Reflecting on Erich Fromm’s “To Have or To Be”

Erich Fromm is an influential social philosopher and prolific writer, whose life work offers a provocative synthesis of Western capitalism, Marxist humanism and socialist rational planning. He defines two modes of being: “to have” and ” to be”, and examines the characteristics and values of lives led in each mode with respect to materialism, politics, religion, spirituality, knowledge, love, sex, language and economics. He asserts that modern living is dominated by the “to have” mode and generalizes it as a soul-less and thoughtless pursuit of material things that disrespects the human soul, love of nature and fellow humans and leads to unsustainable pursuit of things which can lead to poverty, war and extinction.  Fromm discards the idea that either conventional Western capitalism or Soviet-style communism offer a way out of the darkness, since both systems remain entrenched in the “to have” mode of being.  He offers an escape from this bleak vision of the future, by suggesting that a shift to the “to be” mode of being will bring a change in perspective and behavior at the individual, family, tribe, state and national levels. He asserts this change can bring lives back into harmony with the needs of the human spirit and permit sustainable societies to emerge.His utopian vision of modern living blends the freedom, liberty and productive power of Western capitalism, the central planning and rationality of Soviet style communism, and the tempered and non-materialistic spiritual centeredness of Buddhism and European- style mystics like Meister Eckhart. A society organized along these lines could manifest as economically linked villages of perhaps 100 families. They would be voluntarily joined in support, satisfying the legitimate needs of healthy living through the free exchange of goods and services produced by craftsmen. As craftsmen, people would take pride in and develop a sense of identity through their careful, mindful work and whose stewardship of precious resources would be reflected in a sustainable, respectful partnership with nature and their fellow man. Appetites are suppressed to just those that are commonly and wisely thought to be legitimate. Common spiritual needs are valued and encouraged at each level of social organization. Language itself is amended to reflect the importance of creating “states of being” that reflect nurturing, loving spiritual lives, families, and communities. You will notice this description is full of passive voice, because it is never quite clear “who” will be taking the lead or being the instrument of action in a transformation on a species level. I will address this later in greater detail.

I admire the scope, depth and breadth of Fromm’s vision, and the passion he brought to his life work, and his commitment to living his principles, as seen through his direct engagement with the dominant issues of his day. He was a social philosopher who lived his words and put himself into the arena of ideas and actions to make a difference. He made a positive difference in the lives of millions and those who worked closely with him testify to his optimism, energy, and basic human goodness. Granting all of that, and acknowledging that I have changed my opinion of Fromm’s work after spending time in background research and reflection, I want to engage his work in two useful ways: through disinterested philosophical discourse, and through an abbreviated dialectical materialism: a method of argumentative inquiry that would have come naturally to a Marxist. I decided on this approach after Dr Armstrong asked what Fromm might have said in response to a couple of extended Moodle discussions that were critical of some of his positions.Constructivism is a world view that asserts we are active participants in the creation of our knowledge of the world, particularly in the human, social areas of our lives. There are two well-known forms of dialogue that have been instrumental in the development of social, political and economic knowledge: the disinterested philosophical discourse of ancient philosophers described so well by Hadot (2002) and the dialectical materialism of Karl Marx, which is a fusion of Hegel’s dialectics and Feuerbach’s materialism with roots that reach back to the ancient Greeks as well. (S.E.P, n.d.) (Mao, 1938)  

Hadot’s discussion of discourse is thorough. Discourse obliges you to set aside your own perspective,  to accept the other participant’s positions and truths, and to transcend disinterestedly to a new perspective which leads both to increased self knowledge, knowledge of the other, and to a new appreciation of the synthesis that is possible through a fusion of different opinions. There is a sense of philosophical cooperation and wisdom in play for true discourse. (Hadot, 2002)Marx’s dialectical materialism describes a dialogue between opposing views as a struggle between forces, with each committing passion and insight to argue a position. The initial argument is known as the thesis, the opposite view as the antithesis. Out of the tension of the vigorous exchange between thesis and antithesis, a broader, more comprehensive synthesis is created, which contains elements of both previous positions but which can be said to resolve the tension, encapsulate the essence of both, and  move on to a new and deeper understanding of the situation. As an example, Marx characterize the struggle between owners (thesis) and workers (antithesis) over the means of production as a dialectic which becomes resolved into a synthesis of communism, after the tension of class warfare has run its course and been resolved.

 I experienced both of these modes of dialogue and constructive knowledge in my readings of and reflections on Fromm’s work. The effect of the two different modes on my thinking has been instructive for me and serves to demonstrate the utility of both modes. I like the idea that they contribute both heat (the dialectic) and light (the discourse) to my own understanding of Fromm.

 Dialectic:

 The dialectic generated heat from my emotional reaction to my initial reading of Fromm, as I discovered deep seated and argumentative reactions to his assertions, conclusions, and matters offered in in evidence to support his claims. These responses have roots in my undergraduate days as a student of Asian history and political science in the 1970s when I did a lot of work in the historical events surrounding socialism and communism in Asia and Europe, while simultaneously experiencing and exploring non-Western cultural and religious responses to the challenges of defining and living the good life as seen by Hindus, Buddhists and Taoists.

 I read Fromm from that perspective: as a modern who sought to synthesize the ancient and modern thoughts of the good life and human nature with the tidal forces that were defining and shaping human culture through economics and political struggle. I understood his perspective and rationale for opting to follow the path of enlightened Marxism with its foundations in rationality and central planning, its concern for social justice, and his belief that freedom includes the ability to shape our destiny through choice and action, even if it means confronting and opposing what has been thought of as human nature combined with the power of tradition.

The heat came from the difference between his choices and my own, since I have chosen a different approach to understanding, framing and drawing policy conclusions from the same data set. My beliefs and values follow along the lines of valuing individual freedoms in the traditions of Payne and Locke, the political freedoms and limited government of Jefferson, the lack of central planning found in the tenets of laisse-faire capitalism, and the intellectual humility and disbelief in the perfectability of man epitomized by Twain. When the dialectical smoke had cleared though, I found room for Fromm and I to coexist:

Here are three samples of the thesis-antithesis-synthesis threads that I worked through in the dialectical tradition. In each case Fromm plays the role of thesis, as is his right as “first speaker” since we are using his text, not mine. They are representative of the more than 20 different annotated emotionally charged differences I discovered upon my first reading.

 a. Tennyson’s poem: Fromm’s thesis is that Tennyson’s speaker tore the flower from the ground to understand it, while the enlightened spirit became one with it as co-members of the scene. My antithesis is that it is a matter of interpretation as to whether Tennyson’s speaker killed the flower, since it could have carefully and mindfully been moved to a new place for examination and understanding without harming it. Indeed, later in the book, Fromm describes the wisdom of a Japanese gardener who transplants plants without harm to create beautiful, spiritual gardens. My synthesis is that while the passive appreciation of the flower in nature is groovy, it is the Western scientists’ inquiry which leads to new knowledge of the world around us, but that a science without humble mindfulness can easily lead to disaster for the race given the reach and consequences of modern technology.

 b. Human nature and central planning: Fromm’s thesis is that we can reshape our actions beliefs and destiny through the power of rational thought and disciplined action, and that we can design a universally applicable, better life for everyone. My antithesis is that man is in equal parts, a rational and emotional being; that there are limits to rationality and the persuasiveness of logic and reason; that life is too complex to be reduced to centrally planned, universal designs for the good life; and that the political realities of life do not permit simple transitions due to the nature of power.  My synthesis is that we can appeal through dialogue and discourse to the good that is in human nature, and aspire to an improved life for others, and that rugged individualism is not the ideal life for everyone either, despite its personal appeal to me.

 

c. Black and White classifications:  Fromm’s thesis is expressed in absolute terms, making mutually exclusive distinctions in almost every category he considers. Examples include his unqualified support for the success and goodness of the sexual revolution of the 1960s; the characterization of language itself as a conscious means whereby those in power create the meaning of individual words to further their materialistic agenda; that the choice of capitalism must inevitably lead to unbridled appetites for more and more until we exhaust the planet. He takes everything to its logical and often illogical extreme to dramatize the differences in the modes of beings and in the choices presented to people and nations. My antithesis is that there are checks and balances between your values, between members of your family, between friends, interest groups, communities, branches of government, and between nations themselves. Further, these checks and balances are adaptive and dynamic and that it is in the peaceful accommodations and adjustments we make that we have hope for a better future for all; that there are limits to how far a theory or model may be taken to explain phenomena; that there is a limit to the region of fit for any theory. My synthesis is that black and white characterizations can be useful to make dramatic statements that get your attention; that sometimes taking things to the logical extreme is a valuable way to demonstrate the very need for the compromise and discourse that I favor. Discourse:

            After declaring a week of truce for reflection and research, I engaged Fromm discursively. I researched his background, his other writings, and the testimony of friends and colleagues concerning his impact on their lives as a scholar and a person. I found that by conducting dispassionate research, I was able to transcend the heat of the dialectic, which actually helped me to complete the synthesis portion of each dialectic thread where I’d experienced an emotional reaction. The syntheses in the three example of dialectic above were only reached after a cooling off period of discourse, research and reflection.

             I found that the heat of the dialectic helped me raise the energy to conduct the research. Once engaged in research, my natural curiosity took over and carried me deeper than I would have gone if just motivated by a need to be right in some fanciful, contrived “argument” between Fromm and me. Fromm’s Germanic background reminded me of Hesse’s story of Magister Ludi and the Glass Bead Game, where a traditional game continued to be played long past the time when its origin, relevance and importance had been forgotten.

             I grew to respect for Fromm’s independent thinking, even as it caused him to depart over and over again from groups once friendly to his thinking, and where he could have remained and enjoyed the fruits of inclusion. He was a German Jew who left both Germany and the Jewish faith in search of a better life and a deeper spirituality. He was a trained psychologist and psychiatrist who left the confines of the Freudian, Rogerian and Jungian schools of thought to elaborate his own ideas of personality and psychological balance. He was a social philosopher who engaged in the practical worlds of politics and punditry by fighting peacefully against nuclear proliferation and  the Vietnam War , and in support of social justice. He was a prolific scholar, yet he wrote many popular books that made his ideas on the good life accessible to the masses. He was a systematic thinker, yet his ideas and concepts evolved through time as he reflected on his experience and the world around him. He was a good friend and a generous humble person by the accounts we have from his friends and co-workers.

 And so, I find in Fromm all the elements of the good life defined by Socrates and the ancients.  He is a man of passion, intellect, scholarship and good works, who lived an examined life, and who sought to apply his values in daily life.  If he and I disagree on certain aspects of how precisely to define the good life and how completely we might propose a design for a good life for all, surely the world is large enough for us to both live in it at the same peacefully and in mutual support.

In the course of thinking about this paper, the design of its concept and flow, the research I conducted, the Moodle discussions where I began to partially explore some of these ideas and in the actual writing this paper, I found the heat of dialectic and the light of discourse to be useful and enlightening. I think that the combination of both perspectives was more important that the exclusive use of either by itself would have been. To have applied just the dialectic would have resulted into an argumentative essay between Fromm and I, whereas a pure discursive paper, with the energy of passion, may have been a theoretical inquiry without the motivation to go beyond my own beliefs.

 In conclusion, I have enjoyed and learned from my engagement with the life  and works of Erich Fromm.

References:

 Currie, N. (2008). To Have or To Be.  frieze magazine: a leading magizine of contemporary art and culture.. Retrieved Nov 20, 2009, from http://www.frieze.com/comment/article/to_have_or_to_be/

Daniels, V. (2003). Lecture notes on Erich Fromm.  Victor Daniels’ Website in The Psychology Department at Sonoma State University.  Retrieved Nov 20, 2009, from   http://www.sonoma.edu/users/d/daniels/frommnotes.html

Fromm, E. (1976). Fromm: To have or to be? New York: Continuum.

 Hadot, P. (2002). What is Ancient Philosophy. Cambridge: Harvard University Press.

Infed editors. (n.d.) erich fromm: freedom and alienation, and loving and being, in education. infed: the encyclopedia of informal education.  Retrieved Nov 20, 2009, from http://www.infed.org/thinkers/fromm.htm

 Maccoby, M. (1994). The Two Voices of Erich Fromm: The Prophetic and the Analytic. The Maccoby Group: Agents of Change. Retrieved Nov 20, 2009, from http://www.maccoby.com/Articles/TwoVoices.shtml

  Mao, T. (1938). Dialectical materialism. Marxist Internet Archive. Retrieved Noc 17, 2009, from http://www.marxists.org/reference/archive/mao/selected-works/volume-6/mswv6_30.htm

 MGM830 Moodle entry authors. (2009). Assorted.  MGM830 Moodle discussions. Retrieved Nov 15, 2009, from http://www.instituteforadvancedstudies.net/mod/forum/discuss.php?d=26503

New World Encyclopedia editors. (n.d.) Fromm, Erich. New World Encyclopedia.  Retrieved Nov 20, 2009, from http://www.newworldencyclopedia.org/entry/Erich_Fromm

 Pace, G. (1977). Erich Fromm Interview: To Have or To Be.  scribd. Retrieved Nov 20, 2009, from http://www.scribd.com/doc/8895007/Erich-Fromm-Interview-To-Have-or-to-Be

 Raapana, N, & Friedrich, N. (2005). What is the Hegelian Dialectic?.    Crossroads: the Kjol Ministries. Retrieved Vov 15, 2009, from http://www.crossroad.to/articles2/05/dialectic.htm

 SparkNotes Editors. (n.d.). SparkNote on The Communist Manifesto. Retrieved November 17, 2009, from http://www.sparknotes.com/philosophy/communist/

 Stanford Encyclopedia of Philosophy editors. (2008). Karl Marx: Theses on Feuerbach. The Stanford Encyclopedia on Philosophy (SEP). Retrieved Nov 17, 2009, from http://plato.stanford.edu/entries/marx/#2.4

 

Reflecting on criticism and “Silent Philosophy”

Silent Philosophy

The world is full of critics – there has never been a shortage of critics! If you ever try to do something new you will definitely attract critics. The words of critics can take away all our inspiration and leave us wondering how to respond. However, if we can respond with silence, we maintain a great dignity. The critic wishes to provoke us, but by maintaining silence we are showing that it is beneath our dignity to respond to their false criticisms. It is like they are trying to give us something, but by refusing to accept their gift, the negativity remains with them. By maintaining silence we remain completely detached from their negativity. We can just concentrate on doing the right thing.

There was a young aspirant who wished to learn the meaning of life so he traveled to meet the most famous philosophers of his age. The first philosopher gave a very great and lengthy explanation on the meaning of life. The aspirant was suitably impressed and awed by the magnificence of his deliberations. However, straight away this theory was criticized by another philosopher. He cogently pointed out many deficiencies in his system; instead he pointed out another philosophy, which he argued was far superior. Like this several philosophers came to argue their case for having the best philosophy. Some said truth could not be discovered in this life, others said that truth was in a particular book. However, with so many conflicting philosophy’s the aspirant just became confused.

The aspirant decided to travel deep into the forest where he came across a yogi deep in meditation. His face expressed a countenance of deep equanimity, peace and, contemplation. Eagerly the aspirant asked the yogi what was the meaning of life. To this question, the yogi did not flicker even an eyelid, but continued in his deep meditation. The aspirant was disappointed, but remained inspired by the consciousness of the yogi. The next day he came back and his repeated question, the yogi maintained his silence. It was then that the aspirant realized the meaning of life could never be explained in words. At this point he began to learn meditation himself.

Sri Chinmov

 

so, how did the critics go from offering analytical insights, ie alternate points of view from their perspective to “false criticisms”? Isnt that classification the same thing we are accusing the critics of doing? Judging?
And if the criticisms have validity, why is silence an appropriate and improved response than engagement?

I dont accept silence as an improvement by default. That exchanges the value of “dignity” for one of “mutual engagement”, and i dont see that as an improvement necessarily..

If we take the position that dialectic, the exchange of thesis and antithesis, [producing synthesis is a way of creating knowledge not accessible to either individual on their own (and this is the basis of social construction of knowledge), the strategy of silence is a rejection of fellowship and engagement and pursuit of knowledge.

If we reject that knowledge can be pursued, and sit in silence whenever queried, then we are house plants, and are not using the gifts we seem uniquely to possess in the animal kingdom.

That position rejects the Socratic method of inquiry for example.

I accept that there is argumentation for the sake of argumentation and that anything can be deconstructed. I reject argumentation as an end and consider a lot of post-modernism and critical theory as a waste of oxygen. I reject disengagement for the same reason.

There is a philosophical school in China known as the Legalists who took the argumentative tricks of the Greek Sophists for example to an absurd extreme. they would argue that “a white horse” is neither “white” nor “a horse” since the linked words created a unique entity that neither word alone could properly represent. They anticipated critical theory by 1500 years, and were just as useless for real people living lives, and seeking “right thought and right action”.

Why would i choose not to try on the insights and considerations of trusted others? of careful arguers? am i so sure of my own judgment all the time that I can be completely confident that i can write off disagreement as “false criticism?” That makes us only as smart and wise as we individually are.

That also happens to be poor evolutionary behavior. we have evolved successfully on the basis of social cooperation and sharing. we know this from evolutionary biology and anthropology. Voluntarily opting out could be seen as an evolutionary backwards step.

I conclude that it matters how and why we engage in constructive criticism. I acknowledge that something that may be truly classified as “false criticism” should not be rewarded with opposition, but that we cannot a priori distinguish between good and bad criticism until after we have enaged in good faith dialogue

Reflections on myself as an adult learner

Who am I as an adult  learner:

I am framing the answer within the context of my “Big 5” (Strelecky, 2007). The “Big 5” focus my thoughts about self, purpose, mission and values.  In Strelecky’s work, the Big 5 are 5 things you want to accomplish in your life. My “Big 5” are all states of being, roles that I want to live with the highest quality (arête). My Biog 5 are:  father, husband,  teacher, student, warrior,

 

Student:

Myers-Briggs Type Indicator:  ENTJ  I am getting closer to the “I” as I get older which moves me from “Leader” to “Scientist” in the typology.  My scores are very high on the NT domain, which gives me a global, theoretical perspective. I notice that I am always searching for the broadest generalizations that can be made from an incident, or the widest application of an idea. It doesn’t take much for me to go off on a tangent. I am least happy when bringing a project to a conclusion, as it feels stifling and disconnected from the dynamic world around me. Finality and endings are disturbing to me, and I dislike graduation ceremonies above all else. I am much more at home in the developmental and conceptual phases of any project. I get bored easily by data gathering and have learned to offload that task to others. I am a good project manager, as I have learned to build teams of various skills and aligning tasks with strengths.

 

Kolb Learning Style Indicator:

The Kolb LSI measures self-reported preferences along 2 dimensions:  Concrete experience-Abstract conceptualization and Active experimentation-Reflective observation.  These 2 dimensions reflect how we prefer to gather our information about the world and then how we prefer to make sense of it. The intersection of these 2 dimensions establishes 4 quadrants, and can be used as a way to describe a classroom population as well as individual learners. We use this model extensively at the Command & General Staff College, and I have become convinced of its practical uses when used within reason.

In this model,  I am classified as an “Assimilator”, which combines a preference for Reflective Observation and Abstract Conceptualization. This means I don’t need to spend too long “in the moment”, fully experiencing every nuance of the moment; I am always ready to begin reflecting on its dimensions, characteristics, descriptions and classifications. As an Abstract Conceptualist, I proceed to place experiences within my larger world view, as a particular example of a class of experiences. I spend little time in active experimentation to validate the data, once satisfied that it makes theoretical sense. 

                These preferences are helpful when approaching new material where the connection to theory is strong or explicit, because it satisfies my need to be situated in the world. I am comfortable with complexity and nuance and am  competent at brainstorming and imagining future scenarios.

The downside of my preferences is that I am prone to overlook deep subtleties in experiences especially if the situation is slow moving. The idea of sitting in a duck blind for hours waiting for birds is my idea of hell on earth. I am also prone to accept theoretical justification as truth and am willing to short change practical validation of new concepts simply because of the theoretical elegance.

                As a consequence of knowing this about myself, I find it necessary to do sitting meditations to work on my mindfulness and presence in the moment, to learn to appreciate the experience simply on its own merits, without a need to explain it or frame it as part of a larger construct. On  group projects I am careful to include pragtmatists and  naysayers who will insist on evidence and results from fair trials before we adopt policy changes.

                These strengths and weaknesses, and my accommodations to the limitations of my learning preferences are an integral part of my business success as an equity trader which puts a value of new ideas, but also on backtesting and forward risk management.

 

Brainmodepower typology: AVK, global. 

I am off the chart on the audio learning, and on the globalization scale.  I have now noticed that when I am really trying to concentrate on learning I do not look at the person talking, but need to doodle in order to free my ears to hear. Doodling helps me occupy my eyes and hands (visual and kinesthetic modes). This has been a problem for others in the past when they would say “Look at me and pay attention!”  when I was doing my best to pay attention.              

2 stories from combat on this topic which reinforces the power of the insight: On a night attack, wearing night vision goggles I had high explosive rounds land near me and “whiteout” my night vision goggles, and I lost my night vision for about 15 minutes: I was able to command my company though because I could hear what was going on via the radio and I had a sense of where things were based on noise, sounds, and the volume of fire. A few days later, in the daylight, I had a hand grenade land very near to me and I didn’t have my earplugs in. I was deafened for about an  hour before my hearing returned, and it was the most frightening experience I had ever had. I felt absolutely cut off from the world and was unable to command effectively. It was terrifying, even though I could see everyone around me and could consult a map.

 

Learning techniques:

I am a fast reader and I prefer to read in burst of 10-20 minutes, rendering my notes in visual, mindmapping form.  I will generally  develop detailed cognitive maps and turn them into slides as cues for recalling detail and cognitive structure. I take semi-structured notes on standard note-taking forms that I have developed over the years to suit my style. I will often color code the notes to make structure even more apparent. When I review notes from my Masters program (15 years ago), they make perfect sense to me and I can recall the circumstances of the classroom and the moment as if no time has passed.  This form of “chunking” supports my assimilating style. 

At any given moment I may be engaged in reading up to 20 books at a time in various locations, and I follow my mood or sense of urgency for picking up the next book to read. When I find myself drifting I stop and do something else until my attention is focused, rather than trying to force concentration.

 I can concentrate for hours at a time in reading if needed, but I prefer the shorter bursts when my mind is feeling especially sticky.  Learning to crate feelings of “sticky mind” is an essential part of my practice of sitting meditation, which Buddhists call “child’s mind”.

I will rarely read a book from cover to cover, preferring to read from top down and outside in, by examining the covers, introduction and forward, table of contents, index and references and chapter summaries first, and then come back to the book after 24 hours when that has had time to digest and become embedded. I will then skim chapters based on my interests, and finally skim the whole book. I have adapted this technique from  Mortimer Adler’s “How To Read A Book” (Adler, 1940) and it has helped me integrate a lot of material from a broad array of fields.

I am not very good in free form dialogues of material, preferring to hear structured presentations that reflect deep inquiry on the part of the presenter. Lectures are excellent for me as I can listen carefully, while doodling and seeming to daydream in my own personal comfortable space.  I enjoy writing and working on a topic while having a background lecture playing, trusting that if something interesting is being said that I will tune in to it. Some of my most creative work is done in this manner in the apparent cognitive dissonance set up by 2 different information streams. I am listening to a Teaching Company presentation on Chaos by Dr Stephen Strogatz as I write this.

My biggest problem as an adult learner is procrastination and time management, since I am always eager to read one more thing before generating my final conclusions. I also find it difficult to recast my theoretical framework of information once established and will generally try to find ways to accommodate pieces of my original insight in an evolving understanding. I try to delay taking final positions in order to gather more information for this reason.

I find it amusing that despite a strong rational component, and a structured approach to learning, that my decisionmaking and sensemaking is much more intuitive than rational.  I trust my instinct far more than my conscious mind. This is a habit perhaps ingrained into me from 15 years of  being an infantryman in combat and trusting my senses in dangerous situations. This habit of mind is so odd that it is even the subject of discussion among peers who know me well and wonder how I can be so rational and yet make instinctive, intuitive decisions.

 

Teacher:

I have been teaching in the Command & General Staff College for 8 years and have reinvented my whole approach to teaching as a result of the action research inquiry while attending CTU. While I acknowledge the need for competence at the data level I also have become much more aware of the importance of the social level of learning.  I no longer think that learning and education are like filling up a pail, but are rather like lighting a fire (to paraphrase  Yeats).

                I am trying to create an educational space in the classroom, in the college, and in my professional work that encourages and supports free inquiry, a commitment to truth and academic freedom, and both a respect for and a seeking out of diverse perspectives and points of view. As a teacher in the classroom  I try to model the behavior I seek from students, by the quality of my preparation, a concern for the learning and perspectives of others, and a willingness to be vulnerable in my ongoing search for knowledge. I am encouraging as many means of formal and informal feedback as possible to help students shape their own educational programs and outcomes. I encourage and support their inquiry in my classes and through support of their independent studies. I reach out to other colleges and programs to create networks of learners and to act as a catalyst for learning.

                I respect the action research construct of multiple ways of knowing (experiential, presentational, propositional, and practical) and acknowledge the learning that can happen through 1^st person, 2d person and 3d person action research.

                I favor the connectivist learning school of thought being developed by George Siemens and Stephen Downes at University of Manitoba, as I believe it represents a realistic, sound, robust and challenging way of developing knowledge and practice to appreciate and thrive under conditions of uncertainty.  More at:  http://www.elearnspace.org/

                As part of my research I am looking carefully at how to add Voice to the environment by encouraging, supporting and promoting the diverse needs, intentions and inquiries of faculty, students and curriculum developers in a way that advocates a move away from an industrial age view of curriculum and towards one of connectivism and individuality. In this sense I have taken on an advocacy perspective that is values-based but which respects the perspectives of other members of the action research teams that make up the projects.

 

 

Father: 

My role as a father influences my role as a student. One of the important reasons for me to begin the doctoral program was to set  a personal example for my kids, who at ages 18, 15, 11 are getting to see their dad doing his homework and reading books every night as a priority.  My father set the same example for me as a kid as he went to night school to work his way up the engineering ladder from “shop rat “to full-fledged design engineer.  I’ve been trying to re-learn math and physics to be able to keep up with my son who is getting ready to go to college next year to be a physicist or an engineer, but just like in video games, I believe he has passed me for good. I am content to listen to him and get him the occasional book to feed his curiosity.

 

Husband: without my wife’s support I could not have dreamed of taking on the active role of student once more; in fact she finally told me to stop moping around and dreaming about it and just get it done. I need that boost from her to get moving at times. I want her to be proud of my work and my goals.

 

Warrior: 

I use Warrior in the eastern sense, as one who is called, by his dharma, to seek mastery of self first in order to protect the weak and promote justice and compassion in the world. This calling is well described in  Trungpa (1984). In this sense, my role as an adult learner is to focus on those things that I ought to be learning in order to improve my practice; to find worthy teachers and learn from them; to questions my own assumptions and preconceived knowledge in order to step outside what I already think I know and to follow my beliefs to their core to find the source.

Warrior learning also has a strong service component, and so the topics for inquiry, the choices for action research must satisfy the “so what” question, must be directed towards a virtuous end. For me, the choice to do action research within my college represents a way to do the right thing in support of my duty to country and soldiers whom I support. Action research’s methodology strongly supports these values, particularly when fellow inquirers are positioned as co-researchers.

 

References:

Adler, M. & Van Doren, C. (1940). How to read a book. New York: Simon & Schuster.

 

Strelecky, J. (2007). The big five for life: Leadership’s greatest secrets. New York: St Martins’ Press. 

Trungpa, C.  (1984).  Shambhala: Sacred Path of the Warrior. Boston: Shambala Publications.

Management games for deep insight

Peter Checkland’s Soft Systems Methodology (SSM) describes the use of models to help us frame questions to ask of the world, and which help us become explicit about our world views, assumptions, frames of reference, theories of cause and effect, values, and desired outcomes.

Checkland, P. (2006) Learning for action: A short definitive account of soft systems methodology and its use for practitioners, teachers and students.  Chichester, England, Oxford Press

 We’ve developed a deceptively simple Force Mgt practical exercise in the form of a card game. The complete rule set is simple; takes 5 min to scan and understand. 

Rapid rule summary:

1. Students buy forces (5 cards) from a production table (a limited deck) and in each of 5 rounds,  deploy them into 5 regions to compete for Victory Points

2. Win:  first one to 51 victory points OR most points after 5 rounds

3. Game: lasts up to 5 rounds

4. Each round has 5 hands , each hand is worth Victory Points (VP)

5. Hand 1 is worth 6 VP, hand 2 is worth 5 VP etc…

6. Player 1 buys from the red deck, player 2 from the blue deck)

7. After you buy your 5 cards, you place 1 card face down in each region (hand)

8. Once all cards are placed,  cards are flipped over and you determine results

9. If your card wins the hand you get the victory points and keep you card; if you lose the hand, you get no victory points and lose your card. If it’s a tie, you keep your card and no one gets points.

10. Each player has an identical deck to buy from.

 It turns out that the development of strategy and then fielding an appropriate force really matters, AND there are distinct choices that are meaningful, available and feasible.

If you are interested, we’d like you to review the rules, and :

• 1. Buy your first round of forces
• 2. Deploy them into the 5 regions for turn 1.
• 3. Send your “Round 1” move to long-kenneth@conus.army.mil, along with a short description of your strategy

 We are interested in examining the variety of forces and the strategy employed in round 1.  Do you, for example:

1. Buy 4 ea 10s and a Joker to kill any enemy aces and retain max budget  flexibility to see what he has remaining?

2. Buy aces early to get a lead on victory points and then protect them?

3. Buy Jacks to kill 10s while still preserving SOME budgetary flexibility?

4. How do you balance economy of force with winning victory points? (efficiency vs effectiveness)

5. Variations?

 And then tactically employing forces, do you:

1. Put aces against 6 and 5 victory point regions?

2. Put 10s against 6 and 5s to hunt aces?

3. Aim for maximum victory points each round?

4. Aim to capture 11 of the 20 available points each round? (ie bluff on 6 and 3, but try to win 5,4,2?)

 In the actual play of the game we’ll look for adaptability and learning, and how strategies change after teams have played each other a couple times etc. 

We’ve play tested it enough to know there is a rich source of insights available in the game and that it is simple to play. We’ll  play it with decks of cards in the classroom 

We prototyped the game in our Force Management elective and are satisfied that that we generate student interest and insight into broader questions of Army force management in an interesting way.

 Here are some student insights gleaned from our playtesting:

1.  Round 1 results dominate the rest of your strategic choices, so getting Round 1 is crucial.

2.  Round 1 strategies are dominated by uncertainty because you have no information about your opponent’s strategy or adaptive style yet.

3. You have to decide when you want to buy strength: early and aim for quick wins, or later after you have seen pieces of the opponents forces and strategy.

4. Forecasting your opponents moves is problematic and make this more like poker than chess or bridge.

5. Aces are like the FCS: dominating until low-cost alternatives found the weakness. It wasn’t unit Aces were developed that the 10s became meaningful, so be alert to deep flaws in complex technologies.

6. Kings are costly but dominate the field; An opponent with Kings drives you to buy Aces but make you vulnerable to 10s.

6. Jacks (J) are a low cost success strategy against 10s, but can be incrementally be defeated by other mid-weight forces.

8. The costs of transforming cards between rounds is significant but manageable and may lead to strategic advantage. Scenario: You buy Aces on the first round and are successful, opponent buys 10s to kill your aces in the second round, but you trade down to Kings which dominate, and which remain difficult to defeat in subsequent rounds.

9. Deciding where (in what regions) to selectively deploy strength

10. Tactical results can overcome strategic insights and strategic failures. Tacrtics can be game changing.

11. What if the enemy has different victory conditions? Price points? Has different rules?

12. What if new cards are introduced after the first rule set is established?

13. How much would you pay to see the opponents’ hands?

14. What if there are partial wins? Or more than 2 teams playing?

15. Simple games can be powerful learning strategies

 Conclusions: the game serves as a way to dramatize very clearly many of our force management challenges and is a useful way to create rapid, deep awareness of prime issues in this domain.

 Here are some insights from a dedicated gamer and management game modeler:

I suspect that for most people’s first play they are strongly influenced by a form of Confirmation Bias: the As are priced higher, therefore new players conduct their analysis from the assumption that As are more valuable. Depending on the goals of your concrete experience, that may be the best argument for keeping the current price structure. However, an ace of spades loses to seven cards, including four cheap ones, where a KH loses to only four cards that are both expensive and vulnerable — the KH is easily the strongest card in the deck.

I assume trade-ins are secret — in fact that for all practical purposes players are operating behind a screen during their setup phase — because knowing whether your opponent has made any trade-ins is very valuable information. You may want to specify that in the rules.

 Given the prevalence of 10s in everyone’s first turn strategies, it seems like the second-cheapest strategy is far more optimal than the cheapest — that is four tens and a jack of spades. That marginal $15 gives you a pretty good shot at a victory somewhere, and a decent chance of carrying more net capital forward.

 Here are a selection of previously submitted moves for  Round 1: (* = Joker)

Strategy 1
Region	Cards	Strategy:                  Cost:  102   Carry forward: 48
6	10h	I’m trying to kill aces while creating and deploying one, but putting it where it is unlikely to run into an ace-killer unless the other guys is trying an ace-killer strategy like mine.  I’ve got cheap on the ace I bought, which is a risk that may not be worthwhile. I’m expecting to kill an ace in either 6 or 5, win 4 outright, and lose in 3 and 2.  Expected results are thus 9.5 points to me, 10.5 points to the bad guys, I will lose approx $35 worth of cards and kill approx $70 worth.  The enemy is expected to have spent rather more than me, so I will have more cash with which to restructure in light of what I find out. Cost: 102
5	10c
4	As
3	10d
2	10s
Strategy 2
Region	Cards	Strategy:                   Cost:  150   Carry forward: 0
6	10s	10 is the ace killer on 6, then we try to overpower each successive category on the way down.  Assumes aces go to 6, which rapidly becomes a tail-chasing assumption.
5	As
4	Ks
3	Qs
2	Js
Strategy 3
Region	Cards	Strategy:                   Cost:  123   Carry forward: 27
6	Jh	Hunting the ace-killers, retaining some flexibility, winning early points
5	10h
4	Ah
3	Jc
2	*
Strategy  4
Region	Cards	Strategy:                   Cost:  150   Carry forward: 0
6	Ah	Maximum strength in every region
5	Ac
4	Qs
3	*
2	*
Strategy  5
Region	Cards	Strategy:                   Cost:  145   Carry forward: 5
6	Ah	Maximum strength in main regions, try to hunt an ace and kill 10s; accept risk in small region
5	Ac
4	10s
3	Js
2	*
Strategy  6
Region	Cards	Strategy:                   Cost:  149   Carry forward: 1
6	10s	Hunt aces and accept risk in regions 5,6, steal points with aces & J in regions 2,3,4

A reflection on mixed methods research in adult education

Introduction

The Research Problem

The purpose of this paper is to offer one vision of developing a methodological theory of mixed methods research co-equal with that of quantitative and qualitative research. I use a case study of the US Army Command & General Staff College engaged in a redesign of its curriculum, its teaching practices and its design process itself in a period of revolutionary change while supporting a nation at war. I describe circumstances and worldviews in which I argue that only mixed methods research may be employed to simultaneously develop a deep appreciation of uncertainty, improve decision making through an appropriate gathering, mixing and analyzing of quantitative and qualitative data, and applying “learning in action” as a strategy to manage success.  I contrast the view of research  as a process of increasing knowledge for control  with a worldview of research as a learning-in-action that allows for deep appreciation of complexity but without the assertion that appreciation and research can lead to prescriptive measures of control.  I examine the merging feedback system of the CGSC curriculum redesign as a mixture of qualitative and quantitative data. The concept of “Voice” that emerges from the CGSC action research process will be described, along with a multi-phased, multi-year research plan that demonstrates the practical development of an interactive dynamic research plan that is also adaptive to interim and periodic results. The paper  reflects a pragmatic worldview as it focuses on practical outcomes inside an organization concerned with real-world results, but acknowledges the importance and utility of the other 3 worldviews described by Creswell (2007, p.6), namely advocacy/participatory, post-positivist and constructivist.

Waldrop (1992, 2008) described the emerging science of complexity in a rich description of the inter-disciplinary work developing at The Sante Fe Institute. Sixteen years later (Waldrop, 2008) he found that the pioneer days of complexity research had evolved into a rich diversity of programs in major and minor universities worldwide, with lines of business and cognitive domains each finding ways to apply the ideas of emergence, uncertainty and complexity in new and profound ways. What remained unchanged from the origins of the research were the questions of what next and so what and how much more is there and what does it mean to apply an appreciation of complexity to everyday problems and opportunities.  The field of education is only beginning to appreciate how complexity and uncertainty may change the dynamics, structure, content and practice of adult education (Siemens, 2004). Professions in particular will be challenged by educating for complexity, since deep, profound, and reliable bodies of knowledge are at the center of professional practice. Educators, themselves members of a profession, are examining what it means to educate, teach and instruct in light of an emerging awareness of complexity.

The US Army Command & General Staff College (CGSC) is a self-described “learning organization” (Senge, 2000), engaged in a revolutionary re-design of curriculum and teaching practice, with a mission to educate 1500 US Army Majors for uncertainty and complexity, while engaged in a global war on terror and in direct combat in Iraq and Afghanistan (Long, 2009). This provides an opportunity to examine reflective learners and practitioners in action (Schon, 1987) using mixed methods research and using multiple worldviews (Creswell, 2009; Creswell & Plano Clark, 2007).

Past Research on the Problem

Edmondson and McManus (2003) propose a structured approach to selecting research methods that fit the state of theory in a given field. Their 3 archetypes of the state of theory: nascent, intermediate and mature  are connected to qualitative, mixed methods, and quantitative research methods, resulting in an appropriate methodological fit that aims to meet the needs of researchers worldwide. Creswell(2009) offers a systematic approach to analyzing: researcher worldview, research purpose,  research questions, the state of theory, data collection, populations and situations to be studied, and data analysis in order to further refine the methodological fit  and better connect purpose with practice across all 3 methods. Creswell and Plano Clark (2007, p.8) offers a functional working description of the state of mixed methods research, which proceeds from a deep review of current field practice, establishes a superb framework for classifying current choices of mixed methods research design and the means by which methodological fit may be refined, but stops at the boundary of developing a deep theory of mixed methods of research.

Deficiencies in past research and Need for Mixed Methodology

Conventional professional education processes have been adapting at an increasingly frequent rate as a consequence of Army senior leader directives and direct field feedback. The adaptive processes and decisions to date have been single issue, single iteration problem solving exercises inherited from an environment in which incremental change was the norm and most appropriate. These processes are less and less suitable as rates of required change increase and the relevance of existing processes and curriculum are increasingly called into question (Long, 2009)

Audience

The audience for this research include: staff, faculty and students of CGSC; educators of military professional schools; curriculum developers in graduate schools and organizations engaged in preparing leaders for uncertainty; scholar-practitioners of mixed methods looking to adapt practical field methods of for mixing qualitative and quantitative data; scholars examining the deep theory of the methodology of mixed methods.

Purpose

Purpose of the study, and reasons for a mixed methods study

The purpose of this study is to examine the CGSC curriculum redesign project and the emerging feedback system that guides design decisionmaking, which incorporates both quantitative and qualitative data. The project can be described as intermediate theory in the Edmondson  and McManus ontology, and therefore suitable for mixed methods research since I am introducing an emerging concept (“Voice”), focusing on the exploration of theoretical propositions (the theory of mixed methods), the availability of sets of rich theory that inform the research (adult learning, decisionmaking, complexity, design, learning organizations, narrative inquiry and action research), and incorporating multiple data types and analysis (Edmondson& McManus, 2007, p.1165).

Research Questions and Hypotheses

Quantitative Questions

H₁: Student satisfaction measured on the Noel-Levin Adult Learner Satisfaction Survey is not different than their reported overall satisfaction

H₂: Student education priorities measured on the Noel-Levin Adult Learner Satisfaction Survey are not different than those of faculty and college leadership as measured on the same instruments

H₃: Student education priorities measured on the Noel-Levin Adult Learner Satisfaction Survey do not vary through time in the course of the academic year

H₄: Student education priorities measured on the Noel-Levin Adult Learner Satisfaction Survey do not vary after graduation and reassignment to field units

H₅: Student satisfaction measured on the Noel-Levin Adult Learner Satisfaction Survey do not vary from satisfaction as measured by existing CGSC Quality Assurance  surveys

Qualitative Questions

What are the dominant and subordinate narratives that emerge from focus group discussions on educational priorities and practice and environment within CGSC?

How does the curriculum design decisionmaking process respond to similarities and differences in narratives that emerge from groups of students, faculty and senior leaders?

Describe the development, emergence of the construct of “Voice” from the CGSC PAR cycles, and how this prototype construct is evolving and being applied by various sub-groups within and associated with CGSC, by applying various interpretive methods of the narrative inquiry tradition.

Mixed Methods Questions

1. To what extent are qualitative insights generated from PAR cycles, focus groups, and individual interviews supported by quantitative data generated from surveys and actual use data of digital communication and collaboration mediums?

2. How are various organizational narratives constructed by sub-groups within the CGSC curriculum design process in order to make sense of quantitative data?

3.  What insights are offered by the application of  various narrative inquiry traditions? Which traditions are favored or overlooked or rejected by curriculum design decisionmakers?

4. What happens within CGSC when students and faculty are given opportunities to exercise “Voice”?

Philosophical Foundations for Mixed Methods Research

Quantitative research literature review

Student satisfaction surveys built on consumer theory (Watkins, 2009) are broadly applied in colleges and universities, and  treat students as  free-willed individuals that choose between alternatives for an educational institution and particular fields of study. They are seen as rational actors with definite expectations about what they want in their educational experience, and that satisfaction occurs when their expectations are met or exceeded. Smart, Feldman and Ethington (2006) note a decline in the attention being paid to the attitudes and behaviors of faculties, administrators, and the college and university environments as contributors to student success.(p.2.). These insights are related to the “college impact” model of student success. Applying the Noel-Levitz  Adult Student Priorities Survey leverages a robust, nationally recognized, validated research instrument whose dimensions reflect the areas of importance emerging from the CGSC Participatory action research  (PAT) study (Long, 2009) and enables  quantitative research into the existing database of historical satisfaction measures currently applied in the college’s curriculum design process.

Qualitative research literature review

The James, Milenkiewicz and Buchnam (2008) application of Participatory Action Research (PAR) develops measureable action steps that can lead to  revolutionary transformations within educational institutions.  The use of measureable qualitative and quantitative data gives power and legitimacy to the insights it generates inside an organization that values rigor and validity, while respecting the intuitive insights of qualitative research.  Prasad describes many techniques of Narrative Inquiry that offer many techniques for interpreting and making sense of qualitative and quantitative data.  Reason & Bradbury, (2008) and Clandinin, (2007), describe these disciplines and crafts of action research and narrative inquiry as having a relatively mature foundation of theory and best practices, with enough variation between sub-disciplines as to create real and significant choices for researchers . Various methodologies in each discipline can be characterized according to their own logic that connects their particular world view (Creswell, 2009), ontology, research technique, data requirements, classification and analysis protocols, and strategies for sense-making of the results of inquiry. The combination of PAR  and narrative inquiry offer a robust set of strategies for generating insightful qualitative data with connections to quantitative data sets, which make them especially useful and practical to mixed methods researchers.

Mixed methods research literature review

Creswell and Plano Clark (2007) provide a broad yet detailed overview of the current state of the art of mixed methods research. They offer a working definition of the field derived from a survey of practice which proceeds from a deep understanding of high quality methods of practice, through choices of design and point to potentials  for the development of deep methodological theory. They offer mixed methods as an appropriate research strategy as a way to improve on the use of either qualitative or quantitative research alone.  In their view, mixed methods are more comprehensive, can answer more  types questions, encourages collaboration  and the deliberate incorporation of more than 1 worldview and is especially well suited for situations where practicality and pragmatism are prized (Creswell & Plano Clark 2007, p8-11).

Methods

A definition of mixed methods research

Creswell and Plano Clark (2007, p.5) define mixed methods research in the following way:

“As a method, it focuses on collecting, analyzing and mixing both quantitative and qualitative data in a single study or series of studies. Its central premise is that the use of quantitative and qualitative approaches in combination provides a better understanding of research problems than either approach alone”.

The type of design used and its definition

In this section I will briefly describe the theoretical shortcoming of treating mixed methods merely as a practical solution to improving upon either the qualitative or quantitative approach alone, and why a broader and deeper theory of mixed methods is appropriate for developing deep appreciation of complexity and uncertainty. I will briefly describe two different designs that would pass the test of the Creswell and Plano Clark ontology of mixed methods designs. With appropriate development, either would be approved for research within CGSC.

Comparison table  (adapted from Creswell & Plano Clark (2007)

	Design 1	Design 2
Choices	Explanatory	Exploratory
Theoretical Description	A 2 phase  design, where qual helps explain or build upon initial quan results (p.71)	2 phase design where qual results help develop or inform 2d phase quan inquiry
Description of application to CGSC	Round 1: the Noel-Levitz Adult Learner Satisfaction Survey is applied to a population, and results are tabulated, analyzed, compared against national  graduate student norms and in  a time series from the beginning, midpoint and endpoint of the academic year. Insights are developed   Round 2:  A series of focus groups and individual interviews are used to develop qualitatitive insights to  make sense of the quantitative findings	Round 1: a  set of participatory action research cycles identify areas of pressing concern to leaders, faculty and students within the college. A grounded theory is developed and constructs are defined by the community of practice, informed by theory from PAR outsiders.   Round 2: A quant survey is developed to explore deeply into issues and constructs developed by the PAR teams to cross check for validity, to confirm or deny, to support or modify the emerging grounded theory and provide the basis for future inquiries as selected by PAR teams. (Note: this is s summary of the actual process used at CGSC as the basis for this case study. The various tangents deriving from the initial rounds of inquiry generated my epistemological concerns with the pragmatic assumptions of mixed emthods)
Design notation	QUAN->QUAL	QUAL->QUAN
Justification	Needs qual to help explain significant, , non-significant, outlier or surprising quant results	Exploration is needed because:   1. no existing instrument 2. unknown variables 3. immature theory or framework Well suited for exploring a phenomenon or when researcher wants to generalize to other populations, test emerging theory or classifications (p. 75)
Variants	1. Follow-up explanations (quan results, insights need additional explanation)   2. Participant selection  (where a sampling of representative outliers are selected for follow-on inquiry)	1. instrument development model   2. taxonomy development model
Strengths	Straightforward implementation   Feasible for single researcher 2 section report of results Supports both single and multiple phase studies Appealing to quan researchers	1. easy to design, describe, implement and report   2. although initial emphasis is on qual, the quan phase makes it easier to appeal to quan audience 3. both variants supports multiphase studies well
Challenges	1. Time consuming   2. Decisions on which individuals to use by phase w/justification 3. Difficulties with IRBs 4. Deciding which results to explore 5. Specifying criteria for follow-on inquiry (before or after results?)	1. time consuming   2. difficult to specify phase 2 construct for IRB prior to phase 1 results 3. deciding up front which individuals to use in phase 2 4. which data to use in phase 2 instrument 5. deciding relevancy of phase 1 results for phase 2 taxonomy
Timing	2 phase sequential model	2 phase sequential model
Weighting	I think the QUAL(quan) model is more likely. This design relies on at least a mature enough state of theory to allow for initial quan inquiry, but we are more concerned with the interpretation and application of insights than in model or theoretical validation	the equal weighted choice is more logical; the desired outcome is an improvement to state of theory (quan) by either a better instrument or by an improved taxonomy (ontology). Yet the reliance on initial qual inquiry as a guide makes it at least co-equal to quan.
Mixing the data	Either Merging or Connecting is more likely than embedding.  Embedding implies a single phase, whereas this is defined as a 2phase design.  The improved explanation of initial quan findings is how the design could be “connected”. If the interpretation or meaning making is intended to create “rich description” then either variant of merging is logical	Connecting is by far the most logical design choice, as the 2 phases are explicitly linked; quan follows qual and the connection is either an instrument or a taxonomy.   There is a distinct “manufacturing or processing” aspect to this design, which does not seek to produce a rich description that is a blend, but rather produces a better quan framework as guided by the initial qual inquiry

Diagrams:

Research model 1: Explanatory:

Research model 2: Exploratory:

Analyzing the data:

In both models of mixed methods design the quantitative data would be subjected to power analysis, tests for relationship and causality.  The quantitative hypotheses are framed in the form of null hypotheses in order to determine if there were differences that could be attributed to a difference in instruments and what they are measuring (existing survey vs the Noel-Levitz survey); through time series tests to see if there is a treatment effect, and with the samples subjected to control variables to examine the effects of demographic, career experience, educational goals and faculty specific effects on the measures of satisfaction and importance.

Qualitative data would be subjected to thematic analysis according to the practices of the grounded theory, narrative inquiry and PAR traditions/  Narrative inquiry traditions are especially important here as outlined in Boje (2001).

Analyzing the mixed data would be drivcefn by the specific design selected as noted above.

Theoretical analysis of the consequences of choice in mixed methods design

Both designs would be interpretable as providing a deeper insight and understanding than a study restricted  to either of their individual qualitative or quantitative components. The functional definition of mixed methods (Creswell & Plano Clark, 2007, p.5) would lead decisionmakers, particularly of the pragmatic worldview, to ‘receive the wisdom of experts” and seek to straightforwardly apply the insights based on a justifiable belief that they now knew more about what was going on, and had in some fashion reduced the amount of uncertainty about the world around them. My central argument is that there are situations so complex and uncertain that no amount of research and conclusions drawn from best practices of the traditions of both quantitative and qualitative inquiry, and the best practices emerging from mixed methods as described by Creswell and Plano Clark. In fact my use of the word “situation” in the preceding sentence, is an implied assumption that there is such a thing in the real world as a definable “situation” or problem set  which may be bounded and contained by a problem solving, decisionmaking entity. While this construct is the basis for the post positivist tradition, which has endlessly proven its utility in countless settings, it is normal for pragmatists to conflate utility with reality.

It can be argued that there is could be a tacit agreement between constructionists and post-positivists to allow each other the primacy of method and interpretation based on typical problems, and indeed much work is being done to increase cross-discipline understanding, cooperation and integration. The common assumption between these two worldviews is that the end product of such effort is a measureable increase in our knowledge of the world as it is, from which we may exert more control and prediction by having reduced the amount of uncertainty by some amount. This tacit shared assumption I submit is expressed through the research practice of pragmatists who are “naturally” drawn to the mixed methods designs and practices described so well by Creswell and Plano Clark. Given the fertile and as yet only partially explored areas best suited for mixed method research it would be natural for the deeper philosophical theory or theories of mixed methods to be postponed, much as Smart, Feldman and Ethington (2006) found a willingness for researchers to revert to their preferred and more easily measured  research domains and begin to neglect the messy and challenging issues of environmental factors affecting student success. One is reminded of the story of the man who’d lost his key in a dark alley but was searching for it under the streetlight because the light was better there.

I am arguing that there are situations where even mixed methods are properly and rigorously applied, and interpreted in best professional practice, that the insights may serve only to help decision-makers appreciate the vastness of what they do not understand, and better act within an uncertain environment, humble in their ignorance, yet moved to action from values and on the basis of principles informed by the best practice of inquiry.

It is my contention that in those situations described so aptly as “wicked problems” by Rittel & Webber, (1973) that a  deep theory of mixed methods may be developed that is co-equal to that of qualitative and quantitative methods. I argue that mixed methods not only are useful in solving less-than-wicked problems, as described by Creswell and Plano Clark,  but most appropriate to engage with uncertainty and complexity for the express purpose of appreciating deeply the current situation. The deep theory of mixed methods I anticipate would require explicit inclusion of all 4 world views, since there is no a priori basis for excluding any of the 4. I thinkit quite likely that a reasonable assumption of a deep theory of mixed methods in fact could require an explicit inclusion of the best practices of each world view in some fashion, details to be determined, of course.

The shift in epistemological  perspective seems important to me,  and which should be developed in tandem to the directions for improvements in design and pure method described by Creswell and Plano Clark.  Checkland’s application of soft systems methodology,  artfully describes  “learning towards success” in a satisfying way (Checkland & Poulter, 2006).

The best expression of the theoretical stance towards irreducible complexity intersecting the human need for the state of nature or through any objective criteria (Boje, 2001) and in the work of Hayden White (1987) concerning the relationship between narrative discourse and the historical representation. These insights are causing me to reflect deeply on my own essentially pragmatic worldview and its underlying assumptions, and lead me inevitably back to the proposition that we need the methodological theory of mixed methods developed simultaneously with that of its design choices and specific methods.

References

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Checkland, P. & Poulter, J. (2006). Learning for action: A short definitive account of soft systems methodology and its use for practitioners, teachers, and students. West Sussex, England,  John Wiley & Sons Ltd.

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Long, K. (2009). Participatory Action Research pilot study notes. Ft Leavenworth, KS: CGSC (unpublished).

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Traders roundtable: the three phases of new system innovation

At a recent traders roundtable discussion, we started to review the procedures and practices that each of us followed for coming up with new ideas to trade the market. While each trader have their own specific routines and follow, there were some aspects of their practice that were in common with each other. Here are the three phases that each trader went through in one form or another when developing new systems ideas:

Phase 1: Saturation. in this phase the trader is hungry for knowledge and reads everything he can get his hands on. Searching YouTube for different trading ideas is now feasible and reasonable as people will give you their best ideas online in a way that is very accessible and time efficient. In this phase you’re trying to cram your mindful of facts, ideas, concepts, themes without regard for trying to make sense of it yet. Think of it as filling your hard drive with data.

Phase 2: Incubation. In this phase, the trader allows the subconscious mind to stew on facts and assumptions below the level of consciousness. You can think of this as churning butter or slow cooking a stew. It’s not unusual to have trouble sleeping or to feel distracted from day to day events in this phase, because you can sense something is happening at a deep level that you can’t put a name to get. It is often helpful to distract the conscious mind with strenuous physical activity or listen to classical music, especially Baroque music like Bach which seems to have a generative effect.this phase continues until your moment of breakthrough.

Phase 3: Illumination: this phase begins with the shock of an “A Ha!” moment. the nervous energy released by the shock of recognition of a new insight can be almost overwhelming. I can remember times having to pull my car over on the highway in order to let the new thought fully develop. the energy will run its course while you visualize and or here are the first full manifestation of the idea and its implications. It’s a good idea to have pencil and paper with you at all times or a digital voice recorder so that you can capture the full stream of consciousness insights while it is still fresh.

I strongly recommend that at least once a month you set aside some time to go through these three steps and make them part of your trading research ritual.

Traders Roundtable: Maximum Compounded Return Versus Fear of Drawdown

In a recent traders roundtable discussion on the subject of balancing maximum gain with risk management the question was posed how to reconcile these two issues. A few definitions for the purposes of this essay are in order.

First let’s consider maximum compounded return to be defined as a system that is traded at every viable opportunity at the maximum level of acceptable risk with profits that are rolled into the total portfolio and with maximum acceptable risk in leveraging the markets money. This definition allows us to stay within natural risk limits but operate the machine as close to the red line of sustainable performance as possible.

Now let’s consider the fear of drawdown to be defined as the natural human response to operating power tools or heavy equipment in a dangerous setting as close to the edge as possible with full recognition of the consequences implied of potentially catastrophic failure. The human mind is capable of creating shades of distinction between various perceived levels of risk and these degrees of perception vary by individual. Some people are fully physically capable of walking within 5 feet of the edge of the balcony where as others can go right up to the edge and peer over and still remain in full normal natural control of their reactions. For each person though there is a line beyond which you judge that you are in dangerous territory in that extraordinary measures of protection and care must be taken because of the increased risk.

I am certain that there is a lot of evolutionary biology involved inside our brains which had to face this exact challenge on every front in prehistoric times or more technically, in the era of evolutionary adaptation. Even the most primitive caveman was certainly capable of appreciating the pay off of killing a mammoth for the future of survival needs of the tribe. And yet that same caveman was fully aware of the danger to himself that he took by stocking the huge beast. Sharpened by fear and hunger in the visions of a plentiful tomorrow, each caveman had to reconcile distention in some fashion and the successful ones passed on their adaptations to countless generations. This manifests itself in modern times in any place where risk and reward are brought together and we asked humans to make a balanced trade-off decision.

In every significant situation, and by significant I mean where impactful money is being rest for an impactful reward, the brain is flooded with chemicals which trigger flight or fight responses and invoke millions of years of stored up collective unconsciousness which shape and color our decisions and effectiveness of implementing those decisions. Trading is no different.

My sense is that for long-term safety and survival and given a trading system that generates a significant number of opportunities that long-term survival should drive us towards finding the minimum level of risk with which to trade to meet our specific financial goals. For those whose goal is expressed as maximum compounded rate of return, I suggest they are more likely than not to push it past the red line and come crashing down.

Without an appreciation of the real cost and friction associated with long-term trading in multiple market conditions that require constant adaptation is too easy to extrapolate the results of a few successful trades into next taxation that is far from being achievable. These false expectations are more likely than not to add to the level of stress and further degrade performance. My sense is that minimum risk levels rather than maximum risk levels are appropriate place to begin your inquiry into long-term trading as a potential career.

Therefore, I strongly suggest that you start with ways to use part-time small position sizing trading and learn to supplement your current income at your current standard of living and proceed in small stages, and getting larger only when supported by the evidence of long-term performance. It’s an incremental approach, it does not generate lottery size winds, but it will keep you in the game while you’re learning and keep your feet planted firmly on the ground.

Testing the Word 2007 Blog publishing template

This is to see how things come through when written in Word 2007 and pushed to the blog site.

Here is a sample picture:

 

Am wondering how tags and categories are handled?

Traders roundtable discussion: the issue of optimization in research

We were having a traders’ roundtable discussion on the topic of researching potential trading systems and the issue of optimization came up. This is a very important topic for traders who want to apply a systematic approach to trading markets. Here are some of the highlights of that discussion for you to consider as you prepare your trading strategies.

Typically when we think of optimization for a trading system we are looking at a process that incorporates multiple variables, parameters with different settings possible and perhaps a number of market filters or conditions which taken together with an exit strategy give us a multitude of ways to trade a particular concept or idea.

It normally begins with an idea the trader has based on insights fromtheory or from reflective practice where he believes the system gives a persistent advantage compared to the average market return  of simply buying and holding. It is also possible however that the edge may come from a brute force data mining operation that finds a statistical edge in some combination of market conditions. In other words, the insight comes from the result of massive computations and not from an intuitive or academic insight.

In either case , what we have is a system of multiple components, each of which can vary, and on an initial pass through with middle-of-the-road parameter settings we find a persistent edge in multiple markets with a statistical significance. Human nature being what it is, we would want to start testing different parameter settings for each component in order to determine the best mix for the most robust return and to find which of the parameters seem to have the most power when it comes to influencing the results. In statistics, this general approach is called factor analysis or principal component analysis.

In theory, you would want to find the absolute maximum return by finding the absolute optimum setting for each of the possible parameters and then take that into the market to begin trading. Taken to an extreme, this can produce a phenomenon of curve fitting or over optimization. What you can end up with is a system that would be perfect for the unique set of data conditions of the test. The problem of course is that the future may not ever show you that same data set again in your over optimize system will under perform much to your surprise.

The usual response to this phenomenon is to conduct testing with out of sample data. In other words designing the system on one data set and refining it to a certain degree and then testing it on a completely new set of market data to see if the edge persists. If you were systems development practice find you always discarding your systems after the out of sample test, it probably occurs as a result of over optimization.

In practice then, we want to find the trade-off between robustness of performance in multiple market conditions with out of sample testing that yields a persistent advantage in multiple market conditions but without trying to overturn the system for ideal conditions.

A way to keep this systematic approach in tune is to continue to monitor performance in a feed-forward approach that examines actual trading results to see how the performance results compare to the test and confirmation performance curves.

The bottom line: the more you rely on automatic trading systems, the more important your research and validation process becomes since you will not be using inexperienced traders override protocol to keep you from going off the deep end.

The future of education in a net-centric world

reinventinglife.org 

Surveys of CEOs and futurists alike all agree that the future is calling to us with a need for open systems, open thinking, collaborative organizations, workplaces and attitudes.  Net-centric  democratic education,  public and private movements for social justice, moral and honorable business enterprises,  and cross cultural communications all place a premium on skills, tools, and attitudes that encourage and multiply the network effect.

Doctoral research should reflect this same willingness to push boundaries, and encourage the use of collaborative teams of researchers and practitioners to explore collaborative theory and practice. If collaboration works in practice, there needs to be a theory of collaborative action, and the research in support of that practice should reflect the same principles as the work itself.

Like all new movements, there is a bootstrap problem when you try to go beyond conception into first action.  How do you create the initial conditions to generate the spark of collaboration which can ignite the passion and energy of research teams? The words sound good, but we need a place to try it on for size; We need supportive yet challenging places to discover, invent , develop and propagate the  best practices and techniques of collaborative knowledge creation.  We need places to test our theories, tell our stories and plan for the next cycle.

Dr Alana James’ growing community of practice at reinventinglife.org, centered on the principles and techniques of Participatory Action Research, is just such a node. It serves as an incubator for researchers and doctoral students seeking to develop the net-centric research effect. It goes beyond dry academic reports of practice, by being a live and vibrant laboratory for discovering, applying and reporting on the “theory-in-use” of open education.

It is a combination of challenging questions, a tool repository for new applications of digital learning and research, and is creating a circle of multiple competencies that will support  spin-off collaborations in a variety of settings that will propagate waves of change throughout the network like waves in a pond.

Dr James’ leadership in this area is paving a way for new approaches to research and practice and is exactly the kind of practice which needs support and recognition. She has the vision to imagine revolutionary positive changes in the world around her, the moral courage to invest in encouraging the Voices of students and co-researchers as we work to define and realize that future, and the skills to lead and encourage that change.