discrepancies or to accuse the
respondent of lying. Discrepancies may not reflect invalidity, they often represent different
perspectives or conscious versus unconscious thoughts.
Grounded Theory summary
51
INTERVIEW SCHEDULES
DIFFERENT PERSPECTIVES FROM SAMOAN COMMUNITY ON
FA’ALAVELAVE41
INTERVIEW QUESTIONS
1. How much of the Samoan culture do you practise?
2. Is there anything about the Samoan culture you do not like or you do like very much?
3. What do you think of the fa’alavelave custom – how important and what kind of impact
does it have in your life?
4. How do you decide how much you should contribute?
5. Do you think the fa’alavelave custom needs to change or will have to change in the
future?
6. What influence does the church have on fa’alavelave
7. If you have children or are planning to have children, how much of the Samoan culture
will you teach them?
8. Do you have a lot of involvement with your extended or immediate family?
9. If you are married how do you deal with fa’alavelave from your husband’s side?
Background information (mainly collected informally)
10. Are you New Zealand born or Samoan born? If Samoan born what age did you come to
NZ. If NZ born how many years have you lived in Samoa (if at all).
11. Village of birth, matai status, church, fluency in Samoan
12. Age, gender, occupation, educational level, income.
SPIRITUAL ABUSE42
The interview will take between one and half and two hours. This includes an introductory
period where the process is explained and the tape is set-up, we have a cup of tea/coffee and
warm-up to the topic. There may also be breaks in the taping, and a wind down period at the
end.
1. What do the words spiritual abuse mean to you?
2. What is your spiritual abuse story and when did it happen?
3. How did it affect you as an individual?
4. How did it affect your family?
5. How has your experience of spiritual abuse effected your current spirituality?
6. How would you rate the effect on you of the abuse at the time it was occurring?
A) Negligible, B) Mildly hurtful, C) Hurtful, D) Very hurtful, E) Traumatic
7. How would you rate the continuing effect of it on you?
A) Negligible, B) Mildly hurtful, C) Hurtful, D) Very hurtful, E) Traumatic
8. How would you rate the style of abuse you experienced?
A) Subtle, B) Somewhat apparent, C) Apparent, D) Very apparent, E) Blatant
9. Is there anything else you wish to add?
Wilson, A. & Amua E (1999). Perspectives of Fa’alavelave. Unpublished research report, School of
Community Studies, UNITEC, Auckland, New Zealand
42
Amos, B., Morris, J., Pimentel, D. & Rolston R (1999). Spiritual Abuse. Unpublished research report, School
of Community Studies, UNITEC, Auckland, New Zealand
41
Grounded Theory summary
52
CHANGE AND STRESS FOR STUDENTS RETURNING TO STUDY ON
BACHELOR OF SOCIAL PRACTICE AT UNITEC.43
1. Age, Gender, Ethnicity, Marital/Partnership status, Dependents, Education, BSocP
Major, Full or Part time student.
2. What brought you back to study? Why did you choose the Bachelor of Social
Practice?
3. What support was there from significant others regarding returning to study? (eg
partners, children, parents, friends)
i. Has the support from significant others changed during study? If so,
how?
ii. Have your relationships with significant others been affected by study?
iii. If so, how is this different from before?
4. Has your financial situation changed as a result of studying? If so how?
i. What impact have these changes had?
5. Have any critical incidents (eg. accident, injury, marked relationship deterioration or
loss, theft, death or significant illness, unwanted job loss, shift of home, major
difficulties with children) have occurred during study on BsocP?
i. What impact did these have on your ability to study?
6. To what extent was the BSP a source of stress in your life/a support system that helped
you deal with stress in your life
i. What was the hardest point of the degree?
ii. Has there been a time when you came close to giving up?
iii. What was happening around that ?
iv. What was it that enabled you to continue and not give up?
7. What strategies did you have in place for coping?
i. What worked and what did not?
ii. What strategies would you employ now?
8. How well prepared do you think you were at the commencement of study for dealing
with the likes of critical incidents, study/assignment workloads, etc?
i. What information might have been helpful to know at the beginning of
Year One?
ii. How supportive has the institute been during times of personal crisis?
9. Is stress, change, disruption, etc inevitable? An important part learning/personal
development?
10. What “equipment” would you consider useful to pack in the “survival kit” for students
beginning study on the Bachelor of Social Practice?
43
Gestro, S., Kinghorn J. & Lincoln, Y. (2001). Stress and change for mature students returning to study on the
Bachelor of Social Practice Course at UNITEC. Unpublished research report, School of Community Studies,
UNITEC, Auckland, New Zealand
Grounded Theory summary
53
INTRODUCTION TO GROUNDED THEORY
It is a capital mistake to theorise before one has data. . .Sherlock Holmes
Grounded Theory is most accurately described as a research method in which the theory is
developed from the data, rather than the other way around. That makes this is an inductive
approach, meaning that it moves from the specific to the more general. The method of study is
essentially based on three elements: concepts, categories and propositions
The Elements Of Grounded Theory44
The three basic elements of grounded theory are concepts, categories and propositions.
Concepts are the basic units of analysis since it is from conceptualisation of
data, not the actual data per se, that theory is developed. Corbin and Strauss (1990, p. 7) state:
Theories can't be built with actual incidents or activities as observed or reported; that is, from
"raw data." The incidents, events, happenings are taken as, or analysed as, potential indicators
of phenomena, which are thereby given conceptual labels. If a respondent says to the
researcher, "Each day I spread my activities over the morning, resting between shaving and
bathing," then the researcher might label this phenomenon as "pacing." As the researcher
encounters other incidents, and when after comparison to the first, they appear to resemble
the same phenomena, then these, too, can be labelled as "pacing." Only by comparing
incidents and naming like phenomena with the same term can the theorist accumulate the
basic units for theory.
The second element of grounded theory, categories, are defined by Corbin and Strauss (1990,
p. 7)45 thus:
Categories are higher in level and more abstract than the concepts they represent.
They are generated through the same analytic process of making comparisons to
highlight similarities and differences that is used to produce lower level concepts.
Categories are the "cornerstones" of developing theory. They provide the means by
which the theory can be integrated. We can show how the grouping of concepts forms
categories by continuing with the example presented above. In addition to the concept
of "pacing," the analyst might generate the concepts of "self-medicating," "resting,"
and "watching one's diet." While coding, the analyst may note that, although these
concepts are different in form, they seem to represent activities directed toward a
similar process: keeping an illness under control. They could be grouped under a
more abstract heading, the category: "Self Strategies for Controlling Illness."
The third element of grounded theory are propositions which indicate generalised
relationships between a category and its concepts and between discrete categories. This third
element was originally termed 'hypotheses' by Glaser and Strauss (1967). It is felt that the
term propositions' is more appropriate since, as Whetten (1989, p. 492) correctly points out,
propositions involve conceptual relationships whereas hypotheses require measured
relationships. Since the grounded approach produces conceptual and not measured
relationships, the former term is preferred.
44
The following excerpt is from Pandit, N.R. (1996) The Creation of Theory: A Recent Application of the
Grounded Theory Method, The Qualitative Report, 2, 4. Retrieved 26/02/2004 from
http://www.nova.edu/ssss/QR/QR2-4/pandit.html.
45
Corbin, J., & Strauss, A. (1990). Grounded theory research: Procedures, canons, and evaluative criteria.
Qualitative Sociology, 13, 3-21.
Grounded Theory summary
54
The generation and development of concepts, categories and propositions is an iterative
process. Grounded theory is not generated a priori and then subsequently
tested. Rather, it is,
….inductively derived from the study of the phenomenon it represents. That is,
discovered, developed, and provisionally verified through systematic data collection
and analysis of data pertaining to that phenomenon. Therefore, data collection,
analysis, and theory should stand in reciprocal relationship with each other. One does
not begin with a theory, then prove it. Rather, one begins with an area of study and
what is relevant to that area is allowed to emerge. (Strauss and Corbin, 1990, p. 23.
Emphasis added.)
Strauss & Corbin46 state that there are four primary requirements for judging a good grounded
theory:
1) It should fit the phenomenon, provided it has been carefully derived from diverse data
and is adherent to the common reality of the area;
2) It should provide understanding, and be understandable;
3) Because the data is comprehensive, it should provide generality, in that the theory
includes extensive variation and is abstract enough to be applicable to a wide variety of
contexts; and It should provide control, in the sense of stating the conditions under which
the theory applies and describing a reasonable basis for action.
Concepts are the key elements of grounded theory analysis since the theory is developed from
the conceptualisation of data, rather than the actual data. That is to say that the categories are
developed from the concepts, and the propositions/hypotheses/ theories are developed from
the categories.
The example on page 53 is from a study47 on transitions in midlife and involves Tongan,
Päkehä and Mäori participants. It gives some idea how this process works.
2. The words in italics are verbatim from the participants involved in the research. These
are the concepts around the word family.
3. Some of these concepts are consistent with a category about the centrality of family in
day-to-day life. Other concepts are consistent with categories that family is a set of
competing forces, that the power of family is only invoked at times of crisis or that
family is somethingto be reclaimed.
4. The last two paragraphs are an attempt to draw some theory from the process of
categorisation. Firstly there is a theory that some categories emerge only or primarily
from Tongan concepts and others from the rest of the participants. The theory is
elaborated by the suggestion that the differences between the two groups may be large
enough for different theories about transitions in families to be considered.
Having identified the key categories of the phenomenon of family transition, they then must
be viewed within the context and process of the research. Issues that arise here can include:

How the key questions were developed?

How was the sample for the interview was determined?

Did the sampling process carry on until all reasonable options had been explored?
46
Strauss, Anselm, and Corbin, Juliet (1990) Basics of qualitative research: grounded theory procedures and
techniques. Newbury Park: Sage.
47
Aho, N., Wilson, J., Williams, L. & Southgate J. (2001). How do family transitions at midlife impact on the
quality of life for women in New Zealand? Unpublished research project, School of Community Studies,
UNITEC, Auckland, New Zealand.
Grounded Theory summary
55
Grounded theory starts of with very vague questions and with a very small sample. Thus the
preliminary categories and theories emerge from the initial sample. If that sample had not
included Tongan participants and researchers and was dominated by Päkehä agendas (e.g that
midlife transitions are complex and painful for Päkehä), then we might feel reluctant to
generalise from these results.
This research interviewed sixteen people and only four Tongan people – was that enough?
Were the backgrounds and experiences of people with the sample sufficiently different for the
researchers to suggest generality for their theories? This issue of generalisation is a difficult
one for grounded theory. It is addressed in two ways:
 Keep on sampling until no more divergent opinions occur. This is called reaching
saturation.
 If your theory fits (feels right) then it might be right, particularly if others agree with you.
This can be because others can see from the detail of your write-up how the theory
emerges and thus find it believable. If your research can be replicated - even better.
Grounded Theory – The importance of family
56
The importance of family
Given that the focus in questions two and three in our questionnaire was specifically on
“family transitions”, the word “family” was used surprising little by the participants, and less
than half did not use it at all. All the Tongan women refer to the family as the core of their
current life:

The important thing that I want to do at this time is to be with my family and my
grandchildren.

(My relationship with God) will guide me through life and help me to have a more
fulfilling roles within my family, extended family, church, community

Even though I am free to do what I want to do but my family is still important for me to
accommodate their needs.
Other women also see the family as important, but often in competition with or secondary to
other things like work, partners or friendships:

(I am) balanced between family and ..work – I would like a relaxed pace – not dictated by
the requirements of others

I wish for my life to be productive and satisfying, particularly in regards to my family

…doing things I love that are important to me – my partner, my family

So the family transitions are good in the sense that the adults are now adults and the
adolescence is going

Connection to friends and family are ultimately the most important
Often the family is only mentioned because of a death of family member:

Mum dying in road accident – Impacted (on the) whole family.

Mum had been the main family centre. It was she who kept in touch with my brother and
two sisters. She remembered all the kid’s birthdays and was the source of all family
history.

He became ill about 4 years ago and the impact of this on the whole family, was huge.
One Päkehä woman gives the feeling of wanting to reclaim her family:

I also have a sense of wanting to recognise and celebrate my family of origin. I think with
the ageing process comes some appreciation of what my parents did, went through and
how they lived their lives. I want that to mean something. My family relationships are the
most important to me.
So while the Tongan women see family as the focus of their lives and their point of
connection with the wider community and ultimately with God, the other women see the
family as a competing with other forces or becoming fragmented within itself, lost or in its
extended sense, irrelevant.
This difference in perspective has major implications when we think about transitions in
relation to families. In the Tongan context there is such entity than can be said to be in
transition, but with the other groups there are children, mothers, fathers and spouses or
partners, all of whom represent different and often competing interests within the family, and
who are moving at different speeds and in different directions.
Grounded Theory
57
GROUNDED THEORY: A THUMBNAIL SKETCH48
Overview
Barney Glasser and Anselm Strauss were the primary originators of grounded theory with a
seminal work in 1967 (see bibliography). More recently their approaches have diverged with
Strauss being more concerned about the legitimatisation of grounded theory methodology as
an empirical and objective approach, and Glasser being more interested in the emergent
theory properties of the approach. Bob Dick’s review follows Glasser’s line. For an on-line
article that draws more strongly form Strauss see Pandit’s 1996 review in the bibliography.
Grounded theory begins with a research situation. Within that situation, your task as
researcher is to understand what is happening there, and how the players manage their roles.
You will mostly do this through observation, conversation and interview. After each bout of
data collection you note down the key issues: this I have labelled "note-taking".
Constant comparison is the heart of the process. At first you compare interview (or other
data) to interview (or other data). Theory emerges quickly. When it has begun to emerge you
compare data to theory.
The results of this comparison are written in the margin of the note-taking as coding. Your
task is to identify categories (roughly equivalent to themes or variables – e.g. the Tongan
“core of being” family theme) and their properties (e.g. relationships, activities, intensity of
commitment to family). Some properties are dimensional, which means different people give
them different values.As you code, certain theoretical propositions will occur to you. These
may be about links between categories (e.g. “core of being” family; fragmented family), or
about a core category: a category which appears central to the study (e.g. transition in relation
to individual and collective realities). As the categories and properties emerge, they and their
links to the core category provide the theory. You write yourself notes about it – memoing
(the theorising). As the data collection and coding proceeds the codes and the memos
accumulate.
You add to your sample through theoretical sampling. This is purposive sampling which
increases the diversity of your sample, searching for different properties (are there different
Tongan views? Päkehä views? Would going to a third culture help our theorising?). As your
core category and its linked categories saturate (new interviews no longer produce new
information); you no longer add to them or their properties. This is a sign that it is time to
move to sorting. You group your memos (your bit of theory), like with like, and sequence
them in whatever order will make your theory clearest.
The literature is accessed as it
becomes relevant. It is not given
special treatment. Glaser makes
the point that most research
including qualitative research is
hypothesis-testing.
The order of your sorted memos
provides you with the skeleton,
48
Adapted from Dick, Bob (2000). Grounded theory: a thumbnail sketch. On line Available at
http://www.scu.edu.au/schools/gcm/ar/arp/grounded.html. This version 1.03w last revised 16/05/00
Grounded Theory
58
and many of the words, of your thesis. You begin writing.
To summarise graphically [figure1], over time, a grounded theory study works through the
following mostly-overlapping phases.
In short, data collection, note-taking, coding and memoing occur simultaneously from the
beginning. Sorting occurs when all categories are saturated -- this is explained in more detail
later, as are the elements of this diagram. Writing occurs after sorting.
For ease of explanation, what follows may seem a bit prescriptive. Feel free to experiment
with it until you find something that works for you. The theory is emergent -- discovered in
the data, Glaser will say. The methods can be emergent too. This is an important issue, worth
more attention.
Hypothesis Testing Versus Emergence
What most differentiates grounded theory from much other research is that it is explicitly
emergent. It does not test a hypothesis. It sets out to find what theory accounts for the
research situation as it is. In this respect it is like action research: the aim is to understand the
research situation. The aim, as Glaser in particular states it, is to discover the theory implicit
in the data.
This distinction between "emergence and forcing", as Glaser frames it, is fundamental to
understanding the methodology. Most of you, whatever your discipline, will have been
exposed more to hypothesis-testing research than to emergent research. The research
processes you have learned and the thesis structures you have internalised are those of
hypothesis testing, not of emergence. Doing grounded theory well is partly a matter of
unlearning some of what you have been taught or have acquired through your reading.
If you judge grounded theory by the criteria you have learned to use for hypothesis testing
research you will likely misjudge it, perhaps badly. In particular, the place of literature is
quite different. So is the way in which both methodology and theory develop gradually as data
and interpretations accumulate.
In particular, judgments about the rigour of research are often based on narrow criteria:
criteria which make sense only for the methodology for which they were developed.
Grounded theory has its own sources of rigour. It is responsive to the situation in which the
research is done. There is a continuing search for evidence which disconfirms the emerging
theory. It is driven by the data in such a way that the final shape of the theory is likely to
provide a good fit to the situation.
In fact, Glaser suggests two main criteria for judging the adequacy of the emerging theory:
that it fits the situation; and that it works -- that it helps the people in the situation to make
sense of their experience and to manage the situation better. Now, the elements in more detail
Data Collection
You will of course keep your eyes open. There is a lot to be learned just by observing, some
of it evident within minutes of entering a situation.
Interviews are frequently the main source of the information you will develop your theory
from. But any data collection methods can be used. Focus groups are not uncommon in other
Grounded Theory
59
qualitative research, and are suited to grounded theory. So is informal conversation, group
feedback analysis, or any other individual or group activity which yields data.
Note-Taking
Glaser recommends against recording or taking notes during an interview of other data
collection session. Speaking for myself, I agree with his avoidance of tape recordings and
word-by-word transcripts. I think you’ll get more understanding from the extra interviews
you could do in the time it would take you to listen to and transcribe a tape recording.
However, I think he is vulnerable on that point, and especially for thesis purposes. My
suggestion is that you take key-word notes during the interviews and convert them to themes
afterwards. I also suggest that you tape-record the interviews and check your notes against
the tape recording. This won’t be as time consuming (or alternatively as costly) as full
transcripts and in my experience it will do the job well.
If it’s not for thesis purposes I think you can make your own choices. I neither take notes
during interviews nor use a tape recorder. I find rapport develops more rapidly and
effectively if I don’t. However, I do have a memory system which allows me to memorise up
to 20 distinct themes (more if it’s necessary) and recall them in order.
The coding (which follows) will be much easier if you do it adjacent to the interview notes.
You can leave wide margins (as much as a third of the page, perhaps) for that purpose.
Coding
So -- in reality or in imagination -- you have in front of you a
set of interview notes [see Figure 2]. They are written in the
left hand two-thirds of the page, let’s say. You’ve identified
any important bio-data about the person interviewed at the head
of the notes (this may later help to identify properties).
Have some other pieces of paper, or preferably cards, for
memoing. The benefits of that will become evident soon. You
begin to code. You take a sentence at a time and examine it.
Constant comparison
For the first interview you are merely asking yourself: What is
going on here? What is the situation? How is the person
managing that situation? Therefore, what categories (plural)
are suggested by that sentence.
Code the second interview with the first interview in mind.
Code subsequent interviews (or data from other sources) with the emerging theory in mind.
That’s constant comparison: initially comparing data set to data set; later comparing data set
to theory.
For instance, suppose you were to ask the postgraduates in the coursework higher
degrees at Griffith University about the course, as I did recently. The first two people
might mention (as they did) having to organise time or organise work. You may
tentatively code these sentences as "organising" (perhaps among other codes).
Grounded Theory
60
As you do this, be aware of any theoretical ideas that come to mind. If any do, note them
down immediately. For easier sorting later, I use 125 mm x 75 mm systems cards. The fit in
my pocket and are very convenient. I carry a pocketful around with me most of the time.
Categories and properties
In effect, a category is a theme or variable which makes sense of what your informant has
said. It is interpreted in the light of the situation you’re studying, and other interviews, and the
emerging theory.
In the two sentences considered above, I’ve already mentioned "organising" as a
tentative category. What is different between the two sentences is this: one is about
organising time, one about organising work. Perhaps this will be a property, a subcategory, of organising.
Core category
After a time one category (occasionally more) will be found to emerge with high frequency of
mention, and to be connected to many of the other categories which are emerging. This is
your core category. It is hazardous to choose a core category too early in the data collection.
However, when it is clear that one category is mentioned with high frequency and is well
connected to other categories, it is safe to adopt this as the core category. (If more than one
core category emerges, Glaser recommends focussing at one time on one only. You can
recode for the second of them later, if you wish.)
All five of the postgraduates I talked to in my miniature example mentioned the use
they were making or would make of what they were learning. If became evident before
long that this one category (titled "application") fitted the two criteria of frequency of
mention and high connectedness.
When a core category has been identified, you cease coding any sentences which do not relate
to it. You will find that in most instances your coding rapidly becomes more efficient as the
study progresses. You now code for the core category, other connected categories, and
properties of both.
You record any identified connections between categories in memos. You continue doing this,
adding to your sample as necessary (see sampling, below), until you achieve saturation.
Saturation
In collecting and interpreting data about a particular category, in time you reach a point of
diminishing returns. Eventually your interviews add nothing to what you already know about
a category, its properties, and its relationship to the core category.
When this occurs you cease coding for that category.
Sampling
Your initial sample is likely to be defined by your choice of research situation. If there are
many people associated with the situation, you might begin by putting together as diverse a
sample as you are able. (I don’t recall anywhere that Glaser offers a clear description of the
beginning sample, though I may be mistaken there.)
As categories emerge from your data, you then seek to add to your sample in such a way that
you further increase diversity in useful ways. Your purpose is to strengthen the emerging
theory by defining the properties of the categories, and how those mediate the relationship of
category to category.
Grounded Theory
61
Glaser and Strauss refer to this as theoretical sampling. The sample is emergent, as is the
theory and the method generally.
The small group of postgraduates I talked to were either studying part-time and
working, or had worked at some stage. One might expect a category such as
"application" to be influenced by work experience. I could therefore have added
usefully to the sample by identifying and talking to people from the program who had
never worked.
Memoing
I have mentioned already that memoing continues in parallel with data collection, note-taking
and coding. In effect, a memo is a note to yourself about some hypothesis you have about a
category or property, and particularly about relationships between categories.
Glaser makes the point, and I agree, that memoing is given high priority. As an idea occurs to
you, pause in what you are doing and write a memo to yourself. I carry a pocket full of 125
mm x 75 mm system cards in my pocket most of the time, for jotting down memos.
In time your core category and the categories related to it will have saturated. By the time this
happens you will have accumulated a large number of memos. Between them they will
capture the different aspects of the theory which has emerged from your data.
In the example, early memos might record hypotheses that "organisation" and
"application" were categories. Another memo might question whether "present
application to work" and "future application to work" might be properties of
application. A further memo might hypothesise that application is a core category.
Another memo might query if organisation is important at least in part because it may
lead to better application.
In short, in using grounded theory methodology you assume that the theory is concealed in
your data for you to discover. Coding makes visible some of its components. Memoing adds
the relationships which link the categories to each other.
The next task is to decide how you will structure the report to communicate your theory to
others. That is the purpose of sorting.
Sorting
My reason for using cards for memoing is twofold. They are easier to carry, so I can jot down
ideas whenever they occur to me. They are easier to sort. For the actual sorting I work on a
large table or on the floor.
First I group them on the basis of the similar categories or properties they address. I then
arrange the groups to reflect on the sorting surface their relationship. The intention is that
their layout in two-dimensional space will capture the structure of the eventual report or
thesis. I then gather the cards in the sequence which will allow the structure to be described.
This provides the basis for the writing up, which follows.
Writing up
Having done all this -- coding, memoing, sorting -- the writing is less a chore than it might
otherwise be. The sort structure is the report structure. If is often just a matter of preparing a
first draft by typing up the cards in sequence and integrating them into a coherent argument.
Grounded Theory
62
The place of literature
There are two important points to be made about the literature. The first is that, in an
emergent study, you probably won’t know at the beginning which literature will later turn out
to be relevant. This has implications both for the place of reading in your own research
process and for your report. The second is that the literature is not given a position of
privilege when compared to the data. It is treated as data, with the same status as other data.
Literature as emergent
Most people embarking on a research project will first examine the relevant literature. Thesis
candidates often do not begin data collection until well into their candidature. In an emergent
study you can begin collecting data as soon as you have a research situation. You can then
access literature as it becomes relevant.
Glaser (especially 1978) makes much of the prior background reading which provides the
models to help make sense of the data. He recommends reading widely while avoiding the
literature most closely related to what you are researching. His fear, which I share, is that your
reading may otherwise constrain your coding and memoing.
At the same time, I think this approach may leave you vulnerable to criticism from examiners
or referees or colleagues. The defence is to take special pains to be responsive to the data, to
seek disconfirming evidence assiduously, and to defend by careful argument your decision to
do so.
Reading later is less an issue for Glaser. My own view is that it makes sense to access
relevant literature as it becomes relevant. Most examiners and colleagues will expect you to
locate your study within the relevant fields of literature. You can also reach a wider sample, in
effect, by refining your findings in the light of the literature in slightly different but related
fields.
In short, a progressive accessing and reading of relevant literature can become a part of your
data collection procedures.
Literature as data
Constant comparison remains your core process. Your aim as you read is to compare
literature to the emerging theory in the same way that you compare data to the emerging
theory. For instance you might follow the same procedure of data-collection (in this instance
reading) overlapping with note-taking, coding and memoing.
Whether or not you do precisely this, the key issue is how you treat apparent disagreement
between your emerging theory and the literature. You don’t assume that your theory must be
wrong. After all, you have been concerned throughout with its fit to the data and its ability to
make sense of actual experience. You seek to extend the theory so that it makes sense of both
the data from your study and the data from the literature.
This issue -- of treating disagreement appropriately -- has been a focus of some of my own
work on rigour in action research. It is in fact possible to substitute some action research
procedures for some of all of data-collection, note-taking, coding, memoing and sorting.
Grounded Theory
63
A variation based on action research
I research my own practice as educator, facilitator and consultant. The methods I use were
developed until recently entirely independently of grounded theory. I wasn’t familiar with its
literature. When I did eventually start to read that literature I was pleased at the obvious
parallels between the two approaches.
Let me illustrate this by describing how I approach ... let’s say, organisational diagnosis,
using interviewing. I’ll do this in such a way that the parallels are evident. I think you will
find that the parallels are such that you can substitute parts of one for parts of the other.
Convergent interviewing
In diagnostic interviewing I begin in a very open-ended way. For instance I may often say
"Tell me about this organisation" or whatever it is. I then keep the person talking for
somewhere about 45 minutes without asking specific questions. This increases the likelihood
that the data come from the informants’ experience, not from the questions I ask. I memorise
the themes they mention (some of my colleagues instead take key-word notes, which serve
the same purpose).
I prefer to work with a colleague who at the same time interviews a different informant. After
each pair of interviews we compare notes. We identify those themes which both informants
mention.
Sometimes those themes are mentioned in the same way by both informants. Sometimes they
mention the same theme, but with disagreement.
I was evaluating an action learning program with Karyn Healy, a colleague. Many
informants mentioned that they weren’t provided resources which allowed them to pay
someone to do their work, to free them up for their action learning.
An example of agreement might be two informants saying words to the effect that their
action learning was done in their own time, which they both resented. A disagreement
would be were both mentioned doing it in their own time, but one of them mentioned
this with satisfaction, not dissatisfaction.
When we identify an agreement we devise probe questions to seek exceptions to the
agreement. For example, we might ask if there were people who didn’t resent the intrusions
on their own time. We might ask if there were advantages to being able to devote their own
time to the action learning projects.
When we identify a disagreement we devise probe questions which seek explanations for
the difference. For instance we might say something like this:
Many people have mentioned taking part in the action learning in their own time. To
what extent was this your experience? How did you feel about that? Some have
mentioned this with substantial resentment. Others seem not to mind. Can you help us
understand how this difference might arise?
As with grounded theory the explanations emerge gradually from the data as the study
proceeds. All interviews begin open-ended. In the later interviews there are more probe
questions. And more of those probes are specific. The theory emerges from the data, from the
informants. In the early stages it consists primarily of themes. These become more elaborated
as the study develops.
Grounded Theory
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This is depicted diagrammatically in Figure 3. I
suggest that, in deciding your own methods, you
choose those which will be easiest for you to defend
to examiners, readers or colleagues. What you do is
probably less important than how well you justify it.
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Bibliography
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Calloway, Linda Jo, and Knapp, Constance A.
(nd) Using grounded theory to interpret interviews.
Available on line at
http://csis.pace.edu/~knapp/AIS95.htm). Compares
two grounded theory approaches to interpreting
interviews.

Glaser, Barney G. (1992) Basics of grounded
theory analysis: emergence vs forcing. Mill
Valley, Ca.: Sociology Press. Published as a
response to Glaser’s belief that Strauss and Corbin
had grossly misrepresented the most important
features of grounded theory. It describes in detail the way in which Glaser’s style of
grounded theory is done. As the subtitle implies, the heart of the difference is between
allowing the theory to emerge from the data as opposed to forcing it into preconceived
frameworks.
Glaser, Barney G. and Strauss, Anselm L. (1967) The discovery of grounded theory:
strategies for qualitative research. Chicago.: Aldine. An important seminal work which
contrasts grounded theories (developed directly from data during research) with grand
theories (logico-deductive theories). Comparative analysis is the basic method: incidents
are categorised, their properties are identified, models are constructed.
Haig, Brian D. (1996) Grounded theory as scientific method. Available on line at
http://www.edu.uiuc.edu/EPS/PES-yearbook/95_docs/haig.html
Kinach, Barbara M. (1996) Grounded theory as scientific method: Haig-inspired
reflections on educational research methodology. Available on line at
http://www.ed.uiuc.edu/PES/ 5_docs/kinach.html,
Pandit, Naresh R. (1996) The creation of theory: a recent application of the grounded
theory method. Qualitative Report, 2(4). Available on line at
http://www.nova.edu/ssss/QR/QR2-4/pandit.html. Detailed overview of Strauss and
Corbin’s view of grounded theory
Strauss, Anselm, and Corbin, Juliet (1990) Basics of qualitative research: grounded theory
procedures and techniques. Newbury Park: Sage. This book presents a reasonably detailed
description of a particular approach to data collection. It particularly emphasises
interpretation and theory building.
Strauss, Anselm, and Corbin, Juliet, eds. (1997) Grounded theory in practice. Thousand
Oaks, Ca.: Sage. Ten case studies illustrating the use of grounded theory for theory
building from field data.
Study on the Effects of Body Image Issues on the Lives of Young Women
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The methodology and method for Study on the Effects of Body Image Issues on the Lives of
Young Women49
The Research Process
To begin this project we began looking at a number of different research methods ranging
from the collective exterior to the individual interior of the four-quadrant holon model. We decided to
adopt the grounded theory approach. One of the main reasons for this was the personal way in which
information was gathered through this particular interviewing process.
Whilst other methodologies use questionnaires or focus groups, we felt that this could limit the
information we were aiming to gather; a focus group might silence or influence some participants in
regard to what they were prepared to share with a number of strangers, and questionnaires left little
room for gaining insight and understanding. Grounded Theory, as an approach to research, fits with
the social behaviour and meaning making elements of the nature of this body image study. As
discussed by Dick (2000), Grounded Theory is "explicitly emergent" and does not test a hypothesis.
Researchers collect the data through a process of interviewing and note-taking. The data from a
number of interviews is then compared, and as the relationships between the data are established it is
clear that the emergence of theory has begun.
In keeping with the spirit of the grounded theory process, we began by discussing our own body image
stories within the group. This we saw as an interactive and dynamic method of constant comparison.
We then proceeded to collect and compare the information amongst ourselves, which allowed for the
observation of emerging categories and properties (see table 1).
The identification of these categories enabled us to formulate a focussing question, which was as
follows:
This research is about the impact of Body Image on your life. What experiences, feelings or
images do you have around your body image ?
The approach that we used had three stages. The personal and informal discussion stage (See
Table 1), which led to the formulation of the focussing question (see above) and six key
research questions (see below -Table 2). These questions were designed to help validate the
categories that had emerged and if necessary extend them. The second stage was a 'Self
Interview' stage, where as a group we experienced the interviewing process to ensure the
viability and appropriateness of the six key questions. We then progressed to the 'Formal
Interview' stage, selecting suitable participants and undertaking the interviews. This was not
strictly a grounded theory process in that several core category emerged and we did not seek
saturation, but used a limited purposive sample.
.
Participants:
For the formal interview stage, we required sixteen young women between the ages of eighteen and
twenty-five. The participants were drawn from within the social circles of the UNITEC research team;
the relationship between the researcher and participant will be that of acquaintance or friend. All
participants had to fit within the clothing size range of eight to sixteen. As this research was focussed
on examining the western construct of body image and ideals, we sought participants who considered
themselves, regardless of their ethnicity, to be a part of western society. In order to maintain our focus
on the experience of 'normal' young woman, that is, women not experiencing extreme body image
49
Slightly adapted from Agnew, D., McLeary, B., Steele, F. & Wood, H. (2002). A Study on the Effects of Body
Image Issues on the Lives of Young Women, Unpublished research report, School of Community Studies,
UNITEC, Auckland, New Zealand
.
Study on the Effects of Body Image Issues on the Lives of Young Women
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Table 1: Emergent themes from the discussion process
Medical processes to change the body (botox, liposuction, plastic surgery, permanent hair
removal, implants, dentistry). What parts? What changes? What impact is expected? What cost?
Cosmetics and hairstyling. What processes are involved? What time is taken? Costs? Who is it
for?
Diet. General diet. Social diet. How many different diets. Eating with others. Solitary eating.
Breaking the diet? Diet food, medication? Costs/time? Who is it for? Trying to put on weight?
Exercise. Regime, time and frequency? Missing exercise? With whom, sport? Costs? Benefits?
Clothing. Comfortable clothes vs. tight fitting clothes. Shoes. Costs/time? Buying clothes.
Nakedness and semi-nakedness. Swimming
Perfection. In what areas of my life am I a perfectionist? What areas am I not? What does it feel
like when you get perfection? How long does it last, how often does it happen ? What is your zone
of comfort around weight, (other things)?
Gender. How do men see the "natural" me vs. "made up/perfect" me? How do women see the
"natural" me vs. "made up/perfect" me? How do my intimates/key relationships see the "natural"
me vs. "made up/perfect" me? Gender power issues? What your ideal partner look like? How
important are looks in a partner?
As the perfect/imperfect woman I deserve the perfect/imperfect man - physically, emotionally,
intellectually, spiritually? What's the weighting? What's the meaning of attractiveness? The perfect
family -what do they look like?
Defining "ugly" in others. Men? Women? Describe/draw ugliness. Can an "ugly" person be
"beautiful"? Can physically beautiful people be ugly? Do any of your friends and family have
"ugly" features? Did you ever, do you now fantasise about being a model
What I really like about my life and myself. What experiences things make be feel comfortable
about my body?
Where do my feelings about negative body image originate? What events/stories/ relationships
have sustained them? Weakened them? Issues of trust, love
What critical/affirming talk was there about body image when I was young -teachers, parents,
siblings, peers. What critical/affirming talk about body image now -peers, partners? Any messages
like "your looks are not what is important, it your whole person". Experiences of rejection
from/acceptance within peer/prospective partner group around body image. Fears vs. reality on
this issue. How important is body-image in your selection of friends
Competing philosophies -feminism, rationalism, post-structuralism, Marxism/socialism. What
philosophical, political, spiritual, etc beliefs do you have that counter or support negative body
image
What do pregnancy; children and relationships/relationship break-up do to body image.
Fearfulness of relationships/relationship breakdown
How social are you? .What pain are you prepared to endure for a body-image issue? Illness, loss
of a relationship, job, career?
The relative importance of body at the beginning and the end of an examination of it (after the
interview)?
Shame about the extent to which body image issues controls life. Jokes about your body. Anxiety
and depression as a part of my life.
Counselling (or learning to be a social practitioner). How has that helped or hindered ?
or studying. The commonality was that participants could all identify a body image issue to some
degree. It was important to select a cross- section of interviewees, with participants spread across the
full range of the size and age requirements for the scope of the research. The sample group for the
Study on the Effects of Body Image Issues on the Lives of Young Women
67
research was as follows: eight participants between size eight and ten, and eight participants between
size twelve and sixteen.
The participants were enthusiastic about the opportunity to become involved in this research process.
Each interviewee was given the information sheet (see appendix B) a consent form (see appendix C)
and the schedule of interview questions (see appendix D). They were given the option to view the
transcripts of their interviews and to ask for any information they were uncomfortable with to be
removed before analysis. They were also informed of the opportunity to view the final research
document if they wished.
Interview process
The research group formulated a schedule for the interviews, which outlined five key
questions (see Table 2 below), and included sub-sections (see Appendix D).
Table 2: Key Research Questions
What experiences, feelings or images do you have around your body image?




What is your idea of the perfect/ideal body?
What are the ways you enhance/control your body image?
How have your past experiences influenced the way you see your body?
What values and beliefs that have helped you overcome some of the body image issues that
have arisen in your life?
Each researcher had four interviews to conduct, which were taped at the time and then later
transcribed. The participants determined where they would like to conduct the interview. The space
needed to be both quiet and undisturbed. The interview lasted for approximately one hour, and
respondents were reminded that there was support available for them if this process had brought up
any issues that they needed followed up.
Analysis
The interview transcriptions were formatted onto an excel spreadsheet. The transcripts were
reorganised and grouped by question, so that the answers of the sixteen respondents to the same
question were grouped together. This enabled us to organise the data, develop categories and
ultimately to identify emergent core categories. In the next stage of analysis, the categories were
counted across participants in order for formulas to be applied and statistical data produced. All
variables were converted to averages and percentages, and key verbatim statements recorded copied
under thematic headings. This provided the platform for results to be identified and emerging
categories to be related to relevant literature.
Ethics Approval
An ethics application was submitted to the UNITEC ethics committee for approval (See Appendix A).
After some minor amendments the application was approved. In order to ensure that our participants
were safe, we offered counselling support should the need arise. There is a slight possibility that an
interview of this nature could trigger feelings of distress in relation to body image or past experiences.
The possibility of psychosocial harm has been addressed through the use of appropriate interview
questions, a compulsory consent form, an information sheet explaining the process and procedures
surrounding confidentiality, and the provision of support services. Risk is further reduced by the fact
that the researchers are all third year counselling students with experience in their own lives of
addressing body image issues. They are capable of recognising distress and adopting procedures to
minimise this, including discontinuing the interview where appropriate.
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68
CASE STUDIES50
This guide examines case studies, a form of qualitative descriptive research that is used to look at
individuals, a small group of participants, or a group as a whole. Researchers collect data about
participants using participant and direct observations, interviews, protocols, tests, examinations of
records, and collections of writing samples. Starting with a definition of the case study, the guide
moves to a brief history of this research method. Using several well documented case studies, the
guide then looks at applications and methods including data collection and analysis. A discussion of
ways to handle validity, reliability, and generalizability follows, with special attention to case studies
as they are applied to composition studies. Finally, this guide examines the strengths and weaknesses
of case studies.
 Introduction to Case Studies
 Types and Design
 Conducting Case Studies
 Commentary on Case Studies
 Key Terms
 Annotated Bibliography on Case Studies
 Related Web Links Case Study: Introduction and Definition
Case study refers to the collection and presentation of detailed information about a particular
participant or small group, frequently including the accounts of subjects themselves. A form of
qualitative descriptive research, the case study looks intensely at an individual or small participant
pool, drawing conclusions only about that participant or group and only in that specific context.
Researchers do not focus on the discovery of a universal, generalizable truth, nor do they typically
look for cause-effect relationships; instead, emphasis is placed on exploration and description.
To read more about case study, click on the items below, or select from the table of contents to the
left:
 Overview of Case Studies
 History of Case Studies
 Educational Applications of Case Studies
Case studies typically examine the interplay of all variables in order to provide as complete an
understanding of an event or situation as possible. This type of comprehensive understanding is
arrived at through a process known as thick description, which involves an in-depth description of the
entity being evaluated, the circumstances under which it is used, the characteristics of the people
involved in it, and the nature of the community in which it is located. Thick description also involves
interpreting the meaning of demographic and descriptive data such as cultural norms and mores,
community values, ingrained attitudes, and motives.
Unlike quantitative methods of research, like the survey, which focus on the questions of who, what,
where, how much, and how many, and archival analysis, which often situates the participant in some
form of historical context, case studies are the preferred strategy when how or why questions are
asked. Likewise, they are the preferred method when the researcher has little control over the events,
and when there is a contemporary focus within a real life context. In addition, unlike more specifically
directed experiments, case studies require a problem that seeks a holistic understanding of the event or
situation in question using inductive logic--reasoning from specific to more general terms.
In scholarly circles, case studies are frequently discussed within the context of qualitative research and
naturalistic inquiry. Case studies are often referred to interchangeably with ethnography, field study,
and participant observation. The underlying philosophical assumptions in the case are similar to these
types of qualitative research because each takes place in a natural setting (such as a classroom,
50
Writing Center (2004), Colorado State University, Co. Retrieved 3/21/04 from
http://writing.colostate.edu/references/research/casestudy/pop2a.cfm.
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neighbourhood, or private home), and strives for a more holistic interpretation of the event or situation
under study.
Unlike more statistically-based studies which search for quantifiable data, the goal of a case study is to
offer new variables and questions for further research. F.H. Giddings, a sociologist in the early part of
the century, compares statistical methods to the case study "on the basis that the former are concerned
with the distribution of a particular trait, or a small number of traits, in a population, whereas the case
study is concerned with the whole variety of traits to be found in a particular instance" (Hammersley
95).
Case studies are not a new form of research; naturalistic inquiry was the primary research tool until the
development of the scientific method. The fields of sociology and anthropology are credited with the
primary shaping of the concept as we know it today. However, case study research has drawn from a
number of other areas as well: the clinical methods of doctors; the casework technique being
developed by social workers; the methods of historians and anthropologists, plus the qualitative
descriptions provided by quantitative researchers like LePlay; and, in the case of Robert Park, the
techniques of newspaper reporters and novelists.
Park was an ex-newspaper reporter and editor who became very influential in developing sociological
case studies at the University of Chicago in the 1920s. As a newspaper professional he coined the term
"scientific" or "depth" reporting: the description of local events in a way that pointed to major social
trends. Park viewed the sociologist as "merely a more accurate, responsible, and scientific reporter."
Park stressed the variety and value of human experience. He believed that sociology sought to arrive at
natural, but fluid, laws and generalizations in regard to human nature and society. These laws weren't
static laws of the kind sought by many positivists and natural law theorists, but rather, they were laws
of becoming--with a constant possibility of change. Park encouraged students to get out of the library,
to quit looking at papers and books, and to view the constant experiment of human experience. He
writes, "Go and sit in the lounges of the luxury hotels and on the doorsteps of the flophouses; sit on the
Gold Coast settees and on the slum shakedowns; sit in the Orchestra Hall and in the Star and Garter
Burlesque. In short, gentlemen [sic], go get the seats of your pants dirty in real research."
But over the years, case studies have drawn their share of criticism. In fact, the method had its
detractors from the start. In the 1920s, the debate between pro-qualitative and pro-quantitative became
quite heated. Case studies, when compared to statistics, were considered by many to be unscientific.
From the 1930s on, the rise of positivism had a growing influence on quantitative methods in
sociology. People wanted static, generalizable laws in science. The sociological positivists were
looking for stable laws of social phenomena. They criticized case study research because it failed to
provide evidence of inter subjective agreement. Also, they condemned it because of the few number of
cases studied and that the understandardized character of their descriptions made generalization
impossible. By the 1950s, quantitative methods, in the form of survey research, had become the
dominant sociological approach and case study had become a minority practice.
The 1950s marked the dawning of a new era in case study research, namely that of the utilization of
the case study as a teaching method. "Instituted at Harvard Business School in the 1950s as a primary
method of teaching, cases have since been used in classrooms and lecture halls alike, either as part of a
course of study or as the main focus of the course to which other teaching material is added"
(Armisted 1984). The basic purpose of instituting the case method as a teaching strategy was "to
transfer much of the responsibility for learning from the teacher on to the student, whose role, as a
result, shifts away from passive absorption toward active construction" (Boehrer 1990). Through
careful examination and discussion of various cases, "students learn to identify actual problems, to
recognize key players and their agendas, and to become aware of those aspects of the situation that
contribute to the problem" (Merseth 1991). In addition, students are encouraged to "generate their own
analysis of the problems under consideration, to develop their own solutions, and to practically apply
their own knowledge of theory to these problems" (Boyce 1993). Along the way, students also develop
"the power to analyze and to master a tangled circumstance by identifying and delineating important
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70
factors; the ability to utilize ideas, to test them against facts, and to throw them into fresh
combinations…" (Merseth 1991).
In addition to the practical application and testing of scholarly knowledge, case discussions can also
help students prepare for real-world problems, situations and crises by providing an approximation of
various professional environments (i.e. classroom, board room, courtroom, or hospital). Thus, through
the examination of specific cases, students are given the opportunity to work out their own
professional issues through the trials, tribulations, experiences, and research findings of others. An
obvious advantage to this mode of instruction is that it allows students the exposure to settings and
contexts that they might not otherwise experience. For example, a student interested in studying the
effects of poverty on minority secondary student's grade point averages and S.A.T. scores could access
and analyze information from schools as geographically diverse as Los Angeles, New York City,
Miami, and New Mexico without ever having to leave the classroom.
The case study method also incorporates the idea that students can learn from one another "by
engaging with each other and with each other's ideas, by asserting something and then having it
questioned, challenged and thrown back at them so that they can reflect on what they hear, and then
refine what they say" (Boehrer 1990). In summary, students can direct their own learning by
formulating questions and taking responsibility for the study.
CASE STUDIES: TYPES AND DESIGN CONCERNS
Researchers use multiple methods and approaches to conduct case studies. To read about types of case
studies and the design concerns associated with them, click on the items below:
 Types of Case Studies
 Identifying a Theoretical Perspective
 Designing a Case Study
 Discussion of Primary Examples used Throughout this Unit
Under the more generalized category of case study exist several subdivisions, each of which is custom
selected for use depending upon the goals and/or objectives of the investigator. These types of case
study include the following:
Illustrative Case Studies
These are primarily descriptive studies. They typically utilize one or two instances of an event to show
what a situation is like. Illustrative case studies serve primarily to make the unfamiliar familiar and to
give readers a common language about the topic in question.
Exploratory (or pilot) Case Studies
These are condensed case studies performed before implementing a large scale investigation. Their
basic function is to help identify questions and select types of measurement prior to the main
investigation. The primary pitfall of this type of study is that initial findings may seem convincing
enough to be released prematurely as conclusions.
Cumulative Case Studies
These serve to aggregate information from several sites collected at different times. The idea behind
these studies is the collection of past studies will allow for greater generalization without additional
cost or time being expended on new, possibly repetitive studies.
Critical Instance Case Studies
These examine one or more sites for either the purpose of examining a situation of unique interest with
little to no interest in generalizability, or to call into question or challenge a highly generalized or
universal assertion. This method is useful for answering cause and effect questions.
Much of the case study's design is inherently determined for researchers, depending on the field from
which they are working. In composition studies, researchers are typically working from a qualitative,
descriptive standpoint. In contrast, physicists will approach their research from a more quantitative
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perspective. Still, in designing the study, researchers need to make explicit the questions to be
explored and the theoretical perspective from which they will approach the case. The three most
commonly adopted theories are listed below:
Individual Theories
These focus primarily on the individual development, cognitive behavior, personality, learning and
disability, and interpersonal interactions of a particular subject.
Organizational Theories
These focus on bureaucracies, institutions, organizational structure and functions, or excellence in
organizational performance.
Social Theories
These focus on urban development, group behavior, cultural institutions, or marketplace functions.
To see more detailed examples of how theoretical perspectives impact actual studies, click here.
After considering the different sub categories of case study and identifying a theoretical perspective,
researchers can begin to design their study. Research design is the string of logic that ultimately links
the data to be collected and the conclusions to be drawn to the initial questions of the study. Typically,
research designs deal with at least four problems:
 What questions to study
 What data are relevant
 What data to collect
 How to analyze that data
In other words, a research design is basically a blueprint for getting from the beginning to the end of a
study. The beginning is an initial set of questions to be answered, and the end is some set of
conclusions about those questions.
Because case studies are conducted on topics as diverse as Anglo-Saxon Literature (Thrane 1986) and
AIDS prevention (Van Vugt 1994), it is virtually impossible to outline any strict or universal method
or design for conducting the case study. However, Robert K. Yin (1993) does offer five basic
components of a research design:
1. A study's questions.
2. A study's propositions (if any).
3. A study's units of analysis.
4. The logic linking of the data to the propositions.
5. The criteria for interpreting the findings.
In addition to these five basic components, Yin also stresses the importance of clearly articulating
one's theoretical perspective, determining the goals of the study, selecting one's subject(s), selecting
the appropriate method(s) of collecting data, and providing some considerations to the composition of
the final report.
Two examples of case studies are used consistently throughout this chapter. The first, a study
produced by Berkenkotter, Huckin, and Ackerman (1988), looks at a first year graduate student's
initiation into an academic writing program. The study uses participant-observer and linguistic data
collecting techniques to assess the student's knowledge of appropriate discourse conventions. Using
the pseudonym Nate to refer to the subject, the study sought to illuminate the particular experience
rather than to generalize about the experience of fledgling academic writers collectively.
For example, in Berkenkotter, Huckin, and Ackerman's (1988) study we are told that the researchers
are interested in disciplinary communities. In the first paragraph, they ask what constitutes
membership in a disciplinary community and how achieving membership might affect a writer's
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understanding and production of texts. In the third paragraph they state that researchers must negotiate
their claims "within the context of his sub specialty's accepted knowledge and methodology." In the
next paragraph they ask, "How is literacy acquired? What is the process through which novices gain
community membership? And what factors either aid or hinder students learning the requisite
linguistic behaviors?" This introductory section ends with a paragraph in which the study's authors
claim that during the course of the study, the subject, Nate, successfully makes the transition from
"skilled novice" to become an initiated member of the academic discourse community and that his
texts exhibit linguistic changes which indicate this transition. In the next section the authors make
explicit the sociolinguistic theoretical and methodological assumptions on which the study is based
(1988). Thus the reader has a good understanding of the authors' theoretical background and purpose
in conducting the study even before it is explicitly stated on the fourth page of the study. "Our purpose
was to examine the effects of the educational context on one graduate student's production of texts as
he wrote in different courses and for different faculty members over the academic year 1984-85." The
goal of the study then, was to explore the idea that writers must be initiated into a writing community,
and that this initiation will change the way one writes.
The second example is Janet Emig's (1971) study of the composing process of a group of twelfth
graders. In this study, Emig seeks to answer the question of what happens to the self as a result
educational stimuli in terms of academic writing. The case study used methods such as protocol
analysis, tape-recorded interviews, and discourse analysis.
In the case of Janet Emig's (1971) study of the composing process of eight twelfth graders, four
specific hypotheses were made:
1. Twelfth grade writers engage in two modes of composing: reflexive and extensive.
2. These differences can be ascertained and characterized through having the writers compose
aloud their composition process.
3. A set of implied stylistic principles governs the writing process.
4. For twelfth grade writers, extensive writing occurs chiefly as a school-sponsored activity, or
reflexive, as a self-sponsored activity.
In this study, the chief distinction is between the two dominant modes of composing among older,
secondary school students. The distinctions are:
1. The reflexive mode, which focuses on the writer's thoughts and feelings.
2. The extensive mode, which focuses on conveying a message.
Emig also outlines the specific questions which guided the research in the opening pages of her
Review of Literature, preceding the report.
CONDUCTING CASE STUDIES
To obtain as complete a picture of the participant as possible, case study researchers can employ a
variety of approaches and methods. These approaches, methods, and related issues are discussed in
depth in this section.
 Single or Multi-modal approach
 Participant Selection
 Data Collection
 Data Analysis
 Composing the Report
 Issues of Validity and Reliability
Method: Single or Multi-modal?
To obtain as complete a picture of the participant as possible, case study researchers can employ a
variety of methods. Some common methods include interviews, protocol analyses, field studies, and
participant-observations. Emig (1971) chose to use several methods of data collection. Her sources
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included conversations with the students, protocol analysis, discrete observations of actual
composition, writing samples from each student, and school records (Lauer and Asher 1988).
Berkenkotter, Huckin, and Ackerman (1988) collected data by observing classrooms, conducting
faculty and student interviews, collecting self reports from the subject, and by looking at the subject's
written work.
A study that was criticized for using a single method model was done by Flower and Hayes (1984). In
this study that explores the ways in which writers use different forms of knowing to create space, the
authors used only protocol analysis to gather data. The study came under heavy fire because of their
decision to use only one method, and it was, at least according to some researchers, an unreliable
method at that.
Participant Selection
Case studies can use one participant, or a small group of participants. However, it is important that the
participant pool remain relatively small. The participants can represent a diverse cross section of
society, but this isn't necessary.
For example, the Berkenkotter, Huckin, and Ackerman (1988) study looked at just one participant,
Nate. By contrast, in Janet Emig's (1971) study of the composition process of twelfth graders, eight
participants were selected representing a diverse cross section of the community, with volunteers from
an all-white upper-middle-class suburban school, an all-black ghetto school, a racially mixed lowermiddle-class school, an economically and racially mixed school, and a university school.
Often, a brief "case history" is done on the participants of the study in order to provide researchers
with a clearer understanding of their participants, as well as some insight as to how their own personal
histories might affect the outcome of the study. For instance, in Emig's study, the investigator had
access to the school records of five of the participants, and to standardized test scores for the
remaining three. Also made available to the researcher was the information that three of the eight
students were selected as NCTE Achievement Award winners. These personal histories can be useful
in later stages of the study when data are being analyzed and conclusions drawn.
Data Collection
There are six types of data collected in case studies:
1. Documents.
2. Archival records.
3. Interviews.
4. Direct observation.
5. Participant observation.
6. Artifacts.
In the field of composition research, these six sources might be:
1. A writer's drafts.
2. School records of student writers.
3. Transcripts of interviews with a writer.
4. Transcripts of conversations between writers (and protocols).
5. Videotapes and notes from direct field observations.
6. Hard copies of a writer's work on computer.
Depending on whether researchers have chosen to use a single or multi-modal approach for the case
study, they may choose to collect data from one or any combination of these sources.
Protocols, that is, transcriptions of participants talking aloud about what they are doing as they do it,
have been particularly common in composition case studies. For example, in Emig's (1971) study, the
students were asked, in four different sessions, to give oral autobiographies of their writing
experiences and to compose aloud three themes in the presence of a tape recorder and the investigator.
In some studies, only one method of data collection is conducted. For example, the Flower and Hayes
(1981) report on the cognitive process theory of writing depends on protocol analysis alone. However,
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using multiple sources of evidence to increase the reliability and validity of the data can be
advantageous.
Case studies are likely to be much more convincing and accurate if they are based on several different
sources of information, following a corroborating mode. This conclusion is echoed among many
composition researchers. For example, in her study of predrafting processes of high and lowapprehensive writers, Cynthia Selfe (1985) argues that because "methods of indirect observation
provide only an incomplete reflection of the complex set of processes involved in composing, a
combination of several such methods should be used to gather data in any one study." Thus, in this
study, Selfe collected her data from protocols, observations of students role playing their writing
processes, audio taped interviews with the students, and videotaped observations of the students in the
process of composing.
It can be said then, that cross checking data from multiple sources can help provide a
multidimensional profile of composing activities in a particular setting. Sharan Merriam (1985)
suggests "checking, verifying, testing, probing, and confirming collected data as you go, arguing that
this process will follow in a funnel-like design resulting in less data gathering in later phases of the
study along with a congruent increase in analysis checking, verifying, and confirming."
It is important to note that in case studies, as in any qualitative descriptive research, while researchers
begin their studies with one or several questions driving the inquiry (which influence the key factors
the researcher will be looking for during data collection), a researcher may find new key factors
emerging during data collection. These might be unexpected patterns or linguistic features which
become evident only during the course of the research. While not bearing directly on the researcher's
guiding questions, these variables may become the basis for new questions asked at the end of the
report, thus linking to the possibility of further research.
Data Analysis
As the information is collected, researchers strive to make sense of their data. Generally, researchers
interpret their data in one of two ways: holistically or through coding. Holistic analysis does not
attempt to break the evidence into parts, but rather to draw conclusions based on the text as a whole.
Flower and Hayes (1981), for example, make inferences from entire sections of their students'
protocols, rather than searching through the transcripts to look for isolatable characteristics.
However, composition researchers commonly interpret their data by coding, that is by systematically
searching data to identify and/or categorize specific observable actions or characteristics. These
observable actions then become the key variables in the study. Sharan Merriam (1988) suggests seven
analytic frameworks for the organization and presentation of data:
1. The role of participants.
2. The network analysis of formal and informal exchanges among groups.
3. Historical.
4. Thematical.
5. Resources.
6. Ritual and symbolism.
7. Critical incidents that challenge or reinforce fundamental beliefs, practices, and values.
There are two purposes of these frameworks: to look for patterns among the data and to look for
patterns that give meaning to the case study.
As stated above, while most researchers begin their case studies expecting to look for particular
observable characteristics, it is not unusual for key variables to emerge during data collection. Typical
variables coded in case studies of writers include pauses writers make in the production of a text, the
use of specific linguistic units (such as nouns or verbs), and writing processes (planning, drafting,
revising, and editing). In the Berkenkotter, Huckin, and Ackerman (1988) study, for example,
researchers coded the participant's texts for use of connectives, discourse demonstratives, average
sentence length, off-register words, use of the first person pronoun, and the ratio of definite articles to
indefinite articles.
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Since coding is inherently subjective, more than one coder is usually employed. In the Berkenkotter,
Huckin, and Ackerman (1988) study, for example, three rhetoricians were employed to code the
participant's texts for off-register phrases. The researchers established the agreement among the coders
before concluding that the participant used fewer off-register words as the graduate program
progressed.
Composing the Case Study Report
In the many forms it can take, "a case study is generically a story; it presents the concrete narrative
detail of actual, or at least realistic events, it has a plot, exposition, characters, and sometimes even
dialogue" (Boehrer 1990). Generally, case study reports are extensively descriptive, with "the most
problematic issue often referred to as being the determination of the right combination of description
and analysis" (1990). Typically, authors address each step of the research process, and attempt to give
the reader as much context as possible for the decisions made in the research design and for the
conclusions drawn.
This contextualization usually includes a detailed explanation of the researchers' theoretical positions,
of how those theories drove the inquiry or led to the guiding research questions, of the participants'
backgrounds, of the processes of data collection, of the training and limitations of the coders, along
with a strong attempt to make connections between the data and the conclusions evident.
Although the Berkenkotter, Huckin, and Ackerman (1988) study does not, case study reports often
include the reactions of the participants to the study or to the researchers' conclusions. Because case
studies tend to be exploratory, most end with implications for further study. Here researchers may
identify significant variables that emerged during the research and suggest studies related to these, or
the authors may suggest further general questions that their case study generated.
For example, Emig's (1971) study concludes with a section dedicated solely to the topic of
implications for further research, in which she suggests several means by which this particular study
could have been improved, as well as questions and ideas raised by this study which other researchers
might like to address, such as: is there a correlation between a certain personality and a certain
composing process profile (e.g. is there a positive correlation between ego strength and persistence in
revising)?
Also included in Emig's study is a section dedicated to implications for teaching, which outlines the
pedagogical ramifications of the study's findings for teachers currently involved in high school writing
programs.
Sharan Merriam (1985) also offers several suggestions for alternative presentations of data:
1. Prepare specialized condensations for appropriate groups.
2. Replace narrative sections with a series of answers to open-ended questions.
3. Present "skimmer's" summaries at beginning of each section.
4. Incorporate headlines that encapsulate information from text.
5. Prepare analytic summaries with supporting data appendixes.
6. Present data in colorful and/or unique graphic representations.
Case Studies: Issues of Validity and Reliability
Once key variables have been identified, they can be analyzed. Reliability becomes a key concern at
this stage, and many case study researchers go to great lengths to ensure that their interpretations of
the data will be both reliable and valid. Because issues of validity and reliability are an important part
of any study in the social sciences, it is important to identify some ways of dealing with results.
Multi-modal case study researchers often balance the results of their coding with data from interviews
or writer's reflections upon their own work. Consequently, the researchers' conclusions become highly
contextualized. For example, in a case study which looked at the time spent in different stages of the
writing process, Berkenkotter concluded that her participant, Donald Murray, spent more time
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planning his essays than in other writing stages. The report of this case study is followed by Murray's
reply, wherein he agrees with some of Berkenkotter's conclusions and disagrees with others.
As is the case with other research methodologies, issues of external validity, construct validity, and
reliability need to be carefully considered. For a fuller explanation, you can view a reference guide on
reliability and validity or proceed to the Commentary section available through the overview page of
this guide.
COMMENTARY ON CASE STUDIES
Researchers often debate the relative merits of particular methods, among them case study. In this
section, we comment on two key issues. To read the commentaries, choose any of the items below:
 Strengths and Weaknesses of Case Studies
 Concerns about Reliability, Validity, and Generalizability
Case Study: Strengths and Weaknesses
Most case study advocates point out that case studies produce much more detailed information than
what is available through a statistical analysis. Advocates will also hold that while statistical methods
might be able to deal with situations where behavior is homogeneous and routine, case studies are
needed to deal with creativity, innovation, and context. Detractors argue that case studies are difficult
to generalize because of inherent subjectivity and because they are based on qualitative subjective
data, generalizable only to a particular context.
Flexibility
The case study approach is a comparatively flexible method of scientific research. Because its project
designs seem to emphasize exploration rather than prescription or prediction, researchers are
comparatively freer to discover and address issues as they arise in their experiments. In addition, the
looser format of case studies allows researchers to begin with broad questions and narrow their focus
as their experiment progresses rather than attempt to predict every possible outcome before the
experiment is conducted.
Emphasis on Context
By seeking to understand as much as possible about a single subject or small group of subjects, case
studies specialize in "deep data," or "thick description"--information based on particular contexts that
can give research results a more human face. This emphasis can help bridge the gap between abstract
research and concrete practice by allowing researchers to compare their firsthand observations with
the quantitative results obtained through other methods of research.
Inherent Subjectivity
"The case study has long been stereotyped as the weak sibling among social science methods," and is
often criticized as being too subjective and even pseudo-scientific. Likewise, "investigators who do
case studies are often regarded as having deviated from their academic disciplines, and their
investigations as having insufficient precision (that is, quantification), objectivity and rigor" (Yin
1989). Opponents cite opportunities for subjectivity in the implementation, presentation, and
evaluation of case study research. The approach relies on personal interpretation of data and
inferences. Results may not be generalizable, are difficult to test for validity, and rarely offer a
problem-solving prescription. Simply put, relying on one or a few subjects as a basis for cognitive
extrapolations runs the risk of inferring too much from what might be circumstance.
High Investment
Case studies can involve learning more about the subjects being tested than most researchers would
care to know--their educational background, emotional background, perceptions of themselves and
their surroundings, their likes, dislikes, and so on. Because of its emphasis on "deep data," the case
study is out of reach for many large-scale research projects which look at a subject pool in the tens of
thousands. A budget request of $10,000 to examine 200 subjects sounds more efficient than a similar
request to examine four subjects.
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Ethical Considerations
Researchers conducting case studies should consider certain ethical issues. For example, many
educational case studies are often financed by people who have, either directly or indirectly, power
over both those being studied and those conducting the investigation (1985). This conflict of interests
can hinder the credibility of the study.
The personal integrity, sensitivity, and possible prejudices and/or biases of the investigators need to be
taken into consideration as well. Personal biases can creep into how the research is conducted,
alternative research methods used, and the preparation of surveys and questionnaires.
A common complaint in case study research is that investigators change direction during the course of
the study unaware that their original research design was inadequate for the revised investigation.
Thus, the researchers leave unknown gaps and biases in the study. To avoid this, researchers should
report preliminary findings so that the likelihood of bias will be reduced.
Concerns about validity, reliability, and generalizability
Merriam (1985) offers several suggestions for how case study researchers might actively combat the
popular attacks on the validity, reliability, and generalizability of case studies.
Steps to Improve Validity and Reliability
1. Prolong the Processes of Data Gathering on Site: This will help to insure the accuracy of the
findings by providing the researcher with more concrete information upon which to formulate
interpretations.
2. Employ the Process of "Triangulation": Use a variety of data sources as opposed to relying
solely upon one avenue of observation. One example of such a data check would be what
McClintock, Brannon, and Maynard (1985) refer to as a "case cluster method," that is, when a
single unit within a larger case is randomly sampled, and that data treated quantitatively." For
instance, in Emig's (1971) study, the case cluster method was employed, singling out the
productivity of a single student named Lynn. This cluster profile included an advanced case
history of the subject, specific examination and analysis of individual compositions and protocols,
and extensive interview sessions. The seven remaining students were then compared with the case
of Lynn, to ascertain if there are any shared, or unique dimensions to the composing process
engaged in by these eight students.
3. Conduct Member Checks: Initiate and maintain an active corroboration on the interpretation of
data between the researcher and those who provided the data. In other words, talk to your subjects.
4. Collect Referential Materials: Complement the file of materials from the actual site with
additional document support. For example, Emig (1971) supports her initial propositions with
historical accounts by writers such as T.S. Eliot, James Joyce, and D.H. Lawrence. Emig also cites
examples of theoretical research done with regards to the creative process, as well as examples of
empirical research dealing with the writing of adolescents. Specific attention is then given to the
four stages description of the composing process delineated by Helmoltz, Wallas, and Cowley, as
it serves as the focal point in this study.
5. Engage in Peer Consultation: Prior to composing the final draft of the report, researchers should
consult with colleagues in order to establish validity through pooled judgment. \
Concerns about Generalizability
Although little can be done to combat challenges concerning the generalizability of case studies, "most
writers suggest that qualitative research should be judged as credible and confirmable as opposed to
valid and reliable" (Merriam 1985). Likewise, it has been argued that "rather than transplanting
statistical, quantitative notions of generalizability and thus finding qualitative research inadequate, it
makes more sense to develop an understanding of generalization that is congruent with the basic
characteristics of qualitative inquiry" (1985). After all, criticizing the case study method for being
ungeneralizable is comparable to criticizing a washing machine for not being able to tell the correct
time. In other words, it is unjust to criticize a method for not being able to do something which it was
never originally designed to do in the first place.
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Case Study Research: Related Links
Consider the following list of related Web sites for more information on the topic of case study
research. Note: although many of the links cover the general category of qualitative research, all have
sections that address issues of case studies.
1. Sage Publications on Qualitative Methodology: Search here for a comprehensive list of new
books being published about "Qualitative Methodology" http://www.sagepub.co.uk/
2. The International Journal of Qualitative Studies in Education: An on-line journal "to
enhance the theory and practice of qualitative research in education." On-line submissions are
welcome. http://www.tandf.co.uk/journals/tf/09518398.html
3. A List of References on Case Study Research: The list covers many disciplines, specifically
information technology. http://www.auckland.ac.nz/msis/isworld/case.htm target
4. The Sin of Omission-Punishable by Death to Internal Validity: Kathryn Bower argues for
the integration of qualitative/quantitative methods to strengthen internal validity. This also
links to more sites like "Designs and Methodology Links."
http://trochim.human.cornell.edu/gallery/bowen/hss691.htm
5. Qualitative Research Resources on the Internet: From syllabi to home pages to
bibliographies. All links relate somehow to qualitative research.
http://www.nova.edu/ssss/QR/qualres.html
Bibliography
Armisted, C. (1984). How Useful are Case Studies. Training and Development Journal, 38 (2), 75-77.
Berkenkotter, C., Huckin, T., N., & Ackerman J. (1988). Conventions, Conversations, and the Writer: Case
Study of a Student in a Rhetoric Ph.D. Program. Research in the Teaching of English, 22, 9-44.
Boehrer, J. (1990). Teaching With Cases: Learning to Question. New Directions for Teaching and Learning, 42
41-57.
Boyce, A. (1993) The Case Study Approach for Pedagogists. Annual Meeting of the American Alliance for
Health, Physical Education, Recreation and Dance. (Address). Washington DC.
Emig, J. (1971) The Composing Processes of Twelfth Graders. Urbana: NTCE.
Flower, L., & Hayes, J. R. (1984). Images, Plans and Prose: The Representation of Meaning in Writing. Written
Communication, 1, 120-160.
Merriam, S. B. (1985). The Case Study in Educational Research: A Review of Selected Literature. Journal of
Educational Thought, 19.3, 204-17.
Merseth, K. K. (1991). The Case for Cases in Teacher Education. RIE. 42p. (ERIC).
Selfe, C. L. (1985). An Apprehensive Writer Composes. When a Writer Can't Write: Studies in Writer's Block
and Other Composing-Process Problems. (pp. 83-95). Ed. Mike Rose. NMY: Guilford.
Thrane, T. (1986). On Delimiting the Senses of Near-Synonyms in Historical Semantics: A Case Study of
Adjectives of 'Moral Sufficiency' in the Old English Andreas. Linguistics Across Historical and Geographical
Boundaries: In Honor of Jacek Fisiak on the Occasion of his Fiftieth Birthday. Berlin: Mouton de Gruyter.
Van Vugt, J. P., ed. (1994). Aids Prevention and Services: Community Based Research. Westport: Bergin and
Garvey.
Yin, R. K. (1993). Advancing Rigorous Methodologies: A Review of 'Towards Rigor in Reviews of Multivocal
Literatures.' Review of Educational Research, 61, (3).
Copyright © 1997-2004
Exploration of changes in Samoan parenting methods within two extended families
79
SEMI-ETHNOGRAPHIC/CASE STUDY RESEARCH51
To start this project we first looked at different research methods of the four-quadrant Holon model
(Bridgman, 2003) that would get a more rounded picture of parenting methods from Samoan parents
who have made a choice to live in New Zealand. We wanted to draw information three generations of
women (great-grandmother, grandmother, mother), all from a single family. After serious discussion
and consideration on our participants’ cultural safety and an awareness of our own cultural biases,We
decided that the best way to draw out from the participants view is to adopt the Individual Interior of
the four-quadrant Holon model.
The reasons we adopt the individual interior model is that we favoured the use of: a phenomenological
research model based:
“on the use of an interview process where there is understanding the “lived experiences” of
the individuals awareness of researcher biases - these may be used as a resource or be
bracketed (put to one side)” (Bridgman, 2003,:p40).
We felt that we would be gathering more in depth information from the participant’s personal and
lived experiences by interviewing the participants individually. We could have used a more collective
approach appropriate to working in Samoan culture and run two mini-focus groups of three but that
would have had more disadvantages than advantages.
The advantages of the focus group would be sharing of each participant’s personal view and
knowledge of their own upbringing. This would give more space for interaction between participants
and researcher to uncover more in depth information from their own life experiences. Another
advantage would be learning experience gained by each other as a result of sharing what useful or not
useful, effective or less effective methods that each parents use or of have used to raise their children.
However, one of the main disadvantages of a focus group would be the older participants would
dominant the younger ones. In the faaSamoa the “matai, elders, and parents often speak and make
decision on behalf of members of their aiga” as a cultural belief that they have “the authority, the
experience and the duty to show the young ones the appropriate responses and decisions for them.”
(Mulitalo-Lauta, 2000:p26). Samoan children were raised and learned in their early life the “authority
of the older members of the family, and begin to learn and understand the principles of ava (respect),
of faaaloalo (courtesies), of alofa (love) to ensure that the child shows respect, when growing up.
Focus group would also hinder the honest sharing by participants of their true feelings and personal
experiences with strangers for fear of strangers criticising their views or spread (gossip) to the Samoan
community which might caused shame on the family.
We have chosen to approach this project from the individual interior rather than use a true-grounded
theory approach. We want to get a rounded picture from Samoa perspective of parenting methods from
Samoa parents. In order for us to get real picture of Samoan parenting we need to gather information
and evidence before the plunge into literature. The reason for this was a limited number of written
literatures around Samoan parenting methods and to avoid being contaminated by Western literature
on discipline, and particularly by Western debate about smacking. We wanted to find out the changes
in Samoan parenting and then theorise from a context of Samoan history, mythology, tradition, and a
recent experience within Samoa itself. Because we are starting from the Samoan experience, rather
than the literature, we are using elements of grounded theory (working backwards from data to the
literature and theory), without being able to use the interview process suggested by grounded theory.
Because this is a historical enquiry, aimed at describing cultural norms, and using interviews and
background family knowledge this research has many of the features of ethnographic research.
(Bridgman 2003:p52).
51
Excerpt from Sophia Kamu, S. & Polamalu, A. (2003). Exploration of changes in Samoan parenting methods
within two extended families. Research Project, Bachelor of social practice, School of Community Studies,
UNITEC, Auckland.
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FOCUS GROUPS
The goal of focusgroups is to understand reality from the perspective of the participants. As
such there are also phenomenological in approach. Focus groups had their beginnings in
sociology, but marketing was quick to understand their usefulness and focus groups are key to
product development, evaluation and advertising. As well they are a key tool of politics.
Focus groups are not polls but in-depth, qualitative interviews with a small number of
carefully selected people brought together to discuss a host of topics ranging from pizza to
safe sex. the focus group technique itself was developed as a way of getting beneath the
surface. Unlike the one-way flow of information in a one-on-one interview, focus groups
generate data through the give and take of group discussion. The open-ended interaction of
focus groups leads to stimulation of thoughts and emotions, the revelation of material.
Listening as people share and compare their different points of view provides a wealth of
information — not just about what they think, but why they think the way they do52.
Characteristics of Focus Groups
There are six to twelve participants. Small enough for everyone to be able to participate, but
large enough to be create the diversity which feeds the process
 In addition there will be a facilitator and at least one note taker.
 The discussion will often be tape-recorded and occasionally video-taped. The facilitator
will often takes notes on newsprint to help the group keep track of the key points that
emerge.
 The selection of the group is on the basis of representing of a community of interest, but
including some diversity - age, gender, socio-economic status, and culture. Where strong
divisions of view based on culture, gender or age (for example) are expected these would
not be addressed within one focus group. Ideally the participants should be unknown to
each other.
 The aim is to produce qualitative data. It is not to force a consensus, solve a problem or
make a decision, but to gain insights into the attitudes, perceptions, beliefs and feelings of
participants.
 A small set of predetermined, sequenced, open-ended questions is used by the facilitator
to structure the discussions and to ensure that aims of the research are met
52
American Statistical Association (1998). What Are Focus Groups? ASA Series: What Is a Survey? American
Statistical Association, Section on Survey Research Methods, Alexandria, VA. Retrieved 02/25/02 from
www.stat.ncsu.edu/info/srms/surveyfocus.pdf.
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The advantages and disadvantages of focus groups are given in
Advantages of Focus Groups
Limitations of Focus Groups
It produces real-life data in a social environment – this gives it high face validity.
 Flexible, low cost, simple in relation to
 Whom the focus group represents can be
other methods.
difficult to substantiate. Two
 Speedy results – easy to summarise
representative groups might have very
 Generates hypotheses that can then be
different views
tested using more rigorous methods.
 Opinions expressed in groups can vary
 It’s a very useful method to use in
enormously from those privately
triangulation research – e.g. to confirm or
expressed
deepen what has come out of a survey,
 Getting a representative group can be a
interviews or experimental research
difficult and demanding task
 Long history of use in areas where good
 facilitataor needs special skills, to ensure
information means $$$ in the bank.
depth and openness of discussion.
 Data can be difficult to analyse –
sometimes the results seem obvious,
lacking in depth.
 The environment of the focus group can
influence the outcome - it needs to be
pleasant and comfortable
Participant preparation53
Tell them what it's about beforehand. In most cases this is desirable. Many decisions are made
with conscious deliberation, over time, after talking with other people or in groups.
Depending upon the aims of group, we may want to get people stimulated, thinking and
discussing the issues before they come to the focus group session.
Put a lot of creative energy into the topic. Nothing effects the acceptance rates, the show-up
rates and the involvement of the participants as the topic of the group as stated to the
participants. For example, imagine that you were being invited to a focus group. Which group
would you like to attend? "Research Methods" or "New Advances in Research Methods," or
"How to Conduct Research which is Cheaper, Better and Faster," or "Ways People Have
Found for Getting Beneath the Surface Responses." It makes a difference, doesn't it?
Manage the group's expectations. Make sure participants know what to expect and what will
be expected of them, without biasing the outcome of the group. Tell them about:
 Times, locations, refreshments, koha.
 How focus groups are managed (including the kind of activities that are done – roundrobin discussion, imaginative exercises, drawing)
 The need to contribute openly and the importance of every view being heard
 What will be done with the information after it is collected, and what kind of feed-back
they will receive if any.
Use informality. A style of informal, relaxed playfulness, coupled with a professional
seriousness of purpose (they are not the contradictions that so many people think) works best.
53
The following six pages are a a heavy edit and refocus of : Silverman G (2000). How to Get Beneath the
Surface in Focus Groups, Market Navigation, Orangeburg, NY. Retrieved 02/28/2002 from
http://www.mnav.com/bensurf.htm.
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82
The key is the comfort of the facilitator; if the facilitator is not comfortable running a serious,
but informal session, he or she should not try to do so.
Use first names. Start of saying we will be keeping things very informal and that you've
found that people are usually more comfortable and congenial if they go by first names.
The physical surroundings. Keep these as low key comfortable as you can. Try to avoid
hiding behind desks. Make the room feel psychologically and physically safe. Anything that
you can do which will make the group fun will tend to increase the feeling of psychological
safety. Let people choose where they want to sit, and be prepared to re-arrange things if
necessary. Telephone focus groups can work very well because people are in comfortable,
familiar, safe environments.
Starting the focus group
Encourage divergent thought. In your introduction, mention that you need to get as many
diverse thoughts as possible. Make this seem like a positive thing to do and reward the first
divergent opinion with a comment like "I knew you all couldn't be agreeing about this.
Thanks for sharing that. Let's hear more."
Make it a group. You might start with a round letting each participant introduce themselves
and their interests on the general issue. This is serial interview mode - we do not want to stay
long in this mode with its F (facilitator)-P (participant)/FP/FP… interactional structure.
Switch to discussion mode. Ask, as your first question, something which requires interaction,
such as “I'd like you all to figure out among yourselves what is the most effective course of
action in the following circumstance.”
Make the participants feel good about themselves. Why should they tell you things that are
not socially acceptable and might make them look foolish or ignorant? They will do so if it is
enough fun, or it is serving a higher purpose. For instance, you can have them tell you the
worst thing that ever happened in a particular situation, or when they felt most silly or
helpless. Some will start, find out that it is sometimes fun to laugh at oneself, and they will all
try to top each other.
A common task can quickly produce a working, interactive group. The eyes closed exercise is
good for engendering trust. Participants are asked to close their eyes and imagine the last time
they were in a particular type of situation – for example seeing a health professional, talking
to their father or having a wonder time. The very act of closing their eyes in front of each
other and then sharing an experience with each other will go very far in getting them to share
private thoughts.
Do not take over. Often people come to focus groups with their own questions. You can say:
“I will try answer the question if you will first tell me what they think the answer is and what
they would like the answer to be.” This honours their knowledge - there is no sense teaching
them what they already know.
Sometimes there is a long silence after a participant has spoken. If you feel you must step in,
say "I'm just sitting back to give you room to talk among yourselves."
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Asking the right questions, in the right way
The facilitator must maintain an attitude of great interest without reinforcing any particular
viewpoint. A poker face won't do it. You need to have genuine reactions which are coming
from interest in the person, rather than judging the person. For example:
 When you say, "That's good," people shut down, presumably because when you do not say
it again, you are implying "That's bad”.
 Asking "Why?" instead of "What about it..." makes people defensive.
 Very minor emotional inflections can make people pull back, or get into self-justification.
The most important thing to realize is that a question, or a probe, is nothing more than a
stimulus to elicit further output from the respondent. When asked a question, respondents
think not only of the answer, but of why you are asking the question, and why in that
particular way. They also think of how you will view their answer, and modify it accordingly.
When seen in this light, more possibilities open up. Some of the best "questions" aren't
questions at all.
Types of non-directive probes for use in focus groups.[Notice how few are questions]
 Descriptive: Give me a [picture, description] of ... Describe what it's like to ... Tell me what
goes on when you ... Tell me about ... Tell me more about that ... Think about a situation in
which you -------. Tell me about it.
 Explanatory: Explain to me .... Give me an example….. How might someone do that?...
 Involving: I'd like you all to [discuss, decide] ... Ask each other to find out .... Let's see, I
haven't heard from ...
 Involving and summative: Somebody sum this all up ... Let's see [pause] I'm having trouble
figuring out how I should word this....... I don't think I'm getting it all. Here's what I've got
so far, tell me what I am missing or not getting correctly ... I can't seem to read the groups'
reaction to that. Help me out.
 Summative: So, it sounds like you're saying ... So, the message you want me to get from
that story is ...
 Encouraging diversity: That's helpful. Now let's hear some different thoughts ... Let's hear a
different perspective on this.
 Encouraging: Say more.... Keep talking.... Don't stop.... Just say anything that comes to
mind ... Who can build on this last idea?
 Reflecting conflict: You seem to have a lot of excitement and energy around that. Talk to
me from the excitement ... [I see in your face ... I hear in your voice] something important,
but I don't know what it is ...Boy, that got quite a rise out of everyone. What is everyone
reacting to? ... What's bothering you? ... How come the energy level of the group just went
down?
 Getting practical: I'd like you to word it as an "I wish" or a "How to." ... Can someone turn
that [wish, dream, request] into a reality? Does anyone know how to do it? ... Let's turn this
complaint into a problem ... How can we solve it?
 Checking: How important is that concern? ... Before we move on, let's hear any burning
thoughts that you have to get out ... What am I not asking?
At the end of the session, it is often useful to present different opinions to see if people will
reconsider their positions. You can often verify whether material is persuasive this way. You
can also tell how strongly held are the positions.
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Banish closed-ended (yes/no) questions. For instance, say "Tell me your reactions" instead of
“Do you like this idea?" However if you want to shut down the discussion say "Does anyone
have anything more to say on this before we move on?" That usually works.
Non-verbal behaviour. Non-verbal behaviour includes all of the gestures, postures,
vocalizations and physical cues that we use to get information, but of themselves are not
language. While care must be taken in the interpretation of non-verbal behaviour, the
facilitator needs to spot congruence and contradictions such as sudden inarticulateness, speed
of speaking, hesitations, fluency, emotional level, degree of energy, etc. Follow contradictions
up with probes like, "I hear you agreeing, but not with much enthusiasm. Where are you?"
Sometimes you can catch the incongruent gesture, name it, ask people to intensify it, or to
speak to it directly.
Pay attention to what the people aren't saying. Repeatedly ask yourself, during and after the
group, "What aren't they saying?" Once in a while, this is even a fruitful question to ask
openly in the group, or in the post session client meeting.
Projective Techniques.
These techniques are to be used judiciously. The idea behind projective techniques is very
simple. People tend to complete the incomplete. When confronted with an ambiguous
situation, they try to complete it out of their assumptions, attitudes, beliefs, experience,
values, etc. They will fill in the blanks by "projecting" their thoughts and feelings onto the
stimulus.
For instance, if you show respondents an ambiguous picture, where it is unclear exactly what
the people in the picture are doing, and ask the respondents to imagine that the picture is
about people who have something to do with a product, the participants will start filling in the
blanks from their own past experience. If asked to make up a story, they will construct a tale
which reveals assumptions, perceptions and attitudes about the product. Their story is not in
the picture, after all. It is their projection onto the picture.
The advantage of projective techniques is that they help to bypass the tendency that people
have of censoring what they say for social acceptability. It tends to shut off evaluation and get
us more genuine responses. The disadvantage is that they require a skilled facilitator, and
must be used with great care when exploring sensitive personal issues.
Drawing. Let's start with the ultimate ambiguous stimulus, a blank sheet of paper. You can
ask people to draw a their real/ideal WINZ office or counselling room, the clients or
colleagues of a particular service, or the most stressful situations for students. Tell
participants that nothing above a kindergarten level is expected. Making a montage is another
variation.
Guided Fantasies or Visualizations. Perhaps even more ambiguous than a blank sheet of
paper is an imaginary projection screen. The participants are asked to close their eyes and
"imagine on a screen a scene in which [you fill in here anything which will put the person into
the situation you want]." The participants then share and compare their experiences. For
example, a guided projection examining the future of social practice might be:
“It’s 2010... You are successful in your work and in your life... You are working when
a student colleague and friend whom you haven’t seen for eight years visits... You
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catch up and find that they feel terribly trapped in their life... What’s happened and
what’s happening now?”
Guided fantasies, like most projective techniques, can be a little more difficult to interpret.
People are expressing attitudes in a metaphorical way. The meaning of these metaphors and
images must be checked out carefully. For instance, ask the participants what they were most
surprised about. Participants will often say things like, "I never realized how strongly I feel
about X until I went through the exercise."
Word Association and Sentence Completion. Say, "I'm going to say a word, and I want you to
write down the first word that comes to mind (word association)." Or, "I am going to start a
sentence and I want you to finish it."
Examples:
 The most annoying thing about the research project course is ...
 The only thing that would get me to change my mind is ...
 I'd tell the CEO of Child, Youth and Family ...
 The only kind of person crazy enough to use this service would be...
 I'd convince people to change their minds by saying
 The best thing about this product, programme or service is ...
 What will get people to change is the realisation that ...
Family of items. This is a sorting/relating task where participants are given a piece of paper
which has several different items (e.g. services, roles within a service, components of a
course) listed that relate to the issues under discussion, with room for people to write next to
each. Ask them to imagine that these different items are a family of any kind. They can be
past, present or future, and not necessarily from the same biological family. They might be a
team or group that works together. Have them describe the roles that each item assumes in the
family and its characteristics. This task reveals the relationships and hierarchies that exist,
how things could be ideally structured and so on.
Role Playing. Another technique is to get people to think laterally by wearing different “hats”
(as a client, caregiver, service leader, member of the public) or to talk from different parts of
themselves (their adventurous, risk taking side, their critical, analytical side). This can be
extended into a “debate” format where people are asked to role play different perspectives on
the issue. In general role playing requires considerable skill and experience to facilitate as do
some of the Gestalt techniques which get people to experience, rather than talk about,
situations. The Fritz Pearls “hot seat” technique is an example.
Other useful tips for focus groups
Diary keeping. Having people keep track, on paper, of their practices, thoughts, feelings over
time. They can then be brought together in focus groups to discuss their practices.
Polling techniques. There are a large variety of polling, or vote taking, techniques for focus
groups. While these techniques are misleading when viewed as ways of projecting numbers
onto the general population, they are nevertheless valuable for getting people to commit to
positions which they will then discuss later, or which confirm/deny consensus or lack of
consensus. People can be asked to fill out rating forms or write down their reactions
After the group techniques.
You can continue to get information relevant to the research after the group has finished. This
can happen during an after the session cup of coffee or even while you are tidying up.
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86
Sometimes this privately told information is very valuable. You can let people phone you
with further information, and if you are writing a report and wonder what a respondent meant
by a remark, pick up the phone and ask them to clarify and expand upon what they said in the
group.
Variations
Telephone focus groups. Their anonymity and safety open people up or bring together
difficult to reach respondents.54
Mini-groups. These can often give you the best of all possible worlds: the stimulation of focus
groups, with the ability to probe deeply into the thoughts and feelings of just three or four
people.
Unusual mixes and matches. Usually when we organise focus groups it is around a point of
homogeneity or sameness. For certain types of issues, going for diversity is important. For
example, on a controversial issue having people with good listening skills and for or against
opinions could be important if the aim of the group was to find alternative approaches. Often
people become defensive in an oppositional forum, but managed constructively some of the
best results come from combining natural enemies.
Rolling focus groups. Once you are sure of what you have found in some groups, you can
present your findings in other groups, so that you can go on to the next level of depth. Play
tape excerpts from one group to another.
54
George Silverman believes that for most issues telephone focus groups give a better result that face-to-face
focus groups. See his article: Silverman G (2001). Introduction to Telephone Focus Groups, Market Navigation,
Orangeburg, NY. Retrieved 02/28/2002from http://www.mnav.com/ phonefoc.htm,.
Focus group method – Mäori success
87
Methodology for a focus group on Mäori perceptions of
Success55
2.1:
INSTRUMENTS USED
Qualitative methods of research provide a rich and full description of human experience
(Gray & Ruddenklau, 1999). To capture these descriptions, while keeping taonga shared as
pure as possible, was paramount for the research team. To do this we used a focus group
and interview procedures. The focus group procedure incorporated Mäori conventions of
discussion and hui (e.g. the use of some powhiri processes). The instruments for both
processes were developed in consultation with a Mäori supervision group set up with the
support of Puukenga and Raranga (Mäori cultural studies centres at UNITEC), Maia (the
Mäori student learning support centre at UNITEC) and the Mäori Students Association. The
focus group had six straightforward questions that explored what success at UNITEC meant
for Mäori students and the things that would help them achieve success at UNITEC. See
appendix 1 for the full details.
FOCUS GROUP QUESTIONS
1. When you have finished your time here at UNITEC, how will you know if you have been
successful?
2. What is it that you most want to get out of your time at UNITEC?
3. What is success for you at UNITEC?
4. What helps you to achieve those goals?
5. What are the things that happen at UNITEC that help you to be successful?
6. What are the things that you need in order to be successful
Basic demographic information about participants (age, gender, area of study) was also
obtained from participants.
2.2:
THE FOCUS GROUP PROCESS
We recruited volunteers for the focus group through meetings with Raranga, Puukenga, Maia
and the Maori Students Association. An invitation was sent to prospective participants via
their faculty and word of mouth aided in finding those that were interested. Team members
also individually met with and spoke to groups of Maori students about the research. After
consultation with identified participants over two possible times to hold the focus group we
settled on a time that best fit the students and their timetable and we also were able to
secure a room at Puukenga, a central and known location easy for all participants to find.
Permission was gained from the participants to tape-record the focus group. As an
exploration of the participant’s perceptions and experiences, we realised that many people
reflect differently and wanted to give the participants various ways of being able to do this,
therefore we also employed three strategies to collate the information shared:
 Large sheets of newsprint were put up on the wall to enable the participants to visually
reflect on what they had said
 These sheets also provided the means to clarify key themes with participants during the
process and to check that our interpretation of their meaning was correct.
 Individual comment sheets were completed after each question to cover anyone who
wished to make comments separate from the group. We were aware that in group
discussion there are often high and low contributors.
55
Grace, J., Schimanski, S., Smith, D. & John, G. (2001). Paddling the Same Waka? - Maori Student
Perceptions of Success at UNITEC and Factors Contributing To That Success. Unpublished Research Project,
School of Community Studies, UNITEC, Auckland, New Zealand.
Focus group method – Mäori success
88
Raranga
Business
Nursing
Sport
SocPrac
< 25
25-35
45+
unknown
wahine
tane
pe rce nt
pe rce nt
pe rce nt
The time began with karakia and an informal lunch in which time to get to know each other
was important. This created an atmosphere of ease before we formally began our
discussion. At the end of the focus group, a participant offered a closing karakia. Throughout
the focus group, all team members were present with two in the role of facilitator, one in the
role of observer and one in the role of note taker. The comment sheets, newsprint and audio
tapes were collected and later made into transcripts of data that contribute to the basis of the
research findings.
2.3:
THE PEOPLE
All participants of the focus group (10) were current students on campus at UNITEC from a
mixture of age, faculty and gender although all were common in identifying as Maori within
the institution. Table 1 shows some participant demographics. The predominant gender was
wahine with only three of the participants tane. The age ranged from under twenty-five years
to forty-five years plus
and there was a
Table 1: Some demographic features of the participants
mixture of years (i.e.
Gender of
Age of
C o u r se ta k e n b y p a r ti c p a n ts
first year or third year
p a r ti c i p a n ts
p a r ti c i p a n ts
completed studying).
40
40
80
Many of the more
30
30
60
mature students in age
20
20
40
had
children
and
10
10
20
families, while the
0
0
0
younger participants
who did not were
strongly affiliated with
Gender
Age
C o u r se
whanau
and
their
place in the whanau.
There was a mixture of knowledge of tikanga and te reo – some participants had wide
experience in this and some did not.
2.4:
ETHICAL CONSIDERATIONS
Throughout the project leading up to the focus group taking place, the team was aware of
working within Maori Kaupapa. The team presented a project outline to the Mäori
supervisors (see appendix 1) and discussed with Maori supervisors the format of the hui and
were encouraged to begin and end with karakia, but keep it informal to create a relaxed
atmosphere. The team was also aware that the participants were sharing taonga as they
shared their own experiences and perceptions and we made an effort to create a supportive
atmosphere by acknowledging this throughout the process. The team also clarified that the
data would be the property of Puukenga when the research project was complete and that
confidentiality was to be kept in the non-identification of participants. Proceeding with the
data analysis also posed potential ethical considerations in keeping the information pure and
presenting what the participants had said correctly. To do this, the team once again worked
alongside our supervisors.
An ethics application was submitted (app 2) The project was approved by the UNITEC ethics
committee who congratulated the researchers “on the way in which you have addressed the
Treaty of Waitangi section” (app 5), and asked for permission to use this section as a model.
Participants were given information sheets and asked to sign consent forms (apps 3 and 4).
2.5:
DATA ANALYSIS PROCESS
The data was taken in three forms: group brainstorm on newsprint, individual comment
sheets and transcript of verbal discussion. Although their were six questions our analysis
treated these as two major themes – the meaning of success and the factors that contribute
to success. The findings include direct quotes from the participants and summarise key
points and themes. To ensure the credibility of data, the team worked with our project tutor
to develop themes that were evident in the transcript and also worked closely with Maori
supervisors before a final copy was put into the research document.
Focus group schedule – Schizophrenia Fellowship
89
Auckland Schizophrenia Fellowship Agenda for focus group56
Timing
5.00–
5.30
Up to
5.30
(30
mins)
Part of
Meeting
Set up
Prior to
start
6.00
pm
10 mins
Opening
6.10
pm
As long
as
it takes.
Body
Outline of points to cover in this section
Set up room for focus group, set out food, boil jugs, etc. Check
recording equipment and other technical items
Coffee, tea and refreshments available for participants as we will
not be stopping for a long break during the focus group (However,
we will provide some refreshments after the focus group finishes).

Informal introductions of participants and research group
members.
 Welcoming participants and giving outline of the purpose of the
focus group, i.e. that this is to give the Auckland Schizophrenia
Fellowship information to help it better met the needs of it’s
members.
 Introducing the participants to each other
 Introducing the recorders and what they will be doing during the
focus group, and himself as facilitator for the evening
 Inform participants that the focus group will be recorded and
what will happen to that recording
 Giving outline of what is going to happen during the focus
meeting
 Giving ground rules - Confidentiality, Respect, Listening to
each others viewpoint,
 Any rules the participants want included specifically.
 Telling the participants about the Feedback process
 There will be a summary of information at conclusion of
session,
 What will happen if any of the information is published,
 Letting the participants know that the report complied from the
focus group will be available and when,
 Giving participants the opportunity for future feedback after the
focus group
Question 1:
Asking the participants to talk about themselves
and their background/experience with mental illness.
General discussion from the participants with facilitator
picking any points out and putting them onto a sheet of
paper for discussion during feedback time, and so
participants can see the points emerging..
Question 2:
If you think back to the experiences you’ve had
with mental illness and others that you know of:
 what would have helped,
 what needs to change,
 what really made a difference,
 what needs research?
56
McRae L (2001). Developing a Research Agenda for the Schizophrenia Fellowship. Unpublished research
report, School of Community Studies, UNITEC, Auckland, New Zealand.
Focus group schedule – Schizophrenia Fellowship
90
Try and get their wish list, to determine what they think are
important.
Question 3:
What do you think the future holds for you, your
family, your kin with with a mental illness, and others in similar
positions?
What issues will develop?
Will change in society affect you or your kin?
What do we need to understand to secure a better future?
Question 4
What role do you see theFellowship playing in the
new millennium?
Should it get involved in research? How?
Supplementary questions (in case discussion dries up)
What do you think the general public need/government
needs to know about mental health issues?
What do you think mental health professionals need to know
about mental health issues?
10 mins Wrap up  Facilitator to thank focus group members for their participation
and ask them to look at the points that he has taken down.
 Any points missed can be added, and important points
highlighted by group members.
 Recorders to give feedback of what notes they have taken during
the focus group (which should hopefully reflect what facilitator
has put onto paper).
 Focus group participants to give feedback about how to process
has been for them, and anything they feel has not be covered.
 Facilitator to ask the participants to look at what information has
come out of the group, and to rank those they think are the most
important (which could be the basis of future research for the
Fellowship).
 Final wrap up by facilitator thanking participants and gives them
contact information if anything should arise for them as a result
of the focus group. Also reminding them they can have access to
the report the focus group will generate and when.
 Facilitator invites any for the participants to have something to
eat and drink before they leave.
9.00Post focus Coffee, tea etc available for those who want it
930pm
group
9.30 - ? facilitator  Discussion of the meeting, debriefing, and confirming details of
note transcribing etc.
recorders
wrap up  Arranging time to review the transcribed notes and analyse them
etc.

Clean up focus group area and do dishes.
Participatory Action Research
91
WHAT IS PARTICIPATORY ACTION RESEARCH?57
For at least seventy years, some researchers around the world have been identifying what they
do using terms like ‘action research’, or ‘participatory research’, or a combination of these.
Some have stressed the action component,58 while others have focused more on the
participatory process.59 Still others have come from the field of social science and have
identified it as a means of inquiry or research per se.60
Throughout this account participatory action research is contrasted with formulations of
conventional research science. For me, participatory action research is not a different and
separate matter from science at all, but one of the more inclusive descriptions of our new
understanding of social science.
This short paper sets out to identify some of the main characteristics of participatory action
research for me, and to try and show why I have come to the following two conclusions:
 ‘Participatory action research’ is a
description of social research per
se (albeit social research which is
more conscious of its underlying
assumptions, and collectivist
nature, its action consequences
and its driving values).
 It faces numerous barriers to its
practice which mean that, even
when we think we might be doing
‘it’, we often have our doubts! I
have come to conclude that pretty
much all of the research we are
involved in, is more or less an
approximation in the direction of ‘it’. That is, every piece of research is more or less
participatory. It more or less enables action as part of the process. And it all involves more
or less critical reflexive, skeptical and imaginative inquiry.
I have found it handy to summarize its major distinguishing characteristics under the three
headings which make up its name, that is: ‘participation’, ‘action’ and ‘research’. I
commence with an attempt to outline the defining characteristics of participatory action
research as research in the kind of everyday experience we have whenever we want to inquire
into something in our lives. In the most tiny example can be found the same structure or logic
of inquiry as in the most extensive long -term university research program.
57
Slightly edited paper by: Wadsworth, Y. (1998) What is Participatory Action Research? Action Research
International, Paper 2. Retrieved 02/28/02 from http://www.scu.edu.au/schools/gcm/ar/ari/p-ywadsworth98.html
58
The field of action research deriving from education (particularly school room practice) and third world
development more often have stressed the necessity of moving relatively quickly towards new action.
59
The post-war British field of action research, drawing on theory about group psychology or group dynamics,
stressed the area of process, sometimes involving very diverse interests from the outset.
60
Examples of this are diverse. They include the classical social anthropology-trained sociologist William Foote
Whyte who has moved to action research from what he now calls ‘participatory research’ (eg. his classic 1943
ethnographic study of an inner city immigrant American-Italian community). Another prominent American
sociologist Shulamit Reinharz tells her story of moving from disembodied researching ‘on’ people to humanistic,
qualitative and experiential researching ‘with’ people (1979).
Participatory Action Research
92
The research framework
What do we typically do when we ‘do a piece of research’? Let’s take a couple of everyday
examples.
1) We are going about our business and a piece of equipment fails to work. We are pulled up
in our tracks as we experience a discrepancy between our practice and our expectations.
Out of our need for it to ‘work’, a question arises: ‘Why is it so?’. We have a look at the
piece of equipment: perhaps involving a little piece of hands-on ‘participant observation’
fieldwork! Perhaps we employ also some ‘secondary analysis’ as we consult the maker’s
manual for their theories and advice! We may develop a hunch (hypothesis) and draw
some conclusions. Then we try it out in a form of a naturalistic experiment and we ‘give it
a go’. Again we go about our business. The equipment works and we carry on. Or, it fails
to work again and we again stop in our tracks and raise our question again, and try further
fieldwork to develop yet another theory and try yet another tack, and so on.
2) We are looking for our daughter’s shoes in the early morning scramble. We review
previous 'historical data' (memories of earlier experiences!) as part of planning our
‘research design’. We generate several hypotheses and move quickly into the 'field' to
involve other participants and gather new data to test them! We use some observational
anthropology. Two brief interviews with daughter and sibling result in reports of failed
hunches! (they weren’t in their cupboards or on the back verandah!); we engage in further
open-ended interviews with the entire household population. Then secondary analysis of
the previous day’s timetable generates a further hunch (Sports Day!: shoes replaced with
runners) and an additional round of observation reveals: shoes in school bag!



These trivial microcosms contain a
structure which reliably:
 commences - ironically - with
stopping. That is, we do not begin
to inquire until we actually suspend
our current action because of the:
 raising of a question; which then
provokes us to go about:
 planning ways to get answers ways which will involve identifying
and involving ‘questioners’, ‘the
questioned’ and an idea of for who
or for what we desire answers;
engaging in fieldwork about new, current or past action in order to get answers and
improve our experiential understanding of the problematic situation;
generating from the ‘answers’ an imaginative idea of what to do to change and improve
our actions;
the putting into practice of the new actions (followed by further stopping, reflecting and
possible ‘problematisation’).
This is precisely the cycle of action, reflection, raising of questions, planning of ‘fieldwork’ to
review current (and past) actions - its conduct, analysis of experiences encountered, the
drawing of conclusions, and the planning of new and transformed actions - that characterizes
all research endeavor. If we are to distinguish this cycle in any ways from what we ‘do all the
time’, we find the important distinctions are in degree rather than kind. That is, in
participatory action research we are:
Participatory Action Research









93
more conscious of ‘problematising’ an existing action or practice and more conscious of
who is problematising it and why we are problematising it;
more explicit about ‘naming’ the problem, and more self-conscious about raising an
unanswered question and focusing an effort to answer it;
more planned and deliberate about commencing a process of inquiry and involving others
who could or should be involved in that inquiry;
more systematic and rigorous in our efforts to get answers;
more carefully documenting and recording action and what people think about it and in
more detail and in ways which are accessible to other relevant parties;
more intensive and comprehensive in our study, waiting much longer before we ‘jump’ to
a conclusion;
more self-sceptical in checking our hunches;
attempting to develop deeper understandings and more useful and more powerful theory
about the matters we are researching, in order to produce new knowledge which can
inform improved action or practice; and
changing our actions as part of the research process, and then further researching these
changed actions.
One of the ways this
understanding of research differs
from conceptions of conventional
research or ‘old paradigm science’
is revealed in the diagrams below.
Conventional research often sees
itself as proceeding from point A
to point B along a straight line commencing with a hypothesis
and proceeding to a conclusion
which may then be published in a
journal.
However new paradigm social science (or participatory action research) considers it critical to
the success of the inquiry that the hypothesis is relevant and useful and thus asks: Where did
the hunches or hypotheses come from? Are they just any old hypotheses? Or have they been
carefully constructed and well-grounded, over time, from deep and engaged involvement in
the field being studied? Are they plausible? Are they relevant? Are they already wellevidenced and thus already substantiate new action? (rather than having to spend time rediscovering or re-confirming the already-established).
Furthermore, new paradigm science asks: Have they been checked in practice? Findings,
‘discoveries’ or new ideas are not accepted until tested in action - otherwise they remain
merely ‘interesting ideas’ or ‘just academic’.
Instead of a linear model, participatory action research thus proceeds through cycles,
‘starting’ with reflection on action, and proceeding round to new action which is then further
researched. The new actions differ from the old actions - they are literally in different places.
Interestingly, all science seems to me to follow this logic. However many ‘old paradigm’
scientists are unaware of their implication in this. There is always new action resulting - even
if it is just the same as the old (which we might describe as reproducing the ‘status quo’).
Participatory Action Research
94
Inquiry inevitably leads
somewhere - even if it isn’t far
from where it started, or only a
small number of people are
consciously aware of it. Once
inquirers are aware of the
implications of inquiring, they
are faced with a choice. They
can ignore it (or treat it as
peripheral or of nuisance
value), or they can resolve to
work with it as a positive
feature of their research environment. Action researchers, it seems to me, are really just
researchers who have come to understand the practical and ethical implications of the
inevitability of the value-driven and action-effects of their inquiry, that is:
 the effects of raising some questions and not others,
 the effects of involving some people in the process (or even apparently only one) and not
others,
 the effects of observing some phenomena and not others,
 the effects of making this sense of it and not alternative senses, and
 the effects of deciding to take this action (or ‘no’ action) as a result of it rather than any
other action and so on.
All research involves these kinds of decisions. Participatory action research attempts to make
these decisions more consciously and in relation to more clearly-worked out purposes, and
using more appropriate designs and techniques for exploring them.
The action element
All research seems to me to be implicated in action. Not only is research itself an action in and
on existing situations, but it also always has consequences. Things inevitably change as a
result of research - the mere act of asking questions is an intervention in a situation, and
giving and hearing answers and making sense of them inevitably brings about changes in
those involved. Whether people then choose to continue as before or to change course means
that the new situation will either be different from that before, or it will be the same. To ‘not
change’ is nevertheless action: some might call it inaction!
Participatory action research is aware of its inevitable intervention in the social situations
within which it operates and seeks to turn these to consciously-applied effect. Most
participatory action research sets out to explicitly study something in order to change and
improve it. It most often arises from an unsatisfactory situation that those most affected wish
to alter for the better (although it can also arise from the experience of something which
works well, which provokes the desire to reproduce or expand it).
The moving to new and improved action involves a creative ‘moment’ of transformation.
This involves an imaginative leap from a world of ‘as it is’ to a glimpse of a world ‘as it could
be’. Where existing situations benefit or promote some but disadvantage or subordinate
others, then creative change may be construed as ‘political’. As well, participatory action
research does not conceptualise this as the development of predictive cause-effect theory (‘if
this, then that’). Instead, as in the slogan: ‘the future is made, not predicted’, it is more like
‘what if we…, then maybe’. Possibility theory rather than predictive theory. That is, human
Participatory Action Research
95
actors are both wilful and capable of thwarting research prediction, and wilful and capable of
selecting and implementing theories or probabilities they want to see manifested!
Conventional science sees this as undesirable ‘contamination’ and ‘bias’. Participatory action
research sees this as a goal, and the stuff of which ‘real life’ is made or enacted.
Action research, like the discovery phase of any science, knows it is coming from somewhere
and going to somewhere, even though it does not know in advance where precisely it is going
to end up or what the new state will look like. Participatory action research, unlike
conventional science, does not consider this to be an embarrassment! However it can be
difficult for researchers (and research funders) accustomed primarily to a formal experimental
approach (the verificationist phase of science), since all that can be stated at the outset is that
certain parties have noticed certain problematic matters and have planned certain participatory
processes in order to try and ‘crack it’ for a new way to approach the matter. It may be that
funders need to fund iterative or emergent research in connecting stages of ‘seeding’,
‘sapling’ and ‘tree’ phases (and not with up to a year’s time lapse in between, as at present).
As there is an infinity of ‘could be’ worlds, then the action phase is crucially guided by the
depth and quality of theorising achieved by the research participants. Superficial or trivial
research will result in superficial and trivial ideas for practice.
The major challenge for all participatory action researchers (and indeed all researchers) is to
design a process which can result in maximum creativity and imagination. Some of the most
spectacular ideas have come about because researchers (or self-researchers) were able to draw
on unusual sources for ideas, and then submit them to their critical reference group to see if
they ‘resonated’. If such creative and imaginative efforts have been well-driven by a critical
reference group perspective and well-grounded in an understanding of the critical reference
group and their context or environment (including the effects of others and of ‘structural’
matters or opportunities impinging), then they stand a much better chance of ‘getting it right’
and ideas ‘taking off’. Pretty much every initiative we now see around us as A Good Thing
happened in this way: as a product of people who ‘knew their turf’, knew who they were
doing it for, and had the imagination to collectively envision a desirable new state and attract
others who shared that vision.
In participatory action research, while there is a conceptual difference between the
‘participation’ ‘action’ and ‘research’ elements, in its most developed state these differences
begin to dissolve in practice. That is, there is not participation followed by research and then
hopefully action. Instead there are countless tiny cycles of participatory reflection on action,
learning about action and then new informed action which is in turn the subject of further
reflection. Every minute of every hour may see participants absorbing new ways of seeing or
thinking in the light of their experience, leading to new related actions being taken on the
spot. Often these will pass unnoticed and unrecorded, but with practice these too become the
subject of further reflection and group self-understanding. Change does not happen at ‘the
end’ - it happens throughout. A hallmark of a genuine participatory action research process is
that it may change shape and focus over time (and sometimes quite unexpectedly) as
participants focus and refocus their understandings about what is ‘really’ happening and what
is really important to them.
Participatory Action Research
96
The participation element
‘...action research is the way groups of people can organise the conditions under which they
can learn from their own experiences and make this experience accessible to others.’’6111
It is not possible to do any social research without the participation of other human beings. In
typical research there might be one or more ‘researchers’, there might be people who are
‘researched’, and there might be people who are ‘researched for’ - such as those who are to be
informed or influenced by findings, or, at a more fundamental level, those who have a
problem on which the research is to cast light. However even the research that seems to
involve ‘no-one’, such as the most lone and unobtrusive academic researcher, examining
written historical records of people long dead, who seems to be isolated from ‘real world
practice’, and is relatively unknown to peers, still exists in a social world peopled by family,
friends, fellow academics, academic administrators, tax-payers and politicians, funding
bodies, editors of journals or thesis-examiners, as well as by the written representations of the
researched (and there may also be some living representatives) which nevertheless must
‘speak’ and be ‘heard’ and understood by the researcher. These all impinge on, and
‘construct’ the research environment and it’s findings, regardless of their apparent invisibility.
More usually there are known groups of researchers, people who commission the research,
and live populations of ‘researched’ and ‘researched for’, many of whom may know of the
research and want to have a say about its conduct or contribute a view about its subjectmatter.
Various parties to research ‘participate’, but the questions become ‘Who is treated as
participants?’, ‘How much do they participate?’, ‘In what ways do they participate?’, and
‘How is their participation taken into account or not taken into account?’.
Indeed the reason why many of us have felt compelled to add the "p" for participation to the
"ar" for action research has been because we have noticed that many have taken existing
levels of conventional 'participation' for granted. More importantly there may have been a
complacency about the adequacy of current input. Here is a chicken and egg. How do existing
participants know the limits of their own perceptions without new participants being there to
illuminate the relativism of the existing participants' perceptions - and how would the new
participants get to be involved, invited (or tolerated) if their value is not known?
It is worth drawing out the differences between the parties to research in more detail to
examine the new possibilities for participation.
In research there are typically four conceptual parties to research:
1) The researcher/s
2) The researched
3) The researched for (in the
sense of having the problem
the research is to resolve) what we have called the
critical reference group
4) The researched for (in the
sense that they might benefit
from better information
about the situation - they
61
McTaggart R (1991). Principles of Participatory Action Research. Adult Education Quarterly, 41, 3, 170.
Participatory Action Research
97
may be trying to care for those with the problem, or provide, administer or fund the
problematic thing or an activity or service which addresses the matter or tries to manage,
treat, ameliorate or prevent it, and so on).
Participation may be for varying reasons which revolve more or less around an interest in the
topic or question.
In a conventional piece of research there may be less apparent participation. For example,
management (group 4), is puzzled or uneasy about some existing matter, or under pressure
from another group 3 or 4) to Do Something. They might typically employ an independent
researcher, group1, to go and study some of the people-with-a-problem, group 3, and perhaps
also have some informal discussions with staff, group 4. They may limit their involvement to
an initial briefing, the receipt of progress reports, attendance at a steering committee, and
receipt of a final report. The researcher may be an academic or a private consultant with some
other interests in the matter themselves, group 1 and 4. They are constrained to appear to be
neutral or perhaps mildly on everyone’s side. They may also be on a short term, highly paid
contract with high performance expectations. They expect to get into the field, get the data,
get out cleanly, write it up, add some recommendations that seem feasible and then move on
to the next demanding job.
The people-with-a-problem: ‘clients’, ‘patients’, ‘students’, or other group of disadvantaged
people, group 3, may be directly hurt or disadvantaged by the existing problematic matter,
and may or may not have questioned whether there might be a reason for it, and/or a better
way. This group is frequently part of ‘the researched’, although sometimes they may not
know it. If they do, they may typically find themselves on the receiving end of a questionnaire
or an interview. One of their number may be invited to sit on an Advisory Committee. Some
other ‘stakeholders’: staff, carers, providers, group 4, may be indirectly involved. In
conventional research, they may also be questionnaire or interviewed about the group-withthe-problem, or about their service to them or care of them, and perhaps even asked what they
think should be changed; and they might also be on the Committee. All then await the
researchers’ announcement of their ‘findings’.
What can typically plague the whole process of such conventional research are the
consequences of non participation:
 In the first place there can be confusion or lack of agreement regarding the direction and
purpose of the inquiry (for whom and for what).
 There is subsequent disagreement about the form the study should take (how, where,
when, who should be involved).
 Alternatively the wrong direction is taken and dissent suppressed or ignored. The wrong
questions are asked. The data is then irrelevant. And the conclusions useless.
 There can be misunderstandings about participants’ perceptions (about the situation being
studied).
 There can be conflict over interpretations and analyses (the ‘why’ and 'how').
 And there can be disagreement about what these imply for change in action (what next).
 And there can be shooting of the messenger! Or of the manager. Or mutinous troops. And
critical reference groups' situations left unchanged.
There is an important point to be made here. Over many years I have observed that where the
parties (groups 1-4) are more distant from each other and from involvement in the process of
inquiry, trouble ensues.
Participatory Action Research
98
Once in the past a place might have been seen for participation by the various parties at the
outset on a committee, or at the end as recipients of a report. Increasingly instead they might
become contributors to all stages of the research cycle - as designers, selectors of methods,
contributors of 'data', 'analysers' and 'concluders', and then 'takers (or monitors) of new
actions', and so on. All parties begin to operate much more as both co-researchers and cosubjects.
In participatory action research, the four conceptual categories of participants may thus in
practice become much more overlapping depending on the purposes of the research, and who
is ‘driving’ it. For example, there may be more participation, where a self help group (3), selfresearches (1) its own experiences (2) and those of others (4), for itself or for others (1 or 4).
The arguments for there being more rather than less participation by all four parties are as
follows:
Those commissioning or carrying out the
research. These usually already participate the
most since they choose the questions, decide
how they will be answered, interpret the answers
and decide what has been ‘discovered’. Yet
frequently even they feel constrained to disguise,
restrict or eliminate their ideas and values, or
refrain from putting in their experiences or their
views or opinions, on the grounds the research
should be ‘objective’ and ‘unbiased’, and ‘valuefree’. In this way, other participants may never
be properly informed about the nature and
purposes of the research, and the research design may begin way back ‘behind the eight ball’
instead of where there is a genuine unanswered question. This may truly bias or distort the
research. Feminist62 and other critical theory research as well as so-called fourth generation
evaluation63 has begun to show a way for researchers (and those commissioning the research)
to be more genuine and honest participants in and contributors to their own research.
These approaches have shown also how there can be more of a dissolution of the distinction
between researcher/s and ‘researched for’ (the critical reference group). Thus, for example, a
more participating researcher would be more clear about why they are interested in the
research - perhaps describing their own personal experiences that have led to the questions
they are wanting to ask. This clarifies the purposes for other participants, and helps each
participant know where the other is ‘coming from’. Further, the participating researcher/s,
having identified the interests they wish to pursue, can see (and be seen in) their relationship
to the critical reference group, and pursue more consciously and sceptically, alternative
formulations of the situation.
The critical reference group. This group conventionally participates least since professional
and academic research largely researches on and about and speaks for the disadvantaged, or
62
Feminist research utilises (more or less sucessfully) a participatory action research methodology and
additionally works in a topic area determined by a particular critical reference group: that of women.
63
Fourth generation evaluation is a term coined by the Americans Egon Guba and Yvonna Lincoln to describe
the application of constructivist methodology to evaluation (in the wake of three previous generations of
evaluation which they have criticised on the grounds of over-adherence to a positivist epistemology and to
managerialist dominance). They argued for the admission of all relevant parties to the process, and re-cast the
evaluator as a facilitator of an essentially self-evaluation process.
Participatory Action Research
99
groups with unmet needs the research is meant to benefit. Laura Nader has called this
approach ‘studying down’ (1972). The identification and involvement of the critical reference
group, or even broad relevant critical reference ‘arenas’ or critical reference ‘publics’
however, I have noticed leads to:
 improved relevance of the inquiry to those who share in the problem;
 sharper focusing of the research questions;
 enhanced relevance of the inquiry to those whose jobs are to do something about the
problem (whether as a service provider, a carer, an administrator, a funder, etc.);
 increased effectiveness of the research design (what is asked, by whom, of whom, when,
where and how);
 improved meaningfulness of the information thus gained (the researched especially have a
say in whether any inquiry ‘got it right’ in regard to the meaning of what they said or did);
 the power and accuracy of the theory developed to understand the problem;
 the relevance, creativity and effectiveness of the new actions decided-on;
 and the commitment to observing the new actions and acting on and researching of them
further.
The difficulties in involving critical reference groups and them remaining involved are
numerous. The discussion of how to achieve these conditions of mutual involvement,
participation and collaboration are very similar to the discussions about how to achieve
‘community development’. For example, the more disempowered you are, the less hope you
may have about either the value of participating or even the chances of something good
coming out of it. If you are radically disempowered you may not even be able to envisage
something better, when even a vague or indistinct vision is a prerequisite for pursuing one at
all.
Nevertheless, members of critical reference groups who have problematised a situation are in
the most strategic position to work on its improvement. Participatory action research, in its
most-developed form, works to assist critical reference groups - and those who share their
perspective - pursue their inquiries, by themselves and for themselves, as a community-ofinterest. The role of ‘outsiders’ or those who are not members of critical reference groups
changes radically. Rather than operating as the independent expert determiner of the truth-ofthe-situation (with critical reference groups assisting the researcher in their pursuit of The
Truth), the ‘researcher’ becomes a facilitator of or an assistant to the critical reference group’s
own pursuit of their truth (or truths).
Stakeholders other than the researcher/s and the critical reference group (and whether
interested or hostile). These typically participate only at the outset: perhaps to convene a
Committee or allocate a research brief or contribute funds, or just at the end: to receive a
research report or hear of its findings. The pitfalls and wastage that can be associated with this
level of participation are numerous. A few possible results include:
 manipulation of the research process ‘off stage’ (by powerful parties who never
participated in a democratic process around a table with all other parties), and possible
ultimate resistance by other parties when their participation proves to be pointless;
 rejection of a report by some or all because they simply never went through the same
learning process as did the researcher/s and the critical reference group and never reached
the same conclusions;
 frustration with a process that does not reflect their realities;
 inability to see what are the practical consequences of a set of findings or
recommendations.
Participatory Action Research

100
Service providers can specially benefit from full participation so that the link between
their ‘theory’ (why they do what they do) is in closer connection with their ‘practice’
(what they actually do). Indeed, in much action research in Western countries, the primary
participants are service-providers who work in small circles, examining their practice and
trying out alternative ways of working. For the value of this to be maximised,
participation needs to be organised around the interests of the critical reference group or
driven by a critical reference group perspective, or else the research can risk becoming
sidetracked.64
The researched. This may typically be the critical reference group, along with some serviceproviders or their representatives. However, again I have found that the more there is active
participation the greater the chances of maximising both the accuracy and meaningfulness of
all contributions, and also the sharing of perceptions and of emerging understandings about
the value of what new actions should next be taken.
Research which involves the collaboration of people, rarely is sustained without a shared
purpose, and this ‘shared purpose’ stems from what understandings people have together
developed about what is of value. If understanding is not for ‘its own sake’, but directed
towards understanding something ‘in order to...’, then the point of purposeful inquiry is
action. As pointed out before, where the categories ‘the researched’ and ‘the researchers’ and
‘the researched for’ begin to become less distinct, this collaboration can become more
cohesive.
What kind of action is for the parties to decide - focused by the perspective of the critical
reference group. As pointed out earlier, that new action might be the reproduction of the same
old action as was taken previously if it involves researchers who believe they neither are
contributing (nor want to contribute) to change. This is research which may carefully
reproduce the status quo. Other research, which is self-conscious about why it asked the
questions it does, wishes instead to head towards a different and improved state of affairs.
64
See for example school-based action research where parents and students may be involved, however the
primary questions identified are those of the teachers. See also hospital projects which similarly stem from
nurses’ concerns in the absence of patients. Or welfare research about youth suicide or single mothers without
any representation of these groups in the research team or committee
Participatory Action Research
101
PARTICIPATORY ACTION RESEARCH 65
CYCLE
Cycle One
MOMENT
1. Reflection
2. Plan
3, Action, and
4. Observation
Cycle Two
1. Reflection
2. Plan
3. Action
4. Observation
Cycle Three 1. Reflection
65
WHAT'S HAPPENING
The group and issues are identified through discussion and analysis
The group Plan to undertake an examination of the issues and the social situation,
in order to define and describe both accurately. The group gets ALL stakeholders
together and decides how much participation constitutes collaboration
The plan is put into Action and the group collect their Observations to reconvene.
These actions and observations can involve quantitative and qualitative research
mini-projects.
The group will now Reflect on their findings to more accurately define their
issues. This reflection would also include self-reflection by the participants.
The group can now plan a change in practice to improve the social situation. The
process of change should include the methods of critical examination to be
utilised (examination of issues of power and control). Potential problems need to
be dealt with and approval sort from the Ethics Committee, where applicable
A change in practice is affected and an evaluative research process is commenced
The group observes the consequences of the change in practice and uses the
research method outlined in the plan to examine the results.
It would be unusual for the project to only go through 2 PAR cycles. The cycles
would continue until the group was satisfied with the outcomes. The possibility of
the project not reaching an end is realistic. This does not mean the original
problem remains the same or that the group never finds any social justice in their
situation
Seymour-Rolls K & Hughes I (1995, updated 1999). Participatory Action Research : Getting the Job Done,
Action Research Electronic Reader, University of Sydney, Australia. Retrieved 02/28/2002 from
http://www.scu.edu.au/schools/gcm/ar/arr/arow/rseymour.html.
Participatory Action Research – Mäori Health
102
DEVELOPING A MÄORI HEALTH SERVICE USING PARTICIPATORY ACTION
RESEARCH
An example of research with strong PAR context was the work done by Tiaria Fletcher and
Rawinia Brown (the researchers) with Piritahi Hauora (a Mäori health service) on Waiheke.
In this case theresearched (the Mäori population on Waiheke) had a close link with the group
that wanted the research done (the researched for with a problem to resolve) as the health
service was run on the Piritahi marae in the whare nui and the people spearheading the
development of the marae were also key to the development of the Hauora. Many of the
professionals (the researched for who might benefit from better information) who worked for
Piritahi Hauora were intimately associated with the marae. All the people who were in the
researcher for groups were in the researched group. So the context of the research allowed
for a high level of participation of all the relevant groups.
The project went through a number of cycles. The first of these was a community
development project which introduced the researchers to the tangata whenua and the Hauora
and allowed them to get a picture of current activities and to participate in hui around future
development. A central theme was the need to persuade the Health Funding Authority to
increase support for the Hauora. Some kind of survey seemed to be needed. The first plan to
emerge was to investigate what this would be about, how interest and involvement could be
created, and a series of actions were consequently taken, which involved more hui and a
request to the researchers to come up with a proposal.
The second cycle of the research was a more formal research undertaking, through a research
project66. This stage involved a reflection on the outcome of the first stage, a wider reading
around what surveys could and could not do and the resources needed, and broader
assessment of what the participants in the research would be able to do as researchers. This
lead to a second plan – the design of a survey instrument. However, there was insufficient
time and resource to do survey as part of the research project and there was no guarantee that
it would, in fact, be done.
The third cycle began when further funding was obtained through a research grant to allow
Tiaria and Rawinia coordinate the implementation of the survey67. Further discussions and
plans were held on how this might be done. An information campaign about the survey was
organised by the Hauora, a large mail-out of questionnaires was done, and some participants
were trained on how to help people who had queries or wanted help in completing the
questionnaire. The completed questionnaires went back to the researchers for data entry and
analysis and the project was written up as a draft for the Hauora and the researchers to discuss
and amend. The results were discussed at further hui and used as part of a successful
submission to the HFA for an expansion of Piritahi Hauora’s services.
Part of the report of the results is shown on the next page. As you can see it is largely
quantatitive.
66
Fletcher, T. & Brown, R. (1998). To explore the health needs of Mäori living on Waiheke Island. Unpublished
Research Project, School of Community Studies, UNITEC, Auckland, New Zealand
67
Bridgman. G., Fletcher, T. & Brown R. (1999). Report to Piritahi Hauora on the Health Needs of Waiheke
Mäori. Unpublished report. Mental Health Research and Development and School of Community Studies,
UNITEC, Auckland, New Zealand, pp 4-9.
Participatory Action Research – Mäori Health
103
THE EXPERIENCE OF ILL-HEALTH AND THE USE OF SERVICES
Table 5 looks at the ill health experienced by both adults and children in the past year. The
survey showed that dental problems are by far the most frequent health problem, being
identified by 44% of adults. Also important for adults were high blood pressure, stress and
obesity, which were each experienced by 21% of the sample. Women were far more likely to
experience chest, lung and asthma problems and men suffered much more from injuries. The
most significant problems identified by children were ear problems or hearing loss (38%)
followed by asthma and chest/lung problems both at 27%. “Other “ problems identified were
in the areas of pregnancy & birth, occupational overuse syndrome, allergies and sprains,
stomach ulcers and muscle strains, and thyroid condition (pakeke, kaumatua). For tamariki,
rangitahi “other” covered Attention Deficit Hyperactivity Disorder, head cold, and heart
problems.
There were a number of health areas prompted for in the survey to which nobody responded.
These were tuberculosis, hepatitis B, AIDS, sexually transmitted disease, mental illness,
Alzheimer's or dementia, and intellectual disability. For the last three of these conditions adult
sufferers might not have been able to complete the survey; also conditions like mental illness,
AIDS and sexually transmitted disease can be sufficiently embarrassing or stigmatising for
informants not to want to respond to this part of the survey.
Table 5 . Experience of ill health in the past year. All figures in percentages
pakeke, kaumatua (n=43) tamariki, rangitahi (n=26)
Experience of Did not
Experience of
Did not
health problem seek help health problem seek help
dental problems
44
14
23
4
high blood pressure
21
5
stress problems
21
9
8
being overweight or
21
14
8
4
obese
Injury: broken bones,
cuts, concussion,
14
5
12
abrasion
asthma
14
2
27
chest/lung problems
12
2
27
gout
12
5
ear problems or hearing
12
2
38
4
loss
other
12
12
depression
7
2
physical disability
7
2
4
poor eyesight
7
2
8
heart problems
5
cancer
5
2
arthritis
5
problems with alcohol
5
2
Kidney or liver problems
2
diabetes
2
0
problems with drugs
2
-
overall (n=69)
services very
helpful or helpful
96
100
100
91
100
100
100
100
93
87
100
100
100
100
100
100
100
100
0
100
On all but three occasions help had been sought for the health problems identified in children,
but one third of the adults with dental problems did not seek help, nor did two thirds of the
Participatory Action Research – Mäori Health
104
people with obesity problems. Where services were sought they were overwhelmingly seen as
being helpful or very helpful.
With respect to the health problems identified informants were asked where they sought help.
Table 6 shows that the most used service for adults and children was general practice
“doctors”, followed by Piritahi Hauora. In some instances the doctor identified would be the
one doing clinics at Piritahi Hauora.
Dental services were also very important and nearly one quarter of children had been to
hospital in the last 12 months. Alternative or homoeopathic treatments were also quite
important for children. Four adults (9% of the adults) had not sought help for their problem.
Some of the comments made about the services received are as follows:
Doctors: “Very helpful”; “available by phone or consultation and prescription readily
provided”; “instantly available and effective”; “very helpful because they are always there to
care and give as much information that you need”
Piritahi Hauora: “problem easily identified and appropriate remedy administered”;
“accessible/community nursing staff fantastic”; “I know them, they know me. We are like one
whanau”; “supportive,understanding, accessible”; “friendly, approachable service.
Confidentiality reassured. Very
Table 6. Services attended for the problems identified. All
figures in percentages
trusting, hospitable, supporting
pakeke,
tamariki,
environment from all Hauora staff”;
kaumatua(n=43) rangitahi(n=26) “very helpful because it's free”;
doctor
35
31
“Piritahi trust is very helpful for me
Piritahi Hauora
26
23
as I cannot afford most times to go
school dental nurse
21
19
to the doctor….. so they allow me
dentist
not to neglect my own needs and
hospital
7
23
homoeopathy/alternative
5
12
look after myself”. For children the
nurse, community nurse
5
8
comments included: “because I have
no one, self help
9
2 babies at home with me & Piritahi
eye specialist
8
allows me to relax and take
SES
4
advantage of their service in a
ADHD clinic
4
friendly atmosphere - stress free”.
Plunket
4
weight-watchers
counsellor
2
2
-
Dentist: “they helped me to get my
tooth paid for by WINZ and I also was given alternative medicines for bleeding”; “local
dentist fixed problem, then set up 6 month check up system”; and “strategies to deal with
problem given”. However six people said that the cost of going to the dentist was a major
problem: “a dentist would be great, but they are too expensive”; “I can't afford to go to the
dentist - too poor”; “I added expense in trying to find a cheaper way” and “my child needs her
teeth straightened”. Suggestions were made that there should be a dentist at Piritahi marae.
Homoeopathy, natural remedies: “I found homoeopathy helpful for stress management”;
and “natural remedy: Homoeopathy instantly available & effective” (through GP)”. With
children, comments included: “I decided to pursue alternative medicine as opposed to using”
(a prescription drug); “With homoeopathy the entire child is treated & not just the
symptoms”, and “good alternative to grommets, antibiotics & invasive surgery”.
Participatory Action Research – Mäori Health
105
Hospital: Very helpful…. Great doctors, some great nurses, some not so great, but that was
expected”; and “staff caring & highly competent”.
Plunket: “Both visits were for minor problems but were helpful in identifying how serious
the problem was, just helps to keep ahead on her health”.
Table 7 also looks at the use of services, but in this case informants are given a list of
services to check against. Eighty-one percent of the total sample used a doctor in the last year,
going on average nearly 5 times. Doctors were regarded as helpful or very helpful by 64% of
those who used the services, and only 4% said that the visit made no difference. No one said
doctors or any other health services were harmful, but quite a high percentage of informants
did not evaluate specific services they had received, so it is possible that some of the people
who did not rate are dissatisfied customers.
Table 7. Use of services, and satisfaction with use. (maximum n=69)
* average of use ratings - 1-2 times per year = 1.5, several times per year = 6, more than monthly =15.
ratings of those who used
the service
total did not
%
approx.
approx. %helpful %made %did
answere answer using visits per
total
very
no
not
d
the
adult/
visits/
helpful difference rate
service
year*
year*
family doctors
63
6
81
4.8
269
64
4
32
Piritahi Hauora service
54
15
51
7.3
255
80
0
20
chemist/pharmacist
48
21
51
5.0
174
69
3
29
community/district/public
40
29
29
5.8
116
95
0
5
health nurse
alternative: naturopath/
39
30
20
4.7
66
57
0
43
homoeopath/healer
dentist
41
28
39
2.0
54
63
4
33
midwifery/maternity service
32
37
9
8.3
50
100
0
0
physiotherapist/chiropractor
21
22
14
4.5
43
67
17
17
Plunket
37
32
14
4.2
42
100
0
0
hospital or accident and
38
31
20
2.1
30
93
0
7
emergency service
counsellor
32
37
7
6.0
30
60
20
20
specialist
37
32
16
2.3
26
82
0
18
health educator: smoking,
17
26
9
3.8
24
50
0
50
asthma, diabetes
paediatrician
16
10
12
3.0
24
100
0
0
tohunga/rongoa practitioner
31
38
3
10.5
21
100
0
0
social worker
33
36
7
3.3
17
80
0
20
other Mäori health service
31
38
3
6.0
12
50
0
50
youth health worker
31
38
3
3.8
8
0
0
100
drug and alcohol counsellor/
32
37
3
1.5
3
0
50
50
keeping ourselves safe
family planning services
31
38
0
0.0
0
mental health services
16
27
0
0.0
0
Of the services used by more than seven informants (greater than 10% of the sample),
Plunket, paediatricians, and the community nurse rate as the most consistently helpful (95%100%). Alternative healers, dentists and doctors fare the worst (57% - 64% helpful or very
helpful). Two services are clearly high use services (doctors and Piritahi) with both being
used more than 250 times a year, with another two (chemists and community nursing) being
Participatory Action Research – Mäori Health
106
used more than 100 times by the sample. Of these high use services, community nursing and
Piritahi are rated as the most helpful services. There may be considerable overlap between the
two services. Overall women were 65% more likely than men to visit a health professional.
The data from Table 6 and 7 are broadly
complementary. Other points worth
noting are: 20% of the sample have used
hospital services; two services used
intensively by a small number of people,
midwifery
/maternity
and
tohunga/rongoa are regarded as 100%
helpful/very helpful, and that there are
low use/no use and low approval ratings
of services around health promotion,
prevention and the general area of
mental health. Table 8 shows the extent
to which informants had problems with
the health services used over the past
year due to poor communication or lack
of cooperation between services.Less
than 20% of informants (including both the adult and child surveys) noticed any problems,
and between 27% and 30% felt that services worked well or very well together. However,
more than half could not comment on the level of communication and cooperation, but could
only state that they had not noticed any problems. One parent identified they had had many
serious problems in this area.
Table 8. Problems over the past year because health
services could not work together or communicate with
each other. All figures in percentages
Level of cooperation
pakeke,
tamariki,
kaumatua(n=43) rangitahi(n=26)
Yes, I've had many
0
4
serious problems
Yes, I've had one or
5
4
two serious problems
Yes, I've had some
14
12
minor problems
No, I haven't noticed
51
54
any problems
No, services seem to
7
15
work well together
No, services seem to
23
12
work very well
together
Problems that were specifically identified for adults were:
 “I got the wrong medication while I was in hospital … because of poor communication
between” pharmacist and hospital staff.
 “Information not passed on to correct person/service.”
 “There was no access to desired service eg (dentist). Services are not well integrated.”
 “We need a coordinator between CYPS, Education, WINZ and Piritahi Hauora.”
 “The marae clinic needs to be open more”
 “The white system does not seem to cooperate with Piritahi Hauora.”
 “Maternity care is useless because there is no communication between specialists &
private practitioners - they should go back to joint care.”
Problems that were specifically identified for children were:
 “All services worked separately with absolutely no communication with each other.
Special Education Services and the school did not seem to cooperate too well together.”
 “Poor communications.”
 “Cooperation over clients health is a must so health care maintains a holistic perspective.”
Surveys and Questionnaires
107
THE BASICS OF THE DELPHI METHOD68
The Delphi method, designed as a
forecasting method, is an exercise in
group communication among a panel
of geographically dispersed experts.
The technique allows experts to deal
systematically with a complex problem
or task. The essence of the technique is
fairly straightforward. It comprises a
series of evolving questionnaires sent
either by mail or via computerized
systems, to a pre-selected group of
experts. Here is a typical Delphi
sequence
At Delphi there's a
1. Formation of a team to undertake
temple that belongs to
and monitor a Delphi on a given
the god Apollo. If you
subject.(e.g. the future of the
take the right gifts and
say the right words the
Bachelor of Social Practice)
priestess will tell you
2. Selection of one or more panels to
the future.
participate in the exercise.
Customarily, the panellists are
experts in the area to be
investigated. (staff, students, services, community, institution)
3. Development of the first round Delphi questionnaire (covering issues like enjoyability,
employability, access, philosophy, winds of change, etc)
4. Testing the questionnaire for proper wording (e.g., ambiguities, vagueness)
5. Sending out the first questionnaires to the panellists
6. Analysis of the first round responses for themes (predictions) and their justification
7. Preparation of the second round questionnaires (this could contain the first questionnaire,
the predictions and their justification, plus some new clarifying questions, which may
include being asked to rate various predictions or ideas)
8. Sending out the second round questionnaires to the panellists
9. Analysis of the second round responses (Steps 7 to 9 are reiterated as long as desired or
necessary to achieve stability in the results.)
10. Preparation of a report by the analysis team to present the conclusions of the exercise
These questionnaires are designed to elicit and develop individual responses to the problems
posed and to enable the experts to refine their views as the group’s work progresses in
accordance with the assigned task. The main point behind the Delphi method is to overcome
the disadvantages of conventional group interaction.
In the original Delphi process, the key elements were
 structuring of information flow,
 feedback to the participants, and
 anonymity for the participants.
68
The Delphi Method (2003). Illinois Institute Of Technology, Department Of Civil And Architectural
Engineering Retrieved 4 Feb 2003 from www.iit.edu/~it/delphi.html - 16k -
Surveys and Questionnaires
108
Clearly, these characteristics may offer distinct advantages over the conventional face-to-face
conference as a communication tool. The interactions among panel members are controlled
by a panel director or monitor who filters out material not related to the purpose of the group.
The group interaction in Delphi is anonymous, in the sense that comments, forecasts, are
presented to the group in such a way as to suppress any identification of their author. The
usual problems of group dynamics are thus completely bypassed. The method also
emphasises controlled feedback and the ability to summarise results statistically.
Delbecq et al., (1975) argue that the most important issue in this process is the understanding
of the aim of the Delphi exercise by all participants. Otherwise the panelists may answer
inappropriately or become frustrated and lose interest. The respondents to the questionnaire
should be well informed in the appropriate area (Hanson and Ramani, 1988) but the literature
(Armstrong, 1978; Welty, 1972) suggest that a high degree of expertise is not necessary. The
minimum number of participants to ensure a good group performance is somewhat dependent
on the study design. Experiments by Brockhoff (1975) suggest that under ideal
circumstances, groups as small as four can perform well.
Before deciding whether or not the Delphi method should be used, it is very important to
consider thoroughly the context within which the method is to be applied (Delbecq et al.
1975). A number of questions need to be asked before making the decision of selecting or
ruling out the Delphi technique (Adler and Ziglio, 1996):
 What kind of group communication process is desirable in order to explore the problem at
hand?
 Who are the people with expertise on the problem and where are they located?
 What are the alternative techniques available and what results can reasonably be expected
from their application?
Only when the above questions are answered can one decide whether the Delphi method is
appropriate to the context in which it will be applied. Adler and Ziglio (1996) further claim
that failure to address the above questions may lead to inappropriate applications of Delphi
and discredit the whole creative effort.
The outcome of a Delphi sequence is nothing but opinion. The results of the sequence are
only as valid as the opinions of the experts who made up the panel (Martino, 1978). The
panel viewpoint is summarized statistically rather than in terms of a majority vote.
The Delphi method has got criticism as well as support. The most extensive critique of the
Delphi method was made by Sackman (1974) who criticizes the method as being unscientific
and Armstrong (1978) who has written critically of its accuracy. Martino (1978) underlines
the fact that Delphi is a method of last resort in dealing with extremely complex problems for
which there are no adequate models. Helmer (1977) states that sometimes reliance on
intuitive judgement is not just a temporary expedient but in fact a mandatory requirement.
Makridakis and Wheelright (1978) summarize the general complaints against the Delphi
method in terms of:
 a low level reliability of judgements among experts and therefore dependency of forecasts
on the particular judges selected;
 the sensitivity of results to ambiguity in the questionnaire that is used for data collection
in each round; and
 the difficulty in assessing the degree of expertise incorporated into the forecast.
Surveys and Questionnaires
109
Martino (1978) lists major concerns about the Delphi method:
 Discounting the future: Future (and past) happenings are not as important as the current
ones, therefore one may have a tendency to discount the future events.
 The simplification urge: Experts tend to judge the future of events in isolation from other
developments. A holistic view of future events where change has had a pervasive
influence cannot be visualized easily. At this point cross-impact analysis is of some help.
 Illusory expertise: some of the experts may be poor forecasters. The expert tends to be a
specialist and thus views the forecast in a setting which is not the most appropriate one.
 Sloppy execution: there are many ways to do a poor job. Execution of the Delphi process
may loose the required attention easily.
 Format bias: it should be recognized that the format of the questionnaire may be
unsuitable to some potential societal participants.
 Manipulation of Delphi: The responses can be altered by the monitors in the hope of
moving the next round responses in a desired direction.
Goldschmidt (1975) agrees that there have been many poorly conducted Delphi projects.
However, he warns that it is a fundamental mistake to equate the applications of the Delphi
method with the Delphi method itself, as too many critics do. There is, in fact, an important
conceptual distinction between evaluating a technique and evaluating an application of a
technique.
On the other hand there have been several studies (Ament, 1970; Wissema, 1982; Helmer,
1983) supporting the Delphi method. A study conducted by Milkovich et al. (1972) reports
the use of the Delphi method in manpower forecasting. The results of the comparison
indicated high agreement between the Delphi estimate and the actual number hired and less
agreement between quantitative forecasts and the number hired. Another study by Basu and
Schroeder (1977) reports similar results in a general forecasting problem. They compared
Delphi forecasts of five-year sales with both unstructured, subjective forecasts and
quantitative forecasts that used regression analyses and exponential smoothing. The Delphi
forecasting consisted of three rounds using 23 key organization members. When compared
against actual sales for the first two years, errors of 3-4% were reported for Delphi, 10-15%
for the quantitative methods, and of approximately 20% for the previously used unstructured,
subjective forecasts.
In general, the Delphi method is useful in answering one, specific, single-dimension question.
There is less support for its use to determine complex forecasts concerning multiple factors.
Such complex model building is more appropriate for quantitative models with Delphi results
serving as inputs (Gatewood and Gatewood, 1983). This point is supported by Gordon and
Hayward (1968) who claim that the Delphi method, based on the collation of expert
judgement, suffers from the possibility that reactions between forecasted items may not be
fully considered. The need for the cross impact matrix method of forecasting integrated with
the Delphi method is pointed out by many researchers (Gordon and Hayward, 1968;
Gatewood and Gatewood, 1983; Adler and Ziglio, 1996). An improvement in forecasting
reliability over the Delphi method was thought to be attainable by taking into consideration
the possibility that the occurrence of one event may cause an increase or decrease in the
probability of occurrence of other events included in the survey (Helmer, 1978). Therefore
cross impact analysis has developed as an extension of Delphi techniques.
Surveys and Questionnaires
110
SURVEYS AND QUESTIONNAIRES
Surveys are a collective exterior method. Collective because they assess things about
populations rather than individuals, exterior because they either collect data as numbers or
aim to reduce qualitative data, as much as possible to measurable units. They are
observational in that participants are expected to observe, report on, and measure their own
states (eg how I felt about getting of the dole), report of the facts (matters where external
confirmation is technically possible such as age, rooms in the house, years spent in therapy).
The are not observational in these sense of the individual exterior where it is the researcher
(external source), not the participant who makes the observation.
Surveys come in three forms basic forms:
1) Structured interviews. These can be either face to face or via an electronic medium such
as a telephone or a video or internet link. A prescribed set of questions will be asked,
many of which will have numerical or tick-box style answers. However, open ended
questions which allow for extended comment may also be used, and there is some
opportunity for asking additional questions, as long as a high degree of consistency is
maintained.
2) Questionnaires. These differ form structured in the questions are presented to participants
on paper and often anonymously as in mail out questionnaires. Tick box and numerical
answers predominate, but some open questions are usually present in questionnaires.
Questionnaires can be done by groups of people (e.g. students in a class room).
3) Audits: These are the analysis of data already in the system (retention rates of different
groups of students). No new questions are created for participants, but questions are
addressed to the data (e.g. how can I use retention rates to demonstrate that UNITEC
provides insufficient support for certain groups of students?).
The table on the next page shows some of the advantages and disadvantages of using survey
methods. Surveys are used for such vital functions as the national census and such risible
tasks as the search for the world’s best joke (see box)69
Is this the World's Best Joke?
British researchers say they've identified the world's funniest joke. The Laughlab, at
www.laughlab.co.uk, was created by Richard Wiseman of the University of Hertfordshire in
England for what he calls the most comprehensive study ever on the psychology of humour.
Since it was launched in September, the site has collected more than 10,000 jokes and
ratings from 100,000 people in 70 countries.
The following joke received the highest rating from 47 percent of people who participated:
Sherlock Holmes and Dr. Watson are going camping. They pitch their tent under the
stars and go to sleep. Sometime in the middle of the night, Holmes wakes Watson up:
"Watson, look up at the stars, and tell me what you deduce." Watson says, "I see
millions of stars and even if a few of those have planets, it's quite likely there are
some planets like Earth, and if there are a few planets like Earth out there, there
might also be life." Holmes replied: "Watson, you idiot, somebody stole our tent."
Stein, R. (2001). Is this the world’s best joke, Science Notes, Washington Post, Monday, December 31, 2001;
A08
69
Surveys and Questionnaires
111
Comparison of Survey Data-Collection Techniques70
Structured interview
Face to
Characteristic or advantage
Telephone
face
Questionnaire
Mail
Audit of
Group records
Methodology
Allows use of probes
Controls bias of collector
Can overcome unexpected events in data collections
Facilitates feedback about instrument or collection
procedures
Allows oral and visual inquiry
Allows oral and visual response
Evaluator can control collection procedures
Facilitates interchange with source
3
3
4
5
2
5
1
5
2
2
4
3
na
5
4
4
1
1
3
4
5
5
5
5
5
2
2
2
1
2
5
5
2
4
5
2
na
2
5
na
3
3
5
4
5
5
5
4
4
3
4
4
4
4
5
4
3
4
3
5
4
3
4
4
4
5
2
3
5
5
4
4
5
3
1
5
4
4
5
3
4
5
5
3
na
2
3
5
5
2
?
3
3
1
?
?
1
?
1
1
1
5
5
5
3
5
1
1
?
?
3
?
4
5
5
?
?
5
?
1
4
2
5
4
5
4
4
5
2
5
4
5
4
5
3
3
3
4
3
2
3
5
4
4
4
4
4
4
na
na
5
3
4
5
na
What contents allow
Inclusion of most relevant variables
Complex subject matter to be presented or derived
Collection of real-time data
Acquisition of historical data
Universe or sample
Relevant universe to be sampled can be identified
Facilitates contacting and getting sample
Allows use with large sample
Allows identity of source to be known
Reduces problems from respondent’s illiteracy
What time, cost, and resources minimize
Instrument-development time
Instrument-development cost
Number of field staff
Travel by staff
Staff training
Time required to carry out activities
Overall cost
Results, response, and quality of data
Maximize rate of return of data after source is contacted
Minimize multiple contacts of sources
Minimize follow-up after initial response
Increase chance source will be accurate
Allow reliability to be checked
Allow validity to be checked
Facilitate recall of data by source
Key: 1 Little or no extent, 2 Some extent, 3 Moderate extent, 4 Great extent, 5 Very great
extent, ? Depends greatly upon study specification, na Not applicable
70
United States General Accounting Office (1991). Using Structured Interviewing Techniques. Transfer
paper 10.1.5, Gaithersburg, MD. Retrieved 03/01/02 from http://www.gao.gov/special.pubs/pe1015.pdf.
Setting surveys and questionnaires
112
SETTING UP SURVEYS AND QUESTIONNAIRES
SELECTING THE SURVEY METHOD71
Selecting the type of survey you are going to use is one of the most critical decisions in
many social research contexts. You'll see that there are very few simple rules that will make
the decision for you -- you have to use your judgment to balance the advantages and
disadvantages of different survey types. Here, all I want to do is give you a number of
questions you might ask that can help guide your decision.
Population Issues
The first set of considerations has to do with the population and its accessibility.
Can the population be enumerated? For some populations, you have a complete listing of the
people that will be sampled. For others, such a list is difficult or impossible to compile. For
instance, there are complete listings of registered voters or person with active drivers
licenses. But no one keeps a complete list of street kids. If you are doing a study that requires
input from street kids persons, you are very likely going to need to go and find the
participants personally. No mail surveys or telephone interviews here.
Is the population literate? Questionnaires require that your respondents can read. However,
adult illiteracy is alarmingly high, and in some groups like the Deaf community up to half the
participants may not be able to read well enough to answer to a questionnaire, particularly if
it contains difficult or technical vocabulary.
Are there language issues? One in three people living in Auckland were born overseas. Will
they understand English well enough? Can we do translation (written or oral)? What will our
concepts be cultural congruent in translation. (It took six-months to translate the BASIS-32
and the GHQ-10 – mental health assessment into New Zealand Sign Language).
Setting up the survey on Deaf mental health72
1. Developing the two-part questionnaire and translating the GHQ-12 and the BASIS-32 into
NZSL and field-testing . The whole research team will be involved in the construction of
the questionnaire, and the questionnaire would go through the research Advisory Group for
approval.
2. The two Deaf researchers will develop a practical and consistent method of presenting the
questionnaire and managing the video camera to record answers to the comment questions.
Because it is impossible to communicate in NZSL, accurately translate NZSL into English
and write this down at the same time, a method of video recording comment questions
while interviewing has to be developed and trialed. Checks will need to be made to ensure
that people with poor reading skills do the tick-box section with signing. The coordinator,
the two Deaf researchers and the interpreter will be involved.
Will the population cooperate? To do a good survey participants need to feel interested in the
process or convinced that it will have some positive impact for them. People may be
71
Next four pages adapted from Trochim, W.M.K. (2001). Research Methods Knowledge Base, Atomic Dog
Publishing. Retrieved 03/02/02 from http://trochim.human.cornell.edu/kb/survsel.htm
72
Bridgman, G., MacPherson, B. & Thompson, P. (1998). An epidmiological survey of Deaf mental health
problems, needs and issues, Health Research Council of New Zealand Research Grant Application, Mental
Health Research & Development, Auckland, New Zealand.
Setting surveys and questionnaires
113
particularly reluctant to participate in research about unpopular (being overweight),
controversial (pornography) or illegal (illegal migrants) activities.
What are the geographic restrictions? With widely dispersed populations where direct visits
are too expensive, will mail or telephone surveys work?
Constructing your sample
The sample is the actual group you will have to contact in some way. There are several
important sampling issues you need to consider when doing survey research.
What data is available? What information do you have about your sample – age, gender,
ethnicity? Do you know their current addresses? Their current phone numbers? If our survey
is to be representative of the population under study it has to reflect the demographics of that
population. Stratified sampling is where the sample is constructed to have the same
demographic profile as the population it represents
Who is the respondent? Let us say we want to survey Mäori, Deaf people, baby boomers or
people with a mental illness. In each case there will be definitional problems depending on
the objectives of the survey. For example, if we want to interview culturally Deaf people, it is
possible that some of those people have good hearing, but simply prefer to use signing and to
be part of Deaf culture. On the other hand some people with profound hearing loss will not be
culturally Deaf.
Are response rates likely to be a
problem? You might have access
to the sample, but response rates
might be too low. We accessed 80
people from a mental health
service, but only 13 were
prepared to be interviewed.
Response rates from mail-outs are
typically low around 10-20%, so
you have to be careful that your
responses do not reflect just the
views of people who support the
issues your are investigating. For
example the 13 mental consumers
who did respond to survey were
all positive about the service they
received. Did they reflect the
views of the 67 who did not or
could not respond. On the other
hand, refusal to answer a
questionnaire in itself is a
response. The fact that only 13 of
80 secondary schools answered a
questionnaire on gay/lesbian
issues in schools suggests that
most schools have no process for
addressing these issues.
Construction the sample for the Deaf mental health
survey24
The sample of 200 Deaf would be randomly drawn from
the Auckland, Christchurch, Northland, Manawatu,
Nelson catchment areas, but no stratification would be
made for gender, location or age as we do not have any
hard evidence from the pilot survey (McPherson &
Bridgman, 1997) or from Ridgeway’s (1997) work that
the Deaf population could be expected to differ along
those dimensions. Instead we will test for effects in these
areas through regression analysis.
The pilot survey did show a significant correlation
between ethnicity and a number of questions, particularly
those relating to key important mental health issues and
service usage. Therefore, we propose to retain the
stratification for the Mäori and non-Mäori selection, and
to increase the Mäori sample to 60 and the non-Mäori to
140….The population centres that the sample will be
drawn from have around 1500 Deaf Association
members and over 40% of the estimated total culturally
Deaf population. A sample size of 200 represents 13.3%
of the Deaf Association population that we can draw
from, which means, using the finite population
correction, that the variance around the sample means is
reduced by that percentage (Barnett, 1991).
Setting surveys and questionnaires
114
Generalisation. One of the most difficult issues with surveys and questionnaires is to select
your sample in such a way that you can generalise the results from your research to the broad
population you are studying. Stratified sampling helps us generalise. Some important
sampling issues are:
 Is the effect you are looking for very small (e.g. schizophrenia which occurs in 1% of the
general population)? If it is you will need a large sample to discover it.
 How do we represent their views of the people who will not participate? Comparing the
demographics of those who did respond compared with the total sample may help. For
example, if the 13 schools that had responded to the gay/lesbian survey were all coeducational, we have some basis for arguing that co-ed schools were more able to respond
to issues around sexuality.
 If we want to compare differences within our sample (say women vs men) we have to
make sure our sub-samples are large enough to get significant results. While fifty
responses might be enough to identify major issues with a population, we will need 100 if
we are going to distinguish the views of men and women and 200 if we want to
distinguish Mäori women from Mäori men from Päkehä women and from Päkehä men.
 How much variability are we likely to have with the questions we are asking and the
population under study? If the variability is large then we will need a large sample to get
small effects. We may have to do a pilot study to assess the like variability.
Question Issues
Sometimes the nature of what you want to ask respondents will determine the type of survey
you select.
What types of questions can be asked? Are you going to be asking personal questions? Are
you going to asking questions of high personal
sensitivity (e.g. about sexuality, drug use, history of
abuse or trauma)? There will be major ethical and trust
issues to be dealt with. You may need to get lots of
detail in the responses. Can you anticipate the most
frequent or important types of responses and develop
reasonable closed-ended questions? If not use will
need to use an interior methodology
How complex will the questions be? Sometimes you
are dealing with a complex subject or topic. The
questions you want to ask are going to have multiple
parts. You may need to branch to sub-questions.
Sometimes questions require detailed background,
such as in an exploration of restorative justice. Early
questions that explore people’s knowledge of a
concept can be useful in providing a form of
knowledge for more sophisticated questions. In the
Deaf Mental Health project we used the pictures on the
right to help explain what mental illness is.
Will the survey be too long? Different methods can take different amounts of time – e.g. 1020 minutes for a mail out or a telephone interview, 30 minutes for a face-to-face and longer if
most of the questions are comment questions.
Setting surveys and questionnaires
115
Content Issues
The content of your study can also pose challenges for the different survey types you might
utilize. We have already covered the issues of sensitivity and complexity above
Will the participant or the researcher need to consult records? If we need historically
verifiable information (e.g. what was the initial diagnosis?), how are we going to get it? If
want details of a service, these may need to be drawn from files.
Bias and distortion issues. How can we use our biases (hopefully, for social justice) to create
useful surveys, while creating questions and pursuing sub-groups that might undermine our
thesis? How can we present the objectives of our survey without frightening off the objectors
or encouraging the compliant to answer in a socially desirable way? In interviews can we
prevent the subtle shaping of the participant - the quiet ignoring of unwanted views and the
glance at desirable tick box? With mail-outs how can we detect people who randomly ticked
boxes, agreed with everything but failed to read or understand the questions, or gave
deliberately false replies with the intention of sabotaging the goals to the survey?
Resource Issues
Last, but certainly not least, you have to consider the feasibility of the survey method for your
study. Cost is often the major determining factor in selecting survey type. Interviews might
give the best results but are very time consuming. Telephone interviews may be an option.
Poor returns on mail-outs means that mail-outs have to be extensive and expensive to get
sufficient return. Interviewing requires trained interviewers and frequently interviewers of the
same cultural background as the interviewee.
While usually presented as written material requiring tick-box or short answer material, for
many people, literacy problems can rule out reading and writing as a means of completing
questionnaires. For example, see the box below
DEVELOPING THE SURVEY
Developing the key measures
The dependent variables. These are the key things that we are trying to understand, or to
measure change in. So the change in level of experienced mental health problems or use of
mental health services amongst the Deaf community are dependent variables because these
are things we want to understand and to find out how they change with changes in other
variables (in other words, what they depend on)
The independent variables. These are the variables we want to demonstrate as influencing/not
influencing the dependent variable. For example, identification with Deaf culture, might be
protective against mental illness, as might access to interpreters or a good understanding of
the meaning of mental illness. These could be seen as independent variables.
The covariates or extraneous variables:These are variables that can also cause change in the
dependent variable changes but are not of primary interest to us. However, because they “covary” with the dependent variable they could either mask the effect of the independent
variables or, where they co-varied with an independent variable, lead us to the mistaken
conclusion that the independent variable was causing change. For example, we know that
relative poverty is associated with higher mental health problems, so we need to measure
Setting surveys and questionnaires
116
relative poverty in the Deaf population in order to remove its effect when considering the
importance of good access to interpreters.
We need to think very carefully about what are our independent variables and what are our
co-variates. Our independent variables should be clear from our research hypothesis. Our
covariates are other factors that, from our reading, we know also have an influence over the
dependent variable. Often these are background or demographic factors such as income,
age, housing, marital status, ethnicity and gender, but not always For example, a hard to
measure, but important factor, in the area of mental illness is family history of mental illness.
The kinds of variables that can be used in surveys:
 Cognitive (thoughts. attitudes, beliefs, expectations, attributions,
memory, reasoning)
 Affective (feelings, emotions, moods)
 Behavioural (actions, skills, communication, responses)
 Biological (physical & physiological - bodily sensations,
heart rate, skin condition, fitness)
 Environmental (countable aspects of the physical environment)
interior
exterior,
These variables can be viewed both individually and collectively: e.g.
collective interior: focussing on cultural beliefs, memories, reasoning, emotions, and
interpretation of exterior and individual interior aspects (actions, states, data). Surveys can be
designed to access cultural beliefs, although usually this would be done in conjunction with a
collective interior research methodology. The focus is on a cultural group or subgroup rather
than one the general population. The aim of the survey,the look of the survey (visually,
language, modes of responding), the personnel involved, the delivery (most likely face-toface) will encourage participants to answer from within a specific cultural context
collective exterior: focussing on systemic issues – recording of systemic information such as
occupation, unemployment status, marital status, income, etc. In other words what we have
described as the background or demographic variables that are used to describe populations
and to predict their behaviours.
Determining what demographic information (descriptive statistics about your population)
you are going to collect
 The big three: age, gender, ethnicity/culture.
 Socio-economic status
- Income (tax brackets/income support levels),
- Occupation (1=administrator, professional, technician; 2=clerical fishing, farming,
trades; 3=factory, unskilled)
- Employment (full-time, part-time, student, not working, on the benefit),
- Education (SC, UE/bursary, tertiary cert, diploma, degree)
Background Information
19. Age under 20
20-29
30-39
20. Ethnicity (you can tick more than one box)
21 Gender
female
22. Relationships
22. Education
40-49
Maori
50-59
60-69
Pacific Island
reached 4th form
Are you currently in a supportive relationship?
one school C pass
26
Location. Where is
your WINZ office
Indian
tertiary certificate
23. Transport. Do you own a car?
23. Dependents. How many children or other people who depend on you live with you
25. Benefits. What benefit(s) are you currently receiving from WINZ?
70 and over
Pakeha/European
Chinese
Other
tertiary diploma or degree
Setting surveys and questionnaires
117
 Family: partners, dependants, responsibilities
 Beliefs: religion, political affiliation, sexual orientation
 Health: disabling conditions
Above is the background information used in a study of satisfaction with WINZ services73.
Developing your questions
Bias
 Know your own biases and try to put them to one side.
 Anticipate the biases and sensitivities of the people you will interview - avoid asking
questions in a way that provokes strong reactions unless this are important to your area of
investigation. Work out how you are going to tackle sensitive areas in way that will
encourage trust and openness.
 Identify the general themes that your questions address - put them in groups that relate to
themes
 Set up the order of questions -sensitive questions should come later.
The structure of the questionnaire:
 Opening questions - simple, easy to answer questions possibly relating to feelings or
experiences.
 It may be important to put some key open ended questions early, so that the structure of
your questioning does not influence their responses unduly. This is particularly where you
want “off the top of your head” responses. Later the questionnaire may give lots of
options which will provoke other reactions, which can be probed later by open ended
comment questions. Watch out for negative order effects. These are where:
o options at the top or bottom of a list are more likely to be used than those in the
middle.
o information is given in a question that can influence the response to the following
question
o early placement of sensitive questions can close an interview down or limit openess in
a questionnaire.

Rating questions that allow for graded responses can be very effective in discriminating
between the views of sub-populations in your sample, but they have to be clear and
simple. Also you have to decide what do with “don’t know/not sure” answers. Here they
have been put in between the better/worse responses.
2g. Did your mental health change
because of the help you got from the
hospital or the service(s)?

73
much
better
better
did not worse
change
not sure
much
worse
Questions that have lists of response options can be very important in teasing out the
main effects, but they must cover all the important options, and have a space for “other”.
Fredericks, G., Hutchison, C., Rule. S. & Williams, L. (2000). Customer Satisfaction with Work and Income
New Zealand. Unpublished research project, School of Community studies, UNITEC, Auckland.
Setting surveys and questionnaires
118

Question matrices where a series of successive questions are asked about a single issue
can be a useful way of covering a great deal of information in a short space while
maintaining concentration, on what could seem a long drawn out and repetitive list of
questions. Page 99 has such a matrix taken from the Deaf Mental Health Research
Project74. Matrices can be very complex and of little use where participants fill in the
questionnaires without any checking process on whether or not they understand the
questions.

Questions with forced choice options can be followed by “why” questions
Do you think that the level of mental illness is the same for Mäori Deaf as for Päkehä
Deaf?
YES
NO
If different why is it different?

Where are you going to put the demographic questions? Usually at the end. Some of these
can be sensitive (income), so it can help to get those answers after the person feels OK
about the rest of the questionnaire.

Mopping up questions, and questions that look for solutions, answers, ideas. It’s usually
important to have a “anything else you want to say”question at the end.

Reliability check questions. This can be done in a number of ways .
Have some options or patterns that should not be chosen to check that people are
concentrating on the task. For example people who pick extreme responses of never
having any mental health problem are probably not being honest, not concentrating or
do not understand how to answer the question.
o
74
See footnote 24.
Setting surveys and questionnaires
o
119
Ask the same question in two or three different ways:
Have you felt you have lost your
confidence?
Not at all
Lack of self confidence, feeling bad No problem
about yourself? Is there a problem?
How much of a problem is it?

Same as
before
A little
problem
Worse than
before
Moderate
problem
Much worse
than before
Quite a big
problem
A big
problem
Ask questions in negative and positive ways so that people don’t fall into a set pattern of
responding.
mostly
often
half the time
Sometimes
seldom
I feel happy
I feel irritated
 Make sure that your questions are as precise, clear, brief, and acceptable as you can make
them
 Do not have leading questions - “to what extent did your mental health problems lead you
to seek help from counselling services?” (Assumes they have mental health problems).
Be very careful about the amount of comment or open ended questions you have. Each open
ended question may need to be sorted for response categories. This can be very time
consuming.
Two more examples of survey instruments are given on pages 100-103.
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
121
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
GP or Doctor
Visiting nurse (Community, District, Plunket)
Community mental health service
Community drug and alcohol (D&A) service
Psychiatrist*
Psychologist*
Counsellor (include psychotherapists)*
Social worker
Deaf Association Service Coordinator
Employment or occupational service (eg.
work experience, Workbridge, NZES)
Accommodation or housing service (eg.
Housing New Zealand, rest homes)
Maori health service (eg. marae health
service, Tohunga, spiritual healer)
Alternative health service (eg. use of herbal
and natural medicines, acupuncturist,
chiropractor, spiritual healer)
Interpreter or communicator on their own for
advice or discussion of problems (do not
include social or friendship meetings)
Other health professional (eg. audiologist
physiotherapist, optician, obstetrician,
ear, nose and throat specialist)
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
If>0
(please circle which professionals you have been to or write their professions down if they are not in the list____________________________________________)
*Differences between a psychiatrist, a psychologist and a counsellor are 1) psychiatrists prescribe medication for mental health problems, the others do not; 2) Sessions with psychologists and counsellors are
usually longer than with psychiatrists (one hour compared with less than half an hour). 3) Psychologists use more cognitive and behavioural techniques to help you control your thoughts and behaviours
much worse
worse
did not change
better
much better
3e. Did your mental health
improve because of the
help you got?
never
occasionally
half the time
mostly
3d. Was there an
interpreter or
communicator
present?
always
In your home
3c. Where did the mental
health consultation(s) mainly
take place?
place =
clinic
surgery,
office, or
rooms
Hospital or A & E
3b. When you saw
a health
professional, were
there times when
you were feeling
these things?
(Show illness list)
How many times?
At another's person's place
If you have seen a mental health or D&A
professional while using a community
mental health or D&A service, do not
count them again under their specific
profession (eg nurse, social worker,
psychiatrist).
3a. Over the past
12 months how
many times have
you consulted with
the following
people or services
about your health?
At their place
3 Community health
professionals/services
(other than overnight
services).
122
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
123
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
124
Survey on the needs of migrant women75
Please answer as many questions as you can. If you do not want to answer a question that's OK, leave it and
go on to the next one. All information in from this survey is strictly confidential
Questions about the seminar
1. Have you enjoyed the seminar today? (Please tick one box)
very much
mostly
some of the time
not much
not at all
2. What was the best thing that came out of the seminar?
3. How could we improve the way we run these seminars in the future?
4. What are the most important issues or biggest problems for you as a migrant woman in NZ?
5. As a migrant woman, how important are the following issues to you? (tick one column for each issue)
very important
quite important
not important
Finding reasonable accommodation
Getting a job
Getting income support
Learning to drive
Getting help with transport
Getting help with child care
Having a migrant's women's health service
Having a migrant women's support group
Having a helpline for migrants
Getting affordable counselling
Getting legal advice
Getting help from the police
Learning English
Getting an interpreter
Having a support service in your language
75
Fuka, A., Leung, A., & Pusupanusorn, A. (2001). The issues and needs of Migrant women in New Zealand.
Unpublished research project, School of Community Studies, UNITEC, Auckland, New Zealand.
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
125
Survey on the needs of migrant women
6. How easy is it to get the help that you most need?
mostly easy
sometimes easy, sometimes hard
mostly hard
7. Would you like to help with any of the following activities
yes
no
being involved in support group for your community
setting up a support group for your community
being a driver on field trips
helping with education activities (e.g.. cooking, sewing, computer skills)
helping Shakti with policy development
being involved in activities aimed at changing government policy
8. Are there any other ways you would like to help?
Questions about employment
9. Are you currently working
yes
no
go to 10
9a. If "yes", how many hours a week do you work?
9b. Is it a paid job or a volunteer job (tick one)
paid
hours
volunteer
both
9c. What type of job is it?
10.. Is it difficult to find a job in New Zealand?
very difficult
difficult
not difficult
11. Did you have a paid job before you came to New Zealand?
don't know, I haven't tried
yes
no
go to 12
13a. What type of job was it?
12. What do you think are the main difficulties in finding a good job ?
Background information
13. How many years have you been in New Zealand?
years
14. What country did you grow up in?
15. What is your age?
(Tick one box)
under 20
40 - 49
20 - 29
50 - 59
30 - 39
60 or above
16. How old were you when you finished school?
17. Do you have a university or other tertiary diploma or degree
years
yes
no
18. How many family members do you support?
19. How many people provide income in you family?
Thank you very much for filing in the survey. Results from this survey will be available through Shakti
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
126
Early Psychosis Intervention Assessment76
Burke –Kennedy, D., Jamieson, C., Purdie, A., Robinson, L. & Walker, M (2000). Client evaluation of the Early Psychosis Intervention Service at Waitemata Health,
Unpublished research thesis, School of Community Studies, UNITEC, Auckland, New Zealand.
76
Research Project: Questionnaire matrix form the Deaf Mental Health Research Project
Early Psychosis Intervention Assessment
127
Methods of observation
128
METHODS OF OBSERVATION77
While empiricism and observation underpin the collective exterior survey methods, the
requirement, under the strict empirical cannon, to separate the observer from the thing
observed is not addressed. In the Individual Exterior only external countable measures used.
This then is about observing behavioural, biological and environmental events and not about
thoughts, attitudes, feelings, etc.
Narrative recording. That is writing an account of what happens, is equivalent to qualitative
observation. It is used in the behavioural observation and ecological psychology traditions
(e.g. Bakeman & Cottman, 1986; Barker et al., 1978). It is useful for hypothesis generation,
measure development and for arriving at ideas about causal relationships (in behavioural
terms, the antecedents, behaviours and consequences). It is also good for low-frequency
behaviours. However, it is difficult to assess the reliability of such observations. Narrative
recording is often a preliminary step to developing more structured methods of observation.
An example of event recording
Summary of observation of children’s behaviour crossing the road. 78 observations of children crossing
the road over 6 days, Monday to Monday inclusive, 8.00-9.00am78.
Children observed per day
13
range 7-16
Background conditions
N
% of total
Weather
1=fine
27
35
3=overcast/dark
35
45
4=persistant rain
16
21
Average number of cars on school side in Fraser Ave per day
10.00
Average number of cars on other side per day
3.83
Crossing the road behaviour
N
% of total
Stopping at the edge of the foot path before entering the road
34
44
Looking left
51
65
Looking right
30
38
Look left again
15
19
Begins crossing when there is sufficient time 1=plenty of time
61
79
2=just enough time
15
19
3=insufficient time
1
1
Check right while crossing
27
35
Walks quickly across road
1=runs
27
35
2=walks quickly
18
23
3=dawdles
33
42
Concentrates on crossing rather than distractions (eg talking to
16
21
other kids, playing)
With an adult
1
1
Car in driveway
8
10
Car moving on road outside school gate
33
42
With parked car moves to get safe visibility
1
1
Average group size
1.53
77
Slightly adapted from Barker C, Pistrang N, Elliott, R. (1994) Research methods in clinical and counselling
psychology, Wiley, p74-75)
78
Thayers M (1998). First steps – a research project aimed at creating a safe pedestrian environment for Onepoto
primary pupils. Unpublished research report, School of Community studies, UNITEC, Auckland, New Zealand
Methods of observation
129
Event recording yields the simplest form of frequency data. The observer counts every
occurrence of the behaviour within the entire observation period. For example, if the
observation is focusing on counsellor response modes used during a 50-minute counselling
session, the final frequency count might be 17 questions, 22 reflections, 4 interpretations and
1 self-disclosure. The advantages of event recording are that it is simple and can be done
alongside other activities; the disadvantages are that you cannot analyse sequences or other
complexities and it is hard to maintain observer attention. See previous page for an example.
Interval recording. The observation period is divided into equal intervals (e.g. a 50-minute
counselling session might be divided into ten 5-minute intervals) and the number of
behaviours is recorded during each interval. In whole interval sampling, the behaviour is only
recorded if it is present for the whole of the interval, as opposed to partial interval sampling,
when it can be present for any part of the interval. The advantages of interval recording are
that it allows sequences to be analysed and gives a rudimentary estimate of both the frequency
and the duration of a behaviour. It may be adapted to record several behaviours concurrently.
Having timed intervals also helps to keep the observers alert. The disadvantages are that it
requires more observer effort, as timing has to be attended to as well as the behaviour.
Time sampling. Observations are made at specific moments of time, e.g. every five minutes
or every half hour. When observing large groups, scan sampling can be used, where each
member of the group is observed sequentially. For example, Hinshaw et al. (1989) used scan
sampling to observe the social interaction of boys with a diagnosis of hyperactivity or
attention deficit hyperactivity disorder. The advantages of time sampling are that it yields a
direct measure of the prevalence of a behaviour in a group and is good for high-rate,
continuous behaviours. The disadvantages are that low-frequency behaviours may be missed,
as they might only occur between the observation times.
Sequential act coding records events in the order in which they occur. In contrast to event
recording, it usually requires a comprehensive coding system to cover all possible events.
(Event recording may just focus on one or two events, e.g. specific aggressive acts in a school
classroom.) To take a simplified example, researchers may classify events in a therapeutic
interaction into client speech (C), therapist speech (T) and silence (S). A sequential act coding
record might then look like this: C,T,S,C,S,C, …. This strategy is ideal for sequential
analysis, because it relies on natural units (such as talking turns), not artificial units (such as
time segments). However, disagreements on where the units begin and end can complicate
reliability, and the method is inefficient if you are not interested in sequences.
Duration recording is similar to sequential act coding, except that the focus is on timing the
occurrence of a single behaviour rather than categorising events into codes. You can measure
both duration, the interval between the start and the end of each behaviour, and latency, or the
interval between behaviours. For example, Brock and Barker (1990) used this method to
study the amount of "air time" taken up by each staff member during team meetings in a
psychiatric day hospital.
Global rating scales, in which the observer makes an overall judgement, often of the quality
of the behaviour, are usually based on a long period of observation. Clinical examples
include the Brief Psychiatric Rating Scale (BPRS: Overall & Corham, 1962), which rates
several dimensions of psychiatric symptomatology, and the Global Assessment Scale (GAS:
Endicott et al., 1976; used as Axis V in the DSM-HI-R diagnostic system) which rates overall
psychiatric impairment. Global ratings, e.g. of empathy or transference, are frequently used
Methods of observation
130
in therapy process research (Greenberg & Pinsof, 1986). These are less precise than the
behavioural observation methods, in that the observer is being asked to quantify an
impression or judgement. On the other hand, global ratings are useful for complex or inferred
events and can provide helpful summaries of events. Many global rating scales have
acceptable reliability79. The GHQ-1280 is such an example.
General Health Questionnaire -12
Response Range:
Q’s 1,2,7,10-12:Not at all, No more than usual, Rather more than usual, Much more than usual.
Q’s 3-6,8,9: Better than usual, Same as usual, Less than usual, Much less than usual
Have you recently:
1
2
3
4
5
6
7
8
9
10
11
12
lost much sleep over worry?
felt constantly under strain?
been able to concentrate on whatever you are doing?
felt that you are playing are useful part in things?
been able to face up to your problems?
felt capable of making decisions about things?
felt that you couldn't overcome your difficulties?
been feeling reasonably happy all things considered?
been able to enjoy your day-to-day activities?
been feeling unhappy and depresed?
been losing confidence in yourself?
been thinking of yourself as a worthless person?
Decile ratings
Environmental measures. Finally, an interesting category of observation is where the focus is
on the psychological environment as a whole, rather than on specific individuals within it.
Procedures include behavioural mapping, where the observers record the pattern of activity in
a given environment. For example, Kennedy, Fisher and Pearson (1988) used behavioural
mapping to study the patterns of patient and staff activity in a spinal cord injury unit over the
course of a single day.
Environmental observation may
% of av total income per person spent
also involve the use of
on gaming machines across decile
unobtrusive measures (Webb et
ratings
al., 1966), in which features of
10
the physical environment are
8
used to yield data on patterns of
6
activity. Classic examples of
4
unobtrusive measures are using
the wear and tear on a carpet as
2
an index of the popularity of
0
museum exhibits, and using the
0
0.5
1
1.5
2
accretion of graffiti as an index
% of av total income per person spent on
of youth gang activity.
gaming machines
79
What is of greater concern is are they valid. An assessment can be reliable in that it produces the same misdiagnosis every time (e.g. people with depression being diagnosed as people who were lazy). Such an assessment
is not valid. Valid assessment techniques have shown time and time again that their measures can be confirmed
by other independent behavioural measures.
80
Goldberg, D. (1978). Manual of the General Health Questionnaire, NFER-Nelson, Windsor.
Methods of observation
131
Above is a graph from a study81 where the number of poker machines were counted in rich
(low decile) and poor areas (high decile) of Auckland. This data was used to demonstrate that
poker machines had much more impact on incomes in poor areas than in rich areas.
81
Simpson, G., Binner, S. & Mckinnon, S. Links between the socio-economic profiles of communities and the
distribution of gaming machines Unpublished research report, School of Community Studies, UNITEC,
Auckland
The process of observation
132
The process of observation
133
THE PROCESS OF OBSERVATION32
Five dimensions of observed clinical process
1.
Perspective of observation: What is the point of view of the person doing the
observation?
 Researcher (trained observer)
 Clinician (participant-professional)
 Client/help-seeker (participant-index person)
 Significant other (e.g. family member)
2.



3.




4.






5.



32
Person/focus: Which element of the clinical process is studied?
Client or client system (ie. individual, family)
Clinician or clinical (service) system (e.g. therapist, agency)
Interaction of client and clinician (e.g. relationship, "fit,')
Aspect of behaviour: What kind of behaviour or process variable is studied?
Intention/form: the intention behind or the grammatical form of what is said or expressed
(speech acts, intentions, tasks, response modes)
Content: what is said, meant or expressed (ideas, themes)
Style: how it is done, said or expressed (e.g. duration, frequency, intensity, paralinguistic
and non-verbal behaviour, vocal quality, apparent mood, interpersonal manner)
Quality: how well it is done, said or expressed (e.g. accuracy, appropriateness,
acceptability, skilfulness)
Unit level: At what level or "resolution" is the process studied? (selected useful units)
Sentence (idea unit): a single expressed or implied idea
Action/speaking turn (interaction unit): a response by one person, preceded and followed
by actions by another person or different actions by the same person
Episode (topic/task unit): a series of action/speaking turns organised by a common task or
topic, within an occasion
Occasion ("scene" unit): a time-limited situation in which two or more people meet to do
something (e.g. session)
Relationship (interpersonal unit): the entire course of a relation between two people
Organisation (institution unit): a system of relationships organised toward a specific set of
goals and located in a setting (e.g. a clinic)
Person (self unit: includes a person's system of relatively stable beliefs and characteristics
and history of self, other and organisational involvements
Sequential phase: What is the temporal or functional orientation taken toward a unit of
process (ie. towards what happened before, during and after the unit)?
Context ("antecedents"): what has lead up to a unit of process? (e.g. previous speaking
turn, earlier relationships)
Process ("behaviours"): the process which is targeted for study at a given level (unit)
Effects ("consequences"): the sequelae of a unit of process (e.g. reinforcement, treatment
outcome)
Barker C; Pistrang N; Elliott (1994). Research methods in clinical & counselling
psychology. John Wiley & Sons, Chichester, pp 124-125.
Discourse analysis
134
DISCOURSE ANALYSIS
Introduction to Discourse Analysis82
Discourse analysis is sometimes defined as the analysis of language 'beyond the sentence'. This
contrasts with types of analysis more typical of modern linguistics, which are chiefly concerned
with the study of grammar: the study of smaller bits of language, such as sounds (phonetics and
phonology), parts of words (morphology), meaning (semantics), and the order of words in
sentences (syntax). Discourse analysts study larger chunks of language as they flow together.
Context and discourse
Some discourse analysts consider the larger discoursecontext in order to understand how it
affects the meaning of the sentence. For example, Charles Fillmore points out that two sentences
taken together as a single discourse can have meanings different from each one taken separately.
To illustrate, he asks you to imagine two independent signs at a swimming pool: "Please use the
toilet, not the pool," says one. The other announces, "Pool for members only." If you regard each
sign independently, they seem quite reasonable. But taking them together as a single discourse
makes you go back and revise your interpretation of the first sentence after you've read the
second.
Discourse and Frames
'Reframing' is a way to talk about going back and re-interpreting the meaning of the first
sentence. Frame analysis is a type of discourse analysis that asks:
 What activity are speakers engaged in when they say this?
 What do they think they are doing by talking in this way at this time?
Consider how hard it is to make sense of what you are hearing or reading if you don't know who's
talking or what the general topic is. When you read a newspaper, you need to know whether you
are reading a news story, an editorial, or an advertisement in order to properly interpret the text
you are reading. Years ago, when Orson Welles' radio play "The War of the Worlds" was
broadcast, some listeners who tuned in late panicked, thinking they were hearing the actual end of
the world. They mistook the frame for news instead of drama.
Speaking and Listening
Conversation is an enterprise in which one person speaks, and another listens. Discourse analysts
who study conversation note that speakers have systems for determining when one person's turn is
over and the next person's turn begins. This exchange of turns or 'floors' is signaled by such
linguistic means as intonation, pausing, and phrasing. Some people await a clear pause before
beginning to speak, but others assume that 'winding down' is an invitation to someone else to take
the floor. When speakers have different assumptions about how turn exchanges are signaled, they
may inadvertently interrupt or feel interrupted. On the other hand, speakers also frequently take
the floor even though they know the other speaker has not invited them to do so.
Listenership too may be signaled in different ways. Some people expect frequent nodding as well
as listener feedback such as 'mhm', 'uhuh', and 'yeah'. Less of this than you expect can create the
impression that someone is not listening; more than you expect can give the impression that you
are being rushed along. For some, eye contact is expected nearly continually; for others, it should
only be intermittent. The type of listener response you get can change how you speak: If someone
82
Deborah Tannen of Georgetown University, http://www.lsadc.org/web2/discourse.html 24/05/02
Individual Interior – discourse analysis
135
seems uninterested or uncomprehending (whether or not they truly are), you may slow down,
repeat, or overexplain, giving the impression you are 'talking down.' Frederick Erickson has
shown that this can occur in conversations between black and white speakers, because of different
habits with regard to showing listenership.
Discourse Markers
'Discourse markers' is the term linguists give to the little words like 'well', 'oh', 'but', and 'and' that
break our speech up into parts and show the relation between parts. 'Oh' prepares the hearer for a
surprising or just-remembered item, and 'but' indicates that sentence to follow is in opposition to
the one before. However, these markers don't necessarily mean what the dictionary says they
mean. Some people use 'and' just to start a new thought, and some people put 'but' at the end of
their sentences, as a way of trailing off gently. Realizing that these words can function as
discourse markers is important to prevent the frustration that can be experienced if you expect
every word to have its dictionary meaning every time it's used.
Speech Acts
Speech act analysis asks not what form the utterance takes but what it does. Saying "I now
pronounce you man and wife" enacts a marriage. Studying speech acts such as complimenting
allows discourse analysts to ask what counts as a compliment, who gives compliments to whom,
and what other function they can serve. For example, linguists have observed that women are
more likely both to give compliments and to get them. There are also cultural differences; in
India, politeness requires that if someone compliments one of your possessions, you should offer
to give the item as a gift, so complimenting can be a way of asking for things. An Indian woman
who had just met her son's American wife was shocked to hear her new daughter-in-law praise her
beautiful saris. She commented, "What kind of girl did he marry? She wants everything!" By
comparing how people in different cultures use language, discourse analysts hope to make a
contribution to improving cross-cultural understanding.
Interpreting qualitative data
How people engage in and draw meaning from discourse is a field of research in itself. However,
qualitative analysis we need to take account of the impact that discourse analysis will have on the
reading of the text. Most of the time textural analysis is a matter of collating the “themes” that
emerge from surface of text. This is not a trivial task and with large bodies of text, detailed
analysis of underlying meanings, can be prohibitive time-consuming. Shorter texts can be
subjected to an intense analysis of their discursive properties, and even with longer texts elements
of discourse analysis can be used.
Any detailed discussion of discourse analysis needs to begin with the subject of semiotics – the
theory and study of signs and symbols, especially as elements of language or other systems of
communication. There are three divisions with semiotics:
1) syntactics which deals with the formal relations between signs {usually words] or expressions
[the meanings derived from structure] in abstraction from their signification [the deeper
meaning of words]and their users [the context in which language is delivered and received].
2) Semantics which is the relations between signs and what they refer to and including theories
of denotation (simple, most obvious meaning), connotation (meanings which draw from a
wider sources and emotional connections), and myths (meanings which evoke considerable
narratives).
3) Pragmatics which is the relationship between signs, especially words and other elements of
language, and their users.
135
Introduction to Semiotics
136
INTRODUCTION TO SEMIOTICS83
Signs, signifiers, and the signified
'Signs' are meaningful units taking the form of words, images, sounds, acts or objects. A sign, 'must
have a physical form, it must refer to something other than itself, and it must be recognised as doing
this by other users of the sign system' (Turner 1992, 17). For the analytical purposes of semiotics (in
the tradition of Saussure), every sign is composed of:
 a 'signifier' - the form which the sign takes; and
 the 'signified' - the concept it represents.
If we take a linguistic example, the word 'Open' (when it is
invested with meaning by someone who encounters it on a
shop doorway) is a sign consisting of:
 a signifier: the word open written on a piece of
cardboard;
 a signified concept: that the shop is open for
business.
Syntagmatic analysis
The syntagmatic analysis of a text (whether it is verbal or non-verbal) involves studying its structure
and the relationships between its parts. Structuralist semioticians seek to identify elementary
constituent segments within the text - its syntagms. The study of syntagmatic relations reveals the
conventions or 'rules of combination' underlying the production and interpretation of texts (such as the
grammar of a language). The use of one syntagmatic structure rather than another within a text
influences meaning.
Perhaps the most basic narrative syntagm is a linear temporal model composed of three phases equilibrium-disruption-equilibrium - a 'chain' of events corresponding to the beginning, middle and
end of a story (or, as Philip Larkin put it, describing the formula of the classic novel: 'a beginning, a
muddle and an end'; my emphasis).
In this respect they are similar to schemas (intuitive plans) for familiar events in everyday life. Of
course, what constitutes an 'event' is itself a construction: 'reality' cannot be reduced objectively to
discrete temporal units; what counts as an 'event' is determined by the purposes of the interpreter.
However, turning experience into narratives seems to be a fundamental feature of the human drive to
make meaning.
Umberto Eco interpreted the James Bond novels (one could do much the same with the films) in terms
of a basic narrative scheme:
 M moves and gives a task to Bond.
 The villain moves and appears to Bond.
 Bond moves and gives a first check to the villain or the villain gives first check to Bond.
 Woman moves and shows herself to Bond.
 Bond consumes woman: possesses her or begins her seduction.
 The villain captures Bond.
 The villain tortures Bond.
 Bond conquers the villain.
 Bond convalescing enjoys woman, whom he then loses.
(see Woollacott 1982, 96-7).
83
Adapted from Chandler D (1994), Semiotics for Beginners Retrieved 07/14/00 from http://www.aber.ac.uk/
media/Documents/S4B/semiotic.html.
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A syntagmatic analysis of a dialogue around the nature of supervision in cultural services84.
Interviewer: What ideas, images, feelings come up from your understanding or experience of
supervision?
Staff member in a Samoan social service: oh that’s a good question because umm supervision is
something new for me in the Pacific [Island services]. I remember my first experience going to a
supervision. I thought that, you know, … the thought that come into my mind was I'm sitting with my
father telling me off for all the things that I do wrong, and the other thought that comes to my mind is
sitting with my father telling me what’s the next step to do and what’s the next things to be happening
(happening around the house). And I think that’s why! Because, for a Pacific island person supervision
is, is .. Sort of the thoughts that come for me - an image that comes to my mind -is that time with the
parents and their kids telling them that tomorrow you have to cut the grass, tomorrow you need to
collect the fire wood or that kind of thing, so that was, you know for me, that was supervision. That’s
what I see as supervision, but…...Yeah to me, because of my upbringing for me was a really bad
experience, because, ah, there's always a negative thing instead of a positive, so there was always a
scary thing for me. I am always nervous to go in
Interviewer: so what has it umm turned out to be for you…. what has supervision turned out to be?
Staff member in a Samoan social service: I think this is when I started to, ah, when the supervisor
started to explain to me in a different way and I start to realise the thing as it was. It was about me. I
think it was to do with how I respond to it, and when I was being explained how the supervision work,
and then that’s when I take it in and started to work it on myself and start to say “oh yeah, okay, this is
where it turn the other [way]”. The whole, the whole idea of the supervision that I have [an] image of,
it’s actually the whole opposite of what I see now and my understanding now of supervision. Because
before it use to be the “oh, my father or my mother are do the lot of the talking”, but in supervision
now its the other way round. It’s me doing a lot of the talking and the supervisor has to listen!
A syntagmatic analysis of this story might identify the narrative scheme of the story as:
 A word has a different meaning in the traditional context
(confusion)
 That meaning is given life through description
(connection)
 Part of that description involves pain that runs through to the present
(suffering)
 A new understanding of meaning of the word is explained and experienced
(knowledge)
 That new understanding brings happiness
(resolution)
Is this a pattern of story telling for Pacific Island people in New Zealand? Trouble with the new ways
brings a need to make fully conscious how the old ways worked - make fully conscious the pain (or
pleasure) that was felt at “home”. To understand the new ways, these need to be carefully and
patiently explained (with listening), and that this understanding takes away much of the feeling of
conflict and confusion.
In film and television, a syntagmatic analysis would involve an analysis of how each shot, scene or
sequence related to the others. Christian Metz offered elaborate syntagmatic categories for narrative
film (see: Monaco 1981, 186-9; Lapsley & Westlake 1988, 40-42; Stam et al. 1992, 40-48; Lechte
1994, 79; Stam 2000, 115-116). For Metz, these syntagms were analogous to sentences in verbal
language, and he argued that there were eight key filmic syntagms which were based on ways of
ordering narrative space and time.
 The autonomous shot (e.g. establishing shot – head shot of the heroine)
84
Text from Allen, G., Martin, M., Nateneilu, R., Ikanaseo, S. & Andersen, D. (2002). .Mäori and Samoan
Social Practitioners experiences – working in mainstream and culturally specific organisations. Research report,
School of Community Studies, UNITEC, Auckland.
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The parallel syntagm (montage of motifs – shots of heroine’s environment/possessions
establishing her identity)
The bracketing syntagm (montage of brief shots - heroine doing different things which define her
role/character)
The descriptive syntagm (sequence describing one moment – heroine getting in her car)
The alternating syntagm (two sequences alternating – heroine driving, other car driving
somewhere in the vicinity, with the assumption there’s a connection)
The scene (shots implying temporal continuity – cuts of various stages of the heroine’s journey)
The episodic sequence (organized discontinuity of shots – flashbacks inserted as heroine passes
particular points, maybe with connection to the person in the other, who now seems agitated,
angry)
The ordinary sequence (temporal with some compression – long car crash sequence)
Paradygmatic analysis
Whereas syntagmatic analysis studies the 'surface structure' of a text, paradigmatic analysis seeks to
identify the various paradigms (or pre-existing sets of signifiers) which underlie the obvious content of
texts. This aspect of structural analysis involves a consideration of the positive or negative
connotations of each signifier (the concepts that lie with the signifiers – words, symbols), and the
existence of 'underlying' thematic paradigms (e.g. binary oppositions such as public/private).
'Paradigmatic relations' are the oppositions and contrasts between the signifiers that belong to the same
set (e.g good/bad) from which those used in the text were drawn.
When a man wears a suit to work, it doesn’t normally have much meaning: it's just normal. That
doesn’t mean we can’t interpret the action. If we bothered to think about it, we might say the
person is a team-player, they conform to customs, they are not rebels. But the clothing is not
interpreted as intentionally making a statement. In contrast, if they show up in shorts one day, it
makes a statement. It will be seen as a deliberate choice - as having intentional meaning. (Borgatti
1998)
Paradigmatic analysis involves comparing and contrasting each of the signifiers present in the text
with absent signifiers which in similar circumstances might have been chosen, and considering the
significance of the choices made. It can be applied at any semiotic level, from the choice of a
particular word, image or sound to the level of the choice of style, genre or medium (Fiske & Hartley
1978, 52-3).
Contrasting and absent signifiers (Analysis of nature of supervision in cultural services)85
What are the contrasting signifiers or the absent signifiers in the nature of supervision dialogue?
There’s the “good” and “bad” parent contrast, there there’s Samoan vs. Palangi, explaining vs. not
explaining and listening vs. not listening,. In the first of these contrasts, both versions of parenting
appear to be present – it’s not until the staff member talks of her upbringing being “really bad” that we
are clearly aware of “bad “ parenting, which feels like it’s more than just being told what to do. The
second contrast Samoan vs Palangi is clearly suggested, but given that this staff member is in a
cultural service, clearly this is not a positive/negative contrast. The “explaining” and “listening”
contrasts look as if they are about absent signifiers, but the negatives (not explaining, not listening)
are clearly suggested in the first part of the text. Most of this is summedup in the word “opposite”, and
this is a case where the absent signifier really is of interest to us. What is the opposite of “opposite”?
“The same as”. What is “the same” in Samoan and Palangi culture, that makes it possible for the new
idea (a Palangi idea?) of supervision to work well in a Samoan service?
Some semioticians refer to the 'commutation test' which can be used in order to identify distinctive
signifiers and to define their significance - determining whether a change on the level of the signifier
85
See P4 for the discourse and footnote 3.
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leads to a change on the level of the signified. To apply this test a particular signifier in a text is
selected. Then alternatives to this signifier are considered. The effects of each substitution are
considered in terms of how this might affect the sense made of the sign. This might involve imagining
the use of a close-up rather than a mid-shot, a subtitution in age, sex, class or ethnicity, substituting
objects, a different caption for a photograph, etc.
A commutation test in talking about body image86
Read the following extract:
I remember having a girlfriend. She was one of those kind of shapely girls, but
muscley you know, and I remember we would be getting ready to go to our school
social and she would be moaning about being - she thought she was fat and it was just
so annoying. But I suppose that in some ways she was. You know all the rest of us
were skinny and stuff and she was sort of muscley. So that gave me the idea how she
felt looking at us and how I feel sometimes looking at other girls.
What is the gender speaker of the speaker? Could it be either gender and have roughly the same
meaning? Now read the next extract:
I remember having a boyfriend. He was one of those kind of shapely boys, but muscley
you know, and I remember we would be getting ready to go to our school social and
he would be moaning about being - he thought he was fat and it was just so annoying.
But I suppose that in some ways he was. You know all the rest of us were skinny and
stuff and he was sort of muscley. So that gave me the idea how he felt looking at us
and how I feel sometimes looking at other boys.
How does the meaning hold now? Again what gender would you expect the speaker to be? Could this
text have been about your father or your grandfather now or when they were young? What images or
ideas do we get if we take this as a sincere male speaker? The commutation test helps us identify the
extent to which the meaning we give to texts is fixed by our assumptions about (in this case) gender,
age and point in history.
Semantic oppositions
The structuralist method employed by many semioticians involves the identification of binary or polar
semantic oppositions (e.g. 'us/them', 'public/private') in texts or signifying practices. Such a quest is
based on a form of 'dualism'. In Saussurean semiotics binary oppositions are regarded as essential to
the generation of meaning: meaning depends upon the differences between signs (although of course
such differences are not necessarily oppositions). Structuralist theorists such as Claude Lévi-Strauss
have argued that binary oppositions form the basis of underlying 'classificatory systems' within
cultures
Varda Langholz Leymore makes a useful distinction between three types of 'oppositions':
a.
Binary oppositions in the same sense as in logic, e.g. male/not-male, where 'not-male' is
inevitably 'female' [elsewhere she also refers to these as digital oppositions].
b.
Oppositions with comparative grading on the same implicit dimension, e.g. good/bad where
'not good' is not necessarily 'bad' and vice versa [analogue oppositions or 'antonyms'].
c.
Oppositionswhich do not form the universe of discourse, as in both (a) and (b) do, but whose
elements are mutually exclusive as in (a) but not gradable as in (b): e.g. sun/moon. The elements
of these pairs are conceived as being in some sense converse to each other [converse oppositions].
(ibid., 7; see also Barthes 1985, 162ff)
86
Text from Agnew, D., McLeary, B., Steele, F. & Wood, H. (2002). A Study on the Effects of Body Image
Issues on the Lives of Young Women, Unpublished research report, School of Community Studies, UNITEC,
Auckland, New Zealand
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Umberto Eco analysed the James Bond novels in terms of a series of oppositions: Bond vs. villain;
West vs. Soviet Union; anglo-saxon vs. other countries; ideals vs. cupidity; chance vs. planning;
excess vs. moderation; perversion vs. innocence; loyalty vs. disloyalty.
Digital, analogue and conversed oppositions87
positive/negative yes/no public/private true/false indoor/outdoor
East/West cause/effect primary/secondary male/female
acceptance/rejection love/hate open/closed birth/death on/off
good/bad before/after nature/nurture black/white figure/ground
parent/child mind/body left/right gain/loss reader/writer
internal/external high/low front/back presence/absence hot/cold
inclusion/exclusion work/play top/bottom theory/practice sex/gender
success/failure above/below product/process past/present gay/straight
life/death active/passive producer/consumer urban/rural
insider/outsider inner/outer art/science subject/object good/evil
hard/soft light/dark horizontal/vertical self/other old/new
question/answer foreground/background human/animal static/dynamic
words/deeds hero/villain product/system rich/poor adult/child
happy/sad temporary/permanent thought/feeling fact/fiction
nature/culture large/small masculine/feminine one/many local/global
form/content competence/performance part/whole similarity/difference
clean/dirty war/peace appearance/reality problem/solution
speaker/listener human/machine natural/artificial body/soul old/young
nature/technology superior/inferior them/us teacher/learner
head/heart near/far subjective/objective sacred/profane
majority/minority means/ends individual/society abstract/concrete
agency/structure strong/weak major/minor beautiful/ugly
system/process wet/dry simple/complex knowledge/ignorance
speech/writing fact/value rights/obligations medium/message
knower/known structure/process order/chaos competition/cooperation
fast/slow married/single reason/emotion fact/opinion
Markedness
The Russian linguist and semiotician Roman Jakobson introduced the theory of markedness: 'Every
single constituent of any linguistic system is built on an opposition of two logical contradictories: the
presence of an attribute ("markedness") in contraposition to its absence ("unmarkedness")'
Added morphemes. 'Lexical marking' involves adding a distinctive feature to a word: for instance,
the word 'happy' is unmarked in this sense, whilst the word 'unhappy' is marked.
Contextual neutralization. The unmarked term is often also used as a generic term; the marked
term is not. General references to Humanity used to use the term 'Man' (which in this sense was
not intended to be sex-specific), and of course the word 'he' has long been used generically
Where terms are paired the pairing is rarely symmetrical but rather hierarchical. With apologies to
George Orwell we might coin the phrase that 'all signifieds are equal, but some are more equal than
others'.
87
Digital means that there is a binary relationship, a simple opposition between the two words (true/false,
male/female). Analogue means that while there is an opposition of the extremes, these are on a continuum.
Wet/dry is on a continuum, that includes damp. Conversed distinctions, like reader/writer, are not really
opposites, but strongly contrasting concepts. The contrasts are not necessarily inherent in the words but in the
discourse we have around them: product/process, art/science, nature/culture.
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The unmarked form is typically dominant (e.g. statistically within a text or corpus) and therefore
seems to be 'neutral', 'normal' and 'natural'. It is thus 'transparent' - drawing no attention to its invisibly
privileged status. Empirical studies have demonstrated that cognitive processing is more difficult with
marked terms than with unmarked terms (Clark & Clark 1977). Marked forms take longer to recognize
and process and more errors are made with these forms.
The concept of markedness can be applied more broadly than simply to paradigmatic sets of words.
Lévi-Strauss's anthropology, of course, involves a search for marked and unmarked oppositions
underlying beliefs and practices within a culture.
Markedness when talking about body image88
The following extract contains two marked words.
Starting high school I got a bit depressed. Then I put on a lot of weight, whichwas quite hard,
because I felt unlovable anyway because of my parents and whatwas happening with friends.
And my body just reinforced it, because, when I lackedfriends and felt unloved, I didn't have
friends. I think I just felt incredibly ugly. Iremember just not wanting to leave my room at all.
Here both the marked words (unloved/able incredible) emphasise how out of ordinary being fat
appears. The unmarked forms being “loved” or “credible” represent the ‘good” and the power of
normality. The marked forms are used to show how devastating being “overweight” was – she wasn’t
actually denied her parent’s and friend’s love, nor was she ugly. Worse, she was no longer normal.
Semiotic square
The structuralist semiotician Algirdas
Greimas introduced the semiotic square
(which he adapted from the 'logical square' of
scholastic philosophy) as a means of
analysing paired concepts more fully
(Greimas 1987, xiv, 49; Nöth 1990, 319;
Mick 1991). The semiotic square is intended
to map the logical conjunctions and
disjunctions relating key semantic features in
a text. It suggests that the possibilities for
signification in a semiotic system are richer
than the either/or of binary logic, but that
they are nevertheless subject to 'semiotic
constraints' - 'deep structures' providing basic
axes of signification.
Varda Langholz Leymore offers an illustrative example of the linked terms 'beautiful' and 'ugly'. In the
semiotic square the four related terms would be 'beautiful', 'ugly', 'not beautiful' and 'not ugly'. The
initial pair is not simply a binary opposition because 'something which is not beautiful is not
necessarily ugly and vice versa a thing which is not ugly is not necessarily beautiful' (Langholz
Leymore 1975, 29).
Denotation and Connotation
Semioticians often make an analytic distinction between two types of signifieds (referents): a
denotative signified and a connotative signified. Denotation and connotation are terms describing the
relationship between the signifier and its referent. 'Denotation' tends to be described as the
definitional, 'literal', 'obvious' or 'commonsense' meaning of a sign; 'connotation' refers to its sociocultural and personal associations (ideological, emotional etc.).
88
See footnote 5.
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The term 'denotation' is widely equated with the literal meaning of a sign: because the literal meaning
is almost universally recognized, especially when visual discourse is being employed, 'denotation' has
often been confused with a literal transcription of 'reality' in language - and thus with a 'natural sign',
one produced without the intervention of a code. 'Connotation', on the other hand, is employed simply
to refer to less fixed and therefore more conventionalized and changeable, associative meanings,
which clearly vary from instance to instance and therefore must depend on the intervention of codes.
Look at the two signifiers to the right – one a form of the sign for “men’s
toilet”, the other a form of the sign for “footprints in the sand” both
denotations of what is signified by the sign. But the signifiers are the
themselves signs which have other mental representations – “smelly,
graffiti covered cubicles” and “the golden sands paradise” which are
connotations of what is signified.
Roland Barthes adopted from Louis Hjelmslev the notion that there are
different orders of signification (levels of meaning). The first order of
signification is that of denotation: at this level there is a sign consisting of
a signifier and a signified.
Connotation is a second-order
of signification which uses the
denotative sign (signifier and
signified) as its signifier and
attaches to it an additional
signified.
Myth
Related to connotation is what Roland Barthes refers to as myth. Barthes argues that the orders of
signification called denotation and connotation combine to produce ideology - which has been
described as a third order of signification (Fiske & Hartley 1978, 43; O'Sullivan et al. 1994, 287).
'Myths are arbitrary with respect to their referents, and culture-specific' (O'Sullivan et al. 1994, 287).
Cultural myths express and serve to organize shared ways of conceptualizing something (Fiske 1982,
93-5; Fiske & Hartley 1978, 41ff; O'Sullivan et al. 1994, 287).
Differences between the three orders of signification are not clear-cut, but for descriptive and analytic
purposes some theorists distinguish them along the following lines.
The first (denotative) order (or level) of signification is seen as
primarily representational and relatively self-contained. The second
(connotative) order of signification reflects 'expressive' values
which are attached to a sign. In the third (mythological or
ideological) order of signification the sign reflects major culturallyvariable concepts underpinning a particular worldview - such as
masculinity, femininity, freedom, individualism, objectivism,
Englishness and so on (Fiske & Hartley 1978, 40-47; Hartley 1982,
26-30). Susan Hayward offers a useful example of the three orders
of signification in relation to a photograph of Marilyn Monroe:
At the denotative level this is a photograph of the movie star
Marilyn Monroe. At a connotative level we associate this photograph with Marilyn Monroe's star
qualities of glamour, sexuality, beauty - if this is an early photograph - but also with her depression,
drug-taking and untimely death if it is one of her last photographs. At a mythic level we understand
this sign as activating the myth of Hollywood: the dream factory that produces glamour in the form of
the stars it constructs, but also the dream machine that can crush them - all with a view to profit and
expediency. (Hayward 1996, 310)
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Metophor and metonymy
Each of these figurative devices - metaphoric and metonymic signifiers - involves one signified
standing for another. They can be seen in terms of substitution by similarity (metaphor) or by
contiguity (metonymy). Metaphor expresses the unfamiliar (known in literary jargon as the 'tenor') in
terms of the familiar (the 'vehicle'). The tenor and the vehicle are normally unrelated: we must make
an imaginative leap to recognize the resemblance to which a fresh metaphor alludes. “The runaway
truck bit deeply into the side of the house” In semiotic terms, a metaphor involves one signified (truck)
acting as a signifier referring to a rather different signified (a dangerous animal).
Metonymy involves:
 a part standing for the whole (a policeman is 'the law'; London is 'the smoke'; workers are
sometimes called 'hands'; 'I've got a new set of wheels' – a new car), or an individual example
(e.g. a picture of mother and child) standing for a related general category (motherhood), or
 a whole standing for a part (e.g. 'the market' for customers, as in ‘the market responded
negatively to price increases’).
Advertisers use both metaphor and metonymy: 'the sign of a mother pouring out a particular breakfast
cereal for her children is a metonym of all her maternal activities of cooking, cleaning and clothing,
but a metaphor for the love and security she provides' (Fiske & Hartley 1978, 50). ……As Monaco
points out, 'many of the old clichés of Hollywood are metoynymic (close shots of marching feet to
represent an army, the falling calendar pages, the driving wheels of the railroad engine)' (Monaco
1981, 136).
Deconstruction
Deconstruction: This is a poststructuralist technique for textual analysis which was developed by
Jacques Derrida. Practitioners seek to demonstrate how key concepts within a particular text or genre
depend on their unstated oppositional relation to absent signifiers (thus building on the structuralist
method of paradigmatic analysis). Derrida and others aimed to undermine what Derrida called the
'metaphysics of presence' in Western culture, in particular its:
 foundation on a mythical 'transcendent signified' (the privileging of the meanings that dominant
cultures give to words and symbols – e.g. arguing that the western cultural meanings of “research”
are more valid that non-western meanings).
 culturally-embedded conceptual oppositions in which the initial term is privileged, leaving 'term
B' negatively 'marked' (e.g. men/women, Päkehä/Mäori, professional/worker)
Radical deconstruction is not simply a reversal of the valorization (the value charactersitcs) in an
opposition (e.g. doing a commutation test to demonstrate the power relationships) but a demonstration
of the instability of the opposition. It does this by questioning the binary across which power is
unequally distributed. They argue that binaries, themselves are cultural constructs and that the
direction of power in a binary (e.g. men over women) is not important to capitalism, but existent of
certain kinds of binary (inequalities) are. Indeed, the most radical deconstruction challenges both the
framework of the relevant opposition and binary frameworks in general. Deconstructionists
acknowledge that their own texts are open to further deconstruction: there is no definitive reading; all
texts contain contradictions and undermine themselves.
Intertextuality
Derived from the Latin intertexto, meaning to intermingle while weaving, intertextuality is a term first
introduced by French semiotician Julia Kristeva in the late sixties. In essays such as "Word, Dialogue,
and Novel," Kristeva broke with traditional notions of the author's "influences" and the text's
"sources," positing that all signifying systems, from table settings to poems, are constituted by the
manner in which they transform earlier signifying systems. A literary work, then, is not simply the
product of a single author, but of its relationship to other texts and to the structures of language itself.
"Any text," she argues, "is constructed of a mosaic of quotations; any text is the absorption and
transformation of another" (66).
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Intertextuality is, thus, a way of accounting for the role of literary and extra-literary materials without
recourse to traditional notions of authorship. It subverts the concept of the text as self-sufficient,
hermetic totality, foregrounding, in its stead, the fact that all literary production takes place in the
presence of other texts; they are, in effect, palimpsests (a manuscript on which an earlier text has been
effaced and the vellum or parchment reused for another) For Roland Barthes, who proclaimed the
death of the author, it is the fact of intertexuality that allows the text to come into being:
Any text is a new tissue of past citations. Bits of code, formulae, rhythmic models, fragments of
social languages, etc., pass into the text and are redistributed within it, for there is always language
before and around the text. Intertextuality, the condition of any text whatsoever, cannot, of course,
be reduced to a problem of sources or influences; the intertext is a general field of anonymous
formulae whose origin can scarcely ever be located; of unconscious or automatic quotations, given
without quotation marks.
Using the tools in the Analysis of nature of supervision in cultural services89
Denotation and Connotation: Reading this text requires us to be very clear about the meaning that
are possible around the word “supervision”. While it has a denotation of a process where another
person checks on your work and helps you to do it properly, it’s clearly full of connotations about how
this is done and these create strong images, memories and feelings.
Myth: The expressiveness of the text activates a myth of “home” – life in the village: hard labouring
jobs and tough parents. When doing text analysis we look for “myths” as these are the big ideas, the
ones that are central to peoples’ ways of thinking and behaving. In dealing with the issue of
supervision it was important for the staff member to think about in terms of her Samoan experience. It
is also important to note that we have only heard a small part of the myth – it will have many aspects
and colours.
Metaphor: Within the myth of life in Samoa is an important metaphor for supervision. Parental
control stands in for supervision. Metaphors juxtapose ideas in an unusual way and consequently
attract our attention and suggest unique or powerful experience. In text analysis, we seek out the
metaphors and metanyms, because they often contain the core meanings that people are trying to
express.
Deconstruction: Deconstruction might pay special attention to how the word “opposite” in the text.
Has one world view overwhelmed another (the Samoan/Palagi binary)? After all supervision is an
imposed requirement on cultural services, and there is an underlying assumption that it will improve
the quality of cultural services. Has the Western idea of supervision become the
mythicaltranscedentsignified? Is Samoan culture the negativelymarked term in the binary? Radical
deconstruction might argue that what was happening was a creation of an unstable opposition. What
was important was not the privileging of either culture, but of the way in which the participant’s recent
experience of supervision made her feel listened to (hopefully in her Samoan and New ZealandSamoan voices).
Intertexts: Part of understanding text is to understand the intertexts behind it. The literature on
supervision and the development of cultural services, the Bible, Samoan oral history and so on.
89
See page 4 for the discourse and footnote 3
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DECONSTRUCTION
Three Types of Deconstruction - Examination of the Nike’s “exploitation” of cheap labour90
TYPE ONE: FROM MILLS & SIMMONS BOOK Critical Organisational Analysis Method
6. Comprehension – defining the key theories. Every theory is just a way of looking at the world.
Most management, Organisational Behaviour, and Organisational Theory texts adopt a
"managerialist/pro-labor-process" theory, a perspective that takes the defined needs of those "in
charge" as the starting point (M&S, p. 11; Braverman, p. 62-8). How is labor process theory
comprehended by this firm?
Know the Labor Process Theory (Braverman Book pp. 52-3). Labor-process is the process
by which fat cats accumulate surplus capital by extracting capital from labor savings and
environmental abuse. LPT is the way in which surplus value (profit for those on top) of
worker's work is purchased and sold to accumulate capital, while labor is de-skilled, so that
lower and lower wages are paid out. LPT includes creation of unproductive and productive
labor, lowering pay, expert-dependency, de-skilling, substituting cheaper labor for skilled
labor, creating a reserve army, technology substitutes, a division of labor, and flourishes
where education systems are weak. In sum, capital seeks to de-skill, division of labor,
automate, etc. to minimize wage-outlay and maximize what owners and CEOs put in their
pockets. Labor process is the tendency of capitalist economies to convert all other forms of
labor (e.g. entrepreneurs, sub-contractor, coops, indigenous craft) into hired labor (i.e.
productive labor that makes capital for someone else), and then to degrade/deskill labor to
lower and lower wage conditions, by extracting skilled labor knowledge and implanting it into
management knowledge (division of labor) and/or technical (machine) systems (automation
and routinization). Downsizing/re-engineering, can be viewed, as the latest step in labor
process conversion, where semi-skilled workers, once again become sub-contractors, and
deskilled workers operate in "putting-out" systems of piece rate, pay your own benefits,
temporary, part-time employment.
1. How are workers separated from the means with which production is carried on? (i.e. labor
process becomes the responsibility of the capitalist, and his handmaiden, managers).
0. Can workers control and sell their own labor power (e.g. become entrepreneurs, subcontractors -- with access to permits, patents, tools, machines, and materials)?
1. How is the worker/middle manager, sub-contractor, a unit (or cog), making surplus value for
the capitalist in the bureaucratic machine, and in the global division of labor?
7. Reading. To "read" Organisational Theory (OT), is to look at organizations as "texts." A "text" is
not only what is written, but what people say (and what they are silent about), their symbolism,
and their body language. To "read" an organization as a "text" is to pay attention to how
organizations, identities, roles, relationships, stories, rituals, and labor processes are constructed.
To read is to "deconstruct" the taken for granted constructions, the asides, the marginalized, and
the silences.
a. Taken-for-granted assumptions. One managerialist assumption is that effectiveness and
efficiency is all there is to organizational life. Another way to read OT as a text is to
look at how labor-process, gender, race, and ecology is treated in the textconstructions.
b. Silences, Exclusions, and Deletions. Most OT texts are silent about labor exploitation,
race, ethnicity, and sustainability. Look at what is not talked about. Examples, Asides,
90
Boje, D.M., (1998). Management Department, New Mexico State University, Las Cruces.
http://cbae.nmsu.edu/mgt/handout/boje/decontypes/index.html, 7/08/2000
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Illustrations. Oftentimes OT texts put the gender and race stuff into the margins, into
footnotes, illustrations, photos, and not in the main (stream) of the text.
8. Acting: The Praxis of OT. Praxis translates experience into ideas, that are tested and reflected
upon in new experiences (M&S, p. 20-21). Managerialist texts look at everything from the
viewpoint and praxis of the most powerful players, the owners or the CEO as they monopolize
the labor process. Critical Theory looks at the praxis of the less powerful as they are
dominated, marginalized, exploited by those in power. The less powerful can be employees,
customers, communities, taxpayers, and the environment.
9. (Re)Writing: Reaching Out and (Re)Authoring. What are the practical alternatives, options,
innovative ways of moving on? We are the authors of our behavior. We can re-author, rewrite, re-story, or even invent new texts and new praxis that goes beyond managerialism and
exploitative labor process. This is our objective as a class. We can rewrite from the vantage of
employees, customers, feminists, radicals, and environmentalists. In this way we can work to
create conversations with those in power, so that new forms and processes of organization will
get author-ized. Reauthoring is a way to question the claims to truth that gird managerialist,
labor-process authors.
TYPE TWO: DECONSTRUCTING DUALITIES
Four Steps to Deconstructing Dualities.
1. Find the Dualities. Look for the propaganda. Look at the fictions. Look at the haves and have
nots. Where is the text selling you a vision, dream, progress-myth, essentialist concept,
transcendent principle, etc.? Review the text to isolate the most problematic dualities.
Centered texts spawn binary opposites: male-female, organization-environment, white-black,
quantitative-qualitative. Mills and Simmons (1994) refer to this is a search for assumptions,
silences, exclusions, deletions, asides, and illustrations that contain hierarchies. It is not
always easy to find hierarchy because a text may be pretending to be its opposite. If you only
read the propaganda, you can be seduced into assuming that white is black, dictators are
democrats, and chauvinists are feminists. Finding the dualities means lifting the veil of
propaganda to let the "constructions" (moves to make you think what you think and act what
you act and believe what you celebrate).
Example: Braverman says that Capital and Labor constitute a giant duality (p. 377). Braverman
views managers as agents who while sharing in "subjugation and oppression" that characterize the
lives of workers (p. 418), occupy positions of comparative privilege. As agents of capital,
managers are hired to pump surplus value" out of labor (Wilmott, 1997). Managers control the
labor process to maximize capitalist profit and accumulation rather than increasing the selfdetermination, skill, and wage condition of workers (Wilmott, 1997)
2. Articulate the Hierarchy. This is a search for "how a text means," not what a text means.
The proof is to show how a text is able to accomplish the little propaganda steps that gets you
to buy into what it is selling you. The hierarchy lives in a system that you are trying to
articulate. Where to begin? Trace where the rhetoric does not live up to its own expectations
or is even the opposite of what it says it does. Show how the text constructs a hierarchy by
privileging one term over the other. One term may be vocal while the other is absent, silent or
a supplement to the primary term. Labor can be in the discourse used, a "supplement" to
management. In French, supplement has a double meaning û to add on to a thing already
complete in itself, or to complete the thing by adding on to it. In managerialism, labor is
corrupting, perverse, lazy, undependable û an expensive item that needs to be abandoned.
"Organizations would be great places if it were not for employees," says the managerialist.
Sometimes the marginal term is not in the text at all. In technological progress discourse, for
example, the term "environment" may not be mentioned at all. In Boje and DennehyÆs (1993)
terms, it is reading "between the lines" of the text (an implied term conspicuous by its
absence). Articulating the hierarchy is what Mills & Simmons refer to as Comprehension. In
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1.
2.
3.
4.
5.
6.
147
much of Organization Theory (OT) the comprehension is "managerialist," "male-centered,"
with "white" and "anglo" assumptions. Mills and Simmons (1994) also look at acting, how
instutition set up rules, regulations, and controls on peoples actions and behaviors.
Central :/:Marginal
Organization :/: Environment
Management:/: Labor
Capital :/:Labor
Male :/: Female
U.S. :/: Other
Example. Capital dominates labor, or as Braverman puts it:" "Capital is labor." This means that
labor produces the surplus value (over wage value) that becomes profit. Explore the hierarchy:
Capital appropriates labor (knowledge of labor become systemic knowledge) in its acts of greedy
accumulation of more and more capital as labor is squeezed into poverty and dependency. Labor
becomes more a more marginal as it is displaced by automation, de-skilled, and substituted for
cheaper labor (agricultural labor and females employed at lower wages). This is where the labor
process theory (the question I asked of you) gets articulated concisely.
Capital dominates labor by mechanization and automation to keep the number of workers in a
given industry to a minimum (p. 381). The mechanization of jobs produces surplus populations (of
unemployed, under-employed or partially employed adults) which drives the pay of labor down (p.
382-3). Capital, says Marx "thrusts itself frantically into old branches of production à
transformation of a part of the laboring population into unemployed or half-employed hands"
(Marx as cited in Braverman, p. 383). "The purpose of machinery is not to increase but to decrease
the number of workers attached to it" (p. 384). Race comes into play as the Black, Spanish, and
Asian countries and populations become reservoirs of the lowest-paid labor (p. 384-5). Gender
comes into play as women are funneled into much lower paying jobs to supplement the racereservoir of labor.
The industrial reserve army has three parts:
1. the floating employees who move from job to job,
2. the latent workers found in agricultural areas (e.g. Nike's recruitment in China, Vietnam, and
Indonesia), and
3. the stagnant surplus of workers who no longer can find work and get to live as paupers (p.
386-7). The first and second are the "concealed: proportion of the population who do not show
up in the unemployment statistic. Males, particularly Black males in the U.S. have been
moved, more and more into the stagnant sector, while lower-paid women and exported jobs
increase (p. 391-393).
As wealth increases, the industrial reserve army also increases as does the torment and misery of
labor (p. 396). This is the absolute general law of capitalist accumulation (p. 388-9). As capital
accumulates, so does misery. With the technical division of labor and hierarchical control, the
labor process can be "rationalized" (p. 408). The service sector of lower and lower paid jobs
expands in proportion to the industrial reserve army. Finally, the clerical and middle management
ranks are being subjected now to these same trends.
In sum, this is the labor process theory, the movement of mass numbers of higher paid and highly
skilled males into the industrial reserve army, while the rulers of industry take out larger and
larger pay and stock options for themselves. With more information technology the ranks and pay
of middle management continues to decline.
3. Reverse the Dualities. Once you can state the relationship between the two terms in a
hierarchy, it is time to describe the play of differences common to both. E.g. managers are also
employees. Or, a bureaucracy can take many forms (corrupt, red tape, protector of the weak,
predictable processes, due process, restraint of power). Reversing means to look at the ways in
which the other term is sometimes and in some ways the more dominant term. For example,
“reengineering” may say it "bashes" and "smashes" bureaucracy, but it also creates
bureaucracy, mechanical processes, and destroys the flexibility that is its claim. There are
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subtle and complex variations in each term of the duality. Subvert the original hierarchy
between the central and marginal term of the duality by listing the variations and subtle
differences and manifestations of the term. For example, show how the dominant term is a
special case of the marginal term. This leads you to begin to see reversals in the dominant
hierarchy. You can usually show how the author's text deconstructs itself. The author will
provide clues and traces of the hierarchy and its reversals. For example, if you look at
phallologocentric management texts, many of the preferred qualities of a leader such as social,
team-oriented, nurturing, communicator are ideal qualities of the female. Female begins to
dominate male. At this stage, we have only replaced one dominant relationship with its
opposite. In Mills & Simmons, this can mean substituting a feminist, ethnic, non-white, nonEuropean, or non-managerialist assumption set for the hierarchies in the text. Boje and
Dennehy (1993) call it "rebel voices:" giving voice to the marginal perspectives.
Example. Braverman deconstructs his own duality. He notes that "Labor is Capital" p. 377).
Capital depends upon labor to extract its capital surplus. Not only workers, but managers
(especially middle ones) are subjugated and oppressed. Another reversal: the individual
entrepreneur, says Max Weber, is indeed a capitalist. The capitalist in building a business chooses
between adopting a feudal and a bureaucratic structure. Capital in the dysfunctional side of
bureaucracy pays labor subsistence wages, substitutes de-skilled labor for skilled labor, puts
people in a hierarchy of specialized ranks and functions --- and overtime moves wages below the
poverty line. Marx wrote about the need to exorcise Marxism from Capitalism. This could be our
Western inability to look at underemployment, homelessness, child labor, racism, de-skilling,
sexism, environmental deterioration as a cost of business that is shunted onto tax payers. The
ghost of Marxism goes beyond the totalitarian repression that fell (we hope) with the Berlin Wall.
Derrida sees deconstruction as a more radical form of Marxism. To reverse the duality would
make labor more important than capital. There are systems of enterprise, such as coops and
worker-owned firms where labor is capital. There are also firms such as Body Shop, Ben &
JerryÆs, Toms of Maine, etc. that put social and environmental responsibility ahead of CEOgreed.
4. Resituate the Duality. Show how the text can become or sometimes is, a free play of the
binary opposites. The task is to remove the domination of the hierarchy of the duality in the
text. When there is no central configuration the text is nonhierarchical. The problem is how to
do this without replacing one center for another center (one hierarchy for another). The
resituation of the text is what Mills & Simmons (1994) mean by "re-Writing the Text to create
new "praxis." Praxis means reperimenting and testing out new actions and relationships. Boje
and Dennehy (1993) call this writing a new plot or restorying the dominant hierarchies. What
is it like to behave in a new praxis, a new pattern of behaviors without hierarchy. What could
it look like? Be creative.
Example. In resituation we look at the larger context in which the end term interplay. The two
forces, capital and labor are in interplay in the global economy. There are examples of greed and
non-greed in business formation. Labor can and does resist the greed form of capitalism. Capital is
dependent on labor and therefor labor can be radical, democratic in its reversal of human and
ecological destruction (Wilmott, 1997). A resituation looks at how managers are manipulated and
encouraged to suspend their personal values and pursue surplus-value maximizing strategies that
are exploitative. Managers are seduced and controlled by elaborate bonus, profit sharing, stock
schemes to keep extracting surplus value from labor. Senior managers elevate the profit
maximizing goal above all else (do the bidding of capital to the detriment of the work force). But,
is managerial work wholly structured by capital? The manager speaks a discourse about profitonly, but also engages in family and community discourse. Labor protests and submits, rebels or is
integrated into this system (p. 378) which puts the system ahead of the individuals. To move
beyond the duality is to see that labor can have interest in corporate success and that management
can experience a multiplicity of selfhoods, only one of which is being capital's surplusmaximizing agent.
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TYPE THREE: STORY DECONSTRUCTION91
The Seven Step Process of Deconstruction
While a variety of deconstruction techniques can be used in evaluating the Nike Labor story, we chose
to use a seven-step deconstruction process found in Boje's text, Managing in the Postmodern World.
The seven components of this deconstruction are as follows.
1. Define the Dualities - Who or what is at opposite ends in the story?
In exploring the Dualities within the Nike story, we found some relationships that were more
outspoken and others that were more subtle in nature. We tried to focus on relationships defined by
Phil Knight's own words or those relationships outlined by Nike's advertising. Here are a few of the
dualities more prevalent within the Nike story. First, Nike ads establish a duality between fit and
healthy athletes and poverty stricken Asian workers. There is a perversity in the difference of wages
paid to endorsement athletes vs. what the average Asian worker gains. It is hard to justify Knight's
comments "Endorsement athletes are compensated at levels commensurate with their unique skills"
when third world laborers are subjected to life threating work conditions and pittance wages. The next
duality that came to mind was U.S. working conditions vs. Asian working conditions. American
employees at Nike are privilege to plush working facilities and a variety of perks while Southeast
Asian workers are subject to abhorrent work conditions. Two dualities hidden in Phil Knight's
comments about third world economies are the benevolent corporation vs. the Asian labor pool and
Phil Knight's god complex vs. the Asian worker. Knight plays on our sense of entitlement as
Americans. America is the best and we should be entitled to enjoy the best without regard to other
nations. Is Nike really good for developing nations? Is it okay for a few thousand Asians to suffer so
we can enjoy the best tennis shoe?
2. Reinterpret - What is the alternative interpretation to the story?
The Reinterpretation looks at alternative interpretations of the story. While some of the following
reinterpretations are taken from text or ads put out by Nike, other reinterpretations look at some
hidden possibilities for alternate story lines. Nike is good about supplying the general public with
alternative stories to the labor issue. We have incorporated several of Phil Knight's own interpretations
while adding some of our own. The first three alternatives are based on quotes from Phil Knight.
1. Nike is not exploiting workers in Vietnam.
2. The boycott effort is really a fanatical group with no real data on labor abuses in foreign
countries.
3. Nike really is good for developing nations.
4. It's okay for a few thousand Asian workers to suffer or die while their country gains an
economic foothold and finally
5. Southeast Asia deserves to be exploited.
3. Rebel voices - Deny the authority of the one voice. Who's not being represented or is under
represented?
Nike is the more prevalent voice in the story while the Asian worker(s) assumes the rebel voice role.
The least heard voice(s) in this whole story are the actual workers in Vietnam. Rarely does any one
study actually ask the workers what their concerns might be. Of reasons unknown to the general
public, we are isolated from the voice of the workers. The lack of direct input from Asian workers on
the labor issue tends to raise an alarm.
4. Other side of the story - What is the silent or under-represented story.
91
Adapted from Boje, D, M. & Dennehy R. F. (1994). Managing in the Postmodern World Appendix A,
Kendall Hunt Publishers, Dubuque Iowa, p.340..
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The other side of the story is easy to identify since it is the Asian Workers who have the least voice in
the story. How can Asian workers compete against Nike's marketing budget and huge market
presence. Nike's annual gross profit exceeds the GDP of many developing nations.
5. Deny the plot - What is the plot? Turn it around.
The next step in deconstructing the plot of the story is denying the plot. What is the plot in the Nike
story? Phil Knight believes the Boycott effort has singled out Nike in the labor abuse issue and there is
no truth to the labor issues. Have grassroots organizations been hoodwinked into boycotting the wrong
corporation?
6. Find the exception - What is the exception that breaks the rule?
There are a few exceptions in the story. Nike has made an effort to correct the labor abuse problem by
printing "workers rights" on wallet sized cards and not renewing contracts with suppliers that fail to
meet "code of conduct" criteria.
7. What is between the lines - What is not said? What is the writing on the wall?
Here's what I hear in Phil Knight's speeches. When Phil Knight says "Plants making clothes and shoes
for foreign markets are an essential first step toward modern prosperity in developing countries" I hear
"large uneducated poverty stricken labor pools are good for Nike". When Phil Knight says "Everyone
must work to better their economic situation and some might have to work hard than others" I hear
Phil playing on our cultural value of work. In America, we believe that hard work pays off. Phil would
have use believe that Nike's exploitation of Asian workers is good for them by giving them the chance
to work. It might be good for them if the adhesive fumes, heat and lack of adequate ventilation do not
ruin their health first. When Phil says Nike prints a "Code of Conduct" on wallet sized cards I see
another marketing tool to sidestep the problem.
Conclusions
Nike continues to sell products even in the shadow of the boycott effort due to its impressive
marketing machine. The use of propaganda techniques has help develop Nike's market presence.
Media saturation and clever ad campaigns filled with emotion continue to sway the consumer market
into purchasing Nike products. The boycott effort has met with little success only because they
underestimate the power of Nike's marketing machine. Nike is the stronger voice and effect use of
marketing techniques (propaganda) keeps consumers informed of Nike's side of the story.
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Deconstruction of professional and personal identity
151
Deconstruction of professional and personal identity92
Extracts from a reflecting team process with narrative students and professionals examining the
relationship between personal and professional identity. One section of the report looked at the voices
that emerged from the discourse. Here are two.
... the voice of status:
Society places high value in education with the rise to professionalism inviting varying degrees of
hierarchy, status and power into one's life. 'Identity' can be packaged in career. Gender has a chance
to be noticed as marginalising when experienced from the positioning of privilege and middle class
status. In storytelling the following text is recalling the past and how "anything pre-degree (is)
dismissed as important" (Jane).
I think, you know, feminism's kind of contributed to the ideas of being a careerwoman and having a
family, I remember that modelling quite strongly, like I valuedbeing a Mum, I wanted to, but I thought
I needed also this other thing to be whole ... I've kind of lived with a sense of inferiority around being
out of professionalismactually, cos I wasn't a professional like all my sisters were and everyone out
therewas and I felt shameful of that and I've always kind of carried that with me ... so itwas quite
exciting to think I could do this degree and become a professional and havethis sort of, you know,
happiness and stuff that people have, professionals have (Jane).
The text claims feminist influences encouraged a need to also work out of the home representative of
ideologically contradictory roles between private and public lives. Membership for women to
professionalism is limited by role to family through patriarchal structures, which constrains
occupational choice. Perhaps this is why the majority of counselling students are in their middle ages?
Text speaks to how we are socially constructed through the words "strong modelling" and alludes to a
pressure of conformity. An inherent dilemma of discourse appeared in that motherhood was “valued"
and a commitment, "I wanted to", but wholeness was linked to a career, where the world of work
recognises you. Work status has hierarchy over homemaking in the social world. This left the
speaker positioned to carry “a sense of inferiority" and "shame", a text example of how
professionalism can be valued over parenting in the middle classes.
Career links to ideas of personal development but within market orientated individualist languaging
about a progressive path. Professionalism in the speaker's experience was also experienced as the
dominant lifestyle within family and perceived with the same importance for wider society,
marginalising her as an outsider. Degree status was desirable because it equated with assumed
happiness professionals would have for making it up the ladder. This whole text is spoken from the
"I", suggestive of a moving on from the vulnerability of this positioning due to the near completion of
a degree, and maybe a lot of other things as well.
... the voice of marginalisation:
As humans we connect with some stories over others because of socially sanctioned space where
particular voices can more be heard, are more acceptable, less controversial. The context of the
following text involves the lives of children and more than likely positions you the reader, with an
immediate empathy and possible openness for the position this speaker has taken up in regard to
challenging dominant ideas.
I think just the experience of sitting with people who just out of the blue become,marginalised because
of an experience ... where a baby dies and your world sortof suddenly goes skew wiff. Their voices,
which are so sane and their stories sodignified and beautiful and have so much coherence, don't seem
to match withother experiences, the way grief’s supposed to happen, and we have felt so on theouter
and so marginalised ... and so the carrying of that experience for me, andall of the voices, you know
have just sort of made me feel really, I suppose, strongabout challenging taken-for-granted ideas,
92
Excerpts from Armstrong, K., Thompson, H. & Tutty, T. (2002). How do we explain our professional
identities by re-storying personal life experiences. Unpublished Research Report, Scholl of Community Studies,
UNITEC, Auckland.
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Deconstruction of professional and personal identity
152
dominant ideas, which have beenreally supported by expertise and people that have a lot of
qualifications (Mereed).
The text paints a picture of the utter unexpectedness of infant death and how this invites
marginalisation. It is not known whether the speaker is implicated until "we have felt" is spoken
although "your world" could be indicating personal implication. Marginalised voices are described as
dignified, beautiful and coherent and give a contrary context to dominant textbook descriptions of
grief: “The way grief’s supposed to happen" has been experienced as marginalising, leaving parents
feeling "so on the outer". "The carrying of the experience for me and all of the voices" alludes to a
taking on of action for things to be different maybe? More common knowledges for multiple ways to
be with grief, may have offered the speaker's experience, more inclusion.
The text reflects how the effects of this marginalising experience can now strongly support a
challenging of taken-for-granted, dominant ideas that may be supported by expertise and
qualifications, which hold hierarchical authority.
I've not viewed loosing a child as marginalising before so this text opened me up to any experience,
particularly those not so readily spoken of, that may position a group or individual as an 'other than'
'identity'.
By reflecting back, a key role in re-storying, can offer new insight and new discoveries for what
discourses have constituted 'identity'.
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Discourse analysis methods
153
DISCOURSE ANALYSIS METHODS
Interpretive frameworks
When we set out to do research in social practice almost invariably our key data is some form of writing or reported speech. This information could be
gathered by observation, questionnaire, interview or discussion process. Often in analysing discourse we pay great attention to the meaning of the written
word in front of us on the computer, in a exercise book, or on pieces of paper in piles on the floor, but very little to the context from which the writing came
Dell Hymes SPEAKING model of analysis of discourse.
Settings: where it
Setting refers to the time and place of a speech act
is done
and, in general, to the physical circumstances
Scene is the psychological setting or cultural
definition of a scene, including characteristics such as
range of formality and sense of play or seriousness
Participants; who
Speaker, sender, addressor
is involved?
Hearer, receiver, audience, addressee
Linguists will make distinctions within these
categories; for example, the audience can be
distinguished as addressees and other hearers
Ends: why is it
Purposes, goals, and outcomes
done?
Act sequences:
Message form, message content.
how is it
Form and order of the event.
constructed
Key
Cues that establish the "tone, manner, or spirit" of the
speech act
Instrumentalities:
how is it delivered?
Norms:
Channels, forms and styles of speech
Genres
The kind of speech act or event; for our course, the
kind of story.
Norms of interaction and interpretation. Social rules
governing the event and the participants' actions and
reaction.
The living room in the grandparents' home might be a setting for a family
story.
The family story may be told at a reunion celebrating the grandparents'
anniversary. At times, the family would be festive and playful; at other times,
serious and commemorative.
. At the family reunion, an aunt might tell a story to the young female relatives,
but males, although not addressed, might also hear the narrative.
The aunt may tell a story about the grandmother to entertain the audience,
teach the young women, and honour the grandmother
The aunt's story might begin as a response to a toast to the grandmother. The
story's plot and development would have a sequence structured by the aunt.
Possibly there would be a collaborative interruption during the telling. Finally,
the group might applaud the tale and move onto another subject or activity.
The aunt might imitate the grandmother's voice and gestures in a playful way,
or she might address the group in a serious voice emphasising the sincerity and
respect of the praise the story expresses.
The aunt might speak in a casual register with many dialect features or might
use a more formal register and careful grammatical "standard" forms.
In a playful story by the aunt, the norms might allow many audience
interruptions and collaboration, or possibly those interruptions might be limited
to participation by older females. A serious, formal story by the aunt might call
for attention to her and no interruptions as norms.
The aunt might tell a character anecdote about the grandmother for
entertainment, but an exemplum as moral instruction. Different disciplines
develop terms for kinds of speech acts, and speech communities sometimes
have their own terms for types.
Discourse analysis methods
154
Sociolinguist Dell Hymes93 developed the above model to promote the analysis of discourse as a series
of speech events and speech acts within a cultural context. It uses the first letters of terms for speech
components; the categories are so productive and powerful in analysis that you can use this model to
analyse many different kinds of discourse. The following table is an application of the SPEAKING
model to the research process used to examine Maori and Samoan perspectives of cultural and
mainstream services94
Settings: where
it is done
Much care was taken in the Ethics application to show that the setting for the
interviews would be off the job, so that participants could step outside their
professional voice and use a more personal one. The scene is one of a formal
interview with a tape-recorder encouraging seriousness and possibly
circumspection.
Participants;
The issue of audience was important at the outset. The Ethics Committee was
who is
concerned that 1) information critical of cultural services might be received by
involved?
those services who would guess who their informants were, or 2) cultural services
would be the last to get feedback and denied information on how to progress. Other
audiences are researcher team who are doing the research to inform their practice
and that of the colleagues and the supervisors (one Mäori, one Samoan, and one
Päkehä) who control to some extent how the research is done and what mark it will
receive. The hearer in the first instance, the researcher, was already known to the
speaker, the person providing the data, through informal networks, was of the same
culture, and was knowledgeable about the issues. These features encourage a sense
of connection and empathy between speaker and hearer, making it more likely that
the speaker would adopt an inner voice (say what they felt) or friendly voice (try to
please the hearer). The tape-recorder was the receiver of what spoken.
Ends: why is it
The speaker’s goal (the participant) was to help the researcher, to tell their story/to
done?
be heard, to inform others (about the value of cultural services). The researchers
goal is to discover something of personal and political value (enhance the status of
cultural services, encourage UNITEC to better support cultural practice in its
teaching), to get a degree. Clearly the ends of the researcher and the participant
need to match at some level before the research can happen.
Act sequences:
Highly structured by the research process –information sheets are read and consent
how is it
forms are signed. Broad preset questions are asked in set sequence, but still giving
constructed
opportunities for unique responses with some follow-up.
Key
The tone that the researchers try to establish is one of seriousness (they really need
to hear this information), while at the same time they want to create a feeling of
informality in which the participant feels comfortable and able to speak from the
heart. The participant may want to establish the same tone, but not always. For
example, one participant teased the researcher by repeatedly trying to get him to
comment on the questions.
Instrumentalities It was important that participants used their cultural voice rather than a cross: how is it
cultural one. However, the language of the interviews was English. Also it was
delivered?
important not to encourage a professional evaluating, critiquing voice where this
that voice could be too protective or too system oriented.
Norms:
In the lead in to the interview it is important to establish a culturally normative
relationship that supercedes to some extent the non-normative aspects of
interviewing. This could relate to greetings, indications of respect, food, drink,
location, clothing, time of day, etc.
Genres
The interview is itself a genre (type) of discourse. Open ended interviewing
encourages more of an anecdotal style. Aspects of debate are present when people
are asked to explain why certain things happen, etc
93
Hymes, Dell. Foundations of Sociolinguistics: An Ethnographic Approach. Philadelphia: U of Pennsylvania P,
1974.
94
See footnote 3
154
Discourse analysis methods
155
Frame analysis95
Goffman's frame analysis is concerned with "frames of reference", i.e. a set of connections among
objects, events, behaviours, etc. constituted as an anonymous and recognisable structure of relevancies
(e.g. a game of chess, a conference talk, a hold-up, etc.). Goffman's frame analysis seeks to draw
attention to the ease with which people handle multiple, interdependent realities. What concerns us in
discourse analysis is that the speaker’s and hearer’s frames of reference may be different thereby
giving different meanings to the speech act. 96
95
GOFFMAN, Erving, 1974. Frame Analysis. An Essay on the Organisation of Experience. Harmondsworth:
Penguin.
96
Table from Barry Krusch (1994) The Role of Frame Analysis in Enhancing the Transfer of Knowledge.
www.krusch.com 26/05/02.
155
Discourse analysis methods
156
Grice’s Implicatures and the questions of understanding and truthfulness97.
Grice’s work is mostly associated with the theory of the cooperative principle and its attendant
maxims which together regulate the exchange of information between individuals involved in
interaction Grice's endeavour has been to establish a set of general principles, with the aim of
explaining how language users communicate indirect meanings (so-called conversational implicatures,
i.e. implicit meanings which have to be inferred from what is being said explicitly, on the basis of
logical deduction). The cooperative principle is based on the assumption that language users tacitly
agree to cooperate by making their contributions to the talk as is required by the current stage of the
talk or the direction into which it develops. Adherence to this principle entails that talkers
simultaneously observe 4 maxims:




quality, i.e. make your contribution truthful and sincere.
quantity, i.e. provide sufficient information.
manner, i.e. make your contribution brief, present it in an orderly fashion and avoid ambiguities.
relation, make your contribution a relevant one.
There are various conditions under which these maxims may be violated or infringed upon. One of
these is instrumental to the explanation of how implicatures are being communicated. For instance,
when a speaker blatantly and openly says something which appears to be irrelevant, it can be assumed
that, if the talkers continue to observe the principle of cooperation, s/he really intends to communicate
something which is relevant, but does so implicitly.
Implicatures
Example 1:
maxim of relation
Example 2:
maxim of quantity
A:
B:
Where did I leave the keys?
The car's on the drive.
A:
B:
Bill and Martha are leaving tomorrow
I'll miss Martha.
Analysis and comments:
In the first example, speaker B flouts the maxim of relation by not providing the requested information
and instead saying something which appears to be about something else (the where- abouts of the car).
On the assumption that B continues to observe the CP, it must be assumed that she intends her
contribution to be relevant as an answer to A's question. This allows A to infer from B's turn that B
implies that A no longer needs to look for the car keys.
In the second example, speaker B flouts the maxim of quantity (as his response only attends to part of
the topic initiated by A). As a result, the deliberate omission can be said to imply that perhaps he was
not so fond of Bill.
Note that later research stresses that speakers may cancel an implicature. This is often the case in
situations where the implied message is brought to the forefront of the interaction, as in the following
hypothetical sequel to the exchange in example 2.
Example 2 - sequel
maxim of quality?
A:
B:
You were not so fond of Bill then?
Hardly so. I just meant that Martha's a real treasure
97
GRICE, H. Paul, 1976. 'Logic and conversation'. In: P. Cole & J.L. Morgan (eds.), Syntax and Semantics:
Volume 3. New York: Academic Press, 41-58.
156
Discourse analysis methods
157
Here B denies having implied the conclusion drawn by A. Of course, this does not necessarily mean
that B did not intend to make that particular implication. Perhaps he wants to avoid going on record as
having said unpleasant things about Bill. In any case, from this sequel, it is also clear that an
implicature always counts as an implicitly intended message which a hearer attributes to a speaker.
Example 3:
maxim of manner
A:
B:
Where did I leave the keys?
Why are ask me? I haven’t been home all day
Sequential implicativeness: each move in a conversation is essentially a response to the preceding talk
and an anticipation of the kind of talk which is to follow.
Face and politeness phenomena:
A "white lie" can be described as a linguistic strategy in which a speaker intentionally and covertly
violates the maxim of quality so as to "spare the feelings" of the person s/he addresses or in order to
save one's own face. A politeness principle complements Grice's implaciture’s and the four maxims of
information exchange. Another example of the principle is an indirectly formulated request such as
(son to dad) “are you using the car tonight?”. This counts as face-respecting strategy, among other
reasons, because it leaves room for the listener to refuse by saying “sorry, it is already been taken”
(rather than the more face-threatening you may not use it). In that sense, speaker and hearer face are
being attended to.
Politeness principles are "Tact" (the previous two examples – face-respecting), "Generosity",
"Approbation" and "Modesty". Politeness is more other-oriented than on self-oriented.
Breaking the rules
Excerpt from the research of Mäori and Samoan perspectives on cultural and mainstreanm services,
where the maxims of quantity and manner , and the politeness principles of tact and modesty are not
being observed. Meanings that might be drawn from this is that the participant is irritated: s/he thinks
the interviewer hasn’t got the capacity to understand whakapapa issues or the way the service deals
with whakapapa or the participant is a source of stress etc.
And talking about that [whakapapa], how does it affect your practice?
Totally, it’s got to.
How?
How? How big is the sea?
Just a little personal story about how it may affect your practice, your mahi.
Yea I think one significant view is to look at a person not as just a person but as a soul, a living entity.
And that is just the beginning of understanding .
So?
Do you want a six-hour lecture?
I could stay as long as needed
Functionalist approaches
Contextual analysis. This concept is based on a reflexive notion of context, as something which is
made available in the course of interaction and its meaning depends on inferences made in accordance
with conventions which speakers or may not share. Contextualisation cues [J. Gumperz, 1999, 'On
interactional sociolinguistic method'] are:
any verbal sign which when processed in co-occurrence with symbolic grammatical and
lexical signs serves to construct the contextual ground for situated interpretations, and thereby
affects how constituent messages are understood.
Below is an example of how non-verbal cues affect the meanings that are drawn from the text.
157
Discourse analysis methods
158
The role of contextualisation cues in interpretation98
R
And you've put here, that you want to apply for that course because there are more jobs in this
trade
A
Yeah (low).
R
So perhaps you could explain to Mr. C. apart from that reason, why else you want to apply for
electrical work
A
I think I like ... this job in my … as a profession.
C
And why do you think you'll like it?
A
Why?
C
Could you explain to me why?
A
Why do I like it? I think it is… more job prospect.
Comments
At this point in the selection interview, an electrician with a South Asian background is "tested" for
his interest in the course. According to Gumperz (1999:466-7), A does not seem to notice that the
interviewers, indirectly, by strategically positioning their accents, are attempting to direct the
candidate's attention to significant points in the arguments where he may expand his answer. The
exchange above illustrates but one aspect of a larger set of conventions which together account for a
failed application. However, the explanation offered does more than just invoke cultural differences.
Other factors to be considered are A's limited exposure to informal contacts in which "local"
conventions can be learned and the role of language ideologies which, for instance, equate control of
the officially-accepted standard language with basic ability.
Speech act analysis
Another paradigm for discourse analysis is Coulthard’s Speech Acts Analysis where the focus is on the
broad psychological states expressed and the relationship between the words used and the world.
Sometimes words are used to:
 indicate how one understands the world to be - words represent the world,
 shape others to the speakers view of the world – words direct the world in predictable ways
 tell about how we feel – here the words express internal world only
 indicate how one intends the world to be – words commit the world to change in the future
 shape a new world for the speaker – words declare what the world is
Below is a speech analysis of the text on page 134 from the research on Mäori and Samoan
perspectives of cultural and mainstream social practice services. People in a strongly mythic cultural
context might not use all five speech act categories, but focus on the first two or three. The text shows
an evolution from directives to declaratives (creatives) a shift from the traditional to the modern/post
modern.
98
GUMPERZ, John, 1999. 'On interactional sociolinguistic method'. In: C. Roberts & S. Sarangi (eds.) Talk,
Work and Institutional Order. Discourse in Medical, Mediation and Management Settings. Berlin: Mouton de
Gruyter, 453-471.
158
Discourse analysis methods
macro class
representatives
directives
expressives
commissives
declarations
99
159
An overview of the speech act categories in British English99
world/word
psychological
indicators
Words used in
relationship
state
Samoan perceptions
expressed
transcript
commit speaker
believe that p
swear, hypothesise,
thought that come
to something
claim,
into my mind….
being the case,
announce, insist,
I start to realise..
so as to fit
forecast,
I have [an] image..
the words to the
predict
world
attempt to get
want that p
ask, beg, command,
telling me off/ what’s
hearer
bid,
the next step..
to do something,
order, forbid,
so as to fit the
recommend, suggest, you have to…
world to the
invite, challenge,
words
direct,
the supervisor has to
instruct, request
listen!
express a
express that p
apologise, thank,
a really bad
psychological
deplore, pardon,
experience..
state (no
congratulate, regret,
always a scary
dynamic
commiserate
thing…
word/world
always nervous..
relationship)
commit speaker
intend that p
promise, pledge,
to act,
swear, volunteer,
so as to fit the
offer, vow, threaten
world to the
words
by uttering the
create that p
wed, baptise,
In supervision now its
speaker
christen,
the other way round.
actually fits the
name, define, call,
It’s me doing a lot of
world to the
dub,
the talking and the
words
abbreviate
supervisor has to
listen!
Coulthard, M, 1985. An introduction to Discourse Analysis. London: Longman. p24-25.
159
Ethics approval process
160
Unitec Research Ethics Committee
Application processes, decisions and reader roles
At each UREC meeting, applications are discussed. However, prior to the meeting the following is the
usual process that leads to a decision:
Applicant submits  UREC secretary processes  readers are assigned  readers confer  primary
reader contacts applicant for changes  application is discussed at meeting  application is approved,
if not it is sent back for further amendments  application is ratified
Here is a list of the types of decisions:
Approved:
Proposal approved at first presentation.
On hold:
Further work to be done on proposal, cannot be approved between
meetings.
To be ratified:
PR given the authority to approve a proposal between meetings. It is then
ratified at the next meeting.
Ratified:
Proposal is ratified at meeting following approval given to applicant by PR
between meetings.
Reader roles:
Form A and Form C applications require three readers, one of whom is the Primary Reader (PR).
Primary Reader role
The PR is responsible for collating the readers’ feedback on a specific application, and then liaising
with the applicant or applicant’s supervisor as follows:



if the applicant is a staff member, the PR communicates directly with the staff member
if the applicant is a postgraduate student, the PR communicates directly with the postgraduate
student; the student’s supervisor should also be copied on all correspondence
if the applicant is an undergraduate student, the PR communicates ONLY with the applicant’s
supervisor.
It is not necessary to cc. the UREC Secretary in all correspondence with the applicant. However, it is
important to copy the Secretary when the applicant’s final revised (and approved) documents have
come through. This is so UREC has a complete record of the application cycle.
At the UREC meeting, when applications are discussed the PR speaks to the application. A brief
background, including title, study programme (if a student application), the methodology etc. is
presented to the committee. The PR may then ask secondary readers to contribute or elaborate on
certain issues.
Secondary Reader role
Secondary readers are requested to return feedback to the primary reader within 48 hours, if possible.
This allows the primary reader to collate the information and present feedback to the applicant in a
timely fashion, so as to allow the applicant to respond and make changes accordingly before the next
meeting.
160
UNITEC Research Ethics Committee Policies and Procedures
161
GUIDELINES FOR THE USE OF ETHICS APPLICATIONS
FORMS A AND B
1.
Is ethical approval required for my research?
If your research will involve humans as participants (see Note 1 below) and/or your research could
potentially harm humans (see Note 2 below), you must obtain ethics approval before you begin your
research from either:
(i)
UREC or
(ii)
UREC-approved School Research and Advanced Practice Committees
Note 1:Humans are involved as participants in research if people:
a)
respond to surveys (e.g. questionnaires, interviews, focus groups);
b)
provide information about themselves, directly or indirectly;
c)
have some form of intervention imposed on them (e.g. medical, drug or physical
treatment, physical manipulation, food or fluid supply/restriction, specific environmental
conditions are imposed, exercise regimes, other activities of an experimental nature);
and/or
d)
are subjects of certain observational studies which may not protect their anonymity or the
confidentiality of information collected about them.
Note 2:The riskof harm is as important as actual harm. ‘Harm’ is defined as that which adversely
affects the interests or welfare of an individual or a group. The types of harm extend to physical,
psychological, economic, and social harm. Harm includes discomfort, anxiety, pain, fatigue,
embarrassment, and inconvenience. The following situations may impose harm or the risk of harm:
 lack of anonymity for participants;
 lack of confidentiality of information;
 requests for sensitive information;
 use of deceit;
 use of medically invasive procedures;
 cultural insensitivity; and/or
 use of ‘vulnerable’ participants or those unable to give fully informed and voluntary
consent.
2.
Applicants should use Form B if ALL of the following criteria (expanded in Section 8 of
Application Form B) CAN be met:
 No vulnerable people or minors are involved as participants;
 There is no deception involved in eliciting the information from them;
 There is no potential for harm or stress;
 No interventional ‘treatment’ is imposed on the participant (e.g. drugs, physical
manipulation, exercise regimes, environmental conditions, food/fluid supply/restrictions);
 No body tissue or fluid sample is removed from any participant;
 The participants remain anonymous and cannot be identified from the raw or published
data, either directly or by inference;
 No personal information on an individual participant is collected, and sensitive questions
are not asked;
 The researcher(s) has (have) no significantconflict of interest in the research;
 Particular ethnic groups are not deliberately targeted as participants; and
 The research does NOT have particular relevance to, nor affect or impact on, Maori.
Use Application Form A if ANY of the above criteria CANNOT be met.
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MEETING ETHICAL PRINCIPLES
GUIDELINES FOR ETHICS APPLICATIONS AT UNITEC
SECTION TWO
1.
Informed and voluntary consent
1.1
Matters pertaining to obtaining informed consent
1.1.1
Information sheets
It is all too easy to manipulate a person’s ‘voluntary’ consent by exploiting their ignorance,
fears and respect for experts or superiors. Applications for projects must therefore be
accompanied by Participant Information Sheet/sthat describe, in the participant’s language,
the essential points which any reasonable person would wish to know before agreeing to
participate, including:
i.
what the research is about;
ii.
what they are being asked to do;
iii. what the likely consequences are for them should they participate;
iv.
that there are no disadvantages/penalties/adverse consequences to not participating
or withdrawing from the research;
v.
any special conditions of the research that might affect their participation – e.g.
that there will be audio-taping or videotaping;
vi.
how confidentiality of information will be preserved;
vii. a schedule for the destruction of personal identifying information, and the disposal
of any human tissue or body fluids collected;
viii. the host institution for the research;
ix.
the researchers who will actually make direct contact with the participants;
x.
the supervisor for the project;
xi.
a means (for example, a telephone number) by which participants are able to be in
touch with the researchers, the supervisor and the secretary of UREC to ask
further questions; and
xii. the Unitec Approval Statement (see below).
There are some cases where it is not appropriate to provide a written information sheet (for
example, with young children it would be more appropriate to provide them with a verbal
explanation). A Dialogue Statementof the verbal information that will be communicated
should be provided.
It is also important to consider what, if any, inducements might be offered to potential
research participants and whether or not such inducements will influence the voluntary nature
of participants’ involvement.
It is essential that the Unitec Approval Statement be included as this clearly shows that the
research has the approval of the Unitec Research Ethics Committee. This statement must
include the UREC approval number and should appear as follows:
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from
(date) to (date). If you have any complaints or reservations about the ethical conduct
of this research, you may contact the Committee through the UREC Secretary (ph: 09
815-4321 ext 6162). Any issues you raise will be treated in confidence and
investigated fully, and you will be informed of the outcome.
Two examples of a Participant Information Sheet are included overleaf. Please note that the
Unitec logo should appear on these forms.
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163
Information for participants
THE ROLE OF SPORT IN GIRLS’ EXPERIENCE OF ACHIEVEMENT
Our names are ___________________________________________________________ and
we are three female third year Bachelor of Social Practice students at Unitec. Part of our
degree programme involves a research paper on a subject of our choice. Our research topic
looks at the part sport plays in girls’ experiences of achievement. We are doing the research
at (your) school and have the approval of the school to carry out the research.
What we are doing
We want to find out if there are any differences in lifestyles between girls who play sport
compared to those who don’t. By taking part in this research project you will be helping us to
understand what is relevant and important for young teenagers in 2005, and how schools and
other agencies can help young teenagers achieve some of their goals
What it will mean for you
We want to interview you and talk about:
 the sorts of things that you do in your spare time and on the weekends that are fun;
 how you find sport and physical education at school; and
 things you’ve tried hard at or really want to do.
We would like it if you could meet with one of us for about 45 minutes to talk about these
kinds of things. We will come to your school during school time. We will tape the interviews
and will be transcribing them (typing the conversation out) later. All features that could
identify you will be removed and the tapes used will be erased once the transcription is done.
If you agree to participate, you and your parent/guardian will be asked to sign a consent form.
This does not stop you from changing your mind if you wish to withdraw from the project.
Your parent/guardian can also ask for you to be withdrawn. However, because of our
schedule, any withdrawals must be done within 2 weeks after we have interviewed you.
Your name and information that may identify you will be kept completely confidential.
All information collected from you will be stored on a password protected file and only
you, the three researchers and our supervisors will have access to this information.
Please contact us if you need more information about the project. At any time if you have any
concerns about the research project you can contact our supervisor:
My supervisor is ______________________, phone 815 4321 ext. ________ or email
____________@unitec.ac.nz
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (date)
to (date). If you have any complaints or reservations about the ethical conduct of this
research, you may contact the Committee through the UREC Secretary (ph: 09 8154321 ext 6162). Any issues you raise will be treated in confidence and investigated fully,
and you will be informed of the outcome.
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PARTICIPANT INFORMATION FORM
My name is ______________________________________________. I am currently enrolled in the
[programme name] degree in the School of Education at Unitec New Zealand and seek your help in
meeting the requirements of research for a Thesis course which forms a substantial part of this degree.
The aim of my project is: ______________________________________________________________
______________________________________________________________
I request your participation in the following way:
______________________________________________________________
______________________________________________________________
______________________________________________________________
Neither you nor your organisation will be identified in the Thesis. The results of the research activity
will not be seen by any other person in your organisation without the prior agreement of everyone
involved. You are free to ask me not to use any of the information you have given, and you can, if you
wish, ask to see the Thesis before it is submitted for examination.
I hope that you will agree to take part and that you will find your involvement interesting. If you have
any queries about the research, you may contact my principal supervisor at Unitec New Zealand.
My supervisor is ______________________, phone
____________@unitec.ac.nz
815 4321 ext. ________ or
email
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (date) to (date).
If you have any complaints or reservations about the ethical conduct of this research, you may
contact the Committee through the UREC Secretary (ph: 09 815-4321 ext 6162. Any issues you
raise will be treated in confidence and investigated fully, and you will be informed of the outcome.
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165
1.1.2
Consent forms
Wherever possible, written informed consent of the person is required. This should be done using a
Consent Form.Consent forms must have a brief explanation of the research, the Unitec approval
statement and include statements about being fully informed, voluntary choice, confidentiality,
appropriate time for consideration and understanding the complaints process. People from whom
tissue or body fluids are obtained are regarded as participants in terms of informed consent.
Where appropriate, the consent form used must be provided with the application to UREC. The
researcher should advise the participant that a copy of the information sheet and consent forms should
be retained by the participant. Where these are necessarily provided to participants in a language other
than English, a translation into English of any such questionnaire must also be submitted if required by
UREC.
It is acceptable to present a consolidated information sheet/consent form as long as the participants are
provided with a copy of the document and have been given an opportunity to reflect on the document
before indicating their consent. Consent forms should be held securely, with the data, until the latter
are destroyed.
Exceptions to written consent might be mass-distribution questionnaires and very simple procedures
(e.g. hearing tests) and procedures where the participant’s ignorance of the intended research objective
is essential (this must be exercised with extreme caution and with proper justification). For some
questionnaires (particularly anonymously returned questionnaires), the return of the questionnaire can
be reasonably taken as an indication of voluntary consent to participate, and this fact should be clearly
stated on the questionnaire and information sheet.
1.1.3 Limitations to consent
Any relationship between researcher and participants that may compromise informed consent or the
truthfulness of participant reports must be stated. In some special cases it will not be possible to obtain
informed consent because those participating are not competent to offer such consent. In these cases it
is essential to ensure that there are care-givers who may speak responsibly on their behalf and to
ensure that the informed consent of those authorities is obtained. For all participants under the age of
16, the consent of parents or care-givers is required.
There may be other participants whose ability to give informed consent may be compromised or
limited in some way or other, for example, the applicant’s students, employees, legal minors, persons
with diminished capacity (e.g. having an intellectual or psychiatric condition), or people in
institutional settings (hospital patients, prisoners).
Two examples of a Consent Form are included overleaf. Please note that the Unitec logo should
appear on these forms.
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Participant consent form
THE ROLE OF SPORT IN GIRLS’ EXPERIENCE OF ACHIEVEMENT
I have had the research project explained to me and I have read and understand the information sheet
given to me.
I understand that I don't have to be part of this if I don't want to and I may withdraw at any time prior to
the completion of the research project.
I understand that everything I say is confidential and none of the information I give will identify me and
that the only persons who will know what I have said will be the researchers and their supervisor. I also
understand that all the information that I give will be stored securely on a computer at Unitec for a
period of 5 years.
I understand that my discussion with the researcher will be taped and transcribed.
I understand that I can see the finished research document.
I have had time to consider everything and I give my consent to be a part of this project.
Participant Signature: ………………………….. Date: ……………………………
Parent/Guardian Signature…………………… Date………………………………
Project Researcher: ……………………………. Date: ……………………………
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (date) to (date).
If you have any complaints or reservations about the ethical conduct of this research, you may
contact the Committee through the UREC Secretary (ph: 09 815-4321 ext 6162). Any issues you
raise will be treated in confidence and investigated fully, and you will be informed of the outcome.
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167
PRO-FORMA CONSENT FORM - ADULTS
TO:
FROM:
DATE:
RE: _______________________________________(TITLE OF PROJECT)
I have been given and have understood an explanation of this research project for the [programme]. I
have had an opportunity to ask questions and have had them answered. I understand that neither my
name nor the name of my organisation will be used in any public reports, and that I may withdraw
myself or any information I have provided for this project without penalty of any sort.
I agree to take part in this project.
Signed:
____________________________
Name:
_________________________________
Date:
______________
UREC REGISTRATION NUMBER:
This study has been approved by the UNITEC Research Ethics Committee from (date) to (date).
If you have any complaints or reservations about the ethical conduct of this research, you may
contact the Committee through the UREC Secretary (ph: 09 815-4321 ext 6162). Any issues you
raise will be treated in confidence and investigated fully, and you will be informed of the outcome.
Guidelines for a Research Project Feb 09
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UNITEC Research Ethics Committee Policies and Procedures
2.
168
Respect for rights and confidentiality and preservation of anonymity
Participants in a research project must have their rights to confidentiality and anonymity protected.
Researchers must take care not only to ensure that data cannot be linked to participants thereby
identifying them, but also that participants cannot be identified in any way as having being involved in
the research project.
2.1
Confidentiality
2.1.1 Proposed storage and access to files and disposal/storage upon conclusion
It is necessary for research projects to ensure that arrangements for the storage of data are at least as
secure as the source from which the data was obtained. Access to data should be restricted to the
researchers and their supervisors and participant identifiers should be removed as soon as practicable.
Research files may contain confidential information, and it is essential that researchers ensure that this
information is stored and dealt with appropriately and that access to the information only be given to
authorised persons. Research data and consent forms must be retained for a period of five years.
However it may be that the conditions of informed consent to participate in a research procedure will
themselves require that the data generated be destroyed once the research information is extracted. In
presenting the results of the research, information that may directly, or by inference, identify an
individual or organisation should not be given.
2.2
Anonymity
Generally, the best protection of the confidentiality of personal information and records is achieved
through anonymity. Returned or recorded survey instruments (such as questionnaires and interviews)
should not include information that may directly, or by inference, identify an individual or organisation
without their prior written consent to this effect (e.g. name, address, email address, phone numbers,
detailed description of person or organisation). Often code numbers are used merely to track responses
and follow up on this. In some instances, which must be justified by the applicant, personal identifying
information may need to be collected in order to follow up on the responses made by individual
participants. This may be required when, for example, further selection is made from questionnaire
responses to select a subset of participants for more detailed interviews. It is recommended that in such
circumstances, a separate file linking response form codes to individuals be maintained with access
limited only to the principal researcher. In all cases, this intent should be provided on the information
sheet and agreed to in advance by the return of the questionnaire or signed consent form. Only the
researchers in the project and their supervisors should have access to the data.
3.
Minimisation of harm
‘Harm’ is defined as that which adversely affects the interests or welfare of an individual or a group.
The types of harm extend to physical, psychological, economic, and social harm. Harm includes
discomfort, anxiety, pain, fatigue, embarrassment, and inconvenience.
UREC adopts very strict criteria on harm minimisation. Below we have listed the areas of concern with
respect to harm or risk.
3.1 Harm or risk of harm
In general there are three kinds of impact which a research procedure may have on those participating:
physical harm, psychosocial harm, and the risk of either (as opposed to its actuality).
Physical harm
What is called for is the minimisation of the harm and the
maximisation of the good that results. A change in procedure
(even at more inconvenience to the researcher) might reduce or
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eliminate the harm while leaving the good to be produced
unaltered.
Psychosocial harm
Psychosocial harm includes the invasion of privacy and the
diminution of social reputation, to the creation of enduring
psychological fears and confusions.
Procedures must be
established to minimise psychosocial harm. The procedures extend
to processing, publication, storage and disposal of information. All
information generated in the course of the research may contain
sensitive details of individuals’ private lives or may contain
information affecting their assessed medical status and so on.
Risk of harm
Often what will be involved is not actual harm of any sort to
participants but there is risk of some harm. As in the case of harm
itself, what is called for is the minimisation of the risk and the
maximisation of the good that results.
3.2
Permissible levels of risk
Copies of the questionnaires, focus group and interview schedules and/or protocols, and/or experimental
protocols and procedures used, must be submitted with the application to UREC. Where these are
necessarily provided to participants in a language other than English, a translation into English of any
such questionnaire must also be submitted if required by UREC.
It is acknowledged that some participative research paradigms limit the degree to which methods and
tools can be explicit at the point of application. In such cases, protocols describing the relationship of the
participants to the applicants, and letters of support from the participants or their representatives would
be important.
The following areas involving human participants are considered as having permissible levels of risk if
all of the following criteria are met:
3.2.1
Questionnaires
Research in which the subject’s participation is restricted to the completion of questionnaires must meet
all the following criteria:
i.
anonymity should be preserved (responses should be returned anonymously and there should
be no coding or other means of identifying participants from the response);
ii.
not require the disclosure of the subject’s identity;
iii.
not contain questions on topics which may be sensitive, such as sexual practices, drug taking,
or illegal activities;
iv.
not include any form of personal interview; and
v.
be adequately designed to meet the objectives of the project and therefore not be considered
trivial for the participants.
3.2.2
Focus groups
Research in which the subjects’ participation is restricted to participation in focus groups must meet all
the following criteria:
i.
have signed consent forms from all participants prior to commencement;
ii.
use clear protocols, which ensure the confidentiality and protection of personal information;
iii.
ensure that the focus group records and reports preserve the anonymity of participants;
iv.
not contain questions or promote discussion on topics, which may be sensitive such as sexual
practices, drug taking, or illegal activities;
v.
not include any form of personal interview; and
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be adequately designed to meet the objectives of the project and therefore not be considered
trivial for the participants.
3.2.3
Interviews
Research in which the subjects’ participation is restricted to personal interviews must meet all the
following criteria:
i.
have signed consent forms from all participants prior to commencement;
ii.
use clear protocols, which ensure the confidentiality and protection of personal information;
iii.
ensure that the interview records and reports preserve the anonymity of participants;
iv.
not contain questions or promote discussion on topics which may be sensitive, such as sexual
practices, drug taking, or illegal activities;
v.
be adequately designed to meet the objectives of the project and therefore not be considered
trivial for the participants.
3.2.4
Experimental, observational or interventional Studies
Research in which participation is restricted to the intervention in and/or observation of their behaviour
(including physiological measures) must meet all the following criteria:
i.
in laboratory settings (as opposed to naturalistic settings) have signed consent forms from all
participants prior to commencement;
ii. use clear protocols, which ensure the confidentiality and protection of personal
information;
iii.
ensure that the records and reports preserve the anonymity of participants;
iv.
not contain procedures which are in any way likely to harm, deceive or upset subjects or
cover topics which may be sensitive, such as sexual practices, drug taking, or illegal
activities;
v.
be adequately designed to meet the objectives of the project and therefore not be considered
trivial for the participants.
3.3
Medical research or research involving human tissues or fluids
UREC may approve research that involves routine and simple methods of tissue or fluid collection,
involves only minimal risk in obtaining such samples, and which it has the expertise to review. Any
significant medical research or clinical trial will require ethics approval through an accredited Health
and Disability Ethics Committee. In either case, the use of any invasive medical procedures or use of
drugs must be identified, along with the safeguards that will ensure against infection, damage, or risk to
health. Declarations for Accident Compensation coverage may need to be completed.
Where the researcher intends to use tissues or body fluids, details of storage and the manner of disposal
must be described. Issues of cultural sensitivity and accident compensation should also be addressed.
Research involving human remains must be referred directly to a Health and Disabilities Ethics
Committee for approval. Contact either the Health Research Council Ethics Committee or a Health and
Disability Ethics Committee for the full procedures for ethical approval of such health research.
3.3.1 Definition of clinical trial
The definition of clinical trial varies depending on the context in which it occurs.
A “clinical trial” is defined by the Ministry of Health as “a pre-planned, controlled clinical study
designed to evaluate prospectively the safety, efficacy, or optimum dosage schedule (if appropriate) of
one or more diagnostic, therapeutic, or prophylactic drugs, devices or interventions in humans”.
The definition adopted in the context of the Accident Compensation legislation defines a clinical trial as
“any research on human subjects conducted to gain new knowledge into mental and physical health and
disease” (Ministry of Health and ACC, 1993). It would exclude research based on the analysis of
secondary sources of health information. Clinical trials often involve a wide range of health
professionals with different qualifications, skills and expertise and would usually be conducted in
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hospitals, other health care settings, the community and academic host institutions. This definition is
somewhat broader but for the purposes of government-sponsored compensation to participants is
acceptable.
For ethical review by UREC, the broader interpretation is preferred to ensure the protection of
participant’s rights, safety and welfare. Therefore, declarations for Accident Compensation coveragemay
need to be completed by the applicant.
4.
Cultural and social sensitivity (including participation of Maori)
4.1
Cultural and social sensitivity
It is important that issues regarding cultural safety are addressed when research involves participants
from various ethnic or cultural groups, even when small numbers from each group are involved. Where
a particular ethnic or cultural group is the subject of the research, consultations must be undertaken with
appropriate parties and this process outlined in the application.
The Health Research Council has the following advice to consider in relation to health research, but the
principles described here should be considered in all research:
People of different cultures hold differing basic beliefs, have different value systems and regard
differing modes of behaviour as acceptable to them. Since health involves matters which are
often deeply personal and private, procedures for health research can very easily cause offence
both to individuals and to ethnic groups, even though none has been intended.
Not only must there be due recognition of the indigenous culture of the Maori as the tangata
whenua (indigenous people) but also due allowance must be made for the increasing diversity of
culture and religious belief which is now appearing in New Zealand society.
Practices and beliefs of an ethnic and/or religious nature must be fully respected. Research must
be undertaken in a culturally sensitive and appropriate manner, in full discussion and
partnership with the research participants whatever their ethnicity or religious affiliation, and
the results of any investigation should be appropriately disseminated in a full and frank manner.
Participants have the right to receive, in language that they will easily understand, information
about proposed research in which they are being invited to participate. Where large numbers of
participants from an ethnic group are being recruited, a translation of the participant
information sheets and the consent form should be provided. In seeking informed consent the
involvement of a trained interpreter is highly desirable. If the number of participants from any
ethnic group is small the use of trained interpreters to read and discuss the information sheet
with the participant may obviate the need for a printed translation. However, a translation of
the consent form should be provided. In certain circumstances, a verbal consent is considered
appropriate (p. 21, HRC Guidelines on Ethics for Health Research, 2002).
Where participants are sought from a particular social group, e.g. rest home residents, people with
English as an additional language, etc. consideration must be given to particular needs of these
participants and how harm minimisation concerns might be best addressed.
4.2
The Treaty of Waitangi and Maori participation in research
Unitec states its commitment to the Treaty of Waitangi through the Partnership document, Te Noho
Kotahitanga. This document includes values that support Unitec in developing a meaningful partnership
with Maori. In relation to research ethics, Te Noho Kotahitanga states that “Unitec accepts responsibility
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as a critical guardian of knowledge” or “taonga matauranga”. Therefore, UREC will act as kaitiaki to
ensure that Maori knowledge and processes in research is protected. In the spirit of the partnership, all
researchers have a right to include Maori in their research projects. With this right is the responsibility to
consult appropriately and conduct research in a culturally sensitive and respectful manner.
Researchers whose intended research project may involve Maori participants through random sampling,
or involve Maori as participants where Maori data is sought and analysed, are asked to outline the
protocols and processes used throughout the research. Researchers should identify the person/people
who have been consulted and their role in this project.
For further information the points presented in the table overleaf should be considered and are
intended to inform researchers of:
 when consultation is necessary; and
 the processes involved in initiating consultation with Maori.
Researchers may also seek guidance from the Maori members of UREC.
Consultation
The purpose of consultation is to ensure that the research practices are appropriate
and that research will be conducted to ensure safety for the participants, the
researcher and Unitec. Appropriate consultation endeavours to establish a foundation
for a collaborative relationship between researchers and participants.
Non-Maori
researching
Maori
Non-Maori are able and encouraged to include Maori participants in their research so
that all New Zealanders can benefit from the research. The exclusion of Maori from
research projects may deny Maori the right to benefit from a share in what is
ultimately state funded (tertiary) research. It is important that an appropriate
education in cross cultural research skills and cultural safety be available for the
researchers. Consider these three expected outcomes of nursing education for
registered nurses:
examine their own realities and the attitudes they bring in relation to each new
person they encounter in their practice;
a) evaluate the impact that historical, political and social processes have on the
health of all people; and
b) demonstrate flexibility in their relationships with people who are different
from themselves (Nursing Council of Zealand, 2005).
Cultural safety guidelines used by the Nursing Council go beyond ethnic difference
to encompass cultural diversity which includes members of differing sexual
orientation and older people as well as for adolescents, the definition of culture used
here is broad.
Research that
may involve
Maori
Research that
involves
Maori
Consultation with Maori may be required if the sample is randomly generated.
Advice from UREC members can be sought.
Maori-centred
research
Consultation with Maori UREC members, appropriate members from the Unitec
community or from the wider community will be required, if Maori are significant
participants and where an analysis is undertaken which produces Maori knowledge.
Consultation with either the Maori UREC members, appropriate members of the
Unitec community or the wider community will be required, if the research
proposals involve Maori as participants or where Maori data is sought and analysed.
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Kaupapa
Maori research
Kaupapa Maori research is research where Maori are significant participants, where
the research team is typically Maori, a Maori analysis is undertaken and Maori
knowledge is produced. Maori tikanga (protocols) and processes are followed
throughout the research from the beginning to the dissemination of results to
participants. Consultation with Maori UREC members will be required, or with
appropriate staff members within Unitec, or appropriate members from the wider
community.
Supervision
It is advised that research projects that include a Maori kaupapa or Maori are
significant participants in the research project, that Maori advisors/supervisors assist
with the project.
The research
proposal
The following list of questions will assist researchers when designing the research
proposal. These questions will assist in forming research partnerships between
researchers and communities and involves a two way process of negotiation, trustbuilding and the sharing of information.
What research do we want to carry out?
1. Who is that research for?
2. What difference will it make?
3. Who will carry out the research?
4. How do we want the research to be done?
5. How will we know it is a worthwhile piece of research?
6. Who will own the research?
7. Who will benefit?
Informed
consent
5.
Informed consent is generally required in written form. It may be more appropriate
to acquire verbal consent from individuals, whanau members, members of a hapu or
iwi. This is acceptable as evidence for informed consent.
Limitation of deception
Deception occurs when researchers represent their research as something other than what it is. This
may take the form of deceiving participants as to the true purpose of the research, the methods that are
being used to collect the data, the participants’ actual role in the research, the uses to which the data
will be put, or any other action that limits participants’ understanding of what the research is actually
about. Deception also occurs when a researcher omits data or analyses data in ways that reduce the
validity of the research. The offering of inducements to potential participants may also constitute
deception.
Researchers should consider carefully how deception will be avoided. UREC considers any deception
inherent in a research project to be very undesirable.
6.
Respect for intellectual and cultural property ownership
6.1
Intellectual property
Researchers should check Unitec’s Intellectual property policy for guidelines in regard to intellectual
property ownership.
6.2
Cultural property
Researchers should care fully consider how the results of their research will be most usefully shared
with and used by the participants and by the wider group/s to which the participants belong. Where
research information is disseminated in inappropriate or untimely ways, harm may be caused to
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participants. Consultation with participant group should direct the researcher to the most appropriate
processes in this regard.
Researchers should consult with the Maori members of UREC if issues of intellectual and cultural
property ownership of Maori are likely to arise in the context of their research. The Health Research
Council publication Guidelines on health research involving Maori (1998) provides detailed advice on
these matters [www.hrc.govt.nz]
7.
Avoidance of conflict of interest
7.1
Relationships between the researcher and participants
It is important for the researcher to declare any special relationships that exist with the research
participants, e.g. friend, whanau/family, colleague-colleague. Aspects of the research design that will
minimise the effect of such relationships must be carefully considered and clearly articulated to
UREC. Where the relationship involves power being exercised, or potentially exercised, by one person
over another, e.g. employee-employer, Principal-teacher, these considerations are particularly
important. Issues of gender, ethnic group and age may also be relevant here.
7.2
Involvement with another institution
7.2.1 Commercial relationships
Any benefits to the researcher, the host institution or a sponsoring agency that will or might arise from
a particular research outcome or from involvement in the research must be disclosed. Where
commercial relationships have the potential to influence outcomes, procedures must be adequately
described so that an ethical judgement can be made as to the independence and transparency of the
research.
7.2.2 Funding
Researchers must indicate if the project is being funded in any way, either through cash or in-kind
support, by any person or organisation external to Unitec. Any financial interest of the researcher, the
host institution and/or a sponsoring agency in the outcome of or involvement in the project should also
be fully disclosed.
8.
Research design adequacy
Researchers must ensure that their research design is adequate to allow ethically robust research to be
carried out. This includes consideration of the following elements:
 the aims and objectives of the project;
 the value and benefits of the project;
 an appropriate project duration;
 appropriate sampling procedures;
 the selection of a suitable methodology and suitable methods;
 the development of rigorous data collection tools; and
 appropriate data analysis and reporting.
In the case of student research, the research supervisor can assist with research design adequacy. All
student research proposals should be considered and approved by the appropriate body.
In the case of staff research, staff should consult appropriately and seek peer review for the proposal.
9.
Approval
9.1
Approval by another Ethics Committee
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Aspects of a research project may need ethics approval from another institution external to Unitec. For
example, if the researcher is using patients from a health service provider, ethics approval will be
required from a Health and Disability Ethics Committee. If the researcher is a student at another
tertiary education institution (e.g. university or polytechnic) and ethics approval has been granted from
that institution, UREC does not require a second and separate application to us, but a copy of that
application and a copy of the ethics approval must be submitted to UREC as soon as it is available.
For approved research, liability will normally rest with the institution approving the research.
9.2 Approval from another department or institution
Research done in community agencies will, in most cases, not involve another ethics committee.
However written consent from the head of any agency in which research is being undertaken or who is
a collaborator in the research will in most cases be required. Exceptions can include where the subject
of the research has no direct connection with the work of the agency, or where participants are clients
of the agency (e.g. the agency is where they live), rather than employees.
In cases of involvement of more than one School or department of Unitec in a research project, written
approval must cover all departments involved.
In the case of projects where a student is the principal researcher, it is the responsibility of the
principal supervisor to ensure all necessary consents are obtained from outside agencies and
other departments of Unitec.
The dangers of conducting research that is unapproved on ethical grounds can be serious.
Some consequences are:

Inability to publish in some journals

Breach of codes of professional ethics (depending on the profession)

Inability to secure research funding

No ACC coverage (for participants)

Damages awarded against the Institute

Personal liability for any claims (no protection from UNITEC)

Claims from advice based on incorrect research findings

Breaching any of several relevant Acts of Parliament (e.g. Privacy Act)

Breaches Education Amendment Act 1990 s.36 relating to “...maintenance by institutions of the
highest ethical standards...”

Damage to one’s own reputation in the academic community

Damage to UNITEC’s reputation in the academic and business community
This applies to staff and students.
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From UNITEC Research Ethics Committee Policies And Procedures, February 2002
9
Misconduct in Research
9.1
Misconduct in research includes:
i.
implementing, without further ethical approval, changes in research procedures that
represent a significant departure from the project approved, particularly around issues of
consent, confidentiality, sensitivity and potential harm to participants
ii.
the fabrication of data, including claiming results where none have been obtained;
iii. the falsification of data, including fraudulent changing of records;
iv.
plagiarism, including the direct copying of textual material, the use of other people’s
data without acknowledgement and the use of ideas from other people without adequate
attribution;
v.
misleading ascription of authorship, including listing authors of unpublished research
without their permission, attributing work to others who have not in fact contributed to
the research, and failing to acknowledge work primarily produced by a research
student/trainee/associate;
vi.
intentional infringements of the guidelines issued by the UNITEC Research Ethics
Committee, including this Policy and Procedures and its provisions for human subjects,
and any other relevant professional practices and codes of ethics;
vii. other research practices which bring or are likely to bring the Institute into disrepute.
Misconduct does not, however, include honest errors or honest differences in the interpretation
of data or conclusions drawn from them. Honest errors may, nevertheless, incur censure and
instructive or remedial measures from the UNITEC Research Ethics Committee.
9.2
Sanctions for misconduct
A UNITEC staff member, as the researcher, may incur sanctions for misconduct. UNITEC
policy (Human Resources Manual, Section 17: Disciplinary) covers the process under which
disciplinary action may be taken.
Similarly, a UNITEC student may incur disciplinary action according to the “Administration
Manual, General Disciplinary Statute”.
The dangers of conducting research that is unapproved on ethical grounds can be serious.
Some consequences are:

Inability to publish in some journals

Breach of codes of professional ethics (depending on the profession)

Inability to secure research funding

No ACC coverage (for participants)

Damages awarded against the Institute

Personal liability for any claims (no protection from UNITEC)

Claims from advice based on incorrect research findings

Breaching any of several relevant Acts of Parliament (e.g. Privacy Act)

Breaches Education Amendment Act 1990 s.36 relating to “...maintenance by institutions of the
highest ethical standards...”

Damage to one’s own reputation in the academic community

Damage to UNITEC’s reputation in the academic and business community
This applies to staff and students.
.
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Unitec Research Ethics Committee
Completed Application for Ethical Approval – Form A
177
Version: 01 July 2009
APPLICATION FOR ETHICAL APPROVAL FOR A RESEARCH PROJECT – FORM A
Form A is for all research that involves or may involve potential for contentious or sensitive issues.
Please refer to the Guidelines Research Ethics Committee Policy and Procedure, Guidelines for
Ethics Applications at Unitec and Application for ethics approval Guidelines for the use of Form A and B
before filling in this form.
Research cannot proceed until formal approval from UREC has been given in writing.
(For office use only)
Ethics Committee Ref. No:
Date received:
Date approved:
Period of approval:
DECLARATION:
This application is a true and correct outline of the research project. I, the supervisor and/or the applicant, undertake
to notify the Unitec Research Ethics Committee whenever there is any ethically relevant variation in the research
process.
The information supplied below is to the best of my knowledge and belief accurate. I have read the current
guidelines and policy for ethical approval for research projects involving human participants published by the
Unitec Research Ethics Committee and clearly understand my obligations and the rights of participants, particularly
in so far as obtaining freely-given informed consent is concerned.
Applicant name:
Applicant signature:
Supervisor name
(if applicable):
Supervisor signature:
Head of Department name:
Head of Department signature:
Lisa Woolley
Date:
29/11/2010
Dr Geoff Bridgeman
29/11/2010
David McNabb
29/11/2010
PROJECT/THESIS TITLE:
Housing Support Services for families/whanau and individuals who have experienced
homelessness in Aotearoa, New Zealand
For student projects:
Conducted at which Tertiary Institution?
Degree:
Course number & name:
Unitec
Master of Social Practice
Research Thesis CSTU 9003-5990
ATTACHMENTS: Checklist
Information sheet(s)
Questionnaire(s)
Consent form(s)
Interview/focus group schedule(s)
Applications should be received by UREC at least 10 working days prior to the next advertised meeting. Every
effort will then be made to resolve each application at that meeting.
Lisa Woolley Ethics Application
Evaluation of Supported Housing
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Version: 01 July 2009
GENERAL INFORMATION
1.
PRINCIPAL RESEARCHER (APPLICANT) - STAFF OR STUDENT
Name:
Lisa Woolley
Address:
107 Tanekaha Rd, Titirangi, Auckland
Department:
Phone No:
09 817 6353 (Home); 09 818 0702; 027 664 5310
Unitec Student ID:
1093870
e-Mail:
lisaw@VisionWest.org.nz
Brief statement of relevant qualifications and experience:
I have been involved in the Not for Profit sector for over 28 years and have been working for VisionWest
Community Trust for over 12 years. I have been involved in the community housing sector for the last 6 years
and was also involved in Emergency Housing in Hollywood in the 1980’s. I have a Graduate Diploma in Not
for Profit Management and have completed four papers towards a Master in Social Practice degree.
2.
Name:
Address (Bldg &
PRINCIPAL SUPERVISOR (if applicable)
Dr Geoff Bridgman
510-5013
room number):
Department:
Department of Social Practice
Phone No:
X5071
Brief statement of relevant qualifications and experience:
Geoff Bridgman is a lecturer in the Unitec Social Practice programme with an extensive community
background. Special research interests include Maori/Pacific nations and an analysis of social service
systems and this will be of great assistance in this project
3.
ASSOCIATE(S)/RESEARCH PARTNER(S)/ CO-SUPERVISOR(S)/ ADVISOR(S):
1
Name:
Department:
Qualifications:
Role in project:
2
Alan Johnson
Department of Social
Practice
Salvation Army Senior Policy
Analyst + extensive housing
experience
Associate supervisor
Details of additional associates/research partners are attached
Lisa Woolley Ethics Application
3
Evaluation of Supported Housing
Yes
No
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4.
Completed Application for Ethical Approval – Form A
Version: 01 July 2009
179
PROJECT DURATION:
Dates during which the research methods requiring this approval will be conducted (normally one
year from date of approval; a maximum of three years can be requested, after which the researcher
must seek an extension):
From:
5.
01/02/11
To:
30/06/12
AIMS/OBJECTIVES OF THE PROJECT:
Describe in language that is, as far as possible, free from jargon and comprehensible to lay people.
The first aim of this project is to look at the outcomes for at-risk families/whanau who have
been a part of the Supported Housing model at VisionWest. The second aim is to provide a
model of supported community based social housing for New Zealand that will help inform the
policy makers at central Government and to make a case for resourcing organisations to
provide secure housing and social support services for vulnerable and at risk people in New
Zealand.
Objectives of the Project:
 To provide a platform for residents of VisionWest to tell their story and help inform
and shape the future direction of Supported Housing in Aotearoa, New Zealand.
 To evaluate the success of the housing support services offered by VisionWest
Community Trust.
 To provide information on the cost effectiveness to the State and the community by
providing Supported Housing services for homeless people.
 To provide a model of Supported Housing for low income or vulnerable people within
a New Zealand context.
 To look at opportunities for further growth and improvement of the services offered for
at risk families/whanau and individuals.
 To provide central Government and policy makers with a piece of qualitative research
that will evaluate the need for funding for community housing providers and social
service organisations who provide housing support services for vulnerable and at risk
families/whanau and individuals in Aotearoa, New Zealand.
6.
VALUE AND BENEFITS OF THE PROJECT:
This will be an important piece of research for the community housing sector in New
Zealand as there has been very little research undertaken in the area of housing support
services and the outcomes for vulnerable and at risk families/whanau and individuals living
in Aotearoa, New Zealand, who have experienced homelessness. The potential impact of
this research will mean that more of our vulnerable and at risk families/whanau and
individuals find secure housing and are rsourced to engage in their communities. Their
children are safe and settled within their family home and their school, giving them a
greater chance of achieving through education; and families/whanau and individuals are
resourced to achieve their goals and work towards their aspirations in life.
Supported Housing fits well within the new Whanau Ora model being promoted currently
by Government (Durie, Cooper, Grennell, Snively & Tuaine, 2010) and ensures the whole
family is part of the process of moving forward into a more secure future. The impact of
reducing homelessness through a Supported Housing model is major and not only has huge
implications in the social welfare area, through a reduction of poverty; unemployment;
health issues; crime; addictions and violence but has an economic value through savings to
Government and tax payer due to less intervention of Government bodies such as Child
Youth and Family; Prison and justice services; use of health services and Work and Income
NZ.
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Evaluation of Supported Housing
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Version: 01 July 2009
METHODOLOGY
7.
TYPE OF PROJECT AND METHODS: (Mark the appropriate boxes)
Questionnaire
Focus Group
Interview
Experimental, Observational
or Interventional Study
Other (please specify)
Will electronic media (e.g. e-Mail or the internet) be used for the collection of data from participants?
Yes
No
Please attach copies of relevant questionnaires, schedules, protocols and/or procedures.
8.
SAMPLE & ANALYSIS DETAILS
a. How many participants will be
involved in the research project?
Housing tenants: 12 interviews, 12 questionnaires, Two focus
groups. 4 representatives of social agencies
b. From what groups are the participants to be drawn (e.g. general public, specific cultural groups, special
interest groups, students, geographical groups, etc)?
All adult tenants of VisionWest’s long term Supported Housing will be invited to be part of the
focus groups and the individual interviews through a person who is external to the organisation.
Currently the Trust has eight such houses used for long term Supported Housing and by the
time of this research starting there will be another four - eight houses added to this stock, so it
is hoped to have participants from 12 houses in all. In effect this will be 12 people as all the
adult tenants are or are likely to be solo mothers.
Based on VisionWest tenancies, approximately 50% of the tenants who participate in this
research will be Maori and 30 – 40% will be Pacific Island people
The representatives from social agencies that VisionWest works alongside will include police;
CYFS and education services staff. This will give a greater organisational and outside agency
perspective regarding the challenges and positive effects of providing Supported Housing.
c.
What is the relationship between the participants and the researcher (friend, whanau/family, employeeemployer, teacher-student, etc)?
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Participants will be tenants of the VisionWest Community Trust’s housing service who have agreed to
participate in the project, and 4 representatives of outside agencies. The researcher is the CEO of
VisionWest Community Trust.
VisionWest Community Trust provides nine services into the community and employs over 400 staff.
As CEO, I have Managers for each service either reporting directly to me or to a delegated Manager.
The housing service of the Trust employs a Housing Manager; a housing social worker and an
Emergency Housing Manager/tenancy manager and we are currently looking to employ a fourth person.
The Housing Manager reports directly to me and keeps me informed of current developments within the
service. As CEO, I have been involved with contract development for housing and have worked at a
strategic level to grow the Trust’s housing stock and services. Tenancy Management is totally managed
by the housing team and is not an area I get involved in as the CEO. The only time that a tenancy issue
would come to me as the CEO would be if there was a conflict whereby the tenant may feel they need to
take an issue up to the CEO to gain resolution. This has happened on only one occasion in the last 6
years, and was a very minor issue. My involvement with the tenant’s is therefore minimal and would be
more on a relational level as they come in and out of the Trust offices.
d. What methods will be used to recruit participants? (Include information about koha, expenses, and
inducements)
I will set up a process for participation that will be facilitated by a person independent of VisionWest
Housing services and a member of the Research Advisory Group that will ensure that tenants feel totally
free to choose whether or not they would like to participate in the research project. If a tenant should
agree to participate, the independent facilitator will support them should they have any issues with the
data collection process. Once the focus groups and interviews have been transcribed an independent
person will discuss any issues of accuracy of the issues captured and the publication process with the
participants.
Information sheets will be provided to tenants regarding the research process and will be worded in such
a way to make it clear about how the information will be managed. This will ensure that tenants are
comfortable how the information will be managed and published. There will be no inducements,
however, refreshments will be served at the focus groups and any child care expenses will be paid for by
VisionWest.
e.
How did you determine your sample size?
The sample size has been determined by the number of houses owned by VisionWest for the use of
Long Term Supported Housing. The representatives of other agencies provide a small alternative
perspective.
f.
How will you analyse the data generated from the research project?
The methods for data analysis will firstly be descriptive, capturing the detail of the lived experience
of the participants in the focus group and the interviews. I will also use a thematic framework. I will
use a thematic charting method to help analyse new themes in the data as they emerge. The
preliminary findings from the analysis will be presented to the research reference group for
discussion to ensure the voice of all the participants is being captured correctly and that there is an
agreement about emergent themes and the direction that the analysis is taking.
9.
MAORI PARTICIPATION:
Could your research involve Maori participation, either by deliberate selection or by
random sampling? Could it impact on Maori, or be of particular relevance to Maori?
Yes/perhaps
No
See HRC Guidelines for researchers on health research involving Maori (www.hrc.govt.nz)
If “yes”, please explain how your research process is consistent with the provisions of the Treaty of
Waitangi. State what consultations and/or collaborations, and with which iwi/group, have or will be
undertaken. What involvement does this group have in the project? How will the results be disseminated to
the consulted group and participants at the end of the project?
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Approximately 50% of the tenant’s in VisionWest’s Long Term Supported Housing service are
Maori and around 30 – 40% are Pacific Island people. To ensure that the research project is
consistent with the provisions of the Treaty of Waitangi, I will be setting up a research
reference group which will include Maori and Pacific Island tenants from VisionWest and the
Trust’s housing social worker who is Maori/Samoan and has completed her final year of a
degree in Social Work through Te Wananga in Manukau. These people, as well as the Baptist
Maori Ministries Kaihautu (David Moko, Te Arawa) and a Maori advisor to VisionWest (Brad
Haami, Tuhoe), will help to ensure that the project is undertaken in a way that incorporates the
principles of the Treaty.
Dr Helene Connor (Te Atiawa) will also be available as an advisor and Geoff Bridgeman also
has a strong research background in working on Maori and Pacific Island research projects.
My own former studies in the G dip NFP Man also covered the Treaty and the Master’s
Research paper covered Kaupapa Maori research practice and cultural research practice.
10.
CULTURAL ISSUES:
Are members of a particular ethnic, societal or cultural group the principal participants or a sub-group of
the research?
Yes
No
If “yes”, what consultations have been undertaken with appropriate parties?
See No. 9
11.
MEDICAL RESEARCH OR RESEARCH INVOLVING HUMAN TISSUES OR BODY
FLUIDS
Note that approval from an accredited Health and Disability Ethics Committee may be required, using their
(or the national) application form (www.hrc.govt.nz). Please refer to this form and also contact the
Research Administrator.
a. Does the research involve the collection or use of human tissues or body fluids?
Yes, Go to 11b
No, Go to 12
b. If yes, what procedures will be used? Where and how will the material be stored?
c. How will the material be disposed of (if applicable)?
d. Does this research involve any invasive medical procedures, exposure to infection, the use of drugs, or
constitute a clinical trial?
Yes, Go to 11e
No, Go to 12
e. Describe the safeguards that will ensure against infection, damage, or risk to health.
12. MEETING ETHICAL PRINCIPLES
UREC emphasises eight guiding ethical principles governing research and teaching activities using humans. These
are:


Informed and voluntary consent
Respect for rights and confidentiality and preservation of anonymity
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




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Minimisation of harm
Cultural and social sensitivity
Limitation of deception
Respect for intellectual and cultural property ownership
Avoidance of conflict of interest
Research design adequacy
EXPLAIN HOW THE RESEARCH PROJECT WILL ADDRESS ALL OF THE EIGHT
ETHICAL PRINCIPLES AND WHAT STEPS WILL BE TAKEN TO ENSURE HARM
MINIMISATION
Refer to Section 2, #3 ‘Minimisation of Harm’ (H:\Research\ETHICS\2009 Ethics Application Forms
& Guidelines\2009 Ethics Policy and Guidelines) in the Guidelines.









Potential participants will be given an information sheet from an independent person,
clearly outlining the key issues of the research and making it clear the participation is on a
voluntary basis and ensuring that the tenant’s understand that this piece of research will
have no implications regarding their tenancy with VisionWest and will assure them of their
confidentiality.
Tenants will be assured that the research will in no way impinge upon their rights as tenants.
The raw transcripts of interviews will only be seen by myself and my supervisor. The
advisory group will only see the information once it has been written up in a way to preserve
the anonymity of each participant.
Focus group work will be written up in such a way that individuals will not be identified.
As the researcher I feel confident in my ability to recognise signs of stress in an interview
situation. However, if a particular issue is causing a participant distress, then this will not
be explored further. If the participant is still showing distress, counselling or support
services will be made available to them.
There will be a transparent process for sharing of the finalised project with the
understanding that there may be some challenge areas that could be highlighted for
VisionWest. The advisory group will also be involved in finding appropriate ways of
making the research project available for the wider community.
Please refer to point 9 for cultural issues
Please refer to point 8.C re conflict of interest. Also please note:
o Gathering information from tenants is part of an organisations best practice policies for
quality assurance purposes. To this end much of the information gathered could come
under a normal organisational audit or evaluation. It is also incredibly helpful from a
CEO’s perspective, to have the opportunity to interview tenants of our own
organisation, to ensure that I have a full understanding of the issues facing people who
have been homeless and therefore equipping me to be a more effective advocate on
behalf of this group of people in the various forums I attend.
o The kind of questions asked regarding in depth background information will in no way
impinge on their tenancy.
o As noted already, my relationship with the tenants does not have anything to do with
their tenancy management, unless they wished to raise a grievance that was not being
addressed to their liking at a management level.
The design of the project has been worked through with my supervisor and a letter of
approval has been received from the Unitec Proposals committee dated 12/11/10
DATA ACCESS
13.
PROPOSED STORAGE AND ACCESS TO FILES AND DISPOSAL / STORAGE UPON
CONCLUSION
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Consent Forms
Note: Your consent forms must be retained for five (5) years before physical destruction.
a. Who will have access to the Consent Forms?
Myself and my supervisors
b. How will you ensure that the Consent Forms are protected from unauthorised access? How and where
will the consent forms be stored?
The consent forms will be stored in a locked filing cabinet in my office at VisionWest.
Data
Note: Your data must be retained for five (5) years before physical destruction.
c. Who will have access to the data?
The raw data will only be viewed by myself and my supervisors. Once I have been able to write the
gathered data in a way that preserves the anonymity of the participants, then the research advisory
group and participants will be given a copy to review.
d. Are there plans for future use of the data beyond those already described? (The applicant’s attention is
drawn to the requirements of the Privacy Act 1993.)
No.
e. How and where will the data be stored?
The data will be stored on the VisionWest network in an area that is password protected for access by
myself only. All personally identifying characteristics will be removed from the files.
EXTERNAL CONNECTIONS
14.
INVOLVEMENT WITH ANOTHER INSTITUTION/ORGANISATION
a. List the names of any organisations who are now or who will be involved in this research project, the
type of involvement they have or are likely to have (e.g. funding [please state amount sought or
received], co-researcher, venue for research, client), and indicate whether letters of support or approval
from these organisations are attached.
Name of organisation
VisionWest Community
Trust
Type of involvement


Interviews, questionnaire and focus groups with
tenants.
Interview venue, refreshments and any child care
assistance provided by VisionWest
Letter
attached?
Yes

b. ARE FUNDS BEING OBTAINED FOR THIS PROJECT?
Yes
No
Describe the investigator’s, the host institution’s, or a sponsoring agency’s financial interest, if any, in
the outcome of, or involvement in, the project.
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As mentioned above, VisionWest will be providing funding for any expenses such as
refreshments; child care provision or if there were any funding required for counselling as a
result of the project. VisionWest has also allowed for some staff resource to assist me with
entering of any data or typing up big pieces of work. This would be done in a way to
preserve anonymity. I have also been allowed ½ a day a week of release time to work on
this project. The expectation of VisionWest is that a piece of work will be produced that
could help improve services for people who have been homeless or have faced housing
issues.
15.
RELATED APPLICATIONS
a. Have you ever made any related applications to other Ethics Committees?
Yes
No
b. If yes, have you enclosed copies of the applications and responses?
Yes
No, Please explain
(Note that if you have already been granted Ethics approval by a University or Health and Disability
Ethics Committee, you do not need further approval, but UREC must be sent a copy of the application
and the approval.)
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16.
SUBMISSION AND APPROVAL PROCESS




A signed, hard copy of the completed application form must be sent to the UREC Secretary.
An electronic copy of the application must also be sent, as follows:
 Unitec students: Please EMAIL this form and attachments (e.g. information sheet,
consent form, questionnaire, interview schedule, etc.) to your Unitec principal supervisor,
who should in turn email this to the UREC secretary. UREC will not receive
applications directly from students.
 Unitec staff (as primary researcher or supervisor): Please forward this form, by email, to
the UREC Secretary ethics@unitec.ac.nz
Postgraduate students must ensure that their research proposals are APPROVED PRIOR to
submitting the ethics application. An ethics application cannot be processed until notification of
approval is received by the UREC Secretary.
UREC’s decision, and any conditions, will be relayed to you and your supervisor (in the case of
student research).
Contact details:
UREC Secretary
Research Office
Building 180, Room 3008
Unitec New Zealand
Private Bag 92025
Auckland
Ph. 815 4321 ext 6162
Email: ethics@unitec.ac.nz
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Information for Research Participants (Tenants)
Housing Support Services for Families/Whanau and Individuals who have experienced homelessness in
Aotearoa, New Zealand
Kia Ora
My name is _______________________ (appointed independent person). I have been asked by Lisa Woolley,
CEO of VisionWest Community Trust to contact you to regarding a research thesis that Lisa is undertaking as
part of her study at Unitec
Why this topic...
As VisionWest has continued to grow, the Trust has become aware that the model of supported housing being
developed is unique in New Zealand and needs to be properly evaluated. It is the Trust’s hope that this piece of
research will help to show other organisations and policy makers the value of this kind of service, while helping
to find ways to improve the Trust’s services
What will this mean for you ...
By being part of this piece of research, you will help inform others on some of the key issues around housing and
the value of support services. You be helping to shape the future of housing programmes and support services in
Aotearoa, New Zealand, and thus help other people who have been homeless or who have faced housing issues
get the help they need..
I will be asking you if you would be happy to be part of a focus group run by Lisa with about five other tenants,
followed by a short questionnaire. The focus group is a group gathering where you will be discussing housing.
It will last for 60 to 90 minutes. Light refreshments will be served and there will also be assistance if child care is
required.
Lisa would also like to have an individual interview of about 40 minutes with you to discuss your housing
experiences in greater depth.
The focus group and interview will be taped to help ensure accuracy for the transcription. These tapes will later
be destroyed once Lisa is sure the transcription is accurate.
The kinds of questions Lisa hopes to cover are:
 Finding out about your housing history and when you started having difficulties in finding a place to
live?
 Talking about your experience in a VisionWest home – the good and not-so-good things
 How could the services at Vision-West could be improved
 What are you hopes for yourself and your children in the future
You are free to withdraw or decline to answer a specific question during the focus group discussion,
questionnaire or interview. You also need to know that whether you consent to participate or not, your tenancy
with VisionWest will not be affected. Nor will your tenancy be affected in any way by your participation in this
project.
What will happen with the information gathered...
After the transcription has been done I will give you a copy of the transcript and you can change anything you
want to change, or withdraw from the research. Lisa’s thesis and any subsequent reports will be written in such a
way that you will not be identifiable
These reports will be presented to housing organisations and people involved in setting and informing policy
regarding housing in New Zealand. Findings may also be presented at housing conferences and forums.
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Consent
If you agree to participate you will sign a consent form. This does not stop you from changing your mind at a
later time and asking to withdraw from the project. This can be done by either phoning me, or sending a letter or
email to the following addresses.
XXXX
XXXX
XXXX
Information and Concerns
If you want further information about the project you can contact me at the above phone number and addresses.
At any time if you have concerns about the research project you may also contact Lisa’s supervisor at Unitec:
Dr Geoff Bridgman
Email: gbridgman@unitec.ac.nz
Phone: 09 815 4321 x5071
If anything should happen to upset you in the focus group or interview, Lisa or you can contact me and I will
assist you in getting the counselling support that you need, either through VisionWest, or, should you prefer, an
outside agency.
Confidentiality
Any information you provide will be treated as confidential, which means that it will not be passed on to anyone
else in any way that could identify you. The information received from you will be entered into a computer
database accessible only through a password. No participant names or identifying remarks will be recorded and
no material, which could personally identify you, will be used in any reports on this study.
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (12/12/10) to (12/06/12). If you
have any complaints or reservations about the ethical conduct of this research, you may contact the Committee
through the UREC Secretary (ph: 09 815-4321 ext 6162. Any issues you raise will be treated in confidence and
investigated fully, and you will be informed of the outcome.
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Information for Research Participants (Agencies)
Housing Support Services for Families/Whanau and Individuals who have experienced homelessness in
Aotearoa, New Zealand
Kia Ora
My name is Lisa Woolley and I am a part time student at Unitec studying toward a Master of Social Practice
degree. I have completed four papers and am now in my final stage of the programme which is to carry out a
research project and complete a Thesis. My research topic is looking at the outcomes for people who have
experienced either homelessness or faced a housing crisis and are now housed within a supported housing model.
Why this topic
As some of you may be aware, I am the CEO of VisionWest Community Trust. As VisionWest has continued
to grow our housing service and programmes, I have become aware that the model of supported housing being
developed is unique in New Zealand and needs to be properly evaluated. It is the Trust’s hope that this piece of
research will help to show other organisations and policy makers the value of this kind of service, while helping
to find ways to improve the Trust’s services.
What will this mean for you ...
By being part of this piece of research, your organisation will help inform others on some of the key issues
around housing and the relevance of support service while also be helping to shape the future of housing
programmes and support services in Aotearoa, New Zealand to ensure the best outcomes for people who have
been homeless or who have faced housing issues.
I will be holding interviews with key social agencies such as yours, who are willing to participate in this way.
The interview will be taped to help ensure accuracy for the transcription. This tape will later be destroyed.
The kinds of questions I will be asking the representative from your organisation to talk about are broadly:
 their experiences of the negative effects of inadequate housing for at risk or vulnerable families
 the impact on a person’s life (for better or worse) in of services such as those provided by VisionWest?
 the strengths and weaknesses of the VisIonWest model
 what are long term solutions to assist at risk and vulnerable people.
What will happen with the information gathered...
It is my hope that this research will help to make a difference to housing and supporting people in Aotearoa,
New Zealand. The thesis and any subsequent reports will be written in such a way that will note your
organisations responses without identifying any particular individual. The research will be presented to housing
organisations and people involved in setting and informing policy regarding housing in New Zealand. Findings
may also be presented at housing conferences and forums.
Consent
If you agree to participate you will sign a consent form on behalf of your organisation. This does not stop you
from changing your mind at a later time and asking to withdraw from the project. This can be done by either
telling me or by phoning or sending a letter or email to the following address.
Lisa Woolley
97 Glendale Rd
Glen Eden
lisaw@VisionWest.org.nz
09 818 0702
You are also free to withdraw or decline to answer a specific question during the interview. Before the
information is used, you will be given a copy of the transcript and you can change anything you want to change,
or remove your information at any time before the completion of the report. Neither you nor your organisation
will be identified in the final report.
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Information and Concerns
If you want further information about the project you can write, phone or email to me. At any time if you have
concerns about the research project you may contact:
Dr Geoff Bridgman
Email: gbridgman@unitec.ac.nz
Phone: 09 815 4321
Confidentiality
Any information you provide will be treated as confidential, which means that it will not be passed on to anyone
else in any way that could identify you personally. The information received from you will be entered into a
computer database accessible only through a password. No participant names or identifying remarks will be
recorded and no material, which could personally identify you, will be used in any reports on this study.
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (12/12/10) to (12/6/12). If you
have any complaints or reservations about the ethical conduct of this research, you may contact the Committee
through the UREC Secretary (ph: 09 815-4321 ext 6162. Any issues you raise will be treated in confidence and
investigated fully, and you will be informed of the outcome.
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Participant consent form (tenants)
Housing Support Services for families/whanau and individuals who
Experience homelessness in Aotearoa, New Zealand
I have had the research project explained to me and I have read and understand the information
sheet given to me.
I understand that the focus group discussion and my interview with the researcher will be taped
and transcribed.
I understand that I don't have to be part of this research if I don't want to and I may withdraw at
any time prior to my acceptance of my transcript.
I understand that everything I say is confidential and none of the information I give will identify
me and that the only persons who will know what I have said will be the researcher and their
supervisors. I also understand that all the information that I give will be stored securely on a
password protected computer file at VisionWest for a period of 5 years.
I understand that I will have the opportunity to read the finished research document.
I have had time to consider everything and I give my consent to be a part of this project.
Participant Signature: ………………………….. Date: ……………………………
Project Researcher: ……………………………. Date: ……………………………
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (date) to (date). If you have any
complaints or reservations about the ethical conduct of this research, you may contact the Committee through the
UREC Secretary (ph: 09 815-4321 ext 6162). Any issues you raise will be treated in confidence and investigated
fully, and you will be informed of the outcome.
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Participant consent form (agencies)
Housing Support Services for families/whanau and individuals who
Experience homelessness in Aotearoa, New Zealand
I have had the research project explained to me and I have read and understand the information
sheet given to me.
I understand that my interview with the researcher will be taped and transcribed.
I understand that I don't have to be part of this research if I don't want to and I may withdraw at
any time prior to my acceptance of my transcript.
I understand that everything I say is confidential and none of the information I give will identify
me and that the only persons who will know what I have said will be the researcher and their
supervisors. I also understand that all the information that I give will be stored securely on a
password protected computer file at VisionWest for a period of 5 years.
I understand that I will have the opportunity to read the finished research document.
I have had time to consider everything and I give my consent to be a part of this project.
Participant Signature: ………………………….. Date: ……………………………
Project Researcher: ……………………………. Date: ……………………………
UREC REGISTRATION NUMBER: (insert number here)
This study has been approved by the UNITEC Research Ethics Committee from (date) to (date). If you have any
complaints or reservations about the ethical conduct of this research, you may contact the Committee through the
UREC Secretary (ph: 09 815-4321 ext 6162). Any issues you raise will be treated in confidence and investigated
fully, and you will be informed of the outcome.
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Focus Group Agenda for Research on:
Housing Support Services for Families/Whanau and Individuals who have experienced homelessness
Timing
Part of
Outline of points to cover in the Focus Group
Meeting
9.30 –
Set up
Set up room for focus group, set out food, boil jugs, etc. Check recording
10am
equipment.
10 – 10.30 Prior to start Morning tea available to participants as they arrive. Informal introductions of
participants and research group members.
10.30
Opening
 Welcome participants and giving outline of the purpose of the focus group i.e.
10 minutes
this piece of research will help give understanding for the need and the
outcomes for tenants in supported housing; while giving recommendations for
further improvements for the future.
 Introduction round.
 Introduce the recorders and their role during the focus group and myself as
facilitator for the morning.
 Inform participants that the focus group will be recorded and what will
happen to the recording.
 Give an outline of what will happen during the focus group.
 Go over ground rules – confidentiality; respect; listening to each other’s
viewpoints.
 Invite other ground rules from the participants.
 Inform the participants about the feedback process
 There will be a summary of information at conclusion of the session.
 What will happen if any of the information is published
 Let the participants know that the report compiled from the focus group will
be available and when
 Give participants the opportunity for future feedback after the focus group.
10.40
Body
Question 1: Ask the participants to talk about their experience of being homeless
1 – 1.5
or living in unsatisfactory living conditions.
hours
General discussion from the participants with facilitator picking any points out
and putting them onto a sheet of paper for discussion during feedback time, and so
participants can see the points emerging.
Question 2: Thinking back to this time when you were homeless or living in
unsatisfactory living conditions, what were some of the reasons that you were
living in this way?
Question 3: How did you come to live in a VisionWest home?
Question 4: What difference has an affordable home with housing support and
security of tenure made to you and your family?
 What helped to start with
 What continues to help
 What difference has it made to our life
Question 5: What needs to happen to help people who are facing homelessness or
housing issues to ensure that all people can access safe, secure and affordable
housing?
Question 6: What does VisionWest need to do to continue supporting people who
have been homeless?
Demographics: These will be captured in the questionnaire which will be handed
out at the end of the individual interviews. For those not doing an individual
interview the following information will be collected
1. How long have you been a tenant with VisionWest?
2. How many people are living in your home? Adults, children
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3.
4.
5.
6.
7.
8.
11.50
Wrap Up
and
Questionnair
e
12.10
Post focus
group
Facilitator
and
recorders
wrap up
12.30
194
Taking everything into account, how satisfied or dissatisfied are you with
the services provided by VisionWest. Rating 1 -5
Age
Gender
Family makeup
Ethnicity
Iwi/Hapu

Facilitator to thank the focus group members for their participation and ask
them to look at the key points taken down.
 Any points missed can be added and important points highlighted by group
members.
 Recorders to give feedback of what notes have been taken during the focus
group (which should hopefully reflect what the facilitator has put onto paper)
 Focus group participants to give feedback about how the process has been for
them and adding anything that they feel has not been covered.
 Facilitator to ask the participants to look at what information has come out of
the group, and to rank those they think are the most important.
 Facilitator to go over the questionnaire and ask participants to spend 10
minutes filling this out before we stop for light refreshments.
 Final wrap up by facilitator thanking the participants and giving them contact
information if anything should arise for them as a result of the focus group.
Also reminding them they can have access to the report the focus group will
generate – give a timeframe for this report.
 Facilitator invites participants to have some refreshments before they leave.
Refreshments



Discussion of the meeting, debriefing, and confirming details of note
transcribing etc.
Arrange a time to review the transc ribed notes and analyse them.
Clean up focus group area and do dishes.
Focus Group agenda adapted from Schizophrenia Fellowship Research Agenda. Book of readings. Research
Methods. Bridgman and Gremillion (2010)
__________________________________________________________________________________________
Interview Questions
Housing Support Services for families/whanau and individuals
Who have experience homelessness
Basically the same questions will be asked as for the Focus groups, however, the questions will have further
prompts as needed allowing for the conversation to go deeper and to gain further understanding regarding
homelessness and the effects of receiving supported housing.
Questions will include:
1.
When did you start having difficulties in finding a place to live? What was it like then? What happened
after that? (A story starter that could go in several directions. I will be interested in getting a housing
history and checking relationships (partners, whanau), the arrival of children, issues of employment,
trouble with the law, illness, barriers to change, etc)
2.
How did you come to live in a VisionWest home? What was it like to start with? How’s it been (good
parts and bad parts, for you , the kids, jobs, illness, trouble, etc)? What VisionWest support systems
have you used and what happened?
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Evaluation of Supported Housing
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UNITEC Research Ethics Committee – Focus Group, Interview, and Questionnaire schedules
3.
How well has it worked? What needs to change in VisionWest? Where would you be without
VisionWest?
4.
Where are you heading? What needs to happen?
195
__________________________________________________________________________________________
Tenant’s Questionnaire to be completed after the interview (or the focus group if the person does not wish
to be interviewed).
Housing Support Services for families/whanau and individuals
Who have experienced homelessness
Demographics: These will be captured in a brief questionnaire which will be handed out at the end of the
interview time, as follows: (This has yet to be formatted as a questionnaire)
1.
2.
3.
4.
5.
6.
7.
8.
9.
How long have you been a tenant with VisionWest?
How many people are living in your home? Adults, children
Taking everything into account, how satisfied or dissatisfied are you with the services provided by
VisionWest. Rating 1 -5
How satisfied or dissatisfied are you with each of the following services available as support services
to VisionWest tenants: Rating 1 – 5 for each:
a. Support from the Housing Social worker
b. Budgeting support
c. Counselling
d. Training and Employment
e. Advice on rent payments and tenancy matters
f. Support in moving you into your home
Of the following, which do you consider the most important? Tick no more than three boxes:
a. Keeping tenants informed
b. Overall quality of your home
c. Taking tenants views into account
d. Repairs and maintenance
e. Neighbourhood as a place to live
f. Value for money for your rent
g. Your Housing Social Worker
h. Your support plan formulated with your Housing Social Worker
i. Support services overall
How satisfied or dissatisfied are you with the following supported services? Rating 1 – 5 for each.
a. Help develop life skills
b. Information and advice
c. Help establishing social activities
d. Help managing my finances
e. How enquiries are dealt with generally
f. Monitoring health and wellbeing
g. Help accessing other services
h. Overall support service
How often are you in contact with your Housing Social Worker? Tick one:
a. More than once a week
b. Once a week
c. Less than once a week
d. Never
How often would you like to be in touch with your Housing Social Worker? Tick one:
a. More than once a week
b. Once a week
c. Less than once a week
d. Never
How satisfied or dissatisfied are you with the services provided by your Housing Social Worker?
Rating 1 – 5
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Evaluation of Supported Housing
Page 195 of
203
UNITEC Research Ethics Committee – Focus Group, Interview, and Questionnaire schedules
196
10. Generally, how satisfied or dissatisfied are you with the way VisionWest deals with repairs and
maintenance? Rating 1 – 5
11. Age
12. Gender
13. Family makeup
14. Ethnicity
15. Iwi/Hapu
16. Employment status
17. Income received from?
18. Income brackets
19. Do you receive the accommodation supplement?
Interview Questions for Representatives from Social Agencies:
Justice/Police; Health; Education;CYFS
Housing Support Services for families/whanau and individuals
Who have experienced homelessness
1.
Tell me about experiences you have had where you have seen the negative effects of inadequate housing for
at risk or vulnerable families? (in your community, effects on children, in relation to VisionWest tenants)
2.
In your view, what is the impact on a person’s life (for better or worse) in of services such as those
provided by VisionWest? (secure and affordable housing, housing social worker, wrap around services budgeting, counselling, life skill courses and training, impacts re children, school, the law, personal growth,
work)
3.
How effective is the VisIon West model of secure housing and social support services for people with high
and chronic housing needs? (in comparison to state based social housing (HNZ)
4.
What do you think are some long term solutions to assist at risk and vulnerable people who have been
homeless or had housing issues?
5.
Demographic details. Role generally and in relation to VisionWest,
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Guidelines for Researchers on Research Involving Maori
197
Unitec Research Ethics Committee
Guidelines for Researchers on Research Involving Maori
1/1/2008
1.0
Te Noho Kotahitanga: The Partnership and Maori Cultural and Ethical Values
Unitec states its commitment to the Treaty of Waitangi through the Partnership document, Te Noho
Kotahitanga. This document includes values that support Unitec in developing a meaningful
partnership with Maori. In relation to research ethics, Te Noho Kotahitanga states that ‘Unitec accepts
responsibility as a critical guardian of knowledge’ or ‘taonga matauranga’, therefore, UREC will act as
kaitiaki to ensure that Maori knowledge and processes in research be protected. In the spirit of the
partnership, all researchers have a right to include Maori into their research projects and with this right
is the responsibility to consult appropriately and conduct research in a culturally sensitive and
respectful manner. The Unitec Research Ethics Committee (UREC) has produced these guidelines to
assist researchers who intend undertaking research that may involve Maori participants (through
random selection), involve Maori, Maori centred research and kaupapa Maori research. For further
guidance, refer to the Health Research Council of New Zealand website: www.hrc.govt.nz or
Guidelines for Researchers on Health Research Involving Maori .
These guidelines are intended to inform researchers of:
a) when consultation is necessary; and
b) the processes involved in initiating consultation with Maori.
2.0
Consultation
The purpose of consultation is to ensure that the research practices are appropriate and that research
will be conducted to ensure safety for the participants, the researcher and Unitec. Appropriate
consultation endeavours to establish a foundation for a collaborative relationship between researchers
and participants.
2.1
Non-Maori researching Maori
Non-Maori are able and encouraged to include Maori participants into their research so that all New
Zealanders can benefit from the research. The exclusion of Maori in research or give Maori the right to
benefit from a share in what is ultimately state funded (tertiary) research. It is important that an
appropriate education in cross cultural research skills and cultural safety be available for the
researchers. Consider these three expected outcomes of nursing education for registered nurses:
c) examine their own realities and the attitudes they bring in relation to each new person they
encounter in their practice;
d) evaluate the impact that historical, political and social processes have on the health of all
people; and
e) demonstrate flexibility in their relationships with people who are different from themselves.
(Nursing Council of Zealand, 2005)
Cultural safety guidelines used by the Nursing Council go beyond ethnic difference to encompass
cultural diversity which includes members of differing sexual orientation and older people as well as
for adolescents, the definition of culture used here is broad.
2.2
Research that may involve Maori
Consultation with Maori may be required if the sample is randomly generated. Advice from UREC
members can be sought.
2.3
Research that involves Maori
Unitec Research Ethics Committee, last updated 1/1/2008
Guidelines for Researchers on Research Involving Maori
198
Consultation with either the Maori UREC members, appropriate members of the Unitec community or
the wider community will be required, if the research proposals involve Maori as participants or where
Maori data is sought and analysed.
2.4
Maori-Centred Research
Consultation with Maori UREC members, appropriate members from the Unitec community or from
the wider community will be required, if Maori are significant participants and where an analysis is
undertaken which produces Maori knowledge.
2.5
Kaupapa Maori Research
Kaupapa Maori research is research where Maori are significant participants, where the research team
is typically Maori, a Maori analysis is undertaken and Maori knowledge is produced. Maori tikanga
(protocols) and processes are followed throughout the research from the beginning to the
dissemination of results to participants. Consultation with Maori UREC members will be required, or
with appropriate staff members within Unitec, or appropriate members from the wider community.
3.0
Supervision
It is advised that research projects that include a Maori kaupapa or Maori are significant participants in
the research project, that Maori advisors/supervisors assist with the project.
4.0
The Research Proposal
Linda Smith (1996) provides a list of questions that can assist researchers when designing the research
proposal:
8.
9.
10.
11.
12.
13.
14.
15.
What research do we want to carry out?
Who is that research for?
What difference will it make?
Who will carry out the research?
How do we want the research to be done?
How will we know it is a worthwhile piece of research?
Who will own the research?
Who will benefit?
These questions will assist in forming research partnerships between researchers and communities and
involves a two way process of negotiation, trust-building and the sharing of information (Cram, 2001).
5.0
Informed Consent
Informed consent is generally required in written form. It may be more appropriate to acquire verbal
consent from individuals, whanau members, members of a hapu or iwi. This is acceptable as evidence
for informed consent.
Unitec Research Ethics Committee, last updated 1/1/2008
Mäori involvement with different models of research – some ideas
199
Mäori involvement with different models of research – some ideas100.
Characteristics
Description
Examples
Control
Analysis/
process
Mäori
involvement
Research where there is no
clear Mäori context
Small scale research on issues
Medium and large scale
relevant to Mäori
research on issues relevant to
Mäori
Mäori -Centred Research
Kaupapa Mäori Research
Research where the research Pilot studies, student research Research on issues that
Research on issues that
Research that is undertaken
question appears to have no
(below MA thesis level) where significantly affect Mäori in
significantly affect Mäori in
primarily or totally within a
important implications for
the emphasis is on learning
their day-to-day lives, and
their day-to-day lives, and
Kaupapa Mäori framework.
Mäori . As consequence, while research skills. The research
where significant resources are where the participants are
Typically, the participants are
Mäori may be participants there topic could include areas
being allocated to the research Mäori or from whanau where Mäori or from whanau where
is no requirement for their
relating to health, welfare,
(e.g. MA thesis and above).
there is a significant Mäori
there is a significant Mäori
participation, or for
education and social justice.
Unless this research is
dimension.
dimension, but it should also be
consultation around the
Exclusion of Mäori
specifically focussed on
possible to do Kauapapa Mäori
meaning of the data collected. perspectives and participants another cultural group (e.g.
research with participants from
may be justified on the grounds African Migrants), the
other cultures.
of reducing costs and
expectation is that there will be
complexity in small
Mäori participants and unique
exploratory studies.
Mäori perspectives.
Research not involving human Qualitative work with less than Moderate to large-scale
Any research where Mäori are Traditional study of
participants or materials of
20 or less participants, Surveys qualitative (>20) or quantitative the major participants, or where cosmology, study of cultural
cultural significance for Mäori. with 100 or less participants. research (>100) on smoking, Mäori resources are centrally determinants of health. Any
Much of product evaluation
Some clinical trials. Research diabetes, educational success, involved
research where Kaupapa Mäori
research. Research with a
on the education/health/
employment.
drives the methodology - e.g.
specific, acknowledged non- welfare system
could be an analysis of how
Mäori cultural focus.
crime is reported.
Mainstream/other culture
Mainstream/other culture
Partnership (not just with
Mäori
Mäori
mainstream, e.g. could be
Mäori /Pacific Island)
Typically non-Mäori, but may Non-Mäori, but should include Major elements of Mäori
Strongly Mäori, but may
Strongly Mäori, but may
include elements of Mäori
some elements of Mäori
knowledge and experience in include elements of non-Mäori include elements of non-Mäori
knowledge and experience
knowledge and experience
relation with non-Mäori
knowledge and experience
knowledge and experience
elements
Mäori familiar with the field of Mäori staff, students,
reserarch
professionals
Mäori researchers, supervisors, Mäori researchers, supervisors, Mäori researchers, supervisors,
kaumatua, kuia
kaumatua, kuia
kaumatua, kuia, whanau, hapu,
iwi
100
Adapted and extended from Cunningham, C. (1998). A framework for addressing Maori knowledge in research, science and technology. Te Oru Rangahau, Massey
University, Palmerston North, Massey University, p398
Unitec Research Ethics Committee, last updated 1/1/2008
Inputting data into a spreadsheet
200
INPUTTING DATA INTO A SPREADSHEET.
Probably the simplest way to analyse data is to input into a spreadsheet. Microsoft Excel is a very
commonly available spreadsheet that has some basic statistical capabilities.
A spreadsheet is simply a grid of cells. What makes spreadsheets powerful is that you can put an
enormous amount and variety of data and formulas in each cell and manipulate them in a wide variety
of ways. Spreadsheets are different from databases. With databases you have to define the type data
that will go into each cell before you input the data. Databases make it difficult to alter certain
fundamental relationships between pieces of data. Spreadsheets are enormously flexible in the way
they allow you to move and manipulate data, The advantages of databases are that once you have set
them up properly there is less chance of making mistakes, and they have greater computational power
which can be very important with large data sets. For small data sets, however, the computational
power of spreadsheets is fine and are easier to use because they are so flexible.
Setting up the spreadsheet
1. Make sure that the Autosave is on.
Computers often crash and you can
loose hours of data. Check the Tools
menu. If Autosave is not on the
menu go to the Add-Ins box and
click on Autosave. Click OK to
close the Add-Ins box. Re-open
Tools and click on Autosave and a
dialogue box will appear. Click the
Automatic Save Every box. Set the
period for autosave at 10minutes,
and click on the Prompt Before
Saving box. Click OK to close the
Autosavebox. This means that every
ten minutes a dialogue box will
appear asking you if you wish to
save your data.
2. Number each questionnaire or report with a identifying number (1,2,3….).
The first column of data (column A) sets out your identifying numbers. This
will allow you to go back to your raw data if later you feel you have made a
mistake in your inputting or you accidentally erase information.
3. Create a column for each sub-question of you questionnaire, and for every
piece of demographic data. In the first row type in:
 The question number
 The question in full (or at least so it is totally clear)
 The coding for the question
Where there are sub-questions or the need for further description you may
need to use the first two rows for column labels.
4. When you type into the spreadsheet you often won’t be able to read all the information that is in
each cell unless you click on the actual cell. The data is then readable on the cell-bar at the top of
Inputting data into a spreadsheet
201
the speadsheet. The data labels (the first row above) will look like this – giving you enough
information to identify what else is in the cell (see below).
6. Coding can be a letter or a
number, although it is
desirable to use numbers
where possible as letters are
often converted to numbers
where a scale can be created.
Above data is entered using
the 1-7 scale for column B.
Participant 1 at “5” is has
moderate to high energy. +1
or –1 values are used for
columns C
through to P,
where 1 means,
for example, that
participant 1 was
well prepared for
class, and –1
means that s/he
had a poor sleep.
Participant 3 did
not use any of the evaluation categories set up in columns C to P, but wrote a comment which is
inputted in Q5 and can be read on the cell bar above.
Further along
in the
spreadsheet we
just use “1” or
a
blank cell, when coding the demographic data. “1” means the factor was present – e.g.
participant 1 was not feeling unwell.
9. In Excel you can split the screen into four screens looking at the same data, but in different parts.
This allows to always to keep your identifying number and the data labels always visible, so you
always know on which participant and question you are on. To spit the screen in two, horizontally,
go to the horizontal pane tab at the top right of your screen and drag it down under the first line
of data (row 3). The vertical pane tab is in the bottom right hand corner. Drag this to the left until
only the identifying numbers and the first column of data are to the left of the dividing line
(columns A and B). Your screen should look something like the picture below.