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

 

Leadership: Believing in others as a way of life

Leadership as a belief in others

there are two models of leadership that I am directly familiar with.

The first is the leadership quality model which treats leadership as a quality manifested by the leader, often composed of subordinate virtues like honesty, loyalty, competence, empathy. In this sense leadership could be considered a state of being.

The second model is one of technique usually described as a form of situational leadership in which a leader applies the appropriate technique based on a diagnosis of the situation, who the people are who are being led, and the necessary form of a successful outcome.

The idea of believing in people seems to be directly related to leadership in my experience and doesn’t fit into either category. I say this based on some personal experiences which I’ll describe.

I can think of it a number of circumstances in which my leaders believed in me and my potential . It motivated me to perform at a level higher than I thought was possible. What unites these cases is that my leader was a significant other to me, whose opinion I respected and whose approval I sought.

Another essential element was the element of risk and authenticity. I knew that my leaders trust in me had consequences for them which affirmed my belief in the authenticity of their belief because they have something to lose if they were wrong. In other words, these are not just empty words there was real meaning in the outcome.

Taken together these contributed to my motivation and determination and made the difference in my final performance.

As a leader myself I have seen the difference in trying to replicate a technique and manifesting a true inner belief in others. In my experience, your subordinates can sense a lack of authenticity a mile away.

I think the topic of belief in people is tied to leadership because it places it in a situation in which hierarchies matter, outcomes matter, risk is taken in the consequences are in doubt.

I don’t think belief in others is pure leadership quality like in the quality model because it takes on the context of the situation to establish the importance of the belief in the risk that the leader is taking. I think it’s a leadership matter because the trust must come from the leader first to be truly motivational.

It’s not something the subordinate can request or requisition but it must come flowing from the leader to the subordinate.

Reflecting on the ancient philosophers and their practice

Hadot’s thesis is that the ancient Greek philosophers understood philosophy to be a love of wisdom, He placed philosophers in a state of conscious striving, between the already realized perfect wisdom of the gods and the masses of unconscious humankind, unaware or unconcerned with arête (excellence). He examined how four schools and two refinements answered the three common elements of philosophical inquiry: physics, ethics and logic. Based on fundamental assumptions, rooted in values, each discipline defined the Good Life for their practitioners. The physics described the nature of reality, cause and effect, and situated man properly within the world. The ethics described the proper treatment of one’s fellow man. The logic provided a discursive structure of context, concepts and rules for dialogue. Hadot convincingly demonstrates how the six disciplines shared two incommensurable perspectives: (1) that of philosophy-in-action, as a life lived, and (2) the philosophical discourse that critically analyzed the context, concepts and claims of the discipline’s tenets. After tracing how these two perspectives diverged in modern philosophy, Hadot argues that the ancients integrated them to understand and live the Good Life. I argue that this is as valid and important today. I adopt both perspectives to link personal reflections, Moodle discussions and my applications of these insights in my own life as an exercise of the ancient philosophers’ ask?sis (exercise) (Griffin, 2009, p.2). Reflection: The practice of applied philosophical discourse. The observation: Hadot says “ a dialogue is possible only if the interlocutors want to dialogue” (p.63). He describes the essential characteristics of a specifically philosophical discourse: neither imposes his truth on the other, but seeks rather to discover and understand himself through disinterested transcendence of personal perspective. My reflection: the spirit of the philosophical discourse requires values of mutual trust and vulnerability; integrity in representing our position; humility and restraint in order to appreciate your partner’s position; critical thinking skills that deconstruct, analyze and synthesize the essential elements of the argument, and a respect for the nature of inquiry; the maturity to separate your Self from the argument that has been offered for examination. Our discussion board: I offered a discursive opportunity on the subject of a sage who asserted that Silence is an appropriate technique when encountering critics. I proposed that this was the opposite of wisdom, arguing that it allows you to access wisdom of your own making, does not engage in open dialogue with respected others, and rejects the possibility of shared insights and mutual construction of new knowledge. I felt very disappointed that my offer to dialogue was not accepted but I publicly respected the decision. I also have observed another student’s best passionate efforts to push discourse to the forefront, often generating more heat than light, but with more success than I expected. It has become much clearer to me how important Hadot’s prescriptions for successful, responsible discourse are. It is a special form of discussion, whose nature must be explicit and intentional for both parties in order to engage fruitfully, since it approaches values and emotions that are at our very heart and soul. My applications: I am developing formal materials to improve the critical thinking and discursive skills in our college, motivated by student interest and their assessed skill level in argumentation. I’ve helped develop the argumentative essay rubric I shared with group. I discovered convincing research demonstrating how “argument mapping” improves critical thinking skills. Its educational efficacy is so demonstrably superior to traditional means that I have started a campaign to discuss making major modifications to our core curriculum. Creating a rubric is discursive; using it is the practical application, thus closing Hadot’s loop. My latest late night father-son discussions include the ingredients of discourse, particularly the respect for the Other and self knowledge through transcendence. In fact, the outline of this paper’s arguments emerged from the hot tub during one such heated discussion on the nature of Creationist “science”. My son was conflating positions on Creationist claims as science, with worth as human beings to society. Hadot helped me describe a reframing that he was able to see and accept without sacrificing his personal beliefs. I critiqued Strunk & White’s formulaic advice in our first paper, and then disinterestedly applied their formulas to my critique, which measurably improved. This paper is better after re-writing. Writing is thinking, and thinking is hard. Transcending my own initial position has been fruitful and refreshing. I am better able to improve my positions without regret for revising my statements. I expressed my frustration in the lack of discourse in Moodle with the professor, who guided me to think of ways to meet my needs in other ways. This has led me to continue to provide connections of our material to Chinese philosophical traditions (Confucius and the Legalists), insights from the Mahabharata (the epic story of Yudisthira’s principled rejection of Heaven) and the analogy of Hesse’s Glass Bead game in Magister Ludi as an example of discourse for discourse’s sake. I have been trying to improve the quality of my small group feedback, and taking on some essay critiquing outside of my small group. Brief summaries of other reflections and applications. I continue to grow in respect for the courage of my peers to push past their own boundaries. In particular, Mel is working hard on channeling her passion in new and constructive ways, reaching out to other cohorts to engage in discourse even when it’s not popular. That she can do this while double loaded with classes and in China is remarkable. Tamara continues to read deeply and express insights clearly and personally. Reviewing her comments about askesis made me think more deeply about that topic, which led me to this paper’s theme. Andy and Negar each are pressing on through the fog of finding researchable questions while pondering what can seem to be so abstract on the surface: ancient philosophy. I admire that they are asking for more and deeper critiques even when their plate is full. Hadot’s treatment of the bifocal nature of meditation was a nice way for me to reconnect and synthesize my own experience of sitting meditation which in turn can be inwardly focused on your core being, and outwardly expanding in search of reconnecting with the unity of all things. His review of the various ancient Greek traditions and how this practice fits into a larger set of exercises was elegant. The deep review of the six disciplines allowed me to reconnect their tenets with times and places in my life where I had been trying on all of their styles for fit. I have been at various times Socratic, Platonic, Aristotelian, Epicurean, Skeptic, Cynic, with an increasing predominance of Stoic throughout my military career. I sense a return of the Epicurean on occasion, as I follow my bliss more often these days with this program and with youth soccer. I think Hadot, and this review of the principles of “principled discourse” will enable me to engage with both Fromm and Kuhn, about whom I have had well-developed positions, which I am now prepared to transcend to see what I may see. Conclusion: Hadot reconciles the opposing views of philosophy as a guide to living and philosophy as an analytical inquiry into conceptual systems by showing how the ancient philosophers respected both of these incommensurable positions while integrating them in their thoughts and deeds. What comes through most importantly for me is Socrates’ notion that the unexamined life is not worth living, integrating with the idea that critical thinking without practice are words games. Griffin, T. (2009). Ancient Philosophers, paper 2, MGM830, Colorado Tech. Hadot, P. (2002). What is Ancient Philosophy. Cambridge: Harvard Univ Press.

Ken - Engaging in dialogue is definitely not easy and one’s desire to do so in a meaningful and thoughtful way is not always accepted. I imagine that there were times at the beginning of philosophy before philosophy that sophists perhaps attempted to create dialogue and they were left standing alone. However, do you think that as we continue to genuinely give of ourself, there is a requisite return of others or is it by luck that we find others who are willing to engage. In other words, does our repeated genuine attempts cause others to participate, or do we just have to get lucky that someone who is of the same dialectic bent ends up in our area of town? Mel

i think of discourse as living in a marketplace, of buyers and sellers. It is voluntary, both are seeking value for their resources. Each needs to have something to offer, each is in need of something new, and there must be an agreement for exchange under certain mutually acceptable conditions, and you know ahead of time specifically what you want. It’s a varied and diverse market of many interests, and the degree of overlap is probably somewhat less than that of a vegetable market, which has known commodities whose qualities are readily apparent. We are often in the position in the discourse marketplace of not knowing yet what we have or what we need, other than perhaps a desire to engage. We have trust that the discourse may lead us somewhere profitable and perhaps beautiful, at the risk of fatigue, lost time, diversion, frustration, vulnerability. Being human, there is a desire perhaps for comfort and affirmation in our dialogues, which may outweigh the risk/reward of true discourse, which opens us up to scrutiny and uncertainty. If we cannot separate our nascent ideas from our Self, we are constantly at risk of ego loss and reputation loss, embarassment/shame. Part of what may attract us to a particular discursive space is our experience with its inhabitants , our would be partners, its reputation, its tendency to meet all our human and inquiry needs. Probably cant force it without the kind of outside pressure that is long term harmful to the spirit of genuine inquiry and discourse. if you think of Hadot’s list of the “rules for good discourse” you will recognize a social contract that accounts for these issues: respects each other, shows a committment to transcend both individual perspectives, in order to synthesize to a new knowledge to me, Socrates’ questioning doesnt rise to the level of discourse, because he isnt risking anything: he already knows where he is going, and he never has a breakthrough in his own understanding: he always is “reading from the same script”; he is never surprised; he is always sure of himself and where he is going from the moment of the first question. He is much more god-like than philosopher-like in Hadot’s formulation of god-philosopher-common man, since he always manifests pure wisdom. the closest we ever see him in a transcendent state is when he is by himself, in deep contemplation: i argue that he never engages in discourse: he simply takes you where he has already been. Do you ever see Socrates trying on the other’s point of view, or discovering a new insight in any of his dialogues? Of course i speak of Socrates here as the character actor as conceived by Plato, the playwright, and not the man, who probably began conversations over important topics without knowing where he would end up; at least I hope he was like that. Otherwise he was born perfect, or became self-perfected without discourse. To get back to your first point then, I’d say that if you want to engage in discourse, you have to “put up your shingle” and market your product and announce what you want in exchange, and trust the network that when someone who is ready to exchange on those terms shall appear and together you will be able to sort it out. posting your paper was an act of marketting that, to me, shows your willingness to engage.

A reflection on action research “storytelling”

What follows is a 1st person, stream of consciousness  reflection written to my mentor & committee chair.  

I describe  what it was like to record a 10 min video “telling the story” of  some preliminary findings emerging from my action research cycles into curriculum and adult learning. 

The video is hosted  at YouTube.

It will be shown at an international conference in Athens, as part of the Collaborative Action Research Network (CARN) annual conference, as part of a bundle of reports from the Future(s) of Education project, an international  participatory action research network.  

Dr Alana:  

i am just glad to get it out of my head  

i had a real out of body experience recording that one;  

i  am a very effective briefer in person, because i can read the audience pretty well.  

i have recorded hundreds of mini lectures etc for my business and for use here at the college on various topics.

i have never, ever needed more than a single take to record, decent and sometimes even inspired voice-overs  until  last night and that briefing.  

I literally needed about 30 takes to get thru it; most i stopped when less than a minute into it because the tone just didn’t feel right

 i think it has to do with being a fish out of water, and the difficulty i felt in trying to tune my story for an audience i couldn’t see, but more importantly didn’t have empathy for

because the audience characteristics still feel fuzzy to me, i couldn’t call up the right tone, voice, persona to apply  

 this caused me to have almost a split personality in the moment, when i am ordinarily dialed in

 i had a “talking part” and a “look ahead part” that is concerned with shaping the transition to the next point/slide  

but now i had a disconcerting 3rd part that was trying to anticipate the possible reactions of an unfamiliar, and hard to imagine audience  

this is what made me feel so out of sorts

 until i “wore out” the last, 3d part and was able to trust in just telling the story, and accepting the vulnerability of knowing that i couldn’t know the audience, i found i just couldn’t get thru it.  

this is the same phenomenon I spoke with Prof Mike Wesch, the digital anthropologist at Kansas State University, and world thought leader on social dynamics in social media: the camera eye represents the unlimited, unfathomable infinite future of all possible audiences across time and space who can be looking in on the “telling moment”.  

in a sense, its like coming face to face with the unblinking eye of God and wondering what she is thinking  

 it is trust that lets us get thru that moment, the accepting of vulnerability, that creates the empathy that hopefully fills the story, as told, with hope.  

that’s a clumsy way of trying to express my meaning of the risk and vulnerability to “telling” and why it can be such a powerful learning moment, and why we need to model it, embrace it, encourage it, and support it. 

Your “producer’s draft” was exactly what i needed to be able to get out of my own comfortable fishbowl; 

you gave me a bridge to the audience that i could not create on my own.  

this has become an interesting reflection to me already  

please put the video on the website, and any or all of this reflection as you deem suitable  

have a great time at the conference!

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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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.

A Reflection on Crafting Qualitative Research Questions

In chapter 7, Creswell (2009, pp. 129-132) identifies the following general procedure and considerations for crafting qualitative research questions.

1. Ask one or two central questions followed by no more than 5 to 7 sub questions

2. relate the central question to the specific qualitative strategy of inquiry

3. begin the research questions with the words what or how to convey an open and emerging design

4. focus on a single phenomenon or concept

5. use exploratory verse that convey the language of emerging design such as Discover, seek, explore, described or report

6. use exploratory verbs that are nondirectional

7. expect the research questions to evolve

8. use open-ended questions without reference to literature or theory

9. specify the participants and the research site for the study

Background: my papers for this term are focusing on the methodology of narrative inquiry as applied to my college research setting. As part of my research I am investigating the nature of narrative inquiry and how it may be variously applied to a specific educational setting in my military college which features a strong hierarchical culture and a specific professional approach to a style of sense making through storytelling that is very powerful in our officer corps.

The specific style and use of storytelling in the military has emerged from the collective unconscious of the officer corps and can be found in our professional journals, popular magazines, lesson plans, guest speakers, lecture series and in the classroom as we describe our personal experiences in combat and try to relate them to our doctrine which serves as the basis of our professional theory of action.

Because of the power of storytelling, I want to look at other modes of narrative inquiry to see what the theory or thoeries of narrative inquiry say about choices organizations may make when using storytelling in the conduct of their daily craft. Therefore, I intend to examine the application of narrative inquiry in qualitative, quantitative and mixed methods of research. I hope to develop an appreciation for a meta-theory of narrative inquiry and a practical model to help researchers determine an appropriate use of narrative inquiry in their own research.

The basis for this interest is my literature review in narrative inquiry which uncovered at least 20 different ways in which narrative inquiry is broadly used in the field, each with with its own distinct flavor, perspective, timeframe, point of view, purpose and methodological techniques. I want to examine where on this emerging methodological map the Army’s particular style of storytelling fits and to see what other insights and applications may be gained by looking at other implementations of narrative inquiry.

Since the next paper in this series is the qualitative sketch, this week’s posting focuses on qualitative research questions. Bearing in mind Creswell’s procedural advice, here are my qualitative questions concerning narrative inquiry applied to qualitative research.

1. Central question: how does storytelling affect the educational environment in our college?

(I use the term storytelling rather than narrative inquiry to keep the central research question jargon free and theory neutral. I will ask this question in a non-formal way and you storytelling as an open ended construct to give the interviewee maximum freedom to perceive in their sense making and personal storytelling).

2. 5 to 7 sub questions:

a. How does storytelling affect you personally as a teller or a listener?

b. Describe any personal experience with storytelling that made a difference to you or to others?

c. Describe how you see or hear others using stories in the college environment.

d. What effect do you see or hear stories having on our professional literature in journals, magazines or doctrine?

e. How have stories affected the classroom experience of students, faculty or senior leaders?

f. How significant are stories in the overall educational experience of our college and profession?

g. How do you see or hear stories being told? In what style and in what medium?

h. What are the strengths and weaknesses of storytelling as a means of making sense of our profession?

(I’ve tried to keep the sub questions centered on storytelling as a phenomenon and am asking the interviewee to describe its effects, its processes, its locations and its context. With the last couple questions I have asked for them to conduct some analysis and judgment to make meaning about this mode of sense making. I would expect that with these base questions a rich conversation about the culture of storytelling will emerge from individual interviewees)

3. Because the questions asked for open and the descriptions I believe they allow the emergent quality of the research to develop.

4. I am focusing on a single concept of storytelling as a phenomenon.

5. I am using exploratory verbs .

6. I am using non-directional questions to let the interviewee make value and directional judgments.

7. In the multiple cycles of participatory action research I have conducted to date, I have seen firsthand how the research questions morph and evolve over time. Cresswell is exactly right.

8. I have minimized the connection to theory except possibly in the sub question H, where I’ve introduced the words ”making sense”, which are related to the technical term of art “sense making”. This might be pushing the idea that storytelling is a sense making process but since this is the last question and the theory is not unusual, I feel justified in asking it.

9. The context of these research questions are the U.S. Army command and Gen. staff College at Fort Leavenworth Kansas, and members of the students, faculty, curriculum developers, administration and senior leadership along with interested parties in military education across the Army.

References:

Creswell, J. W. (2009). Research Design: Qualitative, Quantitative, and Mixed Methods Approaches (Third Edition). Thousand Oaks, CA: Sage Publications

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.