Transformative Research and Evaluation

417 Pages·2008·5.306 MB·English

by  Donna M. Mertens PhD

TRANSFORMATIVE RESEARCH AND EVALUATION

Transformative
Research and
Evaluation
Donna M. Mertens
THE GUILFORD PRESS
New York London
© 2009 The Guilford Press
A Division of Guilford Publications, Inc.
72 Spring Street, New York, NY 10012
www.guilford.com
All rights reserved
No part of this book may be reproduced, translated, stored in a retrieval
system, or transmitted, in any form or by any means, electronic, mechanical,
photocopying, microfilming, recording, or otherwise, without written permission
from the Publisher.
Printed in the United States of America
This book is printed on acid-free paper.
Last digit is print number: 9 8 7 6 5 4 3 2 1
Library of Congress Cataloging-in-Publication Data
Mertens, Donna M.
Transformative research and evaluation / Donna M. Mertens.
p. cm.
Includes bibliographical references and index.
ISBN 978-1-59385-302-0 (pbk: alk. paper) — ISBN 978-1-59385-985-5
(hardcover: alk. paper)
1. Evaluation research (Social action programs) 2. Social sciences—
Research—Methodology. 3. Social justice. I. Title.
H62.M4232 2009
001.4′2—dc22
2008037876
Preface
Who Should Use This Text?
This text covers the theory and methods of transformative research and
evaluation. In that sense it is complete unto itself. Novice researchers and
evaluators, advanced undergraduate students, or beginning graduate stu-
dents can benefit by using this text to form an understanding of the trans-
formative paradigm, recognizing that other sources are needed to provide
full coverage of research and evaluation from other paradigmatic perspec-
tives. More experienced researchers or evaluators or advanced graduate
students with knowledge and experience with other paradigms can ben-
efit from this text by gaining understanding of the rationale for the use of
the transformative paradigm within the wider context of alternative para-
digms. All may benefit from exposure to multiple examples of research and
evaluation methods that could be adapted to specific interests.
Organization of This Book
This book is organized as if research and evaluation followed a linear path.
In actuality, research and evaluation are dynamic processes that require
footwork more akin to salsa dancing. There is a basic set of steps, but there
are as many ways to modify those basic steps as there are dancers. Hence,
the need for this book to be used in a dynamic way, reading parts, moving
on, and then revisiting parts as the research or evaluation study evolves.
v
vi Preface
The first two chapters provide a framework, rationale, and philosophical
bases for the transformative paradigm. Chapter 1, “Resilience, Resistance,
and Complexities That Challenge,” explores the tensions that coexist in
the research and evaluation world in terms of confronting discrimination
and oppression, recognizing and supporting resilience and resistance, and
taking up the challenge of conducting research that is explicitly centered on
issues of social justice. Chapter 2, “The Transformative Paradigm: Basic
Beliefs and Commensurate Theories,” begins with a general discussion of
the meaning of the concept of paradigm and illustrates how various para-
digms might impact on research and evaluation decisions. It then continues
with detailed explanations of the basic philosophical beliefs that underlie
the transformative paradigm, along with discussion of specific theories that
are commensurate with this paradigm.
Chapter 3, “Self, Partnerships, and Relationships,” turns the lens on
researchers or evaluators themselves. Knowledge of self is part of the pro-
cess of recognizing the relation between self and community, which in turn
facilitates the building of trusting relationships between study participants
and researchers. Establishing this trust is a necessary first step toward work-
ing in an ethical and culturally responsive manner throughout the subse-
quent steps of the research and evaluation process. Relations between the
inquirer and the community are a crucial part of establishing the focus of
the study. Chapter 4, “Developing the Focus of Research/Evaluation Stud-
ies,” identifies many sources of support in developing the focus and context
of research and evaluation, including funding agency priorities, scholarly
literature, web-based resources, fugitive (grey) literature, and group and
individual strategies to involve community members.
The philosophical assumptions underlying the transformative para-
digm lead to consideration of models for research that reflect the knowledge
of self and community as the basis for making methodological decisions.
Chapter 5, “A Transformative Research and Evaluation Model,” provides
a model for transformative research and evaluation that is based on the
use of quantitative and/or qualitative methods, with a priority on mixed
methods, using short-term or cyclical approaches (with preference given
to cyclical studies). The model is rooted in and embraced by community
values. More specific methodological choices are presented in Chapter 6,
“Quantitative, Qualitative, and Mixed Methods.” While the use of mixed
methods has intuitive appeal, it necessitates expertise in both quantitative
and qualitative approaches. Therefore, the chapter begins with an explana-
tion of quantitative and qualitative approaches and then presents specific
mixed methods that allow for the combination of such methods as surveys,
experimental designs, ethnography, and focus groups.
Preface vii
The focus of the book then shifts to the participants in the study. Chap-
ter 7, “Participants: Identification, Sampling, Consent, and Reciprocity,”
discusses the importance of knowing the community well enough to appro-
priately identify and invite those stakeholders who need to be included,
especially if they represent groups that have been excluded historically. In
addition, issues of consent and reciprocity are examined in terms of accu-
rate understandings and giving back to the community. The identification
of, and invitation to, participants in the study are closely connected to deci-
sions on data collection. Chapter 8, “Data-Collection Methods, Instru-
ments, and Strategies,” covers a variety of specific data-collection strate-
gies that can be used in transformative research and evaluation studies.
The data that are collected do not speak for themselves. Chapter 9, “Data
Analysis and Interpretation,” provides strategies for interpreting quanti-
tative and qualitative data with the help of community involvement and
within the context of theoretical frameworks that are commensurate with
the transformative paradigm. The beliefs of the transformative paradigm
lead to serious consideration of what to do with the findings of a study.
Chapter 10, “Reporting and Utilization: Pathway to the Future,” explores
options for reporting and use, with specific emphasis on how research and
evaluation findings can be used for social change.
Pedagogical Features
The book includes the following pedagogical features to enhance readers’
use of the text:
• Each chapter begins with advance organizers, titled “In This Chap-
ter. . . . ”
• First-person narrative style. My experiences in research and evalu-
ation grew from my involvement with the deaf community and the trans-
ference of lessons learned from this microcosm of cultural complexity to
other community contexts, such as African women and the United Nations
Development Fund for Women (UNIFEM), Israeli and Bedouin women, or
breast cancer screening in Nova Scotia. The deaf world parallels experi-
ences of other marginalized groups to the extent that children are raised
and educated by people who, while well meaning, are usually not part of
the child’s cultural or linguistic group. Furthermore, historically deaf chil-
dren have been inappropriately identified as mentally retarded because they
do not score high on intelligence or achievement tests that are developed
viii Preface
by members of the dominant culture, and because their reading scores, on
average, fail to rise above a fourth-grade level for high school graduates.
• Multiple examples of populations and contexts are used throughout
the text. These sample studies illustrate the breadth of applicability of a
transformative approach to research and evaluation, as well as what makes
aspects of such work reflective of a transformative stance.
• Scholarly literature, including sample studies as well as theoretical
and methodological pieces, is cited as a major source of insight into trans-
formative research and evaluation.
• Throughout my years at Gallaudet University, I have been privileged
to teach very bright and insightful graduate students. As part of my teach-
ing, I use BlackBoard, an electronic, web-based teaching tool that allows
for class discussions to occur online. With their permission, I include my
students’ perspectives when they are applicable to the points being made.
• “Questions for Thought”: Because the transformative paradigm is
not a cookbook approach to research and evaluation, it functions in many
ways to raise questions for the inquirer and community members to con-
sider. In various places in the text, I insert questions to stimulate thinking
and discussion.
• Summaries are provided at the end of each chapter.
Acknowledgments
Many people contributed to my ability to complete this book, including my
family, my students and colleagues at Gallaudet University (especially Amy
Wilson, Heidi Holmes, Raychelle Harris, and Glenda Mobley), and my
professional family across the globe (especially Bagele Chilisa, Zenda Ofir,
and Barbara Rosenstein). At The Guilford Press, my thanks go to C. Debo-
rah Laughton, Publisher, Research Methods and Statistics, for her sup-
port, encouragement, and belief in this project, and Anna Nelson, Senior
Production Editor, for her thoroughness and care throughout the produc-
tion process. I also thank the reviewers of earlier drafts: Katrina Bled-
soe, Research Manager, Walter R. McDonald and Associates, Arlington,
Virginia; Melvin E. Hall, Educational Psychology, College of Education,
Northern Arizona University; Gary W. Harper, Department of Psychology
and Master of Public Health Program, DePaul University; and Debra M.
Harris, Educational Leadership, California State University, Fresno.
Contents
Introduction 1
The Intersection of Applied Social Research and Program Evaluation 1
Paradigms 2
Rationale for the Transformative Paradigm 3
Breadth of Transformative Paradigm Applicability 3
1. Resilience, Resistance, and Complexities That Challenge 9
Human Rights Agenda 12
The Transformative Paradigm as a Metaphysical Umbrella 13
Need for Transformative Research and Evaluation 15
Deficit Perspectives 17
Combining Social Challenges and Resilience 18
Challenging the Status Quo 19
Examples of Transformative Research and Evaluation 21
Examples of Shifting Paradigms 22
Feminists, Women, and Development 22
Lesbian, Gay, Bisexual, Transgender, and Queer 23
Disability Populations 23
Positive Psychology and Resilience Theory 25
Critical Race Theory 26
Need for the Transformative Paradigm and Scholarly Literature 26
Voices: Scholarly Literature and Community Members 27
Need for the Transformative Paradigm and Public Policy 31
Complexities That Challenge 32
ix