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Participatory Action Research and Social Change

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Participatory Action Research and Social Change PARTICIPATORY ACTION RESEARCH AND SOCIAL CHANGE Daniel Selener Published by The Cornell Participatory Action Research Network Cornell University Ithaca, New York, U.S A. Copyright © 1997 by Daniel Selener All Rights Reserved No parts of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage or retrieval system, without permission from the author, except in the case of brief quotations. To request permission from the author please see address below. Second Edition, 1997 Cataloguing-in-Publication Data Selener, Daniel, 1956- Participatory Action Research and Social Change / Daniel Selener - 2nd. ed. Include Bibliographical References ISBN 9978-95-130-X (paper) 1. Participatory Action Research. 2. Participatory Research in Community Development. 3. Action Research in Organizations. 4. Action Research in Education. 5. Farmer Participatory Research. 6. Political Change. 7. Social Change. 8. Empowerment. I. Title ISBN 9978-95-130-X HOW TO ORDER The cost of this book is 30 US dollars, postage included. To order, send check in US dollars payable to GLOBAL ACTION PUBLICATIONS, issued from a bank located in the USA; or send check in any European currency (equivalent to 30 US$) issued from a bank located in Europe. Mail check to: GLOBAL ACTION PUBLICATIONS Apartado Postal 17-08-8494 Quito, ECUADOR (South America) For more information you can contact Daniel Selener at fax (593-2) 443 763 / e-mail: [email protected] CONTENTS Preface 1 PARTI THE FOUR MAJOR APPROACHES TO PARTICIPATORY ACTION RESEARCH Chapter 1 Introduction The Four Major Approaches to Participatory Action Research 7 Chapter 2 Participatory Research in Community Development Introduction 11 Origins of participatory research in community development 13 Definition and main focus of participatory research in community development 17 Main components and characteristics of participatory research in community development 18 Underlying assumptions of participatory research 21 Types of participatory research according to epistemological assumptions 30 Key issues regarding epistemological assumptions 32 Role of the researcher in participatory research 35 Methodological guidelines for conducting participatory research 39 Intended outcomes of participatory research 42 Case study 44 Chapter 3 Action Research in Organizations Introduction 55 Origins of action research in organizational development 58 Definition and main focus of action research in organizations 6l Main components and characteristics of action research in organizations 64 Underlying assumptions of action research in organizations 69 Epistemological assumptions 72 Role of the researcher in action research in organizations 75 Methodological guidelines for conducting action research 78 Intended outcomes of action research in organizations 85 Case study 86 Chapter 4 Action Research in Education Introduction 95 Origins of action research in education 97 Definition and main focus of action research in education 102 Main components and characteristics of educational action research 106 Underlying assumptions of action research in education 112 Main types of educational action research 113 Epistemological assumptions 116 Role of the researcher in educational action research 120 Methodological guidelines for conducting action research in education 123 Intended outcomes of action research 131 Case study 135 Chapter 5 Farmer Participatory Research Introduction 149 Origins of farmer participatory research 151 Definition and main focus of farmer participatory research 157 Main components and characteristics of farmer participatory research 159 Underlying assumptions of farmer participatory research 164 Main types of farmer participatory research 170 Epistemological assumptions of farmer participatory research 175 Role of the researcher in farmer participatory research 177 Methodological guidelines for conducting farmer participatory research 179 Intended outcomes of farmer participatory research 184 Case study 185 PART II REFLECTION, DISCUSSION AND IMPLICATIONS FOR SOCIAL CHANGE Introduction 199 Chapter 6 Participation, Democracy, Power and Control Types of participation 203 Cases illustrating technical participation 208 Cases illustrating political-empowering participation 217 Cases illustrating pseudo-participation 225 Concluding comments on types of participation 235 Concluding comments on democracy and empowerment 236 Chapter 7 Participation, Power, and Control of the Research Process Control of problem definition and the research process 239 Concluding statements on problem definition and the research agenda 245 Comments on the use of results and control of change 248 Control of the setting in which research takes place 249 Who benefits? » 251 Comments on the question of who benefits 252 Context in which the research process takes place 253 Comments on the influence of context in participatory action research 256 Chapter 8 Theories of Social Change in Relation to the Focus of Research and the Nature of Change Evolutionary and neo-evolutionary theory 262 Structural-functional theory 263 Systems theory 263 Marxist and neo-Marxist theory 264 Cultural revival and social movement theory 264 Anarchistic and uthopian theory 265 Social change theories and participatory action research 265 Comments on theories of social change in relation to participatory action research approaches 271 Chapter 9 Implications for Practice Implications for Practice 275 BIBLIOGRAPHY Bibliography for Chapter 2 Participatory Research in Community Development 281 Bibliography for Chapter 3 Action Research in Organizations 297 Bibliography for Chapter 4 Action Research in Education 315 Bibliography for Chapter 5 Farmer Participatory Research. 335 ACKNOWLEDGEMENTS r-fs^&i&psr* Many people have intellectually, morally, and politically sup­ ported me in the process of writing this book. My deepest debt is to my wife Paula and my daughters Laila and Maya. Without their love, patience, courage and sacrifice this book could not have been written. I am deeply indebted to my colleague and friend David Deshler. The words of thanks I can offer to him can never do justice to what I truly owe him. His political and moral values, enthusiasm, generosity, and support have sustained and inspired me throughout my days at Cornell University. Thanks also for contributing with funds to support the publication of the book. A sincere thanks also goes to Jennifer Greene from whom I ben­ efitted from her knowledge of research and evaluation, and friendship. A la Abuela Dora y al Abuelo Marcos por su amor y por haberme ensenado la importancia de la educación y el trabajo. A Mamâ Susana (Batata) y a Papa León por su amor y ejemplos. Gracias al pensamiento politico de Mao, el Che y Fidel; y a los companeros Eduardo Galeano, Juan Gelman, Mario Benedetti, y Haroldo Conti, que influenciaron mi pensamiento politico entre vaso y vaso de vino cuando yo era todavia un nino. I am greatly indebted to Interlibrary Loan and Reference Desk staff at Mann Library of Cornell University who helped me to obtain obscure and buried material on participatory action research, with dubious titles, unknown authors, and uncertain sources. Special thanks are due to Evelyn Aaron, Betsy Bush, Cathy Chiang, Nancy Dailey, Mark Desillas, Howard Raskin, Marty Schlabach, and Ed Spragg. Without their excellent skills, patience, and love for what they do I would not be able to have even half of the 1,200 references I used for this study. A very special thanks to my "jefes" H. David Thurston, Robert Blake, Ronnie Coffmann, and David Lee for giving me the Assistanship that enabled me to continue my studies and complete my Ph.D. alive (roof, clothing, rice, beans and cassava). I would also like to thank my parents-in-law, Elizabeth and Abraham Weiss for their love, support and constant provision of com­ pact discs, one of my main sources of energy. Special thanks to Mary Ellen Fieweger and Eric Blitz for their editorial suggestions and corrections. PREFACE In the fall of 1989, while designing the course I was scheduled to teach the following semester at Cornell University, "Participatory Research and Development," I conducted an extensive review of the literature on participatory research in community development. Initially, I limited my search to material related to the term "participa­ tory research." However, I frequently came across other, apparently related terms, including "participatory action research," "action research," "participatory inquiry," "collaborative inquiry," "action inquiry," and "cooperative inquiry", among others. Thus, I began to wonder if participatory research in community development might be one among a number of research approaches whose practitioners view the individuals with whom they are working as "subjects" and active participants in research activities rather than "objects" to be studied. It should be understood that, at this point in my search, I was looking only for literature related to participatory research as understood and accepted by radical scholars, intellectuals, and practitioners in the com­ munity development field. Occasionally, I would glance at articles which, according to my orthodox ideological views, were unacceptable because they did not conform to my radical political paradigm. I labeled any other participatory research approach "pseudo-participato­ ry research," thoroughly convinced that the participatory research I was familiar with was the only legitimate
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