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HEA Action Research: Practice
Guide
Lydia Arnold, Harper Adams University
Lin Norton, Liverpool Hope University
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About the authors
Lydia Arnold
Lydia Arnold is an Educational Developer and Principal Lecturer at Harper Adams
University. She has specific responsibility for academic staff development,
professional recognition, and the university’s e-Learning team. Lydia has undertaken
her own action research in relation to distance learning pedagogies and
international staff development. She has led the development of four different
successful postgraduate programmes that have been underpinned by action
research. This provision has supported practitioners in higher education, volunteers
working in international development, and work-based learners in the rural
economy. She has assisted colleagues involved in undertaking action research by
acting as a critical friend and by facilitating institutional learning sets. Earlier in her
career, Lydia was part of a team at Anglia Ruskin University that developed the
‘Ultraversity’ degree programme, which offered an online, undergraduate research-
based degree for individuals in work to develop their professional learning through
action research methods and reflective projects. Lydia is a Senior Fellow of the
Higher Education Academy, a Certified Member of the Association of Learning
Technology and she holds a Doctorate of Education. She has a range of publications
relating to assessment, feedback, online learning and work-based learning curricula.
A detailed list of Lydia’s publications along with reflections on her ongoing
educational development work can be found at: http://www.lydiaarnold.net.
Lin Norton
Lin Norton is an Emeritus Professor of Pedagogical Research at Liverpool Hope
University, and a former visiting Professor at the University of Ulster in the Centre
for Higher Education Research and Practice. Before retiring in December 2010, Lin
developed pedagogical action research as a community of practice within Hope. This
work was recognized nationally in 2007, when she was awarded a National Teaching
Fellowship. Lin is a chartered psychologist and an Associate Fellow of the British
Psychological Society, combining her social science training with her
practitioner approach to learning and teaching. In her ‘retirement’, Lin continues to
champion pedagogical action research and is invited to give workshops and
seminars in the UK and abroad. She has written extensively on the subject, including
a book, book chapters, and journal articles, and has a specific interest in the
affordances that action research gives to continuing professional development in
higher education.
A detailed list of her publications can be found on her website:
http://www.linnorton.co.uk/
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Contents
1. Introduction 4
2. Background 5
3. Defining action research 9
4. Key characteristics of action research 12
5. Relationship to the UK Professional Standards Framework 17
6. Focus on professional values 19
7. What action research means 21
8. What action research does not mean 24
9. Developing an action research project 25
10. Locate a model of action research 27
11. Ethics 29
12. Presenting action research 31
13. Summary 32
References 33
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1. Introduction
This resource has been written specifically for higher education practitioners who are
interested in improving students’ learning experiences through the process of
researching their own practice. We use the term ‘higher education practitioners’ to
describe all who work in universities and who have a stake in students’ learning
experiences. Although not exhaustive, this would include all lecturers and university
teachers (including associate, part-time and hourly paid); professionals such as
librarians and information technology experts; and support specialists such as
counsellors, disability advisors, and those working in careers and employability. For all
these professionals, action research would be equally useful whether early, mid, or
late career.
We have carried out action research ourselves and have promoted this approach to
improving learning and teaching in universities. We thus appreciate both the value
and the challenges of carrying out action research in the current higher education
climate. This guide is intended for practitioners who have not attempted any form of
action research before. It is written in a practical and accessible style, which might
appear at times to be basic, and we are not claiming that the approaches we put
forward are definitive. Instead, we have attempted to synthesise – from our own
experiences and those of colleagues – some suggestions that might serve as a useful
starting point.
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2. Background
Action research is an approach that has been originally attributed to Kurt Lewin
(1946), who developed the process in relation to social issues. In terms of its
application to education, it is generally accepted that it originated in the Nuffield
Foundation and School Council’s Humanities Curriculum Project (1967-1972) reported
by Lawrence Stenhouse (1968). Stenhouse was the director of the project and his
concept of the ‘teacher as researcher’ (Stenhouse 1975) has been influential in the
evolution of teacher-based action research. Since these early beginnings, many forms
and types of educational action research have proliferated, so a straightforward linear
history is difficult to trace. Part of the reason is that, as Tripp (2005) suggests, action
research is “a natural process” that comes in different forms, and its development has
been different according to its applications.
Broadly speaking, we take the view that action research in a higher education context
should be seen as more than a tool for professional practitioner development,
although it is increasingly being seen in this light since the advent of postgraduate
certificates in higher education. Likewise, we believe that action research must be
more than simply evaluating the effectiveness of practices or an approach to improve
techniques of teaching and/or assessment. This would risk preserving the higher
education status quo rather than seeking to understand it in the broader social
cultural and historical context that examines the education of students for a better
society (Kemmis 2006). In addition to evaluating actions, action research should raise
questions, and change and challenge the assumptions that underpin practice. As
Noffke (2009) suggests:
Action research is part of the process of constructing what it means to be an
educator, and involves interconnections between the identities of the
researcher and the researched (Noffke 2009, p.19).
The purpose of action research in higher education is to improve matters through an
emancipatory goal in which we contribute to a theoretical knowledge base to advance
the scholarship of teaching and learning. We do this by reflecting on institutional and
societal constraints to our work and to our students’ achievement. It is, therefore,
particularly appropriate in an education context where learning and teaching issues
could be seen as what Ramalay (2014) terms “a wicked problem.” This more political
purpose challenges existing educational practices rather than simply accepting them
and trying to work within their confines both disciplinary and generic. By example, a
lecturer encouraged students to write Psychology essays that demonstrated an
independence, reflecting their own ideas while knowing at the same time that unless
they used Psychology writing conventions, such as using evidence to support their
arguments (Miller, 2014), they were likely to be penalised and get lower marks.
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An action research approach would challenge these conventions in exploring how
Psychology teachers deal with students who include personal experience and
opinions in their written assignments, leading to the much deeper debate of “why
psychology is (or should be) a science” (O’Siochru and Norton 2014, p 102).
Action research in universities is not without constraints, but to be aware of them
provides us with the means to defend them more robustly. Norton (2014), for
example, described five challenges of doing pedagogical research that apply equally to
pedagogical action research. These are that:
1. The term itself is poorly understood
2. It is frequently less privileged than subject research
3. There is an assumption among some researchers that it should be scientific or
it is of no value
4. Methods can be perceived as ‘amateurish’
5. It should be discipline-based
Such challenges can, and should, be met by making sure pedagogical action research
is opened up to peer scrutiny, that the methods we choose are transparent, robust,
and that we link our research to theoretical understandings at the core of learning
and teaching. Notwithstanding these potential obstacles, the value of action research
in higher education is that it enables us to take action on our teaching and/or
assessment practice in order to improve our students’ learning experience, and to
better understand why or how things work in the bigger context. It has particular
appeal for all of us who are higher education practitioners and who want to not only
reflect on but to improve our practice.
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Some real examples of practitioners undertaking action research to improve and
understand include:
2. An economics lecturer used action research to introduce in-class quiz
technology to bring about more interactivity in lectures. She set out to
challenge the transmission mode of delivery that was her modus
operandi, and to improve learning gain for non-Economics majors. Her
use of digital quizzes allowed her to formatively monitor students’
performances through the responses collected. When students
displayed signs of consistent misunderstanding through their in-class
quiz results, the lecturer then offered early intervention support, in
the form of one-to-one meetings. The reconnaissance stage of the
research helped her to understand how the use of quizzes can be
optimized, and a student survey along with tutor observations
generated data to evaluate the action and assess the implications of
this approach. This work led to new collaborations with colleagues as
others became interested in her research. It led to a ripple effect
among her colleagues as others began to challenge transmission
pedagogies and adopt interactive technologies. (More about this
example can be found in Mu and Paparas 2015.)
1. A lecturer in soil and water management observed that her students
were struggling to engage with specific higher-level concepts within
her discipline. After discussing the issue with colleagues and having
experienced the flipped classroom model as a student herself, she set
out to explore how it could promote deeper meaningful engagement
with troublesome concepts. Through exploring literature, she
identified some of the characteristics of effective flipped classroom
techniques, and then implemented small-scale changes in two
carefully chosen classes. She asked the students to feedback on their
experience using a questionnaire. With confidence gained from a small
pilot cycle, the lecturer went on to ‘flip’ more lessons in other modules
while continuing the research in the pilot study. A series of focus
groups helped her to understand the impact of her changes and
helped her to further refine the method. This approach showed a
controlled evidence-driven method for transforming teaching practice
and better understanding the ways in which learners learn.
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3. A librarian wanted to encourage academic colleagues to make better
use of reading lists within their teaching. She realised that it would be
unhelpful to launch straight in to an action where other people are
expected to change their behaviour. Before formulating an action she
set out to build relationships, mutual understanding and shared goals
with the stakeholders around this issue. She conducted a staff survey
to understand how staff used reading lists and to establish colleagues’
knowledge of the current services available. She then wanted to dig
deeper and so held one-to-one interviews with academic colleagues to
gain a more detailed understanding of their experiences of making
decisions about in-course reading. Through this process of data
collection, staff awareness of library services was enhanced; being
asked questions about library use promoted reflection and discussion
by those academics involved. The librarian gained a greater
appreciation of the impediments to staff engagement with library
services, and developed greater empathy for those difficulties. An
action was then formulated to facilitate more active engagement of
lecturers with library services. This involved regular invitations for new
stock to be requested, library ‘visits’ to academic departmental
meetings and staff development around book selection. This worked
to ease the difficulties that academic staff cited as affecting
engagement, and promoted continued efforts to keep building
relationships between library staff and academic teaching staff. It was
an action formed with colleagues rather than on colleagues.
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3. Defining action research
Having discussed some of the complexities of action research, in this section we offer
a pragmatic approach that will enable readers to begin carrying out an action
research study of their own.
Action research is a type of inquiry that is:
practical as it involves making change to practice;
theoretical as it is informed by theory and can generate new insights;
collaborative as it encourages engagement with others in the process;
reflexive as it requires practitioner researchers to keep their own knowledge,
values, and professional activities under review;
contextual as it acknowledges institutional, national, historical and societal
influences.
There are as many definitions as there are different types of action research but one
that is relevant for education is by Zuber-Skerritt (2012) who in an edited book states
that the contributors conceptualise it “as a paradigm, a methodology and a ‘practice-
changing practice’ that requires a commitment to non-negotiable, quality of life-
enhancing values” (Zuber-Skerritt 2012, xi; our emphasis). We have emphasised the
phrase ‘practice-changing practice’ as it highlights both the action and the context of
action research. We have also emphasized ‘values’ as this is an important
characteristic for many educators and others who work in a higher education context.
Action research is often associated with education and health contexts, but it can also
be found in agriculture, international development and management research (see
e.g. Sanga et al. 2016; Ulsrud et al. 2015). In higher education, action research has
been associated with studies related to a range of issues and challenges. Gibbs et al.
(2017) identify the approach as being used in relation to the issues of social justice in
higher education, institutional development, curriculum development, and innovative
and critical pedagogies.
Action research is an approach to research which enables problem solving and
knowledge generation (Coghlan and Brannick 2014). It offers a framework of broad
steps, which can guide research on or through practice. The precise steps vary
between authors, but typically include stages that encourage practitioners to:
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1. Look at their practice and assess where change may be valuable
2. Explore the context in which they are operating, and identify possible actions
to enhance practice
3. Implement an action
4. Systematically evaluate the action
5. Articulate learning from the process
6. Re-assess practice and consider opportunities for a further cycle of research
At all stages in this process collaboration with stakeholders, and especially students, is
encouraged.
While action research is often underpinned by these stages, it is important to
recognise that practice-based research is rarely neat and linear (Cook 2009). Because
of its real-world focus and its emphasis on change action research is necessarily
messy. The research can take twists and turns, and lead to unexpected places. This
can leave the researcher confused and unsure about how to proceed, but this is a
normal part of the process and can usually be resolved. When working in such
complexity the action researcher needs to reach decisions and ways forward based
on evidence and good judgment, and after reflection.
Often it can be helpful to write playfully, or talk with others to make sense of the haze
that can occur when research is ongoing. Sometimes drawing the cycles of research
can help to crystalise what has gone on, and it can help identify possible next steps.
While action research requires us to assess any actions, it does not prescribe how to
do this (Coghlan and Brannick 2014). Irrespective of the actual methods used, what
separates action research from other types of research is that it contributes to driving
change or enhancements to practice. These may be significant changes or more
incremental changes.
Action research can also help practitioners to affirm aspects of their practice and their
tacit knowledge. However, Herr and Anderson (2015) caution that insider practitioner
researchers could be tempted to put a positive ‘spin’ on their data to reinforce existing
ways of working, because they believe in their particular practices. One way of
lessening this risk is by opening up our research to peer scrutiny through
dissemination, either formally through publications and conference presentations, or
informally through discussion with trusted colleagues (Norton 2009). To ensure
robust feedback from peers and colleagues, and to avoid the risk of cosiness, McNiff
(2017) suggests that the formation of specific research review groups (called
validation groups) can be a fruitful way of facilitating ongoing scrutiny research. Such
groups set out to ask questions, provide critique and check whether claims can be
substantiated.
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In a higher education context, action research has the potential to impact teaching
and learning. Particularly, as a long-term philosophy, action research encourages
effective evaluation of new methods (Goodnough 2011). This process can be
enhanced by students acting as research partners (Tsfafos 2009; Brown, Brown and
Mountford-Zimdars 2017). Published practitioner action research projects include
studies relating to the development of feedback practice (Mansour 2015), enhancing
teaching through technology, and developing active and authentic pedagogies (Cronin
and Lowes 2016; Thorley, Marjoribanks and Kranz 2014).
The impact on students on these types of research activities can occur through
different channels, including:
as a direct result of actions that form part of the research project. For example,
students of a tutor whose research involves developing more interactive
techniques for lectures may benefit from a deeper, more engaging learning
experience;
as a result of actions and recommendations which arise out of the project. For
example, a project to understand the experience of vocational students’
transitions into higher education might generate appreciation of the specific
challenges faced by this group of students, which in turn can lead to changes in
attitude and changes to the transition support put in place within an institution;
through the development of staff–student and collegial relationships arising
from working together on a piece of research. Staff working with action research
may engage with students in a different forum as part of their research through
focus groups, for example. In these spaces, the relationships between parties
shift and students can feel that their views are valued and appreciated. Likewise
through formal and informal collaboration with other staff in the development
of research, relationships can be strengthened.
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4. Key characteristics of action research
Action research follows a pattern that always involves planning, then making a
change, and then reviewing the situation to generate learning (Lewin 1946). There are
many models of action research that break these key phases down into smaller steps.
Zuber-Skerrit (1996, p. 2) describes four steps in the process: (i) strategic planning, (ii)
action, (iii) observation, evaluation and self-evaluation, and (iv) reflection and planning
a next cycle of research. Similarly, Coughlan and Brannick (2014, p. 6) describe four
steps in the research process: (i) planning, (ii) taking action, (iii) evaluating the action,
and (iv) further planning. Whereas Piggot-Irvine (2016) presents a six-stage process,
which includes an initial “preparation phase” in which the researcher’s values and
principles are made explicit. Her model also includes a reconnaissance step of
“becoming informed” (p. 2), before taking action. In practice, this process may involve
a literature review and an investigation of context. Common steps in action research
models are summarised in Figure 1 below.
Figure 1: Typical steps involved in action research
Adapted from Arnold (2016)
Identify issues or challenges in
practice
Review possible interventions and select a course of
action
Implement action Collect data to evaluate the
action
Reflect on learning
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As various authors articulate the steps of action research in cycle-style diagrams, we
can sometimes forget that:
the steps should be collaboratively undertaken wherever possible;
in reality, the cycles rarely look quite so neat;
reflection should happen throughout the research process and not just at
specific points. A reflection stage requires distinct identification within models to
provide a prompt to pause for thought, ask ‘Where next?’ and to articulate
learning, but the reflective researcher should ask questions at every stage,
constantly keeping their work, research, relationships and learning under
review.
There are a number of similarities between action research models and models of
reflection, this is because both activities are part of a family of approaches to
developing practice. Compared to reflective practice or thoughtful action, action
research is more thoroughly planned, more formal, is likely to have an audience and
is probably undertaken less frequently. Unlike reflection, it involves data collection. It
is, therefore, outward looking and open to peer scrutiny. (For a comparison of action
research and reflection see Tripp 1995.)
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In all models, action research is depicted as a cyclical process where planning/taking
action/evaluating leads to a next cycle which moves the action, learning and research
on to new levels. Sometimes cycles will be neat and sequential, and other times new
lines of inquiry will develop as a spin-off cycle.
An example of a non-linear action research project
Lillian was a lecturer in her third year of teaching. She wanted to develop her
teaching practice in relation to large groups, particularly as she felt students
were often distracted in her classes. She wanted to look holistically at her
practice rather than make a single change, and as well as making interventions
for enhancement, she wanted to better understand the ways in which students
learn in large lecture settings. Lillian developed multiple cycles or strands of
investigation, relating to the use of technology, voice intonation, in-lecture
activities, and exploring opportunities for student generated content. These
strands were related under the umbrella of enhancing large group teaching,
but they do not fit neatly in to a sequential plan. The actions were concurrent
and overlapping. The strands of research needed to be brought back together
if coherent learning was to be located. To bring the cycles back together, Lillian
first created a personal action list for her own future teaching activity. This
collated all of the practical tips that she had found to be effective in large
group teaching. The list synthesised her learning. By also systematically
reviewing all of the data collected in response to specific interventions, Lillian
gained deep insights into student perceptions of, and behaviours in, lectures.
She learnt how students used their mobile phones both productively and as a
distraction, she gained understandings of the conditions under which students
took effective notes, and she identified how external events in students’ lives
affected their levels of engagement. These insights challenged her own, and
her colleagues’ prior assumptions about how students learn. In turn, this
learning fed in to institutional dialogue about expectations of students and
staff in lecturers.
Finally, Lillian was able to step back and take stock of her overall practice after
completing this project. Through a meta-reflection, which involved looking
back on her learning from the totality of the project, she was able to gain
confidence in her abilities as a lecturer. She could see the benefit in continual
engagement with students to understand the effectiveness of her teaching.
She embraced the benefits of engagement with colleagues as a means to keep
bringing ideas in to her repertoire of methods. These overarching realisations
were important in bringing about professional resilience and the skills for
fostering ongoing enhancement.
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While there is a great deal of commonality in descriptions of how to undertake action
research, there is disagreement in the literature about what the balance should be
between taking action and undertaking research (McNiff 2017). Confusion over this
point can lead to questions such as ‘Do I have enough data?’ and ‘Is my action
substantial enough?’ There is no definitive answer to how much ‘action’ is needed, and
how much ‘research’ is required. West (2011) suggests that pedagogic research
becomes action research when it leads to action or practitioner development, while
others require the taking of an action step (Ebbutt 1985). Two different types of
projects are illustrated below to demonstrate the differing balance between research
and action that is possible. It is hoped that the case studies presented alongside this
resource will help you to make a judgement when developing your own project.
An action research project with a greater focus on ‘action’
compared to ‘research’
Alex, a business lecturer, recognised that international students were
struggling to identify with the British production context after transferring to
her UK course. As such, she created a ‘virtual field trip’ to assist. The
development of the learning object took the form of an online video walk
through of a British food production plant. This was peppered with questions,
commentary and links to further information. The design was informed by
desk-based research, colleague engagement, and student engagement.
Through a desk-based study she identified the approaches that she should
take to create the resource. Particularly, she considered multimedia tools and
accessibility issues. She worked collaboratively with an e-Learning team to
storyboard and script the learning object. She got feedback on the first draft
of the resource from colleagues. She refined the resource in light of feedback.
Once the resource was in use, Alex undertook a class survey to understand
whether students perceived the intervention to be helpful, to establish how it
could be further developed and how it was used to help learning. Alex also
went on to look at the trend in students’ grades in the relevant module.
Overall the balance of effort in this project was more towards ‘action’ with
research being limited by the volume and breadth of data collated.
Nevertheless, in the process Alex learned a great deal about e-Learning
development and cultural differences in the manufacturing context. Her work
is impacting students directly. It has provided valuable professional
development, and she may be able to create further materials of this type. She
has also become the ‘go to’ person among colleagues for the creation of these
types of resources and has disseminated her learning among peers.
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An action research project with a greater focus on ‘research’
compared to ‘action’
Rohan, a senior librarian, wanted to understand how he might develop
reading spaces. Before he set about making any changes to practice, he
wanted to listen to student views and understand how students use different
spaces and where learning happens on campus. Through this appreciation
he could then make specific plans. Rohan’s action was therefore to engage
with students to better appreciate their views and experiences. He
undertook six focus groups, and in so doing collected a significant amount of
qualitative data. He conducted open coding on his data and identified key
themes. Rohan then identified actions which might be appropriate based
upon his initial student engagement.
Through this process, Rohan had his preconceptions challenged and came to
understand much more about the importance of informal learning spaces.
Here the action (of student engagement) was relatively small but the data
collected and the systematic methodologically rigorous analysis led to an
effective action research project. Moreover his findings informed his
institutional Campus Estates and Learning Spaces Committee decision-
making, and the library’s operational plan. His published work added new
insights to inspire and inform the work of others beyond the institution.
Rohan was initially concerned that his ‘action’ was not as easily identifiable as
Alex’s; but his work followed the spirit of action research, was
methodologically robust, and led to enhancements in practice. His research
could be framed as an extended reconnaissance or as a full action research
project where the ‘action’ was in the engagement with students.
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5. Relationship to the UK Professional Standards
Framework
There is great synergy between action research and the UK Professional Standards
Framework (UKPSF) (HEA 2011). Action research can sometimes feature as part of
formal programmes which have UKPSF alignment or HEA accreditation, and it can be
used as a form of scholarship that can make a contribution to individual claims for
recognition or good standing. Understanding how action research and UKPSF can
work together may be useful to leaders of university staff development, reviewers of
UKPSF claims, and individual practitioners. Some potential links between the UKPSF
and action research are articulated below.
1. A framework for self-development
An evaluative review of personal practice using the UKPSF Dimensions of
Practice as prompts for reflection can help to locate topics for an action
research project. This can also help identify areas of activity or understanding
that could be usefully advanced to strengthen a claim for recognition or to
maintain good standing and currency. While self-development is an important
potential motivator for action research, we must also take care that this aim
does not usurp the needs of students.
2. A means of advancing engagement with the Areas of Activity
Action research may be undertaken to deliberately develop practice in one or
more of the Areas of Activity (A1-A4) where there are challenges or
opportunities. Research projects on teaching methods, effective use of
assessment rubrics or feedback technologies, the creation of pre-class study
materials, or enhancing learning through greater use of the physical campus
are all examples of projects that could be readily mapped to Areas of Activity in
the UKPSF. Using action research to explore and enhance these Areas of
Activity can provide space for us to think deeply about issues, as it is sometimes
difficult to make this time in the course of practice.
3. Engagement with specific Dimensions of Practice
Action research can make valuable contributions to anyone seeking to
demonstrate evidence in the Area of ‘A5’, which relates to ongoing professional
development and in the Professional Values of ‘V3’, which relates to pedagogic
research and scholarship.
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4. Strengthening Core Knowledge
Core Knowledge about practice can be developed through the reconnaissance
phase of the action research project. Knowledge may also be strengthened by
collaboration and discussion with others through the project process, new
insights gained in light of data collected, and learning about the actual process
of research (e.g. including K5 methods of evaluating the effectiveness of
teaching).
5. Understanding student needs
If action research is undertaken collaboratively with students, as ideally it
should be, then the process can facilitate a better understanding of the needs
of individual students (V1).
6. Leading others
Sharing action research can start to contribute to the process of influencing the
practice others, as is a requirement of Senior Fellowship of the HEA. This might
be through internal institutional events, papers, social media, or other forums.
If action research does form part of ongoing work towards Senior Fellowship,
then it is important to be aware of any evidence of impact on others so that this
might be reflected on in an application or good standing review.
7. Integrated scholarship
Given the link between theory and practice in action research, this form of
scholarship is one way to demonstrate point ‘V’ on Descriptor 2 (Fellowship)
and Descriptor 3 (Senior Fellowship), which requires the “Successful
incorporation of subject and/or scholarship … as part of an integrated
approach to academic practice” (HEA 2011, p. 5).
8. Ethics and the wider context
The exploration of ethical dilemmas related to action research can work to
connect the research to issues in the wider context (V4). For example, questions
about data usage and data protection may link to current legal requirements,
while dilemmas about consent can bring to mind questions relating to the
nature of the relationship between individual staff and their students. In
addition, many of the issues addressed by action research at the practitioner
level will relate to events, trends and national policy. For completeness, action
researchers should frame their work in the broader context.
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6. Focus on professional values
Action research can help us to consider personal beliefs and values, for example,
about our feelings towards inclusive practice or about the role of a higher education
practitioner. To develop as a professional, it is important to continually review beliefs
and assumptions. See the following hypothetical example about Jon, an early career
associate lecturer in history:
Here, Jon comes to challenge his own beliefs about what it is to be a university
teacher. Not all action research will result in such big realisations, but it should cause
us to question how we work and practice. Part of the action researcher’s mind-set
should be to look at his or her underlying beliefs and values. Sometimes this is easier
to do when working with others who might pose probing questions (see e.g. Reynolds
and Vince 2017).
Some practitioner researchers struggle to explicitly consider their changing beliefs
and values, as this can be quite an abstract process. Helpfully, UKPSF can provide
prompts for thinking about values. We can ask, for example, what I believe about
ensuring the needs of diverse learners are met (V1); how my work is truly upholding
my beliefs around equality (V2); and whether my beliefs fit with current evidence (V3).
Through an action research project about group work in his module, Jon
concluded that some techniques worked better than others and that the
room lay out and marking criteria all influenced success. This was all useful
knowledge. What surprised Jon the most though was through this project he
became uncomfortable with how he had previously taught; not just the group
in the project but all groups that he worked with. It was like a penny
dropping. Jon realised that he was working in a comfort zone where he was
doing most of the talking and students were listening. Running this project
has produced more than ideas for Jon on organising group work, it has
challenged him to consider a shift in his teaching from being a ‘sage on the
stage’ to becoming more of ‘a guide by the side’. He did not plan to feel like
this when he began the action research but the experience and reflection has
given him a sense that he needs to address this throughout his teaching. He
decides to make a start by researching literature related to team-based
learning.
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The treatment of values is important, as this is where our deepest personal learning
occurs in action research (in addition to learning about the effectiveness of one or
another action or intervention). By example, in Figure 2, an individual changing their
teaching practice to embrace inclusive methods undergoes a very personal transition
or in Gravett’s (2004) terms, transformative learning.
Figure 2: A personal transition through action research
The consideration of personal beliefs and values is an important part of action
research, according to McNiff (2016); the ‘action’ part of action research should be
both “in-here” in one’s own mind, and “out there” in the social world (p. 9). Action
research is not complete without asking, ‘What has changed within me?’ Part of this
may involve an exploration of professional values in the way exemplified.
At the beginning of the project
I believe that the inclusive practice agenda is being
driven for the financial position of the university and I have to adapt my practice to conform
to changing expectations. There is a policy and
compliance driver to my flipped classroom project, but
I'm not sure I really believe this is how students should be
taught.
Midway through the project
I am noticing that I have more time as I have changed some
teaching methods. The students are all sharing
experiences too as they have chance to talk. There is a buzz
in my classroom.
At the end of the project
I am now recognising that inclusive practice is not about
'special needs' or difference but its a way of getting everyone
fully engaged and that it is a way of helping students (and
lecturers) learn from each other.
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7. What action research means
Reflexivity
Action research is a combination of formal enquiry into some aspect of practice
(research) that is carried out alongside changes in practice (action). It requires
reflexive thinking which as Myers (2010) suggests is not something we are born with
but is a “cultural pattern for interpreting the world that one has to learn” (p. 21).
As action researchers we need to develop a reflexive mind-set. Reflexive practice
means looking at our own thinking and decision-making and asking questions. It
means thinking about how we perceive and understand issues and situations, rather
than thinking just about the issue or situation itself. For example, I might consider that
my students are not performing well in a module, I reflect and identify that the cause
is their lack of commitment to the course. If I stand back from this, I can see that I am
looking at the students themselves as the main cause of the problem. If I think more
deeply, I can see that I am not looking at my own actions, the course design, or the
learning and teaching strategy. I have come to a realisation that my thinking to date
tends to ‘blame’ students when things do not work out, and this limits the range of
actions available to me. I do not change much of my behavior because I have thought
the problems only lay with the students. In the context of action research, the two
thought processes, the surface-level thinking and the deeper reflexive thinking, might
yield totally different projects. To ‘fix’ student motivation is entirely different than
addressing the course design or the learning activities.
Pollner (1991) defined reflexivity as, “an ‘unsettling,’ i.e., an insecurity regarding the
basic assumptions, discourse and practices used in describing reality” (p. 370). It is
important that as action researchers we unsettle our own views about practice.
Reflexive practitioners keep their approaches, beliefs and ways of seeing the practice
landscape under review. This is something more than keeping practice under review.
Somekh (2006, p. 14) argues that “self-enquiry in action research is a matter of
research quality”. She suggests that as action researchers we need to take our
subjectivity into account as an important part of making meaning from our findings.
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Data collection and interpretation
Typically the types of data associated with action research include: semi-structured
interviews; observations; reflections on our own practice; focus groups; informal
interviews; questionnaires; and artefacts (such as student assessment work or forum
posts).
Data collection in action research should, among other things, enable practitioner
researchers to assess the effectiveness of an intervention. However, it is important to
acknowledge that our data does not necessarily have to prove that the intervention
was effective. McNiff (2017) argues that action research should not be used to
demonstrate a straightforward cause and effect relationship. An example might be a
hypothesis such as ‘increased seminar attendance will improve students’ grades’. She
suggests instead that we should focus on the kind of question that begins “How do I …
?”. These questions are about helping us to understand more about our professional
practice. They usually come from an observation we make such as ‘my students are
not doing the required reading for seminars’. In McNiff’s terms, this might be
reframed into the action research question ‘How do I encourage my students to read
more?’. It is part of the action research process that when we are modifying teaching
practices, we need to understand what worked well and what did not. For example:
If I tried to implement the use of tablets in workshop classes as a way of promoting
motivation, I could collect data to show that I have motivated students. As a
consequence, I might repeat this action in future. However, I learn little along the
way. A more granular approach to data collection could lead me to understand
when tablets are best used, whether they are best used in group work or for
revision of key concepts, whether some students feel disadvantaged by this
approach or if instead, all students benefit, and whether some find it distracting.
The first approach seeks to prove and the second seeks to understand. It is the
second approach that is most beneficial to move on our practice.
As with any research, data gathered through action research needs to be analysed to
help identify findings. The type of analysis undertaken is not prescribed by the action
research framework. Instead, the analytical method should align with the research
methods (i.e. it should be appropriate for the data gathered) and the research
question (i.e. it should help answer the research question).
The depth of analysis attempted may depend on: the balance between action and
research in the specific project; the proficiency of the researcher in undertaking
analysis; and, the time and resource available.
Different analytical strategies are available for different research methods. For
example, for student interviews we might:
Page | 23
conduct open coding of the interview transcripts resulting in the identification of
codes to inform our findings;
summarise key themes from the interview without transcription;
create individual stories from each of the interviews by condensing the
interviewees’ words into a short summary narrative.
These approaches will yield different levels of depth and robustness. Decisions about
which analytical approach to use may be shaped by researcher knowledge and
available training, desire to publish and disseminate work and the purpose of the
project.
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8. What action research does not mean
Reliability
Action research does not mean using the same indicators of research rigour that
more positivist methods might use. One such indicator of reliability refers to the
extent to which the research method used will produce consistent results, meaning
that repeating the study would produce the same results. This would be unlikely in
action research which involves a dual process of taking action at the same time as we
carry out the research, so it would not be possible to repeat exactly the same
investigation. Nevertheless, action research must demonstrate quality and rigour
(McAteer, 2013).
Oancea and Furlong (2007) suggest four criteria to evaluate applied and practice-
based research: trustworthiness (sometimes this is referred to as validity);
transparency in design and reporting; contribution to knowledge; and, paradigmatic
considerations. To establish validity we must use appropriate processes and tools as
well as take steps to ensure that the views and perspectives gathered as part of our
research are as truthful and honest as possible. Inevitably, we will need to interpret
data and information, but we should seek to do this in a way that represents the
perspectives concerned (transparency). In contributing to knowledge, we are engaging
with the theoretical as well as the practical and we do so in the action research
(praxis-based) paradigm.
Generalisations
Another example of what action research is not concerns the concept of
generalisability, which means the extent to which findings can be applied in settings
different to the conditions under which the research was carried out. The classic
statistical model of generalisation refers to drawing general conclusions from a small
sample that would apply to the target population. Action research is about developing
our practice in our context, rather than creating generalisable rules for other
practitioners.
Nevertheless, it is likely that being explicit about what has worked for us in our
context will resonate with other practitioners in theirs. Some action researchers have
called this ‘relatability’. An early mention of this term was by Bassey (1981) and a more
recent argument for its usefulness has been put forward by Dzakiria (2012). In this
way, action research makes the implicit, explicit and produces understanding that can
be shared beyond our localised and specific context (McAteer, 2013). By conducting
and sharing our action research, the intention is to open up discussion and debate
with others. Through this sharing and seeking feedback we will be able to appreciate
which aspects of our work resonate and which do not.
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9. Developing an action research project
Getting started
An action research project within a higher education context should be the product of
four areas of concern.
Figure 3: A planning model for project formation
Arnold (2016)
We might ask questions of ourselves in each of these four areas to locate possible
areas of research, for example:
1. What issues are influencing my students’ success or experience? What issues
arise from student feedback? What areas of student performance are of most
concern?
2. After reflection or systematic self-review, what are my personal development
needs? What areas within the UKPSF do I need to focus upon? What
development areas fit with my career aspirations, for example, curriculum
design or teaching online?
3. What are the challenges that face the institution or department? How could my
research contribute to these? What are the strategic priorities of my
institution?
4. What areas of practice do I find inherently interesting? What inspires me?
1. Concern for student needs2. Concern for self
development
3. Concern for institutional priorities
4. Pursuit of intellectual interest
Project formation
Page | 26
There may be some divergence in our thinking – what we find interesting may not
relate to the issues that are challenging our students. Sometimes compromise may be
needed to bring together needs and interests to form a project, but this is all part of
the action research process.
We do need to be aware, however, that action research can, and should, be about
challenging the status quo. While it is important to consider institutional needs in our
action research we should be conscious of the potential role of our research to
challenging existing practices. For example, research into effective feedback could
reveal some institutional protocols to be stifling. One way to address this might be to
make recommendations to the relevant learning and teaching committees or fora,
although this might not always be well received or acted upon.
The gap between educational research and practice is a long-standing one (Biesta
2007), so in our own context we need to be prepared to keep pressing for change.
Collaborative action research, which grows and involves many colleagues, can bring
about this bigger change. An example of this is an institutional process helping
students to better understand themselves as learners, which took several years but
eventually involved all academic staff in a learning to learn and study skills
programme for the entire first year cohort.
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10. Locate a model of action research
There are numerous models of action research available. Some models are more
linear with a less obvious role of spin off research, some are more detailed in their
steps than others and some more explicitly require collaboration and participation
from different stakeholders. Experimentation and wider reading can help us in finding
a model of action research that especially meets our needs.
Figure 4: Lewin’s ‘Action Research Model’
Adapted from Smith (2001)
Kurt Lewin’s model of action research is very clear and has distinct steps. It usefully
includes a reconnaissance stage that can be undertaken before a plan is created. This
helps to ensure that the project focus is defined and that the potential action is likely
to be effective. It can include gathering information about a student group’s marks or
other data, reading literature on what the wider sector is doing in one’s area of
interest, and discussing and engaging with colleagues and peers.
The reconnaissance stage is particularly important when working with students in a
live environment, as it is essential that actions are only implemented where there is a
strong belief that the impact will not harm or negatively impact students. In some
ways, reconnaissance can be likened to a due diligence check on the research idea.
Identifying an initial idea
Reconnaissance or fact finding
Planning
Take first action step
Evaluate Amended plan
Take second action step
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An example of Lewin’s cycle in use:
Initial idea – I identified that my feedback was in need of some development. It
was taking me a long time and my students were clearly not responding to it in
subsequent work.
Reconnaissance – I spoke to colleagues who suggested I may do more
formative and less summative feedback for the comments to have maximum
impact, and I spoke to the students who said they needed the feedback more
quickly. I read widely on practitioner studies about improved feedback and was
influenced by the work of Russell Stannard (2012) who was using audio-visual
approaches. I discussed my emerging ideas and created a plan of how I could
adapt the type of feedback I was delivering.
Plan – I decided to give more formative and less summative feedback, and to
use screen capture software to encourage students to engage with the media. I
also anticipated that the sound aspect of this feedback would allow the students
to see the positive and supportive intent of the messages. I would try this with
all of my first year students and then survey them to assess their experience. At
the same time, it needed to work for me, so I kept notes in a learning journal to
monitor my own experience
First step – the action was implemented in a live environment over four weeks.
The survey was then released.
Evaluate – students liked the media and said they found it helpful. Some
reported that they felt less criticised and more supported by hearing their
feedback. Students appreciated the approach and used their personalised
videos to inform changes to work. From my own point of view, the approach
worked well but I have recorded many nuanced technical pieces of advice to
help with workflow. This learning will be shared with colleagues. The feedback
suggested that some still preferred written feedback as it is quicker and easier
to digest for them.
Amended plan – to respond to the feedback students will be given a choice in
how they receive their feedback in the next cycle. Additionally, some workflow
changes will ensure the activity continues to be sustainable.
Page | 29
11. Ethics
Ethical approval will almost certainly be needed before commencing any action
research study and specific requirements will differ according to the institution. In
addition to the formal ethical approvals process it is important, as Macfarlane (2009)
suggests, for us to give ongoing thought to ethical dilemmas that arise. We need to be
ethically vigilant as ethical challenges can be hidden among the milieu of activity. They
may be about power (e.g. Am I using my power as a lecturer to get participation in this
research and is that acceptable? Is there really an option for students to feel they can
opt out?). They may also be about relationships and data boundaries (this interesting
snippet was overheard in a coffee room: “it is invaluable to my research but including
it feels like a breach of trust; what do I do?”). They may be about time issues (“How can
I get student feedback when I know they are busy revising? I feel like this is an
unnecessary pressure in students”). And they may be about a clash between roles
(“my line manager says I should work this way, but my research and literature is
leading me somewhere else”). Issues may be about the permission to use data for
research when it has been collated originally for another purpose (e.g. quality
assurance monitoring). They may be about concerns over the level of burden that
research and scholarship adds to students (Is it reasonable to ask students for yet
more feedback?).
McAteer (2013, p. 87) advocates a questioning and critical approach when thinking
about the complexity of ethical issues in educational action research. She advises that
“whatever guidelines you consult, it is important to treat them as a set of prompts for
question and reflection, rather than a tick-list often explained as: I ensured that my
research followed the ethical guidelines as outlined by … ”. Such an approach, she
says, implies there are right answers to ethical dilemmas.
There are no rules for these situations, but some broad principles will help find a way
through:
make time to routinely consider the tensions and dilemmas in ongoing
research;
data should not be gathered at any cost. It is an accepted convention to report
back that some data was not available if it is inappropriate to access this;
involve others in research. Engaging your peer group, learning set, supervisor,
tutor, colleague, mentor and student participants helps to self-moderate your
decisions;
be flexible in the design. If ethical dilemmas cause your project to evolve, that is
fine. This can be a sign of developing reflexivity.
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The following hypothetical example shows a reflexive approach to ethical
dilemmas:
An action research project to improve the feedback within my course team was
undertaken. After a while it suggested to me that I was trying to change colleagues’
practice before I understood it. This sat uncomfortably. Two lessons thereafter
shaped my research: (1) Action research should start with my own practice before I
attempt to influence others; (2) Action research requires that we understand
issues before launching in to change. Therefore, my project changed from being
about changing feedback practice to understanding feedback practice. My action
was to collate examples of practice and understand the rationale for each
approach. This created a useful resource and learning about feedback. It also
meant that I was not being prescriptive in my approach: I was encouraging
collaboration about good practice and finding practice to share. This emerging
research was the result of a realisation about the nature of my original project. I
listened to my emotional warning signs that something was not right with the
original design.
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12. Presenting action research
Dissemination is the determining characteristic for claiming that your project is a
research study. It has to be open to critique by your peers, which will encourage you
to refine and adapt your work. However, there is a deeper purpose in sharing an
action research study: it contributes to the scholarship of practice and to the
scholarship of teaching and learning.
An action research project can be presented in many different formats such as: a
conventional report (in a journal or other form of publication such as a book chapter);
a presentation (e.g. at a conference); or an interactive resource (such as a blog page;
or web page with comments enabled, or a summary poster with hyperlinks and
embedded media). Some points to think about are offered below:
consider how you will present the major elements of the report (literature,
methodology, findings, etc.) and how you will present the reflexive elements;
you could produce a conventional report with additional ‘think boxes’ for the
reflexive commentary. This is a particularly useful approach for anyone who
struggles to work with a reflective voice in formal reporting; it allows the
research and the reflexive element to co-exist but to be managed and
represented with different tones;
you could produce a hyperlinked document where your report links to aspects
of narrative about the thought process involved in your report;
you could present your research as a timeline such that the reflexive element
unfolds as part of a story; conceiving the action research report as story allows it
to have its own trajectory instead of being constrained by traditional report
sections;
consider the value in representing your research publically, or at least among
colleagues. Do not just consider the written word. Sharing in short webcasts,
blogs or presentations can be highly valuable and allow you to get feedback on
the resonance of your research with the experiences of others.
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13. Summary
In this brief publication we have attempted to offer a straightforward and simple
approach to getting started with an action research project for those who have never
tried this type of research before. In so doing we have drawn on our own experiences,
and inevitably these have influenced our advice. The whole essence of action research
is not to be too prescriptive, so we welcome colleagues’ accounts of their own projects
in the accompanying case studies (Arnold and Norton 2018) as examples of
alternative approaches. Finally, we end with an annotated list of recommended
reading and resources for those who want to explore further.
Page | 33
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Further resources
Disseminating through conferences:
British Educational Research Association (BERA):
http://www.bera.ac.uk/
Collaborative action research network (CARN):
http://www.esri.mmu.ac.uk/carnnew/
European Association for Practitioner Research on Improving Learning (EAPRIL):
http://www.eapril.org/
The Higher Education Academy (HEA):
https://www.heacademy.ac.uk/events-conferences
International Society for the scholarship of teaching and learning (ISSOTL):
http://www.issotl.com/issotl15/node/28
Staff and Educational Development Association (SEDA):
https://www.seda.ac.uk/events
The Society for Research into Higher Education (SRHE):
http://www.srhe.ac.uk/
Disseminating through action research journals:
Action Research
http://www.sagepub.co.uk/journalsProdDesc.nav?prodId=Journal201642
Educational Action Research
http://www.tandfonline.com/toc/reac20/current
Other journals that publish action research can be found on the Center for
Collaborative Action Research website:
http://ccar.wikispaces.com/Action+Research+Journals
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Disseminating through peer reviewed education research journals:
Studies in Higher Education:
http://www.tandf.co.uk/journals/carfax/03075079.html
British Journal of Educational Studies:
http://www.tandf.co.uk/journals/rbje/
Assessment and Evaluation in Higher Education: http://www.tandfonline.com/loi/caeh20
Educational Studies:
http://www.tandfonline.com/toc/ceds20/current
Innovations in Education and Teaching International:
http://www.tandfonline.com/toc/riie20/current
Teaching in Higher Education:
http://www.tandfonline.com/toc/cthe20/current
Higher Education Research and Development:
http://www.tandfonline.com/toc/cher20/current
Further reading
Books and papers
Carr, W. and Kemmis, S. (1986) Becoming critical: education, knowledge and action
research. Lewes: Falmer.
Hammersley, M. and Traianou, A. (2012) Ethics and Educational Research, British
Educational Research Association [Internet]. Available from:
http://www.bera.ac.uk/resources/ethics-and-educational-research [Accessed 1
December 2017].
Huxham, C. (2003) Action research as a methodology for theory development
[Internet]. Policy and Politics. 31(2), 239–48. Available from:
http://www.iff.ac.at/oe/media/documents/OP_Action_Research_as_a_methodology_for
_(P_P).pdf [Accessed 1 December 2017].
James, A. (2016) Building confidence and competence in the trainee teacher to deliver
music in the classroom: an exploration of how one ITE provider might impact upon
the confidence and ability of its primary trainee teachers to teach music. EdD Thesis,
Liverpool Hope University.
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