Soft Systems Methodology in Education: Applying a Critical Realist Approach to Research on Teacher Education 3030992241, 9783030992248

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Jenny Gilbert Simon Pratt-Adams

Soft Systems Methodology in Education Applying a Critical Realist Approach to Research on Teacher Education

Soft Systems Methodology in Education

Jenny Gilbert • Simon Pratt-Adams

Soft Systems Methodology in Education Applying a Critical Realist Approach to Research on Teacher Education

Jenny Gilbert Reviewer for the Quality Assurance Agency in Higher Education Cambridge, UK

Simon Pratt-Adams Centre for Innovation in Higher Education in Anglia Learning and Teaching; and School of Education and Social Care in the Faculty of Health, Education, Medicine and Social Care Anglia Ruskin University Cambridge, UK

ISBN 978-3-030-99224-8    ISBN 978-3-030-99225-5 (eBook) https://doi.org/10.1007/978-3-030-99225-5 © The Author(s) 2022 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland

Acknowledgements and Dedications

Our thanks are due to those former colleagues and students who have discussed ideas about teacher education with us. As former teachers, and as academics and teacher educators, we are united by a commitment to finding strategies for improving the preparation of teachers entering this challenging and rewarding profession. This is vital in terms of improving the education of current and future generations studying in schools across the globe. We are indebted to the faculty, teachers and students (pre-service teachers) in Australia, Canada and England for their participation in the empirical research for this book. Jenny is also grateful to the UK Higher Education Academy for funding the research and Dr Sally Bentley and the University of Bedfordshire for granting sabbatical leave. Particular thanks are due to Professor Derrick Armstrong, Dr Tony Loughland and Dr Hoa Thi Mai Nguyen for arranging and hosting the visiting scholarship at the University of Sydney and Professor Shirley Van Nuland in Ontario for facilitating access to the Canadian gatekeepers. We would like to thank colleagues at Springer Nature, particularly Malini Arumugam and Bernadette Ohmer, for their support and advice during the writing process. We are grateful to Dr Beatriz Acevedo of Anglia Ruskin University and Dr Andrea Raiker of the University of Bedfordshire for reading draft sections of the book and for providing insightful, critical feedback. Our sincere thanks go to our illustrator, who goes by the pseudonym Dannyboy, for his creative and comical portrayals of the metaphors along with the constructive discussion generated during the illustration process. His other outputs can be viewed at cardinky.com. This book was written during difficult times. Across the globe we see floods, wildfires, the melting of icebergs and the thawing of permafrost. We cannot deny the ramifications of climate change. We cannot deny that our human choices and actions have impacted the planet adversely. Within our overpopulated, networked world, humans are increasingly vulnerable. Now, amid a global pandemic, we recognise this more than ever. While living systems are dynamic and tend towards a state of stability, our human activities and interventions disrupt the situation and generate unintended consequences. To address this problem demands a systemic view of an interconnected world. Nothing less than a paradigm shift is required. Systems thinking demands that we move from an analytical approach, where we break down v

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problems, towards a holistic approach that recognises complexity, connectedness, structure and relationships. Our book presents a small-scale research project applying a system’s view. We hope that it will prompt you to read widely, beyond the references provided, and scrutinise this emerging worldview. To design a sustainable society, current and future generations of school children should be introduced to systems thinking to enable them to think creatively and holistically, integrating concepts from a broad curriculum. We dedicate this book to the younger generation and especially to Emily, Lotte and Fred. Finally, love and thanks go to our partners Terry and Jacqui for their support and critical appraisal during the writing of this book.

Introduction

Inception of the Research This book began as a Sir Ron Cooke international scholarship and research project sponsored by the UK Higher Education Academy (HEA) in 2013/14.1 The research project was motivated by the context in which the researcher was working at the time. The aim was to compare the effects of the policy landscapes in each of three jurisdictions, on pre-service teacher education programmes. In many countries, government policy spells out the imperative for the education system to produce a workforce that allows the country to compete economically. This expectation requires a match between the skills of the workforce and the fluctuating demands of the economy. A common claim made in many government publications is that the most important factor impacting pupils’ learning and performance is the quality of their teachers. Increasingly, the results in the Programme for International Student Assessment (PISA) international tests of 16 year olds form the basis for league tables of a large number of countries, generating dissatisfaction in many countries and the frequent emulation of the policies of the higher performing jurisdictions. As a result, in the UK, several Government White Papers have advocated policy borrowing from other countries. Our initial aim was to explore the concept of policy borrowing within initial teacher education. Linked to the concept of policy borrowing is the associated relationship between cause and effect. Educational contexts differ significantly between jurisdictions; social situations are complex and consist of many interacting factors resulting in different outcomes. We cannot assume that the adoption of a policy in a second jurisdiction will result in the same overall outcomes as in the originating jurisdiction. This points us to the fundamental premise of Systems Theory, that a system is an organised whole that has elements that when formed into a particular structure generate new outcomes, entitled emergent properties. Changing the content or the structure of a system frequently produces 1  In March 2018, the HEA merged with the Leadership Foundation and the Equality Challenge Unit to form Advance HE.

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u­ nintended consequences. Consequently, we decided to explore teacher education under different policy regimes utilising Soft Systems Methodology (SSM).

The Purpose of this Book This book presents the derivation of a research strategy based on systems thinking and the adoption of the early stages of SSM, underpinned by a Critical Realist ontology. This research strategy is then applied to a comparative international project, the Practicum Study, examining the practicum element of initial teacher education from a variety of perspectives. Finally, we evaluate the research strategy and its application to the Practicum Study. Our main objective in writing this book is to present a new research strategy, to test the strategy and to demonstrate its application through the example of the Practicum Study. This book is uncommon. One rarely finds the full description of a research strategy presented in parallel with a research project that employs that strategy. The stimulus for this work was the funded research project that focussed on comparative educational policy across different jurisdictions. The Practicum Study provides both the driver and the exemplar for the development of the ‘Womposo’ research strategy. Womposo is based on the principles of systems thinking, specifically the early stage of SSM, and we develop this research strategy in Chap. 4 and apply it to the research project that we entitle the Practicum Study in Chaps. 7, 8, 9, 10, and 11. The Practicum Study focuses on the perceptions of different stakeholders regarding the practicum, the period that pre-service teachers (PSTs) spend in schools during their teacher education course. The book is intended for readers who wish to adopt this new research strategy in qualitative studies in any of the social sciences.

Audience This book is designed primarily for postgraduate students and researchers in education, and it is also suitable for researchers in other social science disciplines and in health, business studies, information systems and any discipline where one collects qualitative data from people. Although challenging, it may also be of interest to undergraduate students undertaking final year research projects. We explore the application of SSM as a qualitative research tool to generate theory and to shed light on how individuals and social groups adapt to problem situations. Grounded within the literature from philosophy and science, the authors consider the tenets of systems thinking. These tenets acknowledge that emergent features appear at higher levels of complexity within a hierarchy, and unintended consequences can occur when making decisions in complex situations with interacting components.

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Sections of this book will be of interest to those researchers grappling with the underpinning ontology and epistemology of their research. To address this underpinning philosophy, our aim is to provide a clear, succinct introduction to systems thinking, to the initial stages of SSM and to critical realism. We include several examples to aid the reader’s comprehension. Our adoption of metaphor, illustration and concrete example should assist those individuals who, like us, say, ‘I’m not sure if I can fathom this, if only there was an example….’ It is common in research methods books that focus on the student market to present small, discrete examples of the application of research approaches. It is, however, rare to find an entire research investigation presented alongside the derivation and explanation of a research strategy. This book provides numerous images and examples to elaborate, and illuminate, the explanation of the complex underpinning concepts. It also presents a complete research study illustrating the application of the research strategy that we derive herein: ‘Worldview, Metaphor and Power of Social Objects’ (Womposo).

Integrating Soft System Methodology with Critical Realism Our initial intention was to develop a way of using SSM as a form of ‘explanatory’ research rather than as a form of ‘action research’, as it was designed and applied by Peter Checkland. However, in exploring the literature on Systems Thinking, Minger’s (2014) Systems Thinking, Critical Realism and Philosophy introduced us to the underpinning philosophy of critical realism. As critical realism is unambiguously based on a Systems Thinking view of the world, it aligns with much of Checkland’s work on SSM. Roy Bhaskar is the originator of critical realism; his work is highly theoretical and, for the reader unfamiliar with the literature on the philosophy of social science, difficult to understand. However, others’ interpretation of his work is more comprehensible. We contend that Bhaskar’s ontology provides us with a coherent underpinning philosophy, or meta-theory, that aligns with systems thinking. There are relatively few authors who describe the application of critical realism in research; we reference a number of these, with Sharon Tao being a key contributor in education. We have adopted some elements of her approach. As you will see, if you read further, critical realism provides a middle way between the two extreme epistemologies of positivism and interpretivism and contends that the world is ‘mind-independent’ but ‘informed by theory’.

How to Read this Book This book was designed to be read in sequence, but it is uncommon for a reader to approach a textbook in this manner. Hence, throughout the chapters, we suggest occasions on which it may be appropriate to study in detail or to refer to other

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chapters. The underlying structure of the book can best be understood by exploring each of the four parts. Part I provides the reader with an introduction to systems thinking and critical realism and derives the Womposo research strategy. The reader may be at the early stages of research with only a notion of a research topic to explore. At this stage, Part I addresses the importance of ontology and epistemology as a starting point. Chapter 1 introduces systems thinking and SSM. Chapters 2 and 3 on critical realism can be read as a pair, but some of the systems thinking concepts from Chap. 1 would probably be helpful before the reader approaches critical realism. Alternatively, if readers hope to gain an initial idea of the research stages of a project, then they might begin with Chap. 4. This chapter provides some signposts to useful research methods texts and compiles our Stepping-Stones model, describing the stages that are needed within a research project. Our research strategy, the Worldview, Metaphor and Power of Social Objects (Womposo), is presented in Chap. 4. If readers are to comprehend this, they will need some understanding of SSM from Chap. 1 and some understanding of the approach of Elder-Vass, Scott and Tao from Chap. 3.

PART I: Systems Thinking, Soft Systems Methodology (SSM) and Critical Realism 1 Systems Thinking and Soft History and principles of systems thinking; factors that led Checkland to develop SSM; an outline description of SSM; an Systems Methodology example of the application of SSM; rich pictures and the (SSM) derivation of CATWOE 2 Critical Realism as an Meaning and importance of ontology and epistemology; Critical Underpinning Philosophy Realism as a middle way; the nature of causation; induction, retroduction and deduction; stratification, parts, wholes, and emergence 3 Critical Realism in the Key tenets of critical realism; ontological rigour in the social Social Sciences sciences; Elder-Vass’ categories of social structure, Scott’s categorisation of social objects and Tao’s application of the Capability Approach 4 Developing the Worldview, Signposting of research methods texts; the research onion model; the stepping-stones template for a research project; Metaphor and Power of derivation of the Worldview, Metaphor and Power of Social Social Objects Objects (Womposo) research strategy Research Strategy

Part II provides the background context to the Practicum Study. Chapters 5 and 6 are freestanding chapters and present the necessary contextual background about education in the three jurisdictions and the nature of the practicum in a wide geographic area. These chapters are probably of most interest to students enrolled on education studies programmes. However, they also provide the early researcher with examples of the nature of background literature required in a research project and they inform the data presentation in Part III. Chapter 7 describes the research decisions and stages. It is the research methodology chapter of the Practicum Study.

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PART II: Practicum Study: Context Outline of the school and teacher education systems in England, 5 The Three Jurisdictions: New South Wales and Ontario; discussion of regulation, England, New South operation and funding; curriculum, assessment and inspection; Wales and Ontario markets and choice 6 The Literature on Policy Summary of the literature on policy borrowing; description of Borrowing and Practicum research undertaken and conceptual analyses available; exploration of the research on the practicum; focus on the PST and the mentor as relevant stakeholders 7 Research Stages of the Description of research decisions and stages for Practicum Study; Practicum Study use of Stepping-Stones model as template; conceptual framework; Womposo strategy explained; sampling and data collection

Part III presents the data, its interpretation and the findings of the research. The reader who wishes to start here and focus on the data in the Practicum Study, as an example of applying the Womposo strategy, will need to browse Chaps. 4 and 7 before reading the three data Chaps. – 8, 9 and 10. These three chapters each consider the data from one stakeholder perspective and describe Activities 1, 2, 3 and 4 of Womposo. The three stakeholder perspectives are the pre-service teacher (PST), the mentor and the faculty advisor. In addition to several tables, the data from each focus group is presented either by professional illustrations of a derived metaphor or by rich pictures, produced by a member of the focus group. The three chapters can be read in any sequence but for clarity are best read in order. Chapter 11 follows from Chaps. 8, 9, and 10 and should, initially, be read in sequence. It seeks to categorise the value functioning of each stakeholder. It relates the research findings to the literature discussed in Chap. 6 and it responds to the aims of the Practicum Study by identifying the causal factors.

PART III: Practicum Study: Data Collection and Interpretation 8 The Perspectives of Data collected from PSTs in the three jurisdictions; sampling and Pre-service Teachers gatekeepers; activities 1, 2, 3 and 4 of Womposo for PST stakeholder group; professional illustrations of metaphors Data collected from Faculty Advisors in the three jurisdictions; 9 Faculty Advisors’ activity 1, 2, 3 and 4 of Womposo for faculty advisor group; Perspectives on description of the universities and the terminology within Becoming a Teacher jurisdictions; rich pictures drawn by focus groups 10 Mentors’ Expectations Data collected from mentors in schools; description of the schools; and Perspectives activity 1, 2, 3 and 4 of Womposo; illustrations of metaphors and rich pictures 11 Findings from the Categorising of the value functioning of each stakeholder; Practicum identification of links to literature; other causal factors identified; presents findings and main causal factors

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Part IV presents a short summary of the book and is useful for someone wishing to read an overview of the findings. It presents and discusses the four mechanisms or causal factors identified through the Practicum Study. It relates the findings to several concepts raised earlier in the book: the influence of policy and policy borrowing, the problem situation and problems, models of teacher learning, stratified ontology, and SSM and homeostasis. The Practicum Study is evaluated to consider ethical issues raised, and compliance with the principles of reliability, validity, generalisability and triangulation. The benefits and limitations of Womposo are examined, and a model for evaluating Womposo, based on functionality, usability and utility is devised and applied.

Part IV: Appraising the Womposo Research Strategy Nature of the book; further exploration of the four causal 12 Evaluating the mechanisms; problem situation and problems; stratified ontology; Practicum Study and the Womposo Research evaluation of Practicum Study; evaluation of Womposo for functionality, usability and utility; critical realism as the middle Strategy way.

Omissions and Intentions This book does not describe the full detail of the application of SSM. If you wish to use the whole of SSM as an action research strategy, then follow the pointers in various chapters to the relevant texts by Checkland and other authors. Neither is this book a comprehensive explanation of the application of critical realism in a social context, for that we direct you to the work of Elder-Vass, Scott and Tao. In terms of being a research methods text, we do not cover a wide range of methods and approaches. Instead, we recommend many useful texts that satisfy this purpose. Our aim is to introduce the reader, with a limited background in philosophy, systems thinking or critical realism, to the ontological and epistemological concepts that underpin our Womposo research strategy. We then aim to take the reader through our Stepping-Stones model of research stages as we adopt the Womposo strategy. Our example captures the views of pre-service teachers, school mentors and university faculty advisors, about the practicum experience, across three jurisdictions.

Contents

Part I Systems Thinking, Soft Systems Methodology and Critical Realism 1 Systems Thinking and Soft Systems Methodology��������������������������������    3 Introduction����������������������������������������������������������������������������������������������     3 The Attraction of Soft Systems Methodology ����������������������������������������     4 A Whistle Stop Tour of the History of Systems Thinking ����������������������     5 General Systems Theory��������������������������������������������������������������������������     5 Cybernetics and VSM������������������������������������������������������������������������������     6 Operations Research��������������������������������������������������������������������������������     7 Autopoiesis����������������������������������������������������������������������������������������������     8 Readings in Systems Thinking����������������������������������������������������������������     9 System Definitions and Concepts������������������������������������������������������������     9 Emergence������������������������������������������������������������������������������������������������    10 Hierarchies ����������������������������������������������������������������������������������������������    11 Feedback��������������������������������������������������������������������������������������������������    12 Homeostasis ��������������������������������������������������������������������������������������������    12 Open and Closed Systems������������������������������������������������������������������������    13 Background and Motivation of Checkland����������������������������������������������    13 Checkland’s Writing��������������������������������������������������������������������������������    14 Messes and Wicked Problems������������������������������������������������������������������    15 Swamp of Relevance��������������������������������������������������������������������������������    16 Headline Aspects of SSM������������������������������������������������������������������������    17 Ontology and Epistemology��������������������������������������������������������������������    18 Critique of SSM’s Ontology��������������������������������������������������������������������    20 Critique of SSM: Radical Change Theory ����������������������������������������������    21 Our Interpretation of Checkland’s Model������������������������������������������������    22 Activity 1.1: Finding Out ������������������������������������������������������������������������    23 Activity 1.2: Modelling����������������������������������������������������������������������������    24 Activity 1.3: Using Models to Structure Debate��������������������������������������    25 Activity 1.4: Action to Improve the Situation������������������������������������������    25 xiii

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Using SSM to Explore the Higher Education Admission System ����������    26 HE Admission System, Activity 1.1: Finding Out ����������������������������������    26 HE Admission System, Activity 1.2: Modelling��������������������������������������    29 HE Admission System, Activity 1.3: Using Models to Structure Debate����������������������������������������������������������������������������������    30 HE Admission System, Activity 1.4: Action to Improve the Situation.��������������������������������������������������������������������������������������������    31 Conclusion ����������������������������������������������������������������������������������������������    31 References������������������������������������������������������������������������������������������������    32 2 Critical Realism as an Underpinning Philosophy ��������������������������������   35 Introduction����������������������������������������������������������������������������������������������    35 The Need for an Underpinning Philosophy ��������������������������������������������    36 The Importance of Ontology and Epistemology��������������������������������������    37 The Ontological and Epistemological Spectrum ������������������������������������    37 The Growth of the Scientific Method������������������������������������������������������    38 The Nature of Causation��������������������������������������������������������������������������    39 The Practicum Study Narrative����������������������������������������������������������������    40 The Origin of Critical Realism����������������������������������������������������������������    41 Domains and Causal Powers��������������������������������������������������������������������    42 The Epistemic Fallacy������������������������������������������������������������������������������    43 Real, Actual and Empirical Powers���������������������������������������������������������    44 Induction, Deduction and Retroduction��������������������������������������������������    46 Example: Flammable Furniture ��������������������������������������������������������������    47 Stratification, Parts, Wholes, and Emergence������������������������������������������    48 Example: The Log and the Wood������������������������������������������������������������    49 Identifying Parts and Wholes ������������������������������������������������������������������    50 Conclusion ����������������������������������������������������������������������������������������������    51 References������������������������������������������������������������������������������������������������    52 3 Critical Realism in the Social Sciences��������������������������������������������������   55 Introduction����������������������������������������������������������������������������������������������    55 Moving from Science to Social Science��������������������������������������������������    56 A Naturalist Epistemology����������������������������������������������������������������������    57 Transitive and Intransitive Objects����������������������������������������������������������    58 Context of Discovery and Context of Justification����������������������������������    59 Epistemological Spectrum ����������������������������������������������������������������������    60 Key Tenets of Critical Realism����������������������������������������������������������������    60 First Tenet of Critical Realism ����������������������������������������������������������������    61 Second Tenet of Critical Realism������������������������������������������������������������    62 Third Tenet of Critical Realism ��������������������������������������������������������������    62 Fourth Tenet of Critical Realism��������������������������������������������������������������    64 Ontological Rigour in the Social Sciences����������������������������������������������    64 Structure and Agency ������������������������������������������������������������������������������    66 Social Evolution��������������������������������������������������������������������������������������    67 Truth and Data Collection Methods��������������������������������������������������������    68

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Scott’s Five Social Objects����������������������������������������������������������������������    68 Vertexicality ��������������������������������������������������������������������������������������������    69 Norm Circles��������������������������������������������������������������������������������������������    70 Interaction Groups ����������������������������������������������������������������������������������    71 Associations ��������������������������������������������������������������������������������������������    72 Organisations ������������������������������������������������������������������������������������������    72 Elder-Vass’ Five-Stage Social Ontology��������������������������������������������������    73 Introduction to the Capability Approach��������������������������������������������������    74 Sen’s Capability Approach Model ����������������������������������������������������������    75 Description of the Capability Approach��������������������������������������������������    75 Conclusion ����������������������������������������������������������������������������������������������    76 References������������������������������������������������������������������������������������������������    77 4 The Stepping-Stones Model and the Worldview, Metaphor and Power of Social Objects (Womposo) Strategy��������������������������������   81 Introduction����������������������������������������������������������������������������������������������    81 Research Methods Texts��������������������������������������������������������������������������    82 Research Onion Model: Ontology and Epistemology ����������������������������    84 Exploring the Layers of the Research Onion������������������������������������������    84 Stepping-Stones Research Stages������������������������������������������������������������    87 Stepping-Stones: Topic and Aims������������������������������������������������������������    88 Stepping-Stones: Paradigm����������������������������������������������������������������������    90 Stepping-Stones: Strategy������������������������������������������������������������������������    92 Stepping-Stones: Research Design����������������������������������������������������������    93 Stepping-Stones: Methods ����������������������������������������������������������������������    95 Stepping-Stones: Sample, Collect, Interpret��������������������������������������������    96 Stepping-Stones: Comparison with Literature����������������������������������������    96 Mapping out the Womposo Research Strategy����������������������������������������    97 The Learning Cycle Model of SSM��������������������������������������������������������    98 Activity 1 and Activity 2 of the Womposo Research Strategy����������������    99 Integrating SSM with Critical Realism����������������������������������������������������   100 Approach of Elder-Vass to Critical Realism in the Social Sciences��������   101 Activity 3 and Activity 4 of the Womposo Research Strategy����������������   102 Integrating Social Structures, Social Objects and the Capability Approach��������������������������������������������������������������������������������������������������   104 Conclusion ����������������������������������������������������������������������������������������������   105 References������������������������������������������������������������������������������������������������   105 Part II Practicum Study: Context 5 The Three Jurisdictions: England, New South Wales and Ontario����������������������������������������������������������������������������������������������  111 Introduction����������������������������������������������������������������������������������������������   111 Accessing the Three Jurisdictions������������������������������������������������������������   113 Policy in Schools: Hierarchy and Markets����������������������������������������������   113

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Schools in England: Regulation, Operation and Funding������������������������   114 Schools in England: Curriculum, Assessment and Inspection����������������   116 Schools in England: Markets and Choice������������������������������������������������   117 Schools in New South Wales: Regulation, Operation and Funding��������   117 Schools in New South Wales: Curriculum, Assessment and Inspection������������������������������������������������������������������������������������������   118 Schools in New South Wales: Markets and Choice ��������������������������������   119 Schools in Ontario: Regulation, Operation and Funding������������������������   119 Schools in Ontario: Curriculum, Assessment and Inspection������������������   120 Schools in Ontario: Markets and Choice ������������������������������������������������   121 Comparison of School Education in the Three Jurisdictions������������������   121 Policies in English Initial Teacher Education������������������������������������������   123 Policies in New South Wales’ Initial Teacher Education������������������������   125 Policies in Ontario’s Initial Teacher Education����������������������������������������   126 Synthesis��������������������������������������������������������������������������������������������������   127 Conclusion ����������������������������������������������������������������������������������������������   129 References������������������������������������������������������������������������������������������������   129 6 The Literature on Policy Borrowing, Learning, Professional Identity and the Practicum ��������������������������������������������������������������������  133 Introduction����������������������������������������������������������������������������������������������   133 Policy Change and Policy Borrowing������������������������������������������������������   134 The Rescaling of Political Authority��������������������������������������������������������   136 Example of Policy Adoption��������������������������������������������������������������������   137 Adoption and Legitimisation of Policy Initiatives ����������������������������������   138 National Standards ����������������������������������������������������������������������������������   138 Teachers’ Standards in Three Jurisdictions����������������������������������������������   140 Learner Identity����������������������������������������������������������������������������������������   142 Professional Identity��������������������������������������������������������������������������������   143 Three Paradigms of Teaching������������������������������������������������������������������   144 Reflective Practice������������������������������������������������������������������������������������   145 Legitimate Peripheral Participation ��������������������������������������������������������   147 From Communities of Practice to Codes of Practice������������������������������   148 Systematic Reviews of Literature on the Practicum��������������������������������   149 Role of the Mentor ����������������������������������������������������������������������������������   150 Agency ����������������������������������������������������������������������������������������������������   150 Reality Shock ������������������������������������������������������������������������������������������   151 The Craft of Teaching and the Practice����������������������������������������������������   152 Conclusion ����������������������������������������������������������������������������������������������   153 References������������������������������������������������������������������������������������������������   154 7 Research Stages of the Practicum Study�����������������������������������������������  159 Introduction����������������������������������������������������������������������������������������������   159 Context and Objectives of the Practicum Study (Topic and Aims)���������   161 Aims of the Practicum Study (Topic and Aims)��������������������������������������   162 Policy Borrowing (Paradigm)������������������������������������������������������������������   163

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Systemic Effects (Paradigm)��������������������������������������������������������������������   164 Ontology, Epistemology and Axiology (Paradigm)��������������������������������   164 The Middle Way (Paradigm)��������������������������������������������������������������������   165 Womposo (Strategy)��������������������������������������������������������������������������������   166 Conceptual Framework for the Practicum Study (Strategy)��������������������   166 Selecting the Jurisdictions (Research Design)����������������������������������������   168 Gatekeepers (Research Design) ��������������������������������������������������������������   169 Collecting Data (Research Design)����������������������������������������������������������   169 Validity, Triangulation and Reliability (Research Design)����������������������   170 Sampling of Data (Sampling, Collecting and Interpreting the Data)������   171 Ethics Approval (Methods)����������������������������������������������������������������������   172 Ethics Creep (Methods) ��������������������������������������������������������������������������   175 Analysis and Synthesis (Methods)����������������������������������������������������������   177 Collecting and Recording Data (Sampling, Collecting and Interpreting the Data)������������������������������������������������������������������������   177 Comparison with Literature ��������������������������������������������������������������������   179 Metaphors (Womposo)����������������������������������������������������������������������������   179 Illustrations (Womposo)��������������������������������������������������������������������������   180 Conclusion ����������������������������������������������������������������������������������������������   181 References������������������������������������������������������������������������������������������������   182 Part III Practicum Study: Data Collection and Interpretation 8 The Perspectives of Pre-service Teachers����������������������������������������������  187 Introduction����������������������������������������������������������������������������������������������   187 Activity 1: Finding Out����������������������������������������������������������������������������   190 Modelling at Old Possum University, NSW: Activity 2��������������������������   192 Conceptualising: Activity 3 Expounding the Method������������������������������   194 Conceptualising at Old Possum University, NSW: Activity 3 ����������������   196 Explaining at Old Possum University, NSW: Activity 4�������������������������   197 Modelling at University of Wallaby Creek, NSW: Activity 2������������������   198 Conceptualising at University of Wallaby Creek, NSW: Activity 3��������   200 Explaining at University of Wallaby Creek, NSW: Activity 4����������������   200 Modelling at Australian Koala University, NSW: Activity 2 ������������������   202 Conceptualising at Australian Koala University, NSW: Activity 3����������   204 Explaining at Australian Koala University, NSW: Activity 4������������������   204 Modelling at University of Grey Seal Province, Ontario: Activity 2������   206 Conceptualising at University of Grey Seal Province, Ontario: Activity 3�������������������������������������������������������������������������������������������������   209 Explaining at University of Grey Seal Province, Ontario: Activity 4������   210 Modelling at Caribou Metropolitan University, Ontario: Activity 2��������   211 Conceptualising at Caribou Metropolitan University, Ontario: Activity 3�������������������������������������������������������������������������������������������������   213 Explaining at Caribou Metropolitan University, Ontario: Activity 4������   213 Modelling at Raccoon Technical University, Ontario: Activity 2������������   215

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Conceptualising at Raccoon Technical University, Ontario: Activity 3 ����������������������������������������������������������������������������������   217 Explaining at Raccoon Technical University, Ontario: Activity 4 ����������   218 Modelling at Badgerford University, England: Activity 2 ����������������������   220 Conceptualising at Badgerford University, England: Activity 3��������������   221 Explaining at Badgerford University, England: Activity 4����������������������   223 Modelling at Roe Deer Valley University, England: Activity 2 ��������������   224 Conceptualising at Roe Deer Valley University, England: Activity 3������   226 Explaining at Roe Deer Valley University, England: Activity 4��������������   227 Conclusion ����������������������������������������������������������������������������������������������   228 References������������������������������������������������������������������������������������������������   229 9 Faculty Advisors’ Perspectives on Becoming a Teacher ����������������������  231 Introduction����������������������������������������������������������������������������������������������   231 Activity 1: Finding out����������������������������������������������������������������������������   234 Modelling at Old Possum University, NSW: Activity 2��������������������������   235 Conceptualising at Old Possum University, NSW: Activity 3 ����������������   238 Explaining at Old Possum University, NSW: Activity 4�������������������������   239 Modelling at University of Wallaby Creek, NSW: Activity 2������������������   240 Conceptualising at Wallaby Creek University, NSW: Activity 3������������   242 Explaining at Wallaby Creek University, NSW: Activity 4 ��������������������   243 Modelling at Australian Koala University, NSW: Activity 2 ������������������   245 Conceptualising at Australian Koala University, NSW: Activity 3����������   248 Explaining at Australian Koala University, NSW: Activity 4������������������   249 Modelling at University of Grey Seal Province, Ontario: Activity 2������   250 Conceptualising at University of Grey Seal Province, Ontario: Activity 3�������������������������������������������������������������������������������������������������   252 Explaining at University of Grey Seal Province, Ontario: Activity 4������   252 Modelling at Caribou Metropolitan University, Ontario: Activity 2��������   254 Conceptualising at Caribou Metropolitan University, Ontario: Activity 3�������������������������������������������������������������������������������������������������   256 Explaining at Caribou Metropolitan University, Ontario: Activity 4������   256 Modelling at Raccoon Technical University, Ontario: Activity 2������������   259 Conceptualising at Raccoon Technical University, Ontario: Activity 3 ����������������������������������������������������������������������������������   261 Explaining at Raccoon Technical University, Ontario: Activity 4 ����������   262 Modelling at Badgerford University, England: Activity 2 ����������������������   263 Conceptualising at Badgerford University, England: Activity 3��������������   265 Explaining at Badgerford University, England: Activity 4����������������������   265 Modelling at Roe Deer Valley University, England: Activity 2 ��������������   268 Conceptualising at Roe Deer Valley University, England: Activity 3������   270 Explaining at Roe Deer Valley University, England: Activity 4��������������   270 Conclusion ����������������������������������������������������������������������������������������������   272 References������������������������������������������������������������������������������������������������   273

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10 Mentors’ Expectations and Perspectives ����������������������������������������������  275 Introduction����������������������������������������������������������������������������������������������   275 Activity 1: Finding Out����������������������������������������������������������������������������   277 Modelling at Old Possum University, NSW: Activity 2��������������������������   278 Conceptualising at Old Possum University, NSW: Activity 3 ����������������   280 Explaining at Old Possum University, NSW: Activity 4�������������������������   282 Modelling at University of Wallaby Creek, NSW: Activity 2������������������   283 Conceptualising at Wallaby Creek University, NSW: Activity 3������������   285 Explaining at Wallaby Creek University, NSW: Activity 4 ��������������������   286 Modelling at Australian Koala University, NSW: Activity 2 ������������������   287 Conceptualising at Australian Koala University, NSW: Activity 3����������   289 Explaining at Australian Koala University, NSW: Activity 4������������������   291 Modelling at Caribou Metropolitan University, Ontario: Activity 2��������   292 Conceptualising at Caribou Metropolitan University, Ontario: Activity 3�������������������������������������������������������������������������������������������������   294 Explaining at Caribou Metropolitan University, Ontario: Activity 4������   296 Modelling at Raccoon Technical University, Ontario: Activity 2������������   297 Conceptualising at Raccoon Technical University, Ontario: Activity 3 ����������������������������������������������������������������������������������   299 Explaining at Raccoon Technical University, Ontario: Activity 4 ����������   300 Modelling at Badgerford University, England: Activity 2 ����������������������   301 Conceptualising at Badgerford University, England: Activity 3��������������   303 Explaining at Badgerford University, England: Activity 4����������������������   305 Modelling at Roe Deer Valley University, England: Activity 2 ��������������   306 Conceptualising at Roe Deer Valley University, England: Activity 3������   308 Explaining at Roe Deer Valley University, England: Activity 4��������������   310 Conclusion ����������������������������������������������������������������������������������������������   311 References������������������������������������������������������������������������������������������������   312 11 Findings from the Practicum Study ������������������������������������������������������  315 Introduction����������������������������������������������������������������������������������������������   315 The Stakeholders��������������������������������������������������������������������������������������   317 The Value Functioning Continuum: PST Stakeholders ��������������������������   317 Relationship Between the Literature and Confident PSTs����������������������   318 Relationship Between the Literature and Keen PSTs������������������������������   319 Relationship Between the Literature and PSTs Suffering Reality Shock ������������������������������������������������������������������������������������������   320 The Value Functioning Continuum: Faculty Advisor Stakeholders��������   321 Relationship Between the Literature and Status Aware Faculty Advisors��������������������������������������������������������������������������������������   322 Relationship Between the Literature and Nurturing Faculty Advisors ��������������������������������������������������������������������������������������������������   323 Relationship Between the Literature and Faculty Advisors Worried About Losing Status������������������������������������������������������������������   324 The Value Functioning Continuum: Mentor Stakeholders����������������������   325

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Relationship Between the Literature and Mentors Seeking Personal Development ����������������������������������������������������������������������������   326 Relationship Between the Literature and Mentors Supporting PSTs ����������������������������������������������������������������   327 Relationship Between the Literature and Mentors and Accountability ����������������������������������������������������������������������������������   328 Literature Themes Emerging ������������������������������������������������������������������   329 Agency ����������������������������������������������������������������������������������������������������   329 Communities of Practice and Codes of Practice��������������������������������������   330 From Identity to Reality Shock����������������������������������������������������������������   331 Rescaling of Political Authority��������������������������������������������������������������   331 Aspects Raised Yet Not Identified in the Literature��������������������������������   332 Findings of the Practicum Study��������������������������������������������������������������   333 Causal Factor 1: Stakeholder Position ����������������������������������������������������   334 Causal Factor 2: Context for PSTs����������������������������������������������������������   335 Causal Factor 3: Influence on Faculty Advisors��������������������������������������   335 Causal Factor 4: Influences on Mentors��������������������������������������������������   336 Conclusion ����������������������������������������������������������������������������������������������   336 References������������������������������������������������������������������������������������������������   337 Part IV Appraising the Womposo Research Strategy 12 Evaluating the Practicum Study and the Womposo Research Strategy������������������������������������������������������������������������������������  341 Summary of This Book����������������������������������������������������������������������������   341 Outline of This Concluding Chapter��������������������������������������������������������   342 Contribution to Knowledge: Causal Factors��������������������������������������������   343 Mechanism 1: Stakeholder Position��������������������������������������������������������   344 Mechanism 2: Context ����������������������������������������������������������������������������   345 Mechanism 3: School Culture������������������������������������������������������������������   345 Mechanism 4: Policy and Status��������������������������������������������������������������   346 The Influence of Policy����������������������������������������������������������������������������   346 The Problem Situation and the Problems Within the Practicum Study ��������������������������������������������������������������������������������   348 Addressing the Problems ������������������������������������������������������������������������   349 Models of Teacher Learning Espoused����������������������������������������������������   350 Stratified Ontology����������������������������������������������������������������������������������   351 Other Techniques that Can Be Applied in Systems Thinking������������������   352 SSM and Homeostasis ����������������������������������������������������������������������������   353 From Systems to Policy Borrowing ��������������������������������������������������������   355 Critical Realism as a Middle Way������������������������������������������������������������   356 Ethical Issues Arising������������������������������������������������������������������������������   357 Evaluating Reliability, Validity, Triangulation and Generalisation����������   359 Benefits and Limitations of Womposo����������������������������������������������������   359

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Evaluation of Womposo for Its Functionality, Usability and Utility ������   360 Functionality��������������������������������������������������������������������������������������������   362 Usability and Utility��������������������������������������������������������������������������������   362 Scoring Womposo������������������������������������������������������������������������������������   363 Conclusion ����������������������������������������������������������������������������������������������   364 References������������������������������������������������������������������������������������������������   365 Index������������������������������������������������������������������������������������������������������������������  369

About the Authors

Jenny Gilbert is currently a reviewer for the Quality Assurance Agency for Higher Education in the UK.  She has 27  years’ experience in five English universities. From 2014 to 2018, she led the input from a UK university on a European Union project called TEMPUS at the University of Pristina: ‘Modernising Teacher Education in Kosovo’. Her interest in systems thinking and soft systems methodology arises from many years of teaching information systems, and her doctorate1 comprised an insider research approach including the application of metaphor in the data analysis. She has occupied diverse academic roles: head of department, university teaching and learning coordinator, and deputy dean in faculties of science and technology, business, and education. Her publications include articles and chapters on digital literacy, work-based learning, e-government and accountability in education.  

Simon  Pratt-Adams is Associate Professor of Academic Development in the Faculty of Health, Education, Medicine and Social Care at Anglia Ruskin University. He is the acting director of the Centre for Innovation in Higher Education, a specialist academic development unit. His research, including his doctorate, has included working with diverse communities in challenging contexts, with a focus on improving learning outcomes among disadvantaged groups. He has published widely using qualitative research strategies such as ethnography, action research and case studies. His publications include co-editorship of a seven-book series on education studies (2010–2014) and co-authorship of Changing Urban Education (2011); Men Teaching Children 3–11: Challenging Gender Barriers (2015); and Innovations in Active Learning in Higher Education (2020). Springing from contrasting academic backgrounds, Simon with a degree in theology and Jenny a degree in physics, both graduated from Durham University, although some years apart. They each gained their MA in education in the early  

1  Gilbert, J.F. (2001). Barriers to the Adoption of ICT in Teaching and Learning in Higher Education. University of Lancaster.

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About the Authors

1990s and commenced PhDs in education in the late 1990s. During his early career, Simon taught in primary schools while Jenny was initially a computer programmer and then taught mathematics in secondary and further education. Both have long careers in multiple English universities, Simon working in faculties of education, while Jenny taught in science and technology faculties and business schools. Coincidentally, both have held roles supporting teaching and learning in higher education. It was when Jenny moved into teacher education at Anglia Ruskin University in 2012 that she met Simon and together they led the department successfully through Ofsted inspections. Some years later, a chance meeting while acting as external examiners prompted them to propose a text on applying soft systems methodology in education to Springer Nature.

Abbreviations

ACER ACARA AITSL BERA CATWOE DEC DfE EQAO ECTS EU GCSE GST HAT HEA ISI ITE MTeach MERID MT NAPLAN NCEE NCTL NFER NDP NQT NSW NESA NGO OSV OFSTED

Australian Council for Educational Research Australian Curriculum, Assessment and Reporting Authority Australian Institute for Teaching and School Leadership British Educational Research Association Customer, Actor, Transformation, Worldview, Owner, Environment Department of Education, New South Wales Department for Education, UK Education Quality and Accountability Office European Credit Transfer and Accumulation System European Union General Certificate of Secondary Education General Systems Theory Highly Accomplished Teacher Higher Education Academy Independent Schools Inspectorate Initial Teacher Education Master of Teaching Mentor Roles in Dialogue Mentor Teacher National Assessment Programme – Literacy and Numeracy National Centre on Education and the Economy National College for Teaching and Leadership National Foundation for Educational Research New Democratic Party Newly Qualified Teacher New South Wales New South Wales Education Standards Authority Non-governmental Organisation Object, Subject, Verb initially Office for Standards in Education

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Ofsted OR OECD PGCE PFI PISA PST QTS QAA SCITT SSM SATs TC UK UCAS UCL VSM Womposo

Abbreviations

subsequently Office for Standards in Education, Children’s Services and Skills Operations Research Organisation for Economic Co-operation and Development Postgraduate Certificate in Education Public Finance Initiative Programme for International Student Assessment Pre-service Teacher Qualified Teacher Status Quality Assurance Agency School Centred Initial Teacher Training Soft Systems Methodology Standard Attainment Tests Teacher Candidate United Kingdom Universities and Colleges Admission Service University College London Viable Systems Model Worldview, Metaphor and Power of Social Objects

Part I

Systems Thinking, Soft Systems Methodology and Critical Realism

Chapter 1

Systems Thinking and Soft Systems Methodology

Abstract  This opening chapter expounds the concept of systems thinking, beginning with a rapid tour of its history. The terminology of systems thinking is surveyed: including the terms open and closed systems, boundaries, hierarchies, emergent features, autopoeisis and homeostatis. A system comprises an organised set of interacting components such that the whole is greater than the sum of the parts. This feature, the generation of a new property at a certain level of complexity, is termed emergence. Several examples are discussed to illustrate the systemic nature of various technical artefacts, natural objects, and human activity systems. The work of Peter Checkland is explored, and the development of his action research approach entitled Soft Systems Methodology (SSM) is discussed, focussing on his most recent modification of SSM, the four-activity model. The drawing of a rich picture, indicating the perspectives of different stakeholders, helps the researcher to model a problem situation using the mnemonic CATWOE and this process facilitates the generation of a root definition. A worked example of a problem situation is presented, describing a higher education admission system as perceived from three different perspectives or worldviews. Keywords  Autopoiesis · Cybernetics · Emergence · Feedback · General Systems Theory · Homeostasis · Problem situation · Rich picture · Root definition · Worldview

Introduction Soft Systems Methodology (SSM) is an approach employed in project management, organisational development and information systems development. In the latter, SSM has been used extensively to gain agreement on the purpose of a new system. It was devised by Checkland (1981) who noted that despite certain projects having a robust technical specification they often do not deliver on time, to budget and to quality standards. His attempt to apply a rigorous approach to messy human activity systems, in order to decide what to do to improve the situation, yielded SSM (ibid). This chapter begins by explaining the researcher’s initial attraction to SSM © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_1

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and its particular relevance to the development of Information Systems. Some time is spent considering the establishment of General Systems Theory and exploring the ways that systems thinking has developed since the early twentieth Century, across a range of disciplines. The key thinkers and their ideas are introduced to the reader: von Bertalanffy (1950), Beer (1959), Wiener (1950), Ackoff and Emery (1972), and Maturana and Varela (1980). The terminology of systems thinking is explored: the concepts of open and closed systems, boundaries, hierarchies, emergent features, autopoeisis and homeostatis. Having explored the history of systems thinking, the reader will then be acquainted with Checkland’s background and his motivation, his move from hard systems to soft systems. The drivers and the provenance of SSM are then explained. Checkland asserts that the two most important aspects of systems thinking are the two related pairs: emergence and hierarchy, and communication and control. In his action research methodology, SSM, Checkland introduces a number of noteworthy terms: human activity system; problem situation; rich picture; Weltanschauung/ Worldview; conceptual model and root definition. These terms are explained, and we briefly explore Checkland’s differentiation between the ‘real world’ and the ‘systems world’. This comparison leads to a discussion of two critiques of Checkland’s methodology. The application of the early stages of SSM, together with an example, follows a description of SSM. This description combines the terminology that Checkland uses in a number of his books and publications.

The Attraction of Soft Systems Methodology The researcher was introduced to SSM in the late 1980s. She used the approach while teaching Information Systems, also entitled Informatics, over many years, drawn to the methodology by its emphasis on exploring a situation using manifold perspectives. It is very common in Information Systems development to produce a well-designed computer system that nevertheless does not solve the organisation’s problems. This situation can be likened to knitting a cardigan for a six-month old baby, only to discover that by the time the cardigan is complete, the baby is a year old and the cardigan no longer fits. However soft the wool, however carefully chosen the colour and pattern, however well knitted and beautiful the final product, it is not the right product for its chosen purpose. Of course, in the knitting situation, the cardigan could be bestowed on another baby. However, in the case of the information system that is designed for a particular organisation, it is highly unlikely that an expensive, bespoke product could be sold elsewhere. It is crucial, therefore, to determine at the early stages of development, precisely what is needed, as this avoids wasting time later retracing one’s steps. There will inevitably be technical problems to surmount when designing and developing an information system, but the human issues are of a different order of magnitude and complexity. These issues arise because stakeholders within an organisation occupy diverse roles, hold different perspectives and have different agendas; they see the purpose of the system

General Systems Theory

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differently. SSM provides a methodology for identifying the perceptions of the different stakeholders. Once these perceptions have been identified it can be possible to find an accommodation between stakeholders. Alternatively, it might accentuate the need for management to take an executive decision on the purpose of the system, in light of the corporate aims. Those readers interested in using SSM, in relation to Information Systems, are directed to Checkland and Holwell’s (1998) ‘Information, systems and information systems: Making sense of the field’.

A Whistle Stop Tour of the History of Systems Thinking As the preamble to his description of systems thinking, Checkland (1981) summarises the history of science. He deems the scientific method to be a product of western civilisation and an invention, rather than a discovery. He contends that when using the scientific method, scientists are seeing the world from one particular point of view. Checkland’s interpretation is that the two important outcomes from the scientific revolution were the application of rationalism and the application of empiricism; together they enable science to produce testable knowledge. Checkland moves on from science to consider the classification of human knowledge. While he holds that the disciplines we study are defined by mankind, nevertheless these disciplines are categorised by their increasing complexity. He proposes layers of disciplines, starting at the base with those he considers most straightforward - mathematics, then moving up to astronomy and physics, and from physics to chemistry to biology, psychology and finally sociology. As one moves up through the layers, there is an increasing level of complexity and a greater degree of organisation. Questions of epistemology and the nature of knowledge are explored further in Chaps. 2 and 3. Checkland’s (ibid) survey of the historical bedrock of disciplines and knowledge is his starting point; he continues by surveying the development of Systems Thinking. He covers a considerable amount of ground, and his key influences are ‘General Systems Theory’ (von Bertalanffy, 1950); the ‘Viable Systems Model’ (Beer, 1959); ‘Cybernetics’ (Wiener, 1950); and ‘Social Systems Science’ (Ackoff, 1979). We will begin by retracing Checkland’s footsteps and will add an important addition, that of ‘Autopoiesis’ (Maturana & Varela, 1980).

General Systems Theory The development of systems thinking in the early twentieth century is normally considered to be the brainchild of the biologist Ludwig von Bertalanffy (Checkland, 1981). Based in Palo Alto, California, he was one of the “founding fathers of the systems movement”. (Flood, 1999, p.  32). Von Bertalanffy’s (1950) General Systems Theory is a mathematico-logical theory, a subset of mathematics concerned with proof, that goes beyond biology to cover all subjects. This theory includes the

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claim that there are mathematical laws that cover situations arising in very different disciplines, the isomorphic laws in science (ibid). For example, the formula to describe the behaviour of molecules constrained within certain vessels mirrors that found within a population who find themselves constrained by the amount of food or space available (ibid, p. 138). General Systems Theory includes the concept of wholeness and organisation, and von Bertalanffy also discusses open and closed systems and the concept of hierarchy, where an organism is segregated into subordinate systems. He claims that reality is a “tremendous hierarchical order of organised entities, leading, in a superposition of many levels, from physical and chemical to biological and sociological systems” (von Bertalanffy, 1950, p.  164). Similar ideas were advanced about 40  years earlier than those of von Bertalanffy when Alexander Bogdanov, a Russian, posited the theory of tektology, the science of structures (Checkland, 1981; Flood, 1999). However, Bogdanov’s ideas were not published outside Russia until the 1970s (Gorelik, 1975). Bogdanov’s Russian publication in 1922 included many later systems concepts including as Gorelik (ibid) reports “An organised complex, or a system, is defined as a complex where the whole is greater than the sum of its parts” (ibid, p. 348).

Cybernetics and VSM Another significant development in systems thinking was the formation of the discipline of cybernetics, generally defined as the art and science of communication and control (Flood, 1999). While it is often thought to refer to the control of machines, it also refers to the control of living objects. The term cybernetics was coined by Norbert Wiener (1950) although he borrowed it from early philosophers; the term is taken from the Greek and means ‘the steersman’. Wiener formed part of a group of mathematicians, engineers and neuroscientists with much of their work funded by research for the military (Checkland, 1981). The work on cybernetics was sustained and adapted by Stafford Beer with his ‘Viable Systems Model’ (VSM) (Flood, 1999; Jackson, 2009). In ‘Cybernetics and Management’ Beer (1959) “concludes that there are three main properties of a cybernetic system. They are exceedingly complex, probabilistic, and self-regulatory. They are also purposive, meaning that from a particular view-point the system is organised to achieve some end” (Flood 1999, p. 37). Beer posits that viable systems can self-regulate in order to maintain a stable internal environment in a complex external environment by having the “requisite amount of internal variety” (Brocklesby & Mingers, 2005, p. 5). The viable system always has a purpose that can be perceived by an observer, but it is probabilistic, meaning that the result cannot be perfectly predicted. Beer’s work was undertaken in the field of management and he is well known for homomorphisms, drawing parallels between living beings and social organisations; as illustrated in his titles ‘The Brain of the Firm’ (Beer, 1972) and ‘The Heart of the Enterprise’ (Beer, 1979). Beer constructs VSM based on five functions of management that he entitles

Operations Research

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systems 1–5, they are operations, co-ordination, control, intelligence and policy (Flood, 1999, p.  38). Jackson (2009) refers to Beer’s well-known country-wide application of VSM with the Allende Government in Chile.

Operations Research Ackoff was one of a group of academics who started his career in the discipline of Operations Research (OR), comprising techniques best “suited to machines and machine-like behaviour” (Flood, 1999, p. 46). He recognised that these approaches, based predominantly on mathematical methods and algorithms, work in technical and operational situations but are less effective in strategic planning. He introduced the term ‘messes’ to describe complex situations that are not resolvable by OR techniques. Having concluded that many managers apply OR techniques without understanding where they should be used, he begins to question its value. Ackoff (1979) provides an example of the mathematical modelling of the problems within a project. The managers of this project discontinue use of the delivered model after 6 months leading Ackoff to realise that the model was set up to solve the wrong problem. In this article (ibid), he concludes that ‘messes’ require holistic treatment, that solutions need to be adaptable and adapted, and that many stakeholders should be involved in the decision making. He also points out that managers are rarely presented with independent problems, but face dynamic, complex and changing situations that they need to manage rather than resolve (ibid). In a much later article, he reinforces these points and states that: “In the political arena finding what is normally thought of as a solution to a problem, and getting it accepted and implemented, are usually treated separately rather than as necessary aspects of the problem”. (Ackoff & Gharajedaghi, 1996, p. 17). Unlike Beer’s GST and VSM, and Wiener’s cybernetics, Ackoff’s work was not given, nor did it attract, a specific label. Flood (1999) entitles it ‘interactive planning’; Mingers (2016) refers to Ackoff and Emery’s (1972) ‘purposeful systems’ and, earlier in this section, we chose the term ‘social systems science’. This label was selected as a result of a tale that Ackoff tells in a postscript to an article (Ackoff, 1979). Having been originally in the Operational Research Department of his University, he formed a breakaway department entitled the Department of Social Systems Science, a title arrived at because it was the only title to which all the other departments in the University would agree. This example illuminates the importance of the micro-politics within an organisation. The interested reader might wish to consult Cohen & March’s (1974) study on management in universities, the ‘garbage can model’. It will become apparent how much of Checkland’s model is derived from Ackoff’s thinking, as the concepts that Checkland adopts within SSM are explained.

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Autopoiesis Two prominent contributors to systems thinking are the Chilean biologists Humberto Maturana and Francisco Varela. Their publications were emerging alongside Checkland’s first publications. Therefore, Checkland did not discuss their work in his early writing. Nonetheless, Maturana and Varela’s concept of autopoiesis is a significant contribution to the field of systems thinking. In our common experience we encounter living systems as unities that appear to us as autonomous entities of bewildering diversity endowed with the capacity to reproduce. In these encounters autonomy appears so obviously an essential feature of living systems that whenever something is observed that seems to have it, the naive approach is to deem it alive (Maturana & Varela, 1980. p. 73).

With this lucid and gripping introduction, we are introduced to ‘Autopoiesis and Cognition’. Autonomy or agency is the fundamental condition for any living entity (ibid). A living entity can consist of organelles within cells that are formed into networks, producing organs and organ systems. The relationship between the components is invariant. The entity is self-reproducing and it is this facility that gives the living entity autonomy and independence (Brocklesby & Mingers, 2005). Despite being independent and autonomous it cannot flourish regardless of the environment in which it finds itself. Organisms require external resources: food (or other forms of energy source), water, oxygen (or carbon dioxide in the case of plants) and an appropriate temperature range. In such conditions, the living entity can maintain a stable internal environment, a state termed ‘homoeostasis’. The term introduced by Maturana and Varela (1980) to describe living entities that not only maintain homoeostasis, but also have a self-producing dynamic, is ‘autopoiesis’. Technical systems in a state of homoeostasis have inputs and outputs that facilitate the continuation of a stable system. However, according to Maturana and Varela (1980) living entities do not have inputs and outputs. They acknowledge that organisms can be perturbated by external forces, and their internal structures can be modified to compensate, but they do not classify these forces as inputs and outputs. They also regard “autopoiesis as necessary and sufficient to characterise the organisation of living systems” (ibid, p. 82). Others disagree on the issue of inputs and outputs and dispute the sufficiency of autopoiesis in defining life. Guerrero and Berlinga (2015, p. 544), for example, assert that life on earth demands autopoiesis and ecopoiesis and claim that “life on earth favours the spread of obligate co-evolved partnerships”. Maturana and Varela identify ‘organisation’ and ‘structure’ as two of the fundamental features of living entities. “The pattern of organisation of any system, living or non-living, is the configuration of relationships among the system’s components that determines the system’s essential characteristics” (Capra & Luisi, 2014, p. 302). The living entity’s ‘structure’, by comparison, is how ‘organisation’ is embodied in the ‘structure’ of an individual example of this entity. While all healthy humans have the same pattern of ‘organisation’, their ‘structure’, for example their bone size, hair colour and texture, can vary. Living entities have another fundamental

System Definitions and Concepts

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feature, ‘process’. A living body is a network of chemical reactions, ‘processes’, that produce the cell’s component ‘structure’.

Readings in Systems Thinking If you are interested in discovering more about the history of systems thinking, Checkland (1981) provides in’Systems Thinking, Systems Practice’ a description stretching from the early philosophers to writings from the 1970s. Capra and Luisi’s (2014) ‘The Systems View of Life’ is recommended for a more detailed and recent presentation. This book covers the history of systems thinking across a range of subjects and provides a comprehensive, comprehensible and lucid summary of systems thinking for the non-specialist. A more recent contribution by Michael Jackson (2019) covers the necessary introduction to the key philosophers, explains the development of the scientific method, extending it to biology. In doing so, he makes the point that “Ecology sought from its beginnings to grasp interconnectivity, emergence, and organism–environment interdependency. It was born taking a systems approach.” (Jackson, 2019, Chap. 3). In discussing a wide range of systems approaches, he presents a categorisation that he entitles a ‘system of systems methodologies’. One of the many methodologies that he presents is a long chapter on Soft Systems Methodology. The final section of the work is dedicated to Critical Systems Thinking. This topic is outside the scope of our book but may well be of interest to readers who will find many articles by Jackson on this topic. It is interesting to note that Michael Jackson and John Mingers were both students on Peter Checkland’s Masters programme at the University of Lancaster in the late 1970s. Jackson presents a lively description of his time there. A concise summary that introduces the application of systems thinking in the social sciences and introduces Critical Realism can be found in Mingers (2016) ‘Systems thinking, critical realism and philosophy’.

System Definitions and Concepts Having explored the origins of systems thinking and its development over the last century, it is now important to consider what is meant by a system and investigate alternative definitions. If you search for the definition of a system, you will find that there are many. One definition is: a system is a set of processes, methods and activities required to carry out a task. When one says ‘I have a system to record my income, to record my outgoing expenses, and to calculate my current balance’ this meaning is being used. When one says that one has done something systematically, this is applying another meaning; one is acting methodically and undertaking actions in a rational and ordered manner. Another definition is: a system is a set of principles or procedures. The statement ‘In this country, we have a market-driven

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economic system’ is an example of this usage. If you search a number of dictionaries, you will find variations, all with factors in common. When terms such as education system or transport system are employed, they are often a fusion of these definitions; referring to the components but also to the principles and procedures. This usage can be confusing because it is then unclear what properties are being accorded to this system. It should not, therefore, be assumed that when the word system is uttered in general parlance the term is being used in a manner that complies with the formal requirement for a system in systems thinking. Formally, a system comprises a number of interrelated components. Exploring the etymology of the word, we find that in many languages it derives from’an organised whole’ so a system can be defined as ‘an organised set of interacting components’. “Systems thinking employs the concept of a system: an organised whole in which parts are related together, which generates emergent properties and has some purpose”. (Beynon-Davies, 2002, p. 46). This definition extends beyond the concept of interacting parts to introduce purpose and emergence. When using the term system in a business environment, the system is considered to have a purpose or goal. One might ask whether a biological system has a goal. Maturana and Varela (1980) contend that the goal of all biological systems is survival or self-sustenance. Longo et al. (2015) seize Darwin’s contention that evolution consists of descent with modification plus natural selection and extract implicit factors to derive a threefold framing theory. This theory that life is defined by proliferation with variation, motility and autopoiesis applies to plants and animals. It implies that their goal is to procreate, to move spontaneously, or with agency, and to self-sustain or self-regulate.

Emergence The term system will be used in a technical sense as we explore the term emergence. A system is a whole, comprising components; this whole is greater than the sum of its components. The commonly used expression ‘the whole is greater than the sum of the parts’ refers to the fact that a whole system has properties that are not properties of the individual component and cannot be predicted solely from the components. An example of this holism would be a bicycle comprising individual parts such as handlebars, pedals and wheels. Once connected, in a specific configuration, the whole forms a vehicle that can be used to travel. None of the individual components in isolation have the property of travel. This property that arises at the level of the whole system is termed emergence. The emergent factor is meaningless at the level of the components. Another example is that of water. The chemical components of water are the gases: hydrogen and oxygen. Once these gases are combined to form water, they have the emergent property of being liquid. Mumford (2012) provides two further examples that differentiate heaps from wholes; the first is a pile of stones and the second a mobile phone. In Chap. 3, we discuss Elder-Vass’s (2010) nomenclature for objects, such as a pile of stones, a ‘heap’. The ‘heap’ consists of individual components, in this case the stones, and has no emergent feature. The

Hierarchies

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‘heap’ is therefore not a system. By comparison, the mobile phone consists of components that are assembled in a particular configuration and the whole provides the functionality of the phone. The individual silicon chips, plastic parts and metal components do not demonstrate this functionality. In the same way a person comprises components, the whole has functionality that the parts do not. The person can go for a walk, but the legs cannot. This change of paradigm, or way of viewing reality, from analytical thought to holism is a critical turning point. Descartes believed that in order to understand complex behaviour one has to apply an analytical or reductionist approach and break the complex whole into parts (Cottingham, 2008; Grayling, 2005). Scientific thought based upon this Cartesian paradigm has resulted in many advances in science and technology. Systems thinking is a fundamental break from this point of view – a new paradigm. “Systems thinking is contextual which is the opposite of analytical thinking. Analysis means taking something apart in order to understand it; systems thinking means putting it into the context of a larger whole” (Capra & Luisi, 2014, p. 66).

Hierarchies Another important concept linked to systems thinking is that systems are formed into hierarchies. This context does not imply hierarchy in the sense of status or authority; it refers to stratification (von Bertalanffy, 1950). Imagine that you are observing the digestive system of an ant. Most of us will not have seen such a system but will accept that it exists and can be studied through a powerful microscope. The digestive system is just one of many systems within the insect. This system, along with others, such as the cardiovascular system, form the whole insect. The insect, as a whole, is another system and, like humans, an ant can go for a walk, whereas its legs cannot. Ascending to the next level in this hierarchy, grouping the ants together forms an ant colony. The ant behaviour can be studied, emergent features can be seen that cannot be identified when studying a single ant. At a certain point, ants will begin to swarm, and this swarm will depart to form another colony. Thus, the colony is an emergent feature. This example illustrates another factor within systems, that the components, in this case the ants, are acting according to certain inbuilt rules and are not responding to an overall commander instructing them to take a certain action. In this case, we can see the hierarchy: beginning with the internal systems of an insect, then the individual insect, and at the highest level, the social grouping of insects.

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Feedback Systems thinking is commonly deemed to consist of two pairs of related concepts: emergence and hierarchy; and communication and control. So far within this chapter the first pair has been discussed, with reference to the terms: system; hierarchies, also known as stratification; emergence; purposeful or goal seeking systems. Now the factors within communication and control are listed; feedback; homeostatis; the concept of boundaries; and the difference between hard and soft systems. Homoeostasis is the tendency of independent elements within a system to form a stable equilibrium and a key concept of cybernetics is the feedback loop in a self-­ regulating system. Many natural systems exhibit negative feedback, and many man-­ made systems are built to include negative feedback and maintain homeostasis or stability. An example of negative feedback in the natural world is the control of the rabbit population. Imagine there exists a large rabbit population; this colony will provide a satisfactory food source for rabbit predators, and in turn the population of predators will grow. The predators within this larger population will eat large numbers of rabbits so that this action, in turn, will reduce the rabbit population. Now the predators will have a reduced food supply due to the smaller rabbit population and more predators will die from starvation, thus leading to a smaller predator population. Concomitantly, the rabbit population grows because there are now fewer predators and thus we return to the initial state of affairs. The situation described is a perpetual loop. When humans intervene in this natural cycle by culling animals, they often inhibit the negative feedback loop leading to unintended consequences.

Homeostasis In the field of electronics, a very common example of homeostasis is an instrument that utilises negative feedback, the thermostat. A closed circuit is circulating electricity to heat the water for a radiator. Part of this closed-circuit is a bimetallic strip; this strip is formed of two metals that have different coefficients of expansion. As the strip heats up, one of the metals expands more than the other and therefore the strip bends. In the process of bending, the metal strip moves away from its contact point thus breaking the circuit. Once the circuit is broken there is no longer a flow of electricity to heat the water and gradually the temperature of the water drops. This drop of temperature in the air surrounding the thermostat leads to the two metals contracting and the circuit is once more complete. Thus, we have a negative feedback loop which maintains the room at a constant temperature. In modern systems, the bimetallic strip has been replaced by a wax valve that expands as it heats and contracts as it cools, thus operating on the same principle. The term ‘autopoiesis’, self-regulation in a living system, was introduced earlier in this chapter (Maturana & Varela, 1980). We describe two examples resulting from the interaction between a living system and its environment. If a dog is hot, it will stick out its

Background and Motivation of Checkland

13

tongue as a means of cooling, whereas humans who are hot are more likely to remove items of clothing. While this action is a deliberate act, living organisms have other means of adaptation, of which they are less aware. If one is in a very cold temperature, it is difficult to maintain homeostasis. The heat within a body abandons the extremities and flows to the inner organs, enabling the living organism to survive. The result is that the human may develop frostbite and lose their toes, but they are likely to live.

Open and Closed Systems Another system concept is the boundary. In a closed system, such as an electric circuit, the boundary can be defined easily. A closed system is a system in which one can easily differentiate the components within, from the components outside; one can also recognise the inputs and outputs of the system. The general assumption is that in scientific experiments, the empirical work can be carried out on closed systems where most variables can be kept constant, allowing a small number to be changed to assess the relationship between them. In the main, technical man-made systems are closed and natural systems are open. In a technical or man-made system, the inputs and outputs can be identified. Such a system is termed a ‘hard system’ referring to a system where there is a clear aim with no conflicting views on the purpose of the system. A ‘hard system’ may have a limited number of components that can be isolated from the rest of the environment, such that the inputs to the system can be adjusted in order to control the outputs. The reader should be able to find many examples of simple science experiments, aimed at primary age children, on the Web. The components are a battery, a bulb and a conductor. The latter could be an insulated wire. Joined together in the right formation the bulb will light, thus producing the emergent feature of illumination. Joined together in any other configuration the emergent feature will not be generated. A resistor could be added to act as a regulator and, by adjusting it, the brightness of the light could be altered.

Background and Motivation of Checkland Checkland’s contribution to systems theory results from his conversion from hard systems to soft systems. Peter Checkland’s thinking was influenced by his early career experiences. He began his academic work on systems when he joined the Department of Systems Engineering at the University of Lancaster in 1969 (Checkland, 1981, 2011). The new university department received funding from Imperial Chemical Industries (ICI) and Checkland joined the department, having previously worked as an engineer for the company. The Systems Engineering group within the University initially replicated the methods that they had used in engineering and control, in their various industries, but increasingly they found that the

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organisational problems that their clients presented were not exclusively technical problems and were therefore not amenable to solely technical solutions. In ‘Soft Systems Methodology in Action’ Checkland uses the example of the Challenger space mission disaster to elucidate the nature of the non-technical issues (Checkland & Scholes, 1990, p. 13). While the presenting cause of the disaster was the state of a particular metal ring, identifying this issue led to questions regarding why this factor had not been identified during the standard pre-launch checks. In the case of the Challenger space mission the metal ring was the necessary cause but not the sole cause. There were non-technical factors, such as the political pressure to launch within a certain time scale that led to fewer checks being undertaken than were specified. These political pressures were created within the environment of the space race between the USSR and the USA during that period. Checkland was familiar with working with hard systems, where performance could be measured, predicted and controlled. He found that moving to work in managerial situations, tackling what he terms ‘real-world problems’, the properties that he had seen in hard systems did not apply. ‘Human Activity Systems’ rarely have agreed goals, even where an organisation has a published vision or strategy. In practice, within an organisation, there is often a considerable difference between the ascribed goals of the organisation and the tacit goals, taken as read by the actors within the organisation, and acted out in practice. Other factors differentiating between a ‘soft system’ and a ‘hard system’ include the difficulty of identifying a limited number of components within a system. There are far more variables, and thus relationships between them, making causal factors difficult to discern. Checkland was seeking a way to firstly gain agreement about the goals of a required ‘human activity system’ and secondly close the gap between the generation of the new system and its implementation.

Checkland’s Writing Checkland set up a masters programme on systems thinking shortly after his arrival at the University of Lancaster and the students undertook SSM-based projects within local organisations. The instigation of SSM emerged from Checkland’s motivation to solve ‘real-world’ problems leading him, inevitably, to an action research approach. He was in a position where he had access to a number of organisations that were experiencing ‘human activity’ problems and were aiming to improve their operation. This access, together with his decision to incorporate post-graduate student projects into his work, led to one strand of his writing, the reporting of individual projects. The other strand afforded him was the chance to reflect upon the methodology and adapt it accordingly. In terms of his publications, both journal articles and books, this second stream, concentrating on methodology, has been his primary focus. It is this reflection and adaptation that explains why SSM has changed over the years.

Messes and Wicked Problems

15

As is common among academics, Checkland began his academic career writing journal articles, particularly during the 1970s and 1980s, of which only a few are listed in the references (Checkland & Jenkins, 1974; Smyth & Checkland, 1976; Checkland, 1978, 1985). Checkland’s first book (1981) introduces us to SSM and dedicates three chapters to the history of scientific thinking and systems thinking. His second book, published in 1990, updates and describes in more detail his ‘seven-­ stage model’ and provides several examples of the methodology in action. For an informative summary of Checkland’s development and basic ideas, we recommend the 30 years retrospective article (Checkland, 2000) and Checkland’s chapter (2011) in the Oxford Handbook of Management Information Systems. For the reader who wishes to consider using SSM, Chap. 2: ‘A Fleshed-out Account of SSM’ in the later book (Checkland & Poulter, 2006) provides a focused exposition on carrying out SSM using Checkland’s revised ‘four basic activities’. Another useful summary is that from Wilson (2001) who has worked and published with Checkland. For the researcher wishing to adopt SSM in its entirety, there are a number of articles and chapters describing SSM, that are written by authors other than Checkland. These articles help to reinforce one’s understanding of SSM and place it in a Systems Thinking frame of reference, as captured at the date of each article (Mingers, 2000; Zexian & Xuhui, 2010; Jackson, 2019). Checkland has written a number of short articles and papers given as keynote addresses at conferences, explaining the rationale for SSM. He concludes one keynote paper by saying “good uses of SSM are always situation-oriented rather than methodology-oriented, always open to new learning” (Checkland, 2010, p.  131). We are interpreting this statement as giving us ‘carte blanche’ to adopt SSM as part of the model that is developed within this book, recognising that it is not necessary to apply all elements of SSM. Nonetheless, this chapter aims to explain the fundamental concepts that Checkland maintains are of consequence. Checkland introduces SSM as an ‘action research’ method, the aim of which is to identify the ‘problem situation’ in a particular context and to determine what action should be taken to improve matters. He felt that previous action research approaches had been anecdotal, so he wished to generate a more structured, and therefore replicable, process. Flood (1999) defines ‘action research’ as an approach that enables researchers, together with the actors in a situation, to operate collaboratively to engage in critical inquiry and then take action to improve the situation. Checkland’s raison d’être was not simply to understand problem situations within organisations but to improve them, in concert with the participants in the organisation.

Messes and Wicked Problems In the section above, there is reference to the concept ‘problem situation’. It is necessary to introduce related concepts that inform SSM. We begin with the notion of complex situations defined as a ‘mess’. As stated earlier, the concept of a ‘mess’ originates from Russell Ackoff (1979), it captures the circumstance where one is

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faced with a situation that is complex and dynamic and comprises multiple components and sub-systems (Rosenhead, 1989, p. 10). What one person labels an ‘ill-­ defined’ problem is another’s ‘mess’. The individual’s reading and interpretation of the ‘mess’ is prejudiced by their role. A more colourful way of expressing the same concept is Rittel and Webber’s (1973) pair of terms ‘tame’ and ‘wicked’ that distinguish the closed ‘tame’ problems of natural science from the ‘wicked’ problems of social science or policy planning. In the context of urban planning, Rittel and Webber (ibid) identify ten distinguishing properties of a ‘wicked’ problem. Rather than list them all, three have been selected as of interest. Firstly, there is the no ‘stopping rule’; it is very difficult to know when you have solved a ‘wicked’ problem. Secondly, every ‘wicked’ problem is unique. Thirdly, the “choice of explanation determines the nature of the problem’s resolution” (Rittel & Webber, 1973, pp. 138–142). For example, if you are trying to solve the problem of knife crime and you study the information on the relationship between police statistics and crime, you are likely to solve the ‘wicked’ problem by recruiting more police. If, however, you perceive the problem to be lack of legislation, related to knife crime, then you are more likely to introduce new legislation. SSM focuses on this third property.

Swamp of Relevance Donald Schön (1995) introduces similar concepts in his seminal work ‘The Reflective Practitioner’ where he contrasts the ‘plinth of rigour’ with the ‘swamp of relevance’. Schön uses these concepts as he addresses how professionals learn to operate reflexively within a messy situation, the ‘swamp of relevance’. He explains that while architects are trained in the technical components of their profession, the ‘plinth of rigour’, once practicing they must operate in the ‘swamp of relevance’ where, Schön posits, most important problems can be found. In many technical systems in the ‘plinth of rigour’, it is possible to ‘black box’; to observe the inputs and outputs and hide the interacting components within a ‘black box’. We are all familiar with this ‘black box’ development when, for example, our car malfunctions and this failure demands an entire replacement electronic component because the ‘black box’ component cannot be rectified by the technician on-site. This ability to extract and replace a component is not commonly replicable within a human activity system, although one could argue that organisations regularly outsource part of their business. Human activity systems are not the only messes that are difficult, if not impossible, to control and predict. Meteorological systems are similarly problematic as the result of the interaction of a very large number of variables. This factor is recognised in Chaos Theory where a slight difference in the initial conditions can result in a significantly different effect, customarily known as the Butterfly Effect (Capra & Luisi, 2014. p. 114).

Headline Aspects of SSM

17

Headline Aspects of SSM Checkland uses the word ‘methodology’, rather than method, to describe his approach. He explains the meaning of SSM and its use as “a methodology – a set of principles of method rather than a precise method – has to be adapted by its users.” (Checkland & Holwell, 1998, p.  162). Alternative definitions of methodology, in dictionaries and from online search, include a ‘system of methods’ or ‘the study of method’; a research methodology is commonly considered to be the broad philosophical underpinning of the research. Checkland’s definition, however, implies that SSM should not be used as a recipe, instead users should comply with its principles. The phrase Soft Systems Methodology is now so well understood that the term has entered the lexicon of organisational studies and systems thinking. Checkland’s suggestion that SSM should be adapted by the user is helpful, allowing one to select from his techniques and adapt them, providing one adheres to his general principles. In this foray into the stages and techniques of SSM, we begin by emphasising that Checkland makes great play of diagrams and drawings to capture the structure of a situation. He terms these illustrations ‘rich pictures’ and uses them to replace text at many stages in SSM; the major benefit is that one can indicate relationships between elements and indicate the standpoints and emotions of different parties. A ‘rich picture’ is normally a hand drawn diagram with simple images, arrows suggesting actions, or flows of information between elements, and text labels to clarify. A key advantage of a ‘rich picture’ is that one can see the situation as a whole. We have used this technique in Fig. 7.4 in Chap. 7, to capture the conceptual framework of the research project described in this book as the Practicum Study. Checkland defines SSM as an ‘action research’ methodology that seeks to recognise a ‘problem situation’, in a particular organisation or context, and attempt to find a way to improve that situation. In devising SSM, Checkland aimed to address the following question: ‘How do we improve a problem situation and design a purposeful activity model that is efficient, effective and efficacious?’ In the examples that Checkland provides, he and his colleagues are normally invited into an organisation to facilitate a company in addressing this question. Checkland and colleagues therefore act as consultants, investigators or facilitators, rather than researchers. The main impediment to providing a simple description of Checkland’s methodology is that the methodology, and its associated description, has changed over the years. With these changes go variations in the numbering and naming conventions. Although these alterations are a little irritating to the learner, they are the result of numerous revisions informed by Checkland’s experience in using the methodology. In his early books, Checkland (1981, 1990) describes the ‘conventional seven-stage model of SSM’. In a more recent version, the methodology comprises four activities (Checkland & Poulter, 2006). The four activities are described in more detail below and related to an example. In order to explore a ‘problem situation’ and design a ‘purposeful activity model’ we introduce the significant concept: ‘Weltanschauung’, a German word meaning ‘Worldview’. Checkland (1981, p.  319) defines ‘Weltanschauung’ as “image or model of the world that makes this particular human

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activity system, with its particular transformation process, a meaningful one to consider”. The main difference between technical systems and human activity systems, such as the Challenger example described earlier in this chapter, is that the problem situation is perceived differently by different stakeholders within the system. The perspective of different individuals, their ‘Worldview’, is best explained through examples and one such example is provided later in this chapter.

Ontology and Epistemology The next step is to discuss Checkland’s underpinning philosophy. The reader who is unfamiliar with the terms ontology and epistemology is advised to read the early part of Chap. 2 before continuing with this chapter. Checkland’s early experience as a systems engineer involved him in hard, technical systems where empirical research, the epistemology, is labelled positivist. In Checkland’s move from hard systems to soft systems, he positions himself using Burrell and Morgan’s (2006) ‘Four Paradigms’. In Fig.  1.1 we have drafted a simplified version of this four-­ paradigm model of dimensions and epistemologies. On the x-axis, the dimension is the Subjective/Objective opposition and on the y-axis is the dimension of Regulation versus Radical Change. Regulation refers to the belief that society has an underlying unity or cohesion. In contrast, Radical Change is the belief that the world is formed through structural conflict; Marxist views appear here. In contradistinction to Fig.  1.1, most text-books present the objective dimension on the left, rather than the right. The version of the ontological/ epistemological spectrum that is depicted in Chap. 2, Fig. 2.1, also positions the objective dimension on the left. These four paradigms aim to map out the range of epistemologies available when studying the social world. Examples have been included to aid the reader’s understanding, rather than to aim for completeness. Writing in 1979, Burrell and Morgan (ibid) state that the functionalist paradigm is the dominant framework. Now, RADICAL CHANGE Radical humanist (Critical Theory)

Radical structuralist (Marx)

SUBJECTIVE

OBJECTIVE Interpretive

Functionalist

(Hermeneutics)

(Sociological Positivism)

REGULATION

Fig. 1.1  Burrell and Morgan’s four paradigms (2006)

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Ontology and Epistemology

40 years later, the interpretive quadrant is probably the most populated. Checkland positions the epistemology of SSM in the interpretive quadrant alongside approaches such as phenomenology and ethnomethodology. Checkland specifically signs up to Dilthey’s hermeneutics model (1907/1989) focused on learning. He considers SSM to be a heuristic device, based on personal learning, and so recommends using SSM as a learning process. SSM sees (real-life problem situation) as a complex ongoing flux of interacting events and ideas which unfolds through time. Intervening in that flux … calls for an organized process of learning which can absorb and deal with the multiple worldviews which will always be present. SSM seeks to provide such a process (Checkland, 2010, p. 131).

Additionally, Checkland talks of five stages of SSM being in the ‘real world’ while two stages are “systems thinking about the real world” (Checkland & Scholes, 1990, p. 27). The ‘systems thinking’ components are the conceptual stages. They form Activity 1.2 in the model that is presented in Fig. 1.2 derived from Checkland and Poulter (2006) and stages 4 and 5 of the 7-stage-model described in earlier work (Checkland & Scholes, 1990).

•1 Problem situation considered •2 the problem situation expressed: Rich picture

•7. Action to improve situation

Activity 1.4: Taking action

Activity 1.3: Using model to structure debate

•5 Comparison of models and real world •6. Changes: systemically desirable, culturally feasible

(includes Analysis 2 and Analysis 3)

Fig. 1.2  Our interpretation of Checkland’s model

Activity 1.1: Finding out

Activity 1.2: Modelling (includes analysis 1) •3.Root definition •4 Conceptual models

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Critique of SSM’s Ontology Without doubt, Checkland’s work has had a major influence on research in the field of organisation management and information systems. His methodology has been widely used and his concept of soft systems is a notable milestone in the history of systems thinking. The prime critics of SSM, Mingers and Jackson, well-known names in the field of Information Systems, have been Checkland’s acolytes since they were his students over 40 years ago. Beginning with the dichotomy of the’real world’ and the ‘systems thinking world’, Checkland contends that the drawing of a system is not a representation of the real world but a way of making sense and generating debate, in order to identify potential changes. This argument leads him to the point where he questions the existence of systems. Hence, strictly speaking, we should never say of something in the world: ‘It is a system’, only: ‘It may be described as a system’. The important feature of paradigm II {soft systems} as compared with paradigm I {hard systems} is that it transfers systemicity from the world to the process of enquiry into the world (Checkland, 1983, p. 671).

He reiterates this contention in a number of his publications including this much later statement. There is no automatic assumption that the real world is systemic. If part of the real world is taken to be a system to be engineered, then this is by conscious choice (Checkland & Poulter, 2006, p. 286).

In both of these statements, Checkland is saying that the world comprises hard systems that conform to the definitions of a system, yet when we move from the natural world to the social world, the world may no longer comprise systems, hard or otherwise. The first problem that arises in this scenario is that dubbed by Mingers, (2000b, p. 1260) ‘The potential dislocation between the social and natural sciences’. The second problem is how does Checkland decide when to apply systems thinking like a ‘systems engineer’ and when instead to apply SSM. According to Mingers (2004), Checkland applies hard systems thinking in the situation where the logic of production takes precedence and SSM where culture and meaning are dominant. Mingers is the main critic of this ontological aspect of SSM. He claims that Checkland is committing the epistemic fallacy by assuming that statements about being (ontology) should be constrained by statements about our knowledge (epistemology). We will address the epistemic fallacy in more detail in Chap. 2. Clearly, as human beings we can only ever experience anything through our perceptual and linguistic apparatus. It does not follow from that, however, either that our descriptions are unrelated to the world or that we should deny existence to anything simply because our knowledge or perception are limited (Mingers, 2000, p. 750).

Mingers accepts that Checkland is correct in stating that the existence of systems cannot be proved beyond doubt. But neither, he contends, can it be conclusively denied.

Critique of SSM: Radical Change Theory

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One might ask whether Checkland is accepting the existence of social concepts and structures, while simply denying that the social world is systemic. Despite his written claims, it is apparent in many of Checkland’s projects that he is accepting that there is a social reality, in order to explore it. It seems unlikely, however, that he does recognise a social reality that in any way parallels his view of the physical ‘real world’. For example, Checkland and Holwell, (1998) state that those researchers adopting an interpretive mode within action research do this “on the assumption that social reality is continuously being created and recreated in a social process” (ibid. p.  12). In contrast they state that the physical world is homogeneous, it remains constant over time, whereas the social world is being constantly refreshed. This statement reinforces the view that they perceive a significant difference between the ontology of the natural and the social world. But is the natural world homogenous? Let us consider the world 460 million years ago when plants began to colonise the land. Over the intervening millions of years to the present day, plants and animals have continually evolved, re-evolved and co-evolved. Even the continents have shifted such that the coal extracted in the UK was formed from forests south of the equator. The world can hardly be called homogeneous. The living world is continuously being created and recreated in the process of ecopoiesis, the same principle that was discussed earlier under the title ‘autopoiesis’. It relates to the self-­organising principle within an ecosystem. This difference between the physical world and the social world appears to be one of timescale.

Critique of SSM: Radical Change Theory Jackson (1991, p. 133) comments that from the 1980s onwards systems thinking becomes much more subjective, the emphasis shifts from attempting to model systems out there in the world towards using systems models to capture possible perceptions of the world.

His comment relates, not only to the work of Checkland, but also to that of Churchman and of Ackoff. Using Burrell and Morgan’s four quadrant paradigm, see Fig. 1.1, Jackson asserts that this thinking corresponds to the interpretive quadrant, the lower left quadrant, that is not only subjective but also regulative. Jackson believes that when different perspectives on a situation are captured, there is often conflict and it is not straight forward to assume that there will be an accommodation between the parties. The prime reason for this lack of agreement is that there is frequently a power differential between different observers. Those observers who have power achieved by status or access to resources, will dominate, thus tending to support the status quo. He contends that SSM ignores this factor and he seeks to develop a methodology that will be positioned in the radical humanist/critical theory quadrant, the upper left quadrant, in the four quadrant paradigm, Fig.  1.1. Checkland’s claim of ‘extreme subjectivism’ leads him to reject social reality and prevents him from considering some of the more recent accounts of complex

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adaptive systems and self- organisation in human activity systems (Zexian & Xuhui, 2010). Jackson continues to take up the mantle for radical change and critical theory for the next 30 years (Jackson, 2019). The radical change theorists contend that SSM reproduces elements of the status quo. It is not practicable to explore this issue in greater detail here, but the principle is considered in the Practicum Study when appraising the project in Chap. 12. The two different critiques of SSM presented here are indicative of the directions in which system thinking has proceeded in recent years. Although in the Practicum Study we are not undertaking action research, aspects of radical change theory may well be relevant to the collection and analysis of stakeholders’ perceptions. The issues that have been raised regarding Checkland’s interpretation of ontology have been addressed by Mingers with his move to what he terms a third way and the adoption of Critical Realism. This third way is the approach we have committed to within our research, and it will be presented to the reader in the next two chapters.

Our Interpretation of Checkland’s Model For the reader wishing to explore the latest SSM model, one comprising four activities, chapter 2 of Checkland and Poulter (2006) is recommended. SSM has developed and changed over the 40-year period that it has been applied in a large number of consultancy projects, by Checkland and by his associates. As discussed earlier, Checkland has emphasised the value of drawings and diagrams in much of his writing and both his books and his articles include many hand-drawn diagrams. We have, however, chosen not to adopt any of Checkland’s original diagrams nor to embrace any particular convention for diagrams but instead to generate our own interpretation. The diagram that is presented in Fig. 1.2 has been formed by combining the ‘four activities’ that Checkland and Poulter (2006) define with the previous ‘seven-stage’ model from Checkland and Scholes (1990). These ‘four activities’ can be found in the four quadrants of the circle at the centre of the figure while the grey shapes attached to these quadrants include the terminology from the earlier ‘seven-­ stage’ model. The reader will note that these grey shapes differ, three of them are rounded rectangles; these activities are deemed to be in the ‘real-world’, as defined by Checkland. The fourth shape is oval and that is deemed to be ‘system thinking about the real world’. This distinction is important because Checkland believes that only when we are in epistemological mode (the oval), can we create models that comply with the definition of a system. His contention is that during the other three activities, where one is operating in ontological mode, one is in the ‘real-world’ a social world that is not necessarily composed of systems.

Activity 1.1: Finding Out

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Activity 1.1: Finding Out Activity 1.1 in Fig. 1.2 is the initial identification of the ‘problem situation’ and the capturing of the perspectives of different stakeholders, normally, in the form of a ‘rich picture’. Checkland’s assignments were action research projects and were normally consultancy contracts so some of the formal elements of a research project were not demanded. The nature of a ‘problem situation’ has already been discussed and compared with the terminology used by Ackoff: a ‘mess’; Rittel and Webber: a ‘wicked’ problem; and Schön: the ‘swamp of relevance’. We will reinforce Checkland’s insistence on referring to a ‘problem situation’ and not to a ‘problem’. If one uses the term ‘problem’ there is a general assumption that most people within the situation, or observers of it, will agree on what is the problem. If, instead, one uses the term ‘problem situation’ one is implying that the situation could be improved, but one is not implying that there will be agreement on what needs to be changed. This change of terminology is a fundamental mind-shift. Checkland does not dwell on the data collection tools used in his description of SSM, but you will find numerous examples in his case studies (Checkland, 1981; Checkland & Poulter, 2006; Checkland & Scholes, 1990). Checkland and Holwell (1998) suggest that ‘rich pictures’ could be produced by research participants in open workshops, with facilitation. Alternatively, the consultant/researcher could draw the ‘rich pictures’ after discussion and in isolation. In the main, data is collected through interaction with different stakeholders in the organisation, through interviews, small group discussions, focus groups or relying on the investigator attending meetings that are scheduled within the organisation. Documents from the organisation may also be reviewed. Checkland and Scholes (1990) discuss the recording of the ‘problem situation’ using the technique of ‘rich pictures’ in Checkland’s second book. A ‘rich picture’ is a simple drawing with short, relevant textual labels; one does not need to be artistic to draw it, although, from personal experience we can say, that it helps. Within the rich picture one would expect to see the main components within the problem situation. The image can be drawn by the stakeholders, but in Checkland’s examples it is often the investigator who draws the rich picture to describe the situation. This picture can then be used by the investigator to discuss with various stakeholders the alternative interpretations of the situation. The major benefit of an illustration is that it allows one to show relationships between different components, an aspect that is more difficult to capture using text alone. A rich picture should “capture, informally, the main entities, structures and viewpoints in the situation” (Checkland & Poulter, 2006, p. 25). In Checkland’s examples, it usually captures the perceptions of all the stakeholders, although it is the authors’ contention that it is easier to draw a rich picture from a single perspective. By this we mean the perspective of a stakeholder group rather than a single person’s perspective. Collecting data in focus groups is an example of collecting data from a stakeholder group, rather than a single stakeholder, and while producing the rich picture, attempting to accommodate and combine their views.

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Activity 1.2: Modelling Activity 1.2  in Fig.  1.2 incorporates Analysis 1, from Checkland’s seven-stage model, the modelling of different transformations. This stage begins when the investigator chooses a particular view of the system and attempts to produce ‘root definitions’ of relevant systems. As with drawing a rich picture, taking a particular stakeholder’s perspective is the best way forward. In doing so, one can identify certain key roles. Checkland defines a mnemonic that is helpful in analysing the situation: CATWOE, see Fig. 1.3. From experience of using this methodology, we have found that it is easiest to address the six categories within CATWOE in a different order from that specified by the mnemonic. It is suggested that one begins with the three roles, C, O and A. C represents the Customer; the Customer is the person within a situation most likely to either benefit from, or be the victim of, the system. Secondly, one should take O representing the Owner of the system; this is the person who has the power to make something happen. A useful way to check that the right person has been selected is to consider that the owner also has the power to stop the process or the transaction taking place. Thirdly, one should take A, the Actor or Actors within the system; they carry out, or realise, the transaction. Following the roles, identify the two situational constructs. W, represents the Worldview, frequently expressed as Weltanschauung from the German, and E represents the Environment, the environmental constraints within which the system must operate. It can be difficult, when looking at a specific situation, to differentiate between W and E. This issue is explored further in the Practicum Study. The stakeholder’s perspective, the Worldview varies, and the environment is generally shared by all stakeholder group. The final element of CATWOE is T which represents Transformation; this is the Transformation of an input into an output. Determining the Transformation is informed by an understanding of the Worldview and the Environment. Having completed the CATWOE, one then produces a ‘root definition’ that follows formulaically from the CATWOE. In terms of analysis the investigator has, by this time, made the major effort by determining the six entities of CATWOE. The conceptual ‘heavy lifting’ has been completed. By using this technique to create several alternative Transformations, one perceives the divergence in views regarding the aims of the system. C A T W O E

Customer Actor Transformation Worldview Owner Environment

the victim or beneficiary of the system those who can realise the transformation the conversion of input to output the worldview that makes the transformation meaningful those with the power to stop the transformation the environmental constraints within which the system must operate

ROOT DEFINITION An Owner responsibility to work with Actor(s) to [insert verbs] the Customer by making the Transformation in an Environment where [describe environment].

Fig. 1.3 CATWOE

Activity 1.4: Action to Improve the Situation

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Activity 1.3: Using Models to Structure Debate Activity 1.3 considers two types of analysis that the investigator should undertake. The first is Analysis 2: ‘Social Analysis’ where three aspects of the social system are considered. Remember, Checkland is undertaking action research and thus in Activity 1.3 the researcher is at the stage of attempting to define the action that should be taken. The action must not only be ‘desirable’ but must be ‘culturally feasible’. This social analysis involves identifying three elements: roles, norms and values. The first two elements, roles and norms, relate to behaviour. The third element, values, is defined in the literature on SSM as equivalent to standards. Analysis 3 is ‘Political Analysis’ where the disposition of power is considered; one asks who has the power and control. The final stage of Activity 1.3 is where systems are drawn to describe how to monitor and control the new system. In Activity 1.3, Checkland and Poulter (2006) discuss the illuminative concept of ‘commodities of power’. These include power due to one’s role, power due to personal charisma and power due to responsibilities like chairing a powerful committee. By surveying the problem situation for these commodities one can potentially identify the holders of power.

Activity 1.4: Action to Improve the Situation Having decided, in Activity 1.3, what is feasible within an organisation, practically, culturally and politically, we proceed to Activity 1.4. This activity is the stage where action is taken to design a new system. Checkland and Poulter (2006) term this stage ‘Making Purposeful Activity Models’, it includes monitoring for efficiency, efficacy and effectiveness. If you wish to utilise this final activity of SSM, then Checkland and Poulter (ibid, pp. 38–48) provide helpful diagrams and descriptions drawing on the CATWOE definitions and the transformations required. In the research strategy that is proposed in Chap. 4, we adopt Checkland’s Activity 1.1 and Activity 1.2 and work with a significant number of the concepts that he has introduced and that have been described within this chapter. Activity 1.3 and Activity 1.4 are not described in detail because we are not undertaking an action research project. We will be formulating an alternative strategy to explore and explain a problem situation. As you will see in Chaps. 2 and 3, a different underpinning ontology and epistemology from that proposed by Checkland is embraced. The alternative research strategy is devised by taking the lead from Critical Realism.

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 sing SSM to Explore the Higher Education U Admission System It is easier to understand the early stages of SSM through an example than through the description of the methodology. A common example provided in textbooks is that of the prison; Checkland undertook consultancy work on the prison service and he refers to it in his examples. Prisons can be seen as serving a number of purposes. Checkland describes the ‘purposeful human activity system’ known as a prison as alternatively: “a rehabilitation system; a punishment system; a system to protect society; a system to train criminals” (Checkland, 1989, p. 80). Many years ago, the researcher used this example in her teaching of SSM and posed the question of the purpose of prison to the students. One of the students responded that it was ‘a system to provide a safe haven for the weak and vulnerable’. Surprised at this response, the researcher looked at the student quizzically and he added: ‘I used to be a prison warder’. This tale provides one of the clearest demonstrations of the importance of perspective and of the worldview of the stakeholder in question. It also emphasises the value of having insight into a situation, either through personal experience or by discussion with stakeholders. For this reason, the example chosen to elaborate SSM is a problem situation with which the authors are familiar. It is also important when selecting a problem situation not to take a situation that is too wide-ranging.

HE Admission System, Activity 1.1: Finding Out The problem situation that we have chosen to study results from a concern that is regularly raised, in the press and within higher education in the UK. It is the proposition of moving towards Post-Qualification Admission for university, to solve the perceived problems with the current admission system. The fact that the issue is raised regularly indicates that the current system is perceived to be a problem. There are different views regarding what is the problem, therefore it is better described as a problem situation. The current admission system has been in operation, in a very similar manner, for at least 50  years, although obviously it was initially a paper-­based system. Most students are recruited, during their final year at school, through a centralised national system entitled Universities and Colleges Admission Service (UCAS). Applicants use the information on the UCAS website to identify the courses and the universities to which they wish to apply. Universities hold open days throughout the year so that students can visit selected universities prior to completion of their application form, or later in the year when choosing their short-­list of universities. With some exceptions, each applicant is permitted to list five courses. The applicant completes the application form: lists qualifications gained to date, makes a personal statement, and includes a reference from one of their schoolteachers. The teacher also predicts the grades that the applicant will achieve in their final school examination. On the basis of this application, each of the five universities either rejects the applicant or makes then a conditional offer, conditional on the

HE Admission System, Activity 1.1: Finding Out

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achievement of designated grades. The applicant is permitted to hold two offers and must reject the remainder. If the applicant achieves the grades of the higher offer at University A, then they will be accepted for that course. Should they fail to attain those grades, University A may still offer the applicant a place. Alternatively, the applicant may take a place at University B, providing they attain the grades demanded by University B.  Once again, if they fail to achieve those grades, University B may accept them with a lower performance. Should the applicant not gain a place at either University A or University B, they are permitted to move into a process entitled Clearing. During Clearing applicants contact universities to identify courses that have vacancies and, subject to the standard of their qualification results, they may be offered a place. Given that most examination results are published in mid-August and most university autumn terms begin in mid to late September, Clearing is a rushed process over a period of about 3 weeks from the middle of August each year. Students taking places through Clearing will also have a very short period to find accommodation before start of term. We collected the data for this example by searching the website of an on-line newspaper, WonkHE (https://wonkHE.com),_designating itself the home of higher education policy. The statements presented in Fig. 1.4 are: Statement Number 1: The aims of the admission system as specified in the UCAS national review of the admissions process consultation document, 2012.

1.

Statement from UCAS consultation document The applications system should:

Be fair and support access for all; Put applicants at the heart of the system; Meet the needs of a diverse range of applicants; Be effective and efficient; Deliver a net benefit to all concerned. UCAS (2012) 3.

Russell Group Universities Response to UCAS: Pick of the Bunch

We are concerned that the UCAS proposals would in fact restrict the ability of institutions to make a fair and thorough assessment of applicants, and also limit the opportunities for applicants to make informed decisions about which university to apply to. (Russell Group, 2012) Italic- our emphasis

2. Applicants to University: Destination of Choice Our current admissions system is monstrously unfair, putting the majority of applicants under an undue degree of stress and potentially blighting the life chances of a less-advantaged minority. The Union, UCU argued that a new admissions model would mean an end to the practice of unconditional offers and a ‘chaotic’ clearing period. (McVitty, 2019) 4. Sector-wide view: Barriers to higher education Students should make their application decisions alongside good information, advice and guidance. However, poor predictions cannot offer helpful advice or guidance and could artificially reduce student choice. This compounds the fact that students from the most disadvantaged backgrounds are already less likely to apply to Oxbridge and other high tariff institutions because of reasons such as few family or friends considering it as an option, or little history of their school sending pupils there. (Hunt, 2016)

Fig. 1.4  Stakeholder perspectives of HE pre-qualification admission system

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Statement Number 2: WonkHE editorial (2019) takes the perspective of applicants, while also mentioning the views of the Teaching Union. Statement Number 3: the response by the Russell Group to a national review of the admissions process undertaken by UCAS (2012). The Russell Group is a group of 24 UK universities defining themselves as world-class, research-intensive universities. Statement number 4: WonkHE article (2016) takes a sector-wide perspective focussing on the accuracy of predicted grades and the impact on students from disadvantaged groups. Figure 1.5 is typical of the rich pictures provided in Checkland’s work, showing the flow of information around what is currently a computer-based Information System. The rich picture relates this system to the action of three of the stakeholders; the Applicant, the University Admissions Tutor; and the Teacher. The inclusion of ‘eyes’ represents perspectives 2, 3 and 4 from Fig. 1.4. The aims of the system, as specified by UCAS (Universities and Colleges Admissions Service) have been included in Fig. 1.4. These aims are similar to examples provided by Checkland; it may well be impossible to achieve all of them simultaneously. If this example was a research project, the data would not be arbitrarily drawn from different years, unless undertaking a longitudinal study. In that case there would be a rationale for data selection. However, in order to provide a suitable example for readers, we made a rapid search to identify different perspectives.

Fig. 1.5  Rich picture of HE admission system

HE Admission System, Activity 1.2: Modelling

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HE Admission System, Activity 1.2: Modelling The symbol of an eye in Fig. 1.5 is indicative of a perspective, in this example the views of three types of stakeholder have been taken into account. There will be other perspectives, for example the views of the teacher from a school have not been considered. For each perspective a CATWOE must be created. The HE Admissions System is run by UCAS so they are arguably the prime, and therefore first-listed, Owner. However, any decision to change the system would involve the Office for Students, currently the independent regulator for higher education in England, and the UK Department for Education. The ultimate power is likely to rest with the Department for Education given that any change to the HE Admission System would impact upon schools as well as universities. The CATWOEs of stakeholders 2, 3 and 4 are presented in Figs. 1.6, 1.7 and 1.8. As suggested in the Activity 1.2: Modelling section of this chapter, the process begins with the identification of the three human components, the Customer, the Owner and the Actor. The summary of the chosen stakeholder’s perspective provides the Worldview and the Environment. These may be the same for each set of respondents/stakeholders, but it is more likely that the Worldview will differ. The reader is reminded that Checkland (1981, p. 319) defines ‘Worldview’ as the “image or model of the world that makes this particular human activity system, with its particular transformation process, a meaningful one to consider”. This definition can be used to derive the Transformation from the Worldview. Having completed all the elements of CATWOE, the ‘root definition’ is formed as follows: An Owner responsibility to work with Actor(s) to [insert verbs] the Customer by making the Transformation in an Environment where [describe environment].

CATWOE: Destination of choice (Stakeholder 2 Applicants) Definition Customer: Applicant the victim or beneficiary of the system Actor: UCAS, Admissions Tutor, School Teacher, those who can realise the University transformation Transformation: To convert an applicant into a student on the the conversion of input to output course/university of their choice, with minimum stress World view: A belief that admission is an unfair, stressful and the worldview (Weltanschauung) that uncertain process culminating in a messy makes the transformation meaningful clearing system for many applicants Owner: UCAS, Office for Students, UK Department for those with the power to stop the Education. transformation Environment: Pre-qualification application with predicted In this example we describe the grades to 5 universities; conditional offers made current environment and accepted/rejected; rushed clearing system for unsuccessful applicants. Root Definition: A UCAS responsibility to work with universities, admission tutors and teachers to convert an applicant into a student on the course/university of their choice, with minimum stress in a pre-qualification application environment.

Fig. 1.6  Applicant view

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CATWOE: Pick of the bunch (Stakeholder 3 Russell Group) Customer: Russell Group University, Applicant Actor: Admissions Tutor, University, Teacher Transformation: To convert suitable applicants into students at the University. World view: A belief that the admission system should allow the Admission Tutor to fairly and thoroughly assess applicants in order to select the most suitable applicants and provide them with enough information to make an informed decision to accept or reject an offer of a place Owner: UCAS, Office for Students, UK Department for Education Environment: Pre-qualification application with predicted grades to 5 universities; conditional offers made and accepted/rejected; rushed clearing system for unsuccessful applicants. Root Definition: A UCAS responsibility to work with universities, admission tutors and teachers to enable some universities to select appropriate applicants and ensure applicants make an informed decision to accept the offer in a pre-qualification application environment.

Fig. 1.7  Russell group view CATWOE: Barriers to entry (Stakeholder 2 Sector-wide) Customer: Applicant, society Actor: Admissions Tutor, University, School, Teacher Transformation: To increase the proportion of applicants from disadvantaged backgrounds applying to high tariff universities. World view: A belief that the Admission System should increase applicant choice by eliminating prediction of grades and enabling applicants from disadvantaged backgrounds to apply to high tariff universities Owner: UCAS, Office for Students, UK Department for Education Environment: Post-qualification application system avoiding need for predicted grades and clearing Root Definition: A UCAS responsibility to work with universities, schools, admission tutors and teachers to enable more applicants from disadvantaged backgrounds to apply to high tariff universities, by eliminating predicted grades in a post-qualification application environment.

Fig. 1.8  Sector-wide view

The current environment is described in Figs. 1.6 and 1.7 and a changed environment is described in Fig. 1.8. The applicants’ view describes the applicants’ perception in the current situation. The Russell Group’s view is that the current situation should be maintained and thus they are also describing the current environment. In contrast, the sector view demands a change to the pre-qualification system and therefore the proposed environment has been described.

 E Admission System, Activity 1.3: Using Models H to Structure Debate Having drawn a rich picture and used it to produce a number of CATWOE tables, the next step is to undertake the other two activities in SSM. The models are compared with the real world. There are two obvious ways to change the Admissions System, one requires minor amendments and the other demands major modifications. The minor amendments route would demand that examinations are taken a

Conclusion

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little earlier in the year, that exams scripts are processed more quickly, and that results are therefore published earlier. It is unlikely that this alternative would give sufficient time for the whole admission process to operate. In contrast, the major modification route would demand that the schedule for either school terms or university terms must change. Changing the schedule for either would have significant consequences for the operation of that sector and rescheduling is therefore very unlikely to be accepted by either sector.

 E Admission System, Activity 1.4: Action to Improve H the Situation. The reader may remember that at the beginning of this Higher Education Admission System example, we suggested it was helpful to try and pick a problem situation that is not too wide-ranging. Unfortunately, even though at the outset, this example appeared to be focussed, it did not fit well into this category. This example provides a warning of how difficult it is to choose a sufficiently narrow situation. Action can only be taken by the owner, and in this example, there are several owners. Wholesale changes to term dates of educational establishments would be likely to be enmeshed in questions of cultural and political feasibility. It is, however, possible that should the decision be made to achieve one of the objectives discussed above, for example to encourage disadvantaged students to apply to high tariff universities, then a solution might be achieved by means other than rescheduling.

Conclusion In this opening chapter, the history of systems thinking is described, and the terms and concepts associated with it are presented. In any social research situation using SSM, one should choose a ‘problem situation’ rather than specify a problem. This nomenclature recognises that in a social situation the observers and participants in any setting will have different perspectives, probably different agendas, and therefore different ‘Worldviews’. A number of examples of systems have been provided to illustrate the systemic nature of technical artefacts, natural objects and human activity systems. Checkland’s SSM has been widely applied within Information Systems, and modified by Checkland over the years (Checkland, 1981; Checkland & Scholes, 1990). In this chapter the most recent four activity model has been described (Checkland & Poulter, 2006). We show, using an example of rich pictures and the mnemonic CATWOE, how this approach leads to the identification of the transformation that the stakeholders in question wish to achieve. While SSM was designed as an action research strategy, in the Practicum Study research, elements of SSM will be applied as part of an alternative explanatory

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research strategy, entitled Worldview, Metaphor and the Power of Social Objects (Womposo). This research strategy is described in Chap. 4. Only Activities 1and 2 of the four activities of SSM, will be applied. As we are accepting the underpinning ontology and epistemology of Critical Realism (Bhaskar, 1975, 1979), the assumption is that the ‘real world’ is systemic, that both the natural world and the social world are systemic, an assumption that Checkland denies. Not every situation will be a system, because boundaries can be difficult to identify, but nevertheless our Womposo research strategy is based on the assumption that the world is stratified with emergent features. The reader is now advised to read Chaps. 2 and 3 in which Critical Realism will be explained prior to reading the Practicum Study, in Chaps. 5 to 10.

References Ackoff, R. L. (1979). The future of operational research is past. The Journal of the Operational Research Society, 30(2), 93–104. Ackoff, R. S., & Emery, F. E. (1972). On purposeful systems: An interdisciplinary analysis of individual and social behaviour as a system of purposeful events. Aldine Transaction. Ackoff, R.  L., & Gharajedaghi, J. (1996). Reflections on systems and their model. Systems Research, 13(1), 13–23. Beer, S. (1959). Cybernetics and management. English Universities Press. Beer, S. (1972). Brain of the firm: The managerial cybernetics of organisations. Wiley. Beer, S. (1979). The heart of the enterprise. Wiley. Beynon-Davies, P. (2002). Information systems: An introduction to informatics in organisation. Palgrave Macmillan. Bhaskar, R. (1975). A realist theory of science. Harvester. Bhaskar, R. (1979). The possibility of naturalism. Harvester. Brocklesby, J., & Mingers, J. (2005). The use of the concept of autopoiesis in the theory of viable systems. Systems Research and Behavioral Science, 22(1), 3–9. Burrell, G., & Morgan, G. (2006). Sociological paradigms and organisational analysis: Elements of the sociology of corporate life. Routledge. (Original work published 1979). Capra, F., & Luisi, P.  L. (2014). The systems view of life: A unifying vision. Cambridge University Press. Checkland, P. B. (1978). The origins and nature of ‘hard’ systems thinking. Journal of Applied Systems Analysis, 5(2), 99–110. Checkland, P. B. (1981). Systems thinking, systems practice. Wiley. Checkland, P. B. (1983). O.R. and the systems movement: Mappings and conflicts. Journal of the Operational Research Society, 34(8), 661–675. Checkland, P. B. (1985). Achieving ‘desirable and feasible’ change: An application of soft systems methodology. Journal of the Operational Research Society, 36(9), 821–831. Checkland, P. B. (1989). Soft systems methodology. In J. Rosenhead (Ed.), Rational analysis for a problematic world: Problem structuring methods for complexity, uncertainty and conflict (pp. 71–100). Wiley. Checkland, P. B. (2000). Soft systems methodology: A thirty-year retrospective. Systems Research and Behavioral Science, 17(S1), S11–S58. Checkland, P. B. (2010). Researching real-life: Reflections on 30 years of action research. Systems Research and Behavioral Science, 27, 129–132. Published online in Wiley InterScience (www. interscience.wiley.com). https://doi.org/10.1002/sres.1019

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Checkland, P.  B. (2011). Systems thinking and soft systems methodology. In R.  D. Galliers & W.  L. Currie (Eds.), The Oxford handbook of management information systems: Critical perspectives and new directions. Oxford University Press. https://doi.org/10.1093/oxfor dhb/9780199580583.003.0006 Checkland, P. B., & Holwell, S. (1998). Information, systems and information systems: Making sense of the field. Wiley. Checkland, P. B., & Jenkins, G. M. (1974). Learning by doing: Systems education at Lancaster University. Journal of Systems Engineering, 4(1), 40–51. Checkland, P. B., & Poulter, J. (2006). Learning for action: A short definitive account of soft systems methodology and its used for practitioner, teachers and students. Wiley. Checkland, P. B., & Scholes, J. (1990). Soft systems methodology in action. Wiley. Cohen, M. D., & March, J. G. (1974). Leadership and ambiguity: The American college president. McGraw Hill. Cottingham, J. (2008). How to read descartes. Granta Publications. Dilthey, W. (1907/1989). Introduction to the human sciences. Princeton University Press. (Original work published 1907). Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Flood, R. L. (1999). Rethinking the fifth discipline: Learning within the unknowable. Routledge. Gorelik, G. (1975). Re-emergence of Bogdanov’s tektology in Soviet studies of organizations. Academy of Management Journal, 18(2), 345–356. Grayling, A. C. (2005). Descartes: The life of Rene Descartes and its place in his times. Simon and Schuster UK Ltd.. Guerrero, R., & Berlinga, M. (2015). From the cell to the ecosystem: The physiological evolution of symbiosis. Evolutionary Biology, 43, 543–552. Hunt, S. (2016, December 8). It’s time to introduce post-qualification admissions. WonkHE.  Retrieved from https://wonkhe.com/blogs/its-­time-­to-­introduce-­post-­qualification-­ admissions/ Jackson, M. C. (1991). The origin and nature of critical systems thinking. Systems Practice, 4(2), 131–149. Jackson, M. C. (2009). Fifty years of systems thinking for management. Journal of the Operational Research Society., 60(S1), S24–S32. Jackson, M. C. (2019). Critical systems thinking and the management of complexity: Responsible leadership for a complex world. Wiley. Longo, G., Montévil, M., Sonnenschein, C., & Soto, A. M. (2015). In search of principles for a theory of organisms. Journal of Biosciences, 40(5), 955–968. Maturana, H. R., & Varela, F. J. (1980). Autopoiesis and cognition: The realization of the living. Reidel Publishing Company. McVitty, D. (2019, January 14). A beginner’s guide to post-­ qualification admissions. WonkHE. Retrieved from https://wonkhe.com/blogs/a-­beginners-­guide-­ to-­post-­qualification-­admissions/ Mingers, J. (2000). An idea ahead of its time: The history and development of soft systems methodology. Systemic Practice and Action Research, 13(6), 733–755. Mingers, J. (2000b). The contribution of critical realism as an underpinning philosophy for OR/ MS and systems. Journal of the Operational Research Society, 51(11), 1256–1270. https://doi. org/10.1057/palgrave.jors.2601033 Mingers, J. (2004). Paradigm wars: Ceasefire announced who will set up the new administration? Journal of Information Technology, 19(3), 165–171. Mingers, J. (2016). Systems thinking, critical realism and philosophy: A confluence of ideas. Routledge. Mumford, S. (2012). Metaphysics: A very short introduction. Oxford University Press. Rittel, H. W. J., & Webber, M. M. (1973). Planning problems are wicked problems. In N. Cross (Ed.), Developments in design methodology (pp. 135–144). Wiley. Retrieved from http://cec.

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prodwebb.lu.se/sites/cec.prodwebb.lu.se/files/rittel_and_webber_1973_planning_problems_ are_wicked_problems.pdf Rosenhead, J. (1989). Introduction: Old and new paradigms of analysis. In J. Rosenhead (Ed.), Rational analysis for a problematic world: Problem structuring methods for complexity, uncertainty and conflict (pp. 1–20). Wiley. Russell Group. (2012). Response to UCAS admissions process review consultation. Retrieved from https://russellgroup.ac.uk/policy/policy-­documents/ucas-­admissions-­process-­review-­ consultation/ Schön, D. A. (1995). The reflective practitioner: How professionals think in action. Arena. Smyth, D. S., & Checkland, P. B. (1976). Using a systems approach: The structure of root definitions. Journal of Applied Systems Analysis, 5(1), 75–83. University and Colleges Admission Service (UCAS). (2012). Admission process review. Retrieved from https://www.ucas.com/about-­us/policies/our-­work-­policy-­community/ucas-­consultations von Bertalanffy, L. (1950). An outline of general systems theory. The British Journal for the Philosophy of Science, 1(2), 134–165. Wiener, N. (1950). Cybernetics. Bulletin of the American Academy of Arts and Sciences, 3(7), 2–4. Wilson, B. (2001).Soft systems methodology: Conceptual model building and its contribution. Wiley. Zexian, Y., & Xuhui, Y. (2010). A revolution in the field of systems thinking—a review of Checkland's system thinking. Systems Research and Behavioral Science. The Official Journal of the International Federation for Systems Research, 27(2), 140–155.

Chapter 2

Critical Realism as an Underpinning Philosophy

Abstract  This chapter defines and explains the terms ontology and epistemology, discusses the development of the scientific method and the nature of causation. It introduces critical realism and its relationship to systems thinking. The suppositions of the regularity theory are that cause and effect are governed by universal laws. In contrast, critical realism asserts that it is entities that have causal powers. Induction, deduction and retroduction are described, emphasising the difference between the terms and their relevance. The originator of critical realism, Roy Bhaskar, maintained that while objects are mind-independent, our observation of events is theory-­ laden. Bhaskar posits a stratified ontology consisting of three domains, the real, the actual and the empirical. The epistemic fallacy is explained in relation to the existence of the real domain. It is not possible to know everything, critical realism accepts that there are unknown unknowns. Throughout these complex ontological and epistemological arguments, multiple examples are provided to assist one’s understanding. This chapter aims to convince the reader that stepping into the paddling pool of ontology and epistemology is worthwhile and serves to provide a sturdy foundation on which to build a research project. Keywords  Causal powers · Covering law · Epistemic fallacy · Epistemological/ ontological spectrum · Mechanisms · Mind-independent · Parts and wholes · Regularity theory · Retroduction · Stratification

Introduction This chapter explains why one needs an underpinning philosophy for a research project and presents the rationale for selecting one. The chapter begins by defining and elaborating the terms ontology and epistemology and then discusses the development of the scientific method and the nature of causation. Next, it introduces the basic concepts of critical realism and touches on the relationship between systems thinking and critical realism. Bhaskar (1975) proposed the philosophy of critical realism, accepting that objects exist in reality, but positing that our perception of those objects is theory laden. Critical realism holds that objects themselves have © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_2

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causal powers or mechanisms as opposed to the previous suppositions of the Regularity Theory that universal laws govern cause and effect (ibid). Critical realism also holds that the world can be described by three layers: the real; the actual; and the empirical. Examples to clarify this stratification are presented later in this chapter. After describing the epistemic fallacy and explaining the difference between induction, deduction and retroduction, the nature of causal powers in open and closed systems is discussed. Finally, the nature of ordinary objects is explored, together with the concept of stratification, of parts and wholes and the concept of emergence.

The Need for an Underpinning Philosophy Many novice researchers query the need for an underpinning philosophy for their research. Their doubt is often due to a lack of understanding of the relevance of ontology plus difficulty grasping the complex explanations in research methods textbooks. Even more seasoned researchers will question the need for an underpinning philosophy. Mingers (2002) and Ormerod (2002) entered into a discussion about an article written by Mingers (2000) in the Journal of the Operational Research Society (Vol 53(3)). During the dialogue Mingers (2002, p. 351) states that Ormerod gives “the impression that philosophising is a bit of a luxury that academics allow themselves”. Mingers makes the case that it is certainly not a luxury; it is essential in order for researchers to be explicit about the nature of the world. Without this transparency, they will be making decisions, and taking action, on the basis of implicit views and theories. The tennis rally between Mingers and Ormerod makes interesting reading for those wishing to follow the argument. By the end of this chapter, the reader should be convinced that stepping into the ‘paddling pool’ of ontology and epistemology is worthwhile. In this chapter, ontology and epistemology are introduced in a structured manner, with the intention that the early researcher will be able to follow the argument. However, it is inevitable that any succinct, coherent explanation will imply that one should begin at the beginning and start one’s research by laying, on the table, all the assumptions that one holds about the world. In other words, researchers will describe the ontology that they admit to their conceptual arsenal, their perception of reality, and then choose their epistemology, how they believe one can ‘know’ or ‘find out’ about the world. Having completed this stage, the researcher will identify a research topic, define a suitable methodology, determine the data collection tools and associated analytical techniques. However, research, like life, is a messy business and even the most organised among us rarely undertake a research project along such constrained tracks.

The Ontological and Epistemological Spectrum

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The Importance of Ontology and Epistemology This section begins by explaining the meaning and purpose of the two terms, ontology and epistemology, and then provides an overview of the range of ontologies and epistemologies to be found in research methods texts and philosophical treatises. In order to introduce critical realism as the ontology of choice, the growth of the scientific method will be explored. This exploration affords us an historical perspective on the formation of critical realism and provides the backdrop to the ontologies and epistemologies currently in use. Initially, science developed within the framework of philosophy and many of the early scientists were philosophers who began to explore the world empirically. The boundary between the new discipline of science and the well-established discipline of metaphysics was initially fuzzy. Metaphysics is that branch of philosophy that studies the nature of reality. At the time that Descartes began to undertake experiments, he still believed that rational argument was more powerful than empirical evidence (Cottingham, 2008). This early view of science as a means to add to the existing understanding of the world, as expressed in metaphysics, was known as the ‘master-builder’ view (Benton & Craib, 2011, p. 1). However, it has been replaced by the ‘under-labourer’ view, the belief that the main role of philosophy is to bring to the surface unacknowledged, and maybe unrecognised, prejudices and assumptions. The following metaphor aims to elucidate the ‘under-labourer’ view. If one wishes to build a new house, one will have views on the size, the functionality and the layout and normally will appoint an architect to design the building. If the house is to be stable, there will be excavation in order to construct foundations. Once the house has been built, the foundations are invisible, they are below ground. The owner will, however, have confidence that the house has a firm footing. Our underpinning ontology and epistemology serve the same function; they are the foundations for our research project. Whether we are building a bungalow or a skyscraper, we need to select the appropriate foundation for our building. Without this sturdy foundation, we cannot be confident of a sound footing and consequently we may doubt the robustness of the erected building.

The Ontological and Epistemological Spectrum Ontology is the term for our beliefs about the ‘nature of being’ or ‘what there is’. Many research texts present diagrams indicating the range of ontologies and epistemologies and their relationship (Condie, 2012; Saunders et al., 2009; O’Gorman & MacIntosh, 2017). Figure 2.1 presents our view of the extreme positions of ontology: realism versus relativism/idealism. Most people are realists, they accept as self-evident that presenting conditions experienced in the world are just ‘there’. This belief is usually captured by stating that objects are ‘mind-independent’, they are wholly independent of our thought or representation. Concrete objects exist and do not require humans to see or sense them, to make them appear. We judge this

38 Ontology: what can we know? Realism Social and natural reality exists

2  Critical Realism as an Underpinning Philosophy

Critical realism Stratified Causal powers

Epistemology: how can we know it? Positivism Critical realism Objective

Mind-independent but value-laden

Relativism/Idealism Reality derived from human cognitive process Social Constructivism Subjective

Fig. 2.1  The spectrum of ontology and epistemology

concrete reality, partly, by noting a degree of continuity. When we see a tree on the side of a street each day, we assume that it is always there, even when we are not observing it. Should the tree suddenly disappear, we would look for an explanation for its disappearance. If the tree persisted in appearing and disappearing, we would seek an explanation, possibly following confusion and concern. Relativism, sometimes termed idealism, is the extreme opposite of realism; in this view one believes that objects of knowledge are dependent on the activity of the mind, or the way that one thinks about or represents the world. Research draws on epistemology to a much greater extent than it draws on ontology. As epistemology addresses the question ‘How can we know anything?’, it is an obvious the launching point for research. In the next section of this chapter, the positivist epistemology as applied in science is explored. This epistemology is seen by many as the paradigm for repeatable, verifiable and reliable research. Edwards et al. (2014) see the two extremes of the epistemological spectrum as positivism and constructionism. Critical realism sits midway between the extremes of the epistemological spectrum, holding that objects are ‘mind-independent’ yet ‘value laden’.

The Growth of the Scientific Method Prior to the advent of modern science, humankind’s understanding of the world was based on experience, together with religious and mystical beliefs. Metaphysics provided explanations of reality as described by philosophers. Once the empirical method was introduced to study of the world, this experimental line of attack gained a foothold and was seen as an objective way of determining the truth, a way that was repeatable and thus verifiable. Hence the positivist paradigm was born. Using the metaphor of ‘birth’ implies a sudden emergence and it is unlikely that the scientific process developed in this manner. Our forebears, for example Galileo and Newton in the seventeenth century, began to undertake experiments under early laboratory conditions. The key principle of the paradigm is the holding constant of certain variables while other selected variables are changed, to determine whether there is a relationship between the variables. Data regarding the experiment is logged, thus enabling other scientists to repeat the experiment under similar conditions. The

The Nature of Causation

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consequence of the empirical method is the development of theory or laws that allow us to describe and predict events. Theories, in turn, can lead to the generation of further hypotheses and associated experimentation. At this point, it becomes clearer to perceive how the empirical paradigm develops. The paradigm aims to obtain a model for causation in order either to make a decision, on the basis of a prediction, or to better understand the world. Hempel (1942, 1968) explores the rationale for scientific research stating that there are two human motivations, firstly the need to control events by making accurate predictions and secondly our “insatiable intellectual curiosity” (ibid, 1968, p. 54). Scientific discoveries, generated by our curiosity, have not only generated the laws of physics but have allowed us to invent many technologies beneficial to humanity, enabling us to exert greater control over our lives. These discoveries often arise from our desire for explanation rather than prediction.

The Nature of Causation Researchers, whether in physics, chemistry or the social sciences, are seeking to comprehend causation and the relationship between different events. There is an interesting history to the causation debate, and much is owed to Hume’s (1774) discussion in his ‘Treatise on Human Nature’ written in the middle of the eighteenth century. Hume’s argument (Griffiths, 2011, treatise I, part 6) is that when E follows C, we are seeing ‘conjunction’, but we are not seeing ‘connection’. The connection between two events is never visible. If a cup falls from the table, then smashes on the floor, we cannot perceive the mechanism that causes it to break. If falling cups break on a regular basis, we infer a cause; in this case, hitting the floor. We accept the cause, even though the cup does not always break upon hitting the floor. Hume claims that this interpretation of a sequence of events as being causal, is a result of habit. There are many examples of regularity in daily life, for example we may alight from a bus each morning just as a café is opening. This event is an instance of regularity. We recognise that the arrival of the bus is unlikely to trigger or cause the café to open. Nevertheless, there are many occasions when C precedes E and we do infer causation, ascribing power to the first or causal event. We cannot use deduction, the argument that something is necessary or logical, to prove that what has happened in the past will happen in the future. Instead, we must use induction, the generalisation, from several instances, that something will always happen. To return to the scientific method and empirical work within the sciences, Hempel (1942) formalised the ‘Humean’ view (the view of Hume). He described this view as Regularity Theory and also presented it as the deductive-nomological explanation. This explanation expresses physical laws, or rules of reasoning, and Hempel (ibid) ascribes this explanation to John Dewey (Fig. 2.2). These universal laws (L1, L2…..Lk) have become known as the ‘covering law’ or the Regularity Theory, whereby a particular cause or set of causes (C1,C2…Ck) always give rise to the same effect (E). This proposal for universal laws does,

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2  Critical Realism as an Underpinning Philosophy

Proposition 1:

There are particular facts C1 ,C2…Ck

Proposition 2:

There are uniformities described by laws L1, L2…..Lk

Conclusion:

Effect E (explenandum-event)

If Proposition 1 is true and Proposition 2 is true then Conclusion follows

Fig. 2.2  The deductive-nomological explanation

however, have weaknesses. The Regularity Theory does not explain causation and therefore does not satisfy our desire for explanation. Additionally, we discover from empirical evidence, that there are few, if any, exceptionless regularities (Elder-Vass, 2010). “There appear to be very few spontaneously occurring systems wherein constant conjunctions of events occur in the natural world, and virtually none in the social world.” (Fleetwood, 2001, p. 208).

The Practicum Study Narrative The Practicum Study, described in Chaps. 5, 6, 7, 8, 9, 10, and 11, began life as a study constructed on the premise that contextual factors are important in determining the likely effect of any new policy. This proposition recognises the multiple forms of interaction between causal factors within a complex situation, often leading to unintended consequences and bringing to mind ‘systems thinking’ (Beer, 1972; von Bertalanffy, 1950) and Soft Systems Methodology (Checkland, 1981; Checkland & Scholes, 1990). The researcher’s early reading indicates that systems thinking has arisen and grown in a number of different disciplines, gaining verification and prestige along the way, especially from its application in the sciences (Capra & Luisi, 2014). The history of systems thinking was explored in the last chapter and, following up threads within the literature on the application of systems thinking, reveals Minger’s (2014) text ‘Systems thinking, critical realism and philosophy’. This book is an invaluable source as it surveys and exposes the overlap between systems thinking and critical realism, demonstrating that they have a remarkable number of common features. For the researcher, this source (ibid) behaved like the ‘wardrobe’ between the real world and Narnia in Lewis’s (1950) ‘The lion, the witch and the wardrobe’. It provided the gateway from systems thinking into another world, that of critical realism. Some research methods textbooks (Easterby-Smith et al., 2008; Saunders et al., 2009) suggest that researchers should build their research on a sound ontological and epistemological base. However, there appear to be many more textbooks that do not address ontology and epistemology at all (Bell, 1987; Silverman, 2000; Blaxter et  al., 1996). From a sound ontological and epistemological base, one can make decisions on the research method to select through logical choices, determined by the assumptions that align with the chosen ontology. Chapter 7 will present the Stepping-Stones model, our adaptation of the Research Onion model of Saunders

The Origin of Critical Realism

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et al. (2009), as we propose a research approach to be applied within the Practicum Study. Regardless of the research literature consulted, most inexperienced researchers begin, mired in the subject matter that they wish to explore, holding vague ideas that can barely be called assumptions. Upon reading research methodology textbooks, they search for the right ingredients to enable them to ‘cook the dish’ that they have in mind. This approach portrays the authors’ early attempts and reflects the approach of many student projects supervised by the authors. This description is not a criticism of the novice researcher, it is recognition that it takes a significant amount of ‘reading around the subject’ of alternative ontologies, to understand the vocabulary, comprehend the arguments, and relate them to the practical research activities. We did not commence this Practicum Study with the intention of adopting critical realism and then step along a clear path to the conclusion, nor did we use a recipe with a ‘pick and mix’ ingredients approach. Instead, we had a strong conjectural base, grounded in a long-term familiarity with systems thinking in the Information Systems field, and this prior knowledge informed the methodology of the Practicum Study. By happy coincidence, and assiduous perusing, we found an ontology that contains elements of systems thinking. Mingers (2014) makes a strong case for the alignment of critical realism with systems thinking and focuses on its use in the social sciences. He also opens the way to a number of other writers who have noted the similarity between critical realism and systems thinking (Elder-Vass, 2010; Archer et al., 1998) and introduces the reader to the originator of critical realism, Roy Bhaskar (1975, 1979).

The Origin of Critical Realism It is unusual for a philosophical stance to be generated entirely by one person, but this is the case with critical realism. Roy Bhaskar, who died in 2014, committed his thoughts on critical realism to paper in his two early books: ‘A Realist Theory of Science’ (1975) and ‘The Possibility of Naturalism’ (1979). His ideas were stimulated by Harré and Madden’s (1975) views on causal powers, and Mary Hesse’s (1974) work on models and analogies in science. There are more interpreters than critics of Bhaskar’s ontology. Margaret Archer in her edited compendium (Archer et al., 1998) pulls together work of the main commentators on critical realism: Benton, Collier, Outhwaite, Porpora and Manicus. Bhaskar’s later work on dialectic takes a new-age religion turn; we will only consider his two early books and their elucidation from other writers. Bhaskar’s work is not always easy to comprehend, some chapters demand a significant knowledge of philosophy as a starting point, so the reader is encouraged to begin with other authors such as Benton (1998), Mingers (2006, 2014), Baert (2005) and Niiniluoto (1999) before attempting to read Bhaskar himself. Edwards et al. (2014) provide a clear, succinct summary in the first chapter of a compendium on critical realism. Parts of Bhaskar’s texts are

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Mechanisms Ontology Proof

2  Critical Realism as an Underpinning Philosophy Realism Covering law Mind-independent Can be proved

Critical Realism Causal powers Mind-independent but value-laden Proof is fallible

Fig. 2.3  Realism v critical realism

comprehensible, but his esoteric language and assumptions of the reader’s prior knowledge make perseverance with his books difficult. Regularity Theory is considered by many to be an inadequate or impoverished explanation of causation (Mingers, 2014). We, therefore, need to identify an alternative. Groff (2017) identifies two categories of thought about causation, one she terms ‘passivist’ and the other ‘anti-passivist’ or productive. The first category, the ‘passivist’ includes Regularity Theory, contending that there is an order or patterns to events, a common contingency that leads one to infer that if B commonly follows A, then A must cause B.  The second category, the ‘anti-passivist’, or productive category, includes critical realists such as Harré and Madden (1975), Bhaskar (1975) and Mumford (2008), who instead presume that things possess, and exhibit, causal powers. It is now possible to see the difference between realists and critical realists. While realists acknowledge that concrete things are mind-independent, critical realists hold that while things are mind-independent our observation of events is nevertheless theory-laden. Bhaskar’s critical realist ontology provides explanation, clarifies the need for an hypothesis, and is intuitively convincing as the way that humans solve problems. Figure 2.3 lists the key differences between realism and critical realism.

Domains and Causal Powers There are two aspects of Bhaskar’s (1975, 1979) critical realism to consider. Firstly, the difference between open and closed systems and secondly, the existence of three domains. Bhaskar critiques the empirical methods of science on the basis that they test ‘closed’ systems in the laboratory. He asserts that natural mechanisms that work in the laboratory situation must nevertheless act when in an ‘open’ system in the world, even though these mechanisms do not result in a constant conjunction of events. This deduction leads Bhaskar to propose an ontology where things have ‘mechanisms’ or powers that exist in the actual world but cannot be discerned directly by humans. This proposal essentially accepts Hume’s assertion that the causal connection is never visible. The causal power concept was derived by Harré and Madden (1975, p. 86) who state that “X has the power to …. do A.…. in the appropriate conditions, in virtue of its intrinsic nature”. Secondly, Bhaskar’s model of critical realism includes the existence of three domains. These are illustrated in Fig. 2.4. Within Bhaskar’s ‘real’ domain are the mechanisms of causation that are hidden from us; within the ‘actual’ domain are the events that are generated by the

The Epistemic Fallacy

Empirical domain: observations or measurements of actual events and, in some situations, underlying structures or mechanisms

43 mechanisms

Actual domain: events resulting from various real powers and liabilities in specific initial conditions Real domain: generative structures or causal mechanisms

X

events

experiences X

X

X

X

X

Fig. 2.4  Bhaskar’s real, actual and empirical domains

mechanisms; and in the ‘empirical’ domain is the testing of suppositions in a closed setting. Closed settings are difficult to maintain in the social sciences and drawing boundaries is even more difficult than in the sciences. Figure 2.4 illustrates Bhaskar’s hierarchical or stratified ontology, with three layers. To comprehend the difference between the real and actual domain, imagine describing a certain flightless bird, the dodo. Although the dodo is now extinct, we would all agree that it is a ‘real’ bird even if it is not an ‘empirical’ bird that humans can observe today. In order for us to experiment on a living dodo we would need an ‘empirical’ bird so that it can be studied. A ‘real’ object is an object that could exist, that may not yet exist or may no longer exist. The dodo was an ‘actual’ object because it did exist in space and time. Let us take the earlier example of the falling cup. The cup falls in the actual world, and we could test the result of this fall in the empirical world by dropping the same type of cup onto different floor coverings, or by dropping different types of cup onto the same floor. The cup could drop onto the floor in the actual world even if no-one is observing at the time, providing some entity exerts a power on it. This entity could be a cat or an earthquake. Bhaskar’s ontology accommodates a range of possibilities, causal powers emerge as new entities are formed from existing entities. Causal powers explain situations that change: ‘morphogenetic’. They also explain situations where things remain constant: ‘morphostatic’. Particular causes can explain how an entity maintains its stability (Elder-Vass, 2010). The concepts of ‘morphogenetic’ and ‘morphostatic’ causes are explored further in Chap. 3.

The Epistemic Fallacy One might ask what evidence does Bhaskar have for his classification of the three domains. Bhaskar would say that this query is a nonsensensical question as it involves the epistemic fallacy. Let us consider a frequently quoted example of the

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2  Critical Realism as an Underpinning Philosophy

Fig. 2.5  The epistemic fallacy

Proposition 1: All swans are white. Proposition 2: This bird is black Conclusion: This bird is not a swan

epistemic fallacy and then discuss what this example implies for our acceptance of critical realism as a valid model. Prior to the settlement of Australia and the identification of the black version of the swan, someone noticing a large black bird with a long neck might well have denied that this could be a swan. They would have used the argument documented in Fig. 2.5. Since our knowledge of swans has changed since that date, we know that the first premise ‘All swans are white’ is incorrect. This situation is an example of the epistemic fallacy. The ontological situation, the ‘real’ world, contains black swans and white swans. Initially, we knew about white swans, that was our epistemological state. By assuming that what we ‘know about’ is the truth, we were extending an epistemic statement and making it into an ontological statement. It is not possible to know everything. This is the epistemic fallacy. The final statement ‘This bird is not a swan’ is the result of our confusion between ontology and epistemology. When, prior to the identification of black swans in Australia, we said that this bird is not a swan, we took it as a statement of reality, it was an ontological statement. Now, we realise that it was an epistemic statement as it reflected our state of knowledge at the time. Bhaskar uses this philosophical loophole to posit a ‘real’ world that is ontologically established, but cannot be known. Thus, he says, there have to be mechanisms that we cannot know about. A more recent example of the epistemic fallacy is former US Secretary of Defense, Donald Rumfeld’s statement: Reports that say that something hasn’t happened are always interesting to me, because as we know, there are known knowns; there are things we know we know. We also know there are known unknowns; that is to say we know there are some things we do not know. But there are also unknown unknowns – the ones we don’t know we don’t know. (Rumsfeld, 2002)

Accepting the existence of ‘unknown unknowns’ is essentially acknowledging that a ‘real’ domain exists. This ‘real’ domain is in our ontology, but we know nothing about it. Bhaskar formulates conjectures about the ‘real’ domain from our knowledge of the ‘actual’ domain.

Real, Actual and Empirical Powers In the ‘empirical’ world, mechanisms can be experienced, tested and measured. A cup could be dropped onto different floor surfaces. The ‘causal power’ is in the two entities, the cup and the floor, not in the ‘hitting the floor’ event. One expects the result of the cup hitting a tiled floor to be different from a cup hitting a carpet. This is why we talk of ‘unforgiving’ floors, like tiles. An ontology where objects have

Real, Actual and Empirical Powers

45

causal powers helps to explain why laws are not universal but depend on the nature of the objects involved. A strong wind will blow down tree A, but not tree B. While the wind is powerful, tree B has the strength (power) to withstand the wind, whereas tree A may be older and weaker and less able to withstand the power of the wind. Causal powers provide clearer explanations. We can understand why a particular knife will cut butter, and yet it will not cut steak. The cutting event depends upon both the nature of the knife and the nature of the substance being cut. In the three examples above, cups and floors, trees and wind, knives and steak, the interactions involve two objects, each with causal powers. The fact that materials have causal powers enables the development of new technologies. In utilising these powers, it is assumed that, although the power has been detected and tested in a closed system, that is in an experimental situation, the causal power still holds in an open system. An example would be the use of plastic. A poor electrical conductor, and thus a good insulator, is used in various technologies such as plastic plugs (Benton & Craib, 2011). Another example of a real causal power is the power of clay. Clay is a material with the causal power of ‘impinging on the shapes’ that it can produce (Baert, 2005, p. 97). Clay has the malleability to produce a shape. Causal powers, also called mechanisms, are in Bhaskar’s real domain, meaning that they exist but may, or may not, be realized (Benton, 1998). Cook and Campbell (as cited in Guba & Lincoln, 1982, p. 241) state that it is the fact that these powers exist outside the human mind that makes critical realism a realist perspective. The causal powers of an object are always there, they are ‘real’ but their effect is not predictable, because it is contingent upon the context and the other causal powers being exhibited at the time (Sayer, 1992) as illustrated in the tiger example in Fig. 2.6. An extreme positivist epistemology assumes that certain variables can be kept constant, and a small number can be changed to judge which factors are related, to determine the cause and effect.

Taking life sciences as an example: If we wish to study a tiger in the zoo, we cannot assume that it will behave the same way as one in the wild. By keeping the tiger in a confined area, too many variables are changed to be able to make the judgment that the tiger will behave in the same way when free. The tiger has a number of powers but is unlikely to exhibit all these powers in captivity. The powers remain ‘real’ but will not be ‘actual’ in all contexts. If the tiger was observed in the wild, it might demonstrate more of its ‘real’ powers. They would then be ‘actual’. We could attempt to carry out an experiment on the tiger in the wild. We could detect the tiger exerting a power, such as capturing its prey. Thus, the power would be ‘empirical’ and we would have the evidence that the tiger possesses this ‘causal power’. However, given the number of variables in the wild, along with the difficulty of tracking a tiger, it would be difficult to control the situation and come to any firm conclusion about the relationship between the variables.

Fig. 2.6  Tiger in captivity

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Induction, Deduction and Retroduction Bhaskar’s proposition that objects have ‘causal powers’ is an alternative to Hempel’s Regularity Theory, also entitled the deductive-nomothetical model. Bhaskar’s interpretation of the model is presented in Fig. 2.7. Bhaskar (1975) argues that scientists, when undertaking experiments, are not scrutinizing the ‘Humean’ regularities in the ‘empirical’ world within a closed system. Instead, they are trying to understand the causal mechanism of the ‘real’ world, the natural world that is an open system. They assume that universal laws apply in the natural world, even though the results of the laws may not always be perceived (Elder-Vass, 2010). A third form of logic to accompany deduction and induction, is that of ‘abduction’, proposed by C S Peirce around 1865 (Burch, 2018). Mingers (2014, p. 53) describes Peirce’s application of ‘abduction’, deduction and induction as the thinking necessary for scientific discovery “at the heart of critical realism”. Peirce claims that the scientific method begins with ‘abduction’, generating a hypothesis H. The scientist considers that if H is true then the consequences of that hypothesis can be derived using deduction. The concept of ‘abduction’ has more recently been replaced by the term ‘retroduction’. Edwards et al. (2014, p. 14) describe ‘abduction’ as “the most plausible explanation of the mechanisms that caused the events” whereas retroduction “seeks to ascertain what the world must be like… in order for the mechanisms we observe to be as they are and not otherwise” (ibid). They note that most researchers treat ‘abduction’ and ‘retroduction’ as the same operation and, indeed, that is what we will do. We will be adopting the term ‘retroduction’ from here on. As the three terms

Induction (probable inference) argument from sample to population i.e. generalization, not necessarily true Context: Empirical observation: General law:

All these balls come from this bag All these balls are white All balls in this bag are white

Deduction (necessary inference) argument from population to sample and therefore necessarily true General law: Particular case: Conclusion:

All balls in this bag are white All these balls come from this bag All these balls are white

Retroduction, (also entitled abduction) conjecture, study of facts followed by conception of a hypothesis i.e. an educated guess (Unexpected) observation: Possible cause: Explanatory hypothesis:

All these balls are white All balls in this bag are white All these balls come from this bag

Fig. 2.7  The scientific method (as interpreted by Bhaskar)

47

Example: Flammable Furniture Alternative example: Induction generalization, not necessarily true Context: Empirical observation: General law: Deduction necessarily true General law: Particular case: Conclusion: Retroduction conjecture followed by hypothesis Unexpected) observation: Possible cause: Explanatory hypothesis:

Morse et al, 2001, pp.16-17

These children have fevers. These children have viral infections. Therefore, all children with fevers have viral infections. All children with fevers have viral infections. This child has a fever. Therefore, this child has a viral infection. This child has a fever. Most children with fevers have viral infections. Probably this child has a viral infection.

Fig. 2.8  Example from virology

induction, deduction and retroduction provide a clear explanation of the scientific method we present an example in Fig. 2.7. Retroduction is making an inference about the causal power or mechanism for the regularity that can be seen in this instance. The balls in question must have originated from this bag (ibid). This assumption allows the scientist to devise a series of tests or experiments and, from multiple tests, the scientist either confirms H by induction or refutes H. Examples of black and white balls in bags are extremely common in the literature and provide a concrete logical explanation. However, it is difficult to see the value of such an example in practice. Therefore, in Fig. 2.8 you will find an example taken from a health perspective and used by Morse et al. (2001, pp. 16–17), that illustrates the application of retroduction.

Example: Flammable Furniture If you are having difficulty grasping deduction, induction and retroduction and Bhaskar’s three domains, the following example may help. Imagine that a fire breaks out in a house; forensic scientists study the scene to determine the cause. Let us imagine that someone dropped a lit cigarette on to a highly flammable piece of furniture. Without the presence of the lit cigarette, the fire would not have occurred, so the cigarette is a necessary cause. However, without the presence of the flammable furniture, the fire would not have occurred. Thus, the cigarette is a necessary, but not sufficient, cause. The fire is an event that occurs in the ‘actual’ domain. The lit cigarette and the furniture have causal powers, mechanisms that exist in the ‘real’ domain. When they co-exist in the ‘actual’ domain, an event results from their powers. Let us undertake experimental research in the ‘empirical’ domain to test the

48

Empirical domain:

2  Critical Realism as an Underpinning Philosophy

mechanisms

Actual domain: Real domain:

flammability

events

experiences test-fire

fire

test-fire

fire

test-fire

Fig. 2.9  Sofa and fire experiment

flammability of different furniture materials. By ‘induction’, we note that fires often break out in rooms containing sofas from Sofa Warehouse. Then, by ‘retroduction’, we posit the hypothesis that Sofa Warehouse make sofas with the power/mechanism to be flammable. In the ‘empirical’ world, we can design a test based on a ‘deductive’ approach by testing a source of fire on a range of sofas from Sofa Warehouse, in addition to testing sofas from other manufacturers, to determine whether they flare. By choosing a sample we can use ‘induction’ and generalise, from the results of our test. This example attempts to compare an open system with a closed system. The open system is the ‘actual’ domain where a fire occurs, and observers perceive it. The closed system is the ‘empirical’ domain where we attempt to limit the variables in order to test the relationship between those we believe to be linked (Fig. 2.9).

Stratification, Parts, Wholes, and Emergence It is when studying Bhaskar’s postulation that reality is stratified and that emergent properties appear as one moves from one stratum to a higher one, that we perceive the main correspondence between critical realism and systems thinking. There are various terms used for these strata, a term frequently used to talk about layers of rock in the ground. In the literature on critical realism, you will find terms such as hierarchical, levelled, or layered (Bhaskar, 1979; Archer  et  al., 1998; Benton & Craib, 2011) and an unusual and helpful metaphor, is ‘laminated’ (Westra, 2019). In the domain of natural science, the strata align with disciplines. The lowest stratum is physics, including the study of fundamental particles; the next is chemistry, with chemical components and reactions; and the next biology and the study of living things. In order to explore the concept of strata in more detail, let us take simple examples of physical objects, notably a table, a log and a bicycle. If we accept the realist view that there is such a thing as a table that is a distinct, mind-independent object that humans can perceive and name, then we have the problem raised by Eddington (1927) in his discussion of two tables. Most of us accept that the table in front of us is rectangular and wooden with four legs, we can eat at it or write on it; it is an ‘ordinary’ table. Eddington’s view is that he is sitting at his ‘ordinary’ table wondering, nevertheless, how his ‘scientific’ table is also present, comprising particles, atoms, molecules, electrons and lots of empty space between. We must pose

Example: The Log and the Wood

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the question – is this one table or two tables. Thomasson (2010, p. 591) calls this notion of two tables co-located as “the controversy over ordinary objects”.

Example: The Log and the Wood In order to explore this conundrum, the example of a log will be used to inquire whether a log is one object or two, using simple propositional calculus. The reader need not have studied any formal logic to follow this argument. Those interested in exploring the conundrum further can consult Tomassi (1999). Let us begin by assuming that we have an individual log L, this is formed from wood W1. We can argue Proposition 1, (Fig. 2.10) on intuitive grounds or on scientific grounds (conservation of mass). Both the log L and the wood that forms the log W1 occupy exactly the same space, at the same time, and therefore must be identical. This yields the first proposition in Fig. 2.10, L = W1. We can then chop the wood into much smaller pieces to form a woodpile W2. The woodpile is no longer a log and this is expressed in proposition 2 that the log is not the same as the woodpile. Thus, we reach the conclusion that W1 ≠ W2. The wood in log L and the wood in the woodpile are not the same thing. Only when the components of the log, the molecules, are formed into an identical construction to the log, that is they are the same structure, can they be considered to be the same thing as the log. We began by asking whether the log, and the wood within it, are two entities or one entity. On the basis of Leibniz’s law of the identity of ‘indiscernables’, a law that states that no two distinct things exactly resemble each other, the log L and wood W1 cannot be two distinct things (Feldman, 1970). They must be one and the same thing. However, let us see whether Wiggins’ proposition can help us out. He states that: “No two things of the same kind can occupy exactly the same volume at exactly the same time” (Wiggins, 1968, p. 5). This proposition is a modification of Leibniz’s Law and leads Wiggins to say that the log L is ‘over and above’ the wood W1, that is, it is ‘not of the same kind’. If this supposition is the case, then L can be identical to, but distinct from W1, so they are two things. This is counter-intuitive, if we move the log then we move the wood; if we sit on the log we sit on the wood; if we smell the log, we smell the wood. However, adopting Wiggins’ proposition, we must accept that the ‘ordinary’ log is distinct from the ‘scientific’ log, leaving us with two things, the log and the wood that forms its components. Likewise, returning to consider Eddington’s table, we must accept that the ‘ordinary’ table is distinct from the ‘scientific’ table, yielding Fig. 2.10  Log and wood

Proposition 1: L = W1 Proposition 2: L ≠ W2 Conclusion: W1 ≠ W2

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two objects, firstly the table and secondly, the atoms, molecules, and electrons that form its components. Taking a different item, say a bicycle, we may be more likely to admit Wiggins’ premise; the whole bicycle is one object that is ‘over and above’ the objects that comprise its components. We have two things, a bicycle and its components, both occupying exactly the same space. The examples of the log, table and bicycle are all explained by a stratified view of reality. The ‘ordinary’ table, the one on which, even now, you may be resting your elbows, is at a higher stratum than the ‘scientific’ table that can be described by the physicist.

Identifying Parts and Wholes A key aspect of stratification is the identification of parts and wholes. When repairing a bicycle, a mechanic will be interested in its parts and the relationship between them. The mechanic can examine the brake system, the brake blocks, the levers, the cables and perhaps the positioning of the brake blocks against the wheel. He or she can scrutinize the gear system and consider whether the sprockets mesh with the chain. Finally, the bike as a whole will be checked by riding it. So, at the stratum discussed, the bike is the whole and its components are the parts, many of which are systems comprised of further components. If there is a problem with the bike, the mechanic who fixes it will consider its components and the relationship between these parts. Now, let us move up a level, or a stratum, and imagine that we are traffic engineers designing cycle and pedestrian paths around a town. It is necessary to consider the vehicles that will be accommodated, as components in this traffic system, including pedestrians, bikes, cars, buses and taxis. Other components would be roads and tracks, traffic lights and signs. In this example, the bike is a component part while the whole is the traffic system within the town. The traffic engineer is not interested in the bike’s tyres, brakes or gears, it is the bike as a whole, together with cycle paths, cyclists and cycle parks that is of interest in this situation. In these examples, we selected technical/social systems to exemplify parts and wholes, but we could have chosen scientific/social ones. Perhaps the composition of certain medications at the lower stratum could be compared with the operation of a pharmacy at a higher stratum. Many years ago, one of the authors adopted the metaphor of stairs to express the difficulty she had in dealing with the ontology of the world of computing. She claimed that she could understand the basics of electronic computing, knew how to code in machine code and in higher level programming. She could design information systems and could judge where business software would contribute to an organisation, but she could not ‘find the stairs between the different floors’. Critical realism and systems thinking resolve this problem by proposing that the level or stratum in which one is operating is a question of focus. The metaphor of stairs and storeys is inappropriate. Instead, the analogy of a series of maps is fruitful. Adopting on-line mapping technology makes this an even clearer metaphor than paper-based

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maps and road atlases. Imagine that you open a small-scale map, one that makes the features look smaller and displays a larger area. It could show a map of England, the components are the towns, the motorways, the line of the coast and some national parks plus a blue spot to locate the viewer. It is a useful tool to explain to a child that auntie lives further away than granny. If the map is enlarged by zooming in, we have a larger scale; we can see part of the East of England, including small towns, some villages, larger rivers and airports. We can enlarge further until we see a street map and can identify the primary school and the railway station. Now, we have a tool to direct someone from their present location to the train. The stratum we select depends upon our purpose. You will have noticed that when we enlarge the scale of the map, the area is reduced. We cannot normally see different scales simultaneously. However, imagine opening a road atlas to show one scale alongside a larger scale town street map. As one adjusts the focus, stratification results in a variation in the components viewed and wholes become the parts of other wholes. This analogy is a more fitting one than the earlier one of perceiving separate strata as layers of rock, floors or storeys in a building. In order to judge this upward movement of stratum to a higher one we seek to identify the ‘emergent’ properties that appear. These emergent features cannot be seen at the lower stratum and, importantly, they cannot be predicted on the basis of the components studied at the lower level. Linking this concept to the mapping metaphor, the railway station ‘emerges’ at a certain scale. Benton and Craib (2011, p. 126) define ‘emergence’ as “the formation of qualitatively new properties or powers at each level of organisation”. Lower stratum components cannot explain the higher stratum ones. The presence of vocal cords does not explain the power of speech (ibid, p. 127). One’s ability to think cannot be derived from one’s component braincells (Sayer, 1992). The Swiss army knife is a combination of tools: knives, scissors, nail files, small saws and bottle opener. When these tools are fitted in layers into the handle, the whole gains the emergent feature of being a ‘compact penknife with multi-functionality’ entitled a Swiss army knife. One could argue that the smart phone is the equivalent in newer technology. One can carry a phone, camera, radio, newspaper, diary, clock and a multi-scale map as a ‘compact device with multi-functionality’ entitled a ‘smart phone’.

Conclusion The ontology that underpins this research, critical realism, is a form of realism and thus affirms that concrete objects are mind-independent. Hume’s Regularity Theory and the related recognition of the ‘covering law’ is replaced by the acceptance that objects have ‘causal powers’. Critical realism is a ‘naturalistic’ ontology, one that can be applied to research in both the natural and the social sciences and it incorporates a ‘stratified’ model of reality (Bhaskar, 1975, 1979). It is stratified in two ways. First, reality occupies layers or strata, akin to storeys within a building. A more appropriate metaphor is the switching of strata by adjusting the focus, as one

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does with an on-line map. The epistemology of strata positions physics at the lowest level, where we study fundamental particles, chemistry next and biology at the third level, and so on up the strata to the social sciences. Second, Bhaskar proposes three stratified domains: the ‘real’, the ‘actual’ and the ‘empirical’. Our observations are in the ‘empirical’ domain. In the ‘actual’ domain are all the events that occur, and the bottom stratum is the ‘real’ domain that includes ‘mechanisms’ that cannot be discerned. These mechanisms cause the ‘actual’ and ‘empirical’ events to occur. An important characteristic of stratification is the ‘emergence’, at a higher-level stratum, of properties that could not be predicted from the interaction of the components at a lower level. This feature leads to the concept of holism, that we cannot always study the world by deconstructing it, by identifying internal components and their interplay. There are occasions when, instead, we need to conceive of the lower stratum components combined into a new whole. In other words, we need to think holistically.

References Archer, M. Bhaskar, R., Collier, A., Lawson, T., & Norrie, A. (1998). Critical realism: Essential readings. Routledge. Baert, P. (2005). Philosophy of the social sciences: Towards pragmatism. Polity Press. Beer, S. (1972). Brain of the firm: The managerial cybernetics of organisations. Wiley. Bell, J. (1987). Doing your research project: A guide for first-time researchers in education and social science. Open University Press. Benton, T. (1998). Realism and social science: Some comments on Roy Bhaskar’s ‘the possibility of naturalism’. In M. Archer, R. Bhaskar, A. Collier, T. Lawson, & A. Norrie (Eds.), Critical realism: Essential readings (pp. 297–312). Routledge. Benton, T., & Craib, I. (2011). Philosophy of social science: The philosophical foundations of social thought. Palgrave Macmillan. Bhaskar, R. (1975). A realist theory of science. Verso. Blaxter, L., Hughes, C., & Tight, M. (1996). How to research. Open University Press. Bhaskar, R. (1979). The possibility of naturalism. Routledge. Burch, R. (2018, Winter). Charles Sanders Peirce. In E. N. Zalta (Ed.), The Stanford encyclopaedia of philosophy. Retrieved from https://plato.stanford.edu/archives/win2918/entries/peirce/ Capra, F., & Luisi, P.  L. (2014). The systems view of life: A unifying vision. Cambridge University Press. Checkland, P. B. (1981). Systems thinking, systems practice. Wiley. Checkland, P. B., & Scholes, J. (1990). Soft systems methodology in action. Wiley. Condie, J. (2012). Qualitative content analysis in media psychology. [Online] Retrieved from https://www.slideshare.net/jennacondie/qualitative-­content-­analysis-­in-­media-­psychology (slide 15). Cottingham, J. (2008). How to read Descartes. Granta Publications. Easterby-Smith, M., Thorpe, R., Jackson, P., & Lowe, A. (2008). Management research: An introduction. Sage Publications Ltd. Eddington, A. S. (1927). The meaning of the physical world. Macmillan Company. Edwards, P. K., O’Mahoney, J., & Vincent, S. (2014). Critical realism as an empirical project: A beginner’s guide. In P. K. Edwards, J. O’Mahoney, & S. Vincent (Eds.), Studying organizations using critical realism: A practical guide (pp. 1–20). Oxford University Press.

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Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Feldman, F. (1970). Leibniz and “Leibniz’ Law”. The Philosophical Review, 79(4), 510–522. Fleetwood, S. (2001). Causal laws, functional relations and tendencies. Review of Political Economy, 13(2), 201–220. Griffith, T. (2011). Hume: The essential philosophical works. Wordsworth Editions Limited. Groff, R. (2017). Causal mechanisms and the philosophy of causation. Journal for the Theory of Social Behaviour, 47(3), 286–305. Guba, E. G., & Lincoln, Y. S. (1982). Epistemological and methodological bases of naturalistic inquiry. Educational Communication and Technology, 30(4), 233–252. Harré, R., & Madden, E. (1975). Causal powers: A theory of natural necessity. Blackwell. Hempel, C.  G. (1942). The function of general laws in history. The Journal of Philosophy, 39(2), 35–48. Hempel, C. G. (1968). Explanation in science and in history. In P. H. Nidditch (Ed.), The philosophy of science (pp. 54–79). Oxford University Press. Hesse, M. (1974). The structure of scientific inference. University of California Press. Hume, D. (2003: 1740). A treatise of human nature. Dover Publications Inc. Lewis, C. S. (1950). The lion, the witch and the wardrobe. HarperCollins. Mingers, J. (2000). The contribution of critical realism as an underpinning philosophy for OR/MS and systems. The Journal of the Operational Research Society, 51(11), 1256–1270. Mingers, J. (2002). Viewpoint – Reply to Ormerod – The importance of being real. The Journal of the Operational Research Society, 5(3), 351–354. Mingers, J. (2006). Realising systems thinking: Knowledge and action in management science. Springer. Mingers, J. (2014). Systems thinking, critical realism and philosophy: A confluence of ideas. Routledge. Morse, J. M., Swanson, J. M., & Kuzel, A. J. (2001). The status of qualitative research as evidence. In J. M. Morse, J. M. Swanson, & A. J. Kuzel (Eds.), The nature of qualitative evidence. Sage. Mumford, S. (2008). Powers, dispositions, properties or a causal manifesto. In R.  Groff (Ed.), Revitalizing causality (pp. 139–151). Routledge. Niiniluoto, I. (1999). Critical scientific realism. Oxford University Press. O’Gorman, K., & MacIntosh, R. (2017). Research methods for business and management: A guide to writing your dissertation. Goodfellow Publishers Ltd. Ormerod, R. J. (2002). Viewpoint: Should critical realism really be critical for OR? A comment on Mingers (2000): The contribution of critical realism as an underpinning philosophy for OR=MS and systems. Journal of the Operational Research Society, 53(3), 347–359. Rumsfeld, D.  H. (2002, February 12). DOD news briefing: Secretary Rumsfeld. US Department of Defense. Retrieved from http://archive.defense.gov/Transcripts/Transcript. aspx?TranscriptID=2636 Saunders, M., Lewis, P., & Thornhill, A. (2009). Research methods for business students. Pearson Education Limited. Sayer, R. A. (1992). Method in social science: A realist approach. Sage. Silverman, D. (2000). Doing qualitative research: A practical handbook. Sage. Thomasson, A. (2010). The controversy over the existence of ordinary objects. Philosophy Compass, 5(7), 591–601. Tomassi, P. (1999). Logic. Routledge. von Bertalanffy, L. (1950). An outline of general systems theory. The British Journal for the Philosophy of Science, 1(2), 134–165. Westra, R. (2019). Roy Bhaskar’s critical realism and the social science of Marxian economics. Review of Radical Political Economics, 51(3), 365–382. Wiggins, D. (1968). On being in the same place at the same time. Philosophical Review, 77(1), 90–95.

Chapter 3

Critical Realism in the Social Sciences

Abstract  Critical realism is a naturalist epistemology, one that is applicable across the sciences and the social sciences. Following the introduction in Chap. 2 of critical realism as an underpinning philosophy, this chapter focuses on its application within the social sciences. Research in the social sciences differs from that in the sciences in several ways and this factor is explored under the headings of transitive/ intransitive objects and through the comparison of the ‘context of discovery’ with the ‘context of justification’. The four tenets of critical realism are described and several theoretical frameworks that inform the Womposo research strategy, devised in Chap. 4, are presented. These include the five-stage social ontology of Dave Elder-Vass, David Scott’s five social objects, Margaret Archer’s four-part model related to structure and agency, and Amartya Sen’s Capability Approach, together with its application in an educational research setting. Using examples from the field of botany, the real, the actual and the empirical domains of critical realism are illustrated, providing examples of morphogenesis and morphostasis. The powers of social groups, variously entitled social objects or social structures, are discussed. Norm circles generate emergent causal powers, these powers exercise downward causation on the entities, the people, within the norm circle. Keywords  Capability approach · Context of discovery · Emergent · Feedback · Heap · Morphogenesis/morphostasis · Norm circles · Open systems · Structure and agency · Transitive/intransitive · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction The last chapter introduced critical realism as an underpinning philosophy. This chapter focuses on interpreting the application of critical realism within the social sciences. We begin by considering the naturalist view, that all phenomena, in both science and social science, can be described by the same ontology. The nature of © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_3

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being does not change abruptly in the move from the physical world into the social world. During this discussion, relevant terms are introduced: transitive and intransitive, the context of discovery and the context of justification, together with reference to the cultural authority of research in the natural sciences. The basic tenets within critical realism are then explored, reiterating some of the description of critical realism presented in Chap. 2, and illuminating the elements using both concrete and social situations. Scott (2010) is firmly of the opinion, as discussed in Chap. 2, that one’s research methods should be chosen in the light of the meta-­theory assumed. He reinforces the prime concept of critical realism, the belief that there is an independent reality but that this does not commit one to accepting the possibility of obtaining absolute knowledge of this reality. This chapter presents a number of theoretical frameworks that inform the research strategy presented in Chap. 4 and applied in the practicum study section. We introduce Archer’s (1995) morphogenetic view that structure and agency have distinct powers and that structure and agency cannot be conflated. Scott adopts Archer’s view and categorises five fundamental types of structural relationship, or social object, that exist within the social world. Meanwhile, drawing heavily on the work of key authors in the realm of critical realism (Archer, 1995; Porpora, 2015a; Sayer, 2000; Collier, 1989), Elder-Vass (2010) argues that method in the social sciences lacks ontological rigour. He aims to correct this situation. Moving on from social structure, Tao’s (2013) practical example of the adoption of critical realism within a research study is discussed. This example, in turn, introduces us to the Capability Approach. A great deal has been written about this approach, as applied within the field of social welfare analysis, by its originator Amartya Sen and its other main protagonist, Martha Nussbaum. A number of other writers have discussed their work and suggested adaptations (Robeyns, 2005a; Alkire, 2005).

Moving from Science to Social Science Chapter 2 focused upon the applicability of critical realism to the physical world and the nature of the causal powers of physical objects. This approach offers the benefit that it is easier to grasp new concepts when they are presented in a concrete manner and relate to physical objects. Before progressing to the social world, we will explore further the gap between ontology and epistemology in the physical world. Bhaskar’s concept of a ‘real’ domain, that cannot be known, follows the ‘theory of categories’ posited by the Baltic philosopher Nicolai Hartmann. Poli et  al. (2010, p.  2) make the following statement based on Hartmann’s theory, “Ontologically speaking, knowledge grasps objects. If knowledge does not generate its objects, objects ontologically precede any effort to grasp them”. This statement is initially confusing, it means that one cannot know about ‘something’ unless that ‘something’ exists in the first place, for one to know about. Let us take a metaphor to describe this situation. Imagine that you think there is an object just below the surface of the water in a murky pool. You put your hand into the water and grasp the

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object, but you cannot lift it out of the water. You can judge its size and shape and determine that it is spherical and hard, and you might guess that it is a cricket ball. The knowledge that you have found out about the object does not create the object, the object existed first. By grasping the object, you now have some knowledge of it. Another well-known parable that illuminates the difference between epistemology and ontology is the tale of the blind men and the elephant. The man holding the elephant’s trunk perceives of it as a snake, the man touching the elephant’s side identifies it as a wall and so on. In each case, the man forms a belief about the nature of the world, his belief about the ontology, from his knowledge, his epistemology, as he experiences it. Our ontology is our belief about the world and the objects within it, including conceptual objects. We can develop knowledge about this world epistemically, but we do not create the world epistemically. To use Bhaskar’s terms, in both these cases one is acting in the empirical domain. A ‘realist’ approach to ontology acknowledges that the external world exists independently of any one individual’s mind, it is ‘mind-independent’. When referring to the physical world, to a concrete object, one is more likely to accept this proposition. For example, even if there is no-one observing a particular tree, most people would agree that the tree still exists. Once we move into the world of social science and begin to talk about concepts and cultural forms, we become less confident that they can be called mind-independent. For example, does the concept ‘charity’ still exist if, in a particular society, no-one practises it and there is no evidence for its existence? It is also logical to argue that if there was no society then such concepts would not exist, but the disappearance of one individual from a society is unlikely to impact upon the existence of the social concept.

A Naturalist Epistemology Critical realism is a naturalist epistemology (Bhaskar, 1979). Although there are several definitions for naturalism, the one that is being adopted throughout this book is that a naturalist ontology is one that is applicable across both the sciences and the social sciences. One could argue that science and social science are at either extreme of a spectrum with humans in the centre. At one extreme, the researcher is engaging in scientific experiments, at the other extreme the researcher is investigating social practice. In both cases, however, it is the human that is undertaking the research. Similarly, in a different environment, the human could be part of a team building a rocket. Why should management of the project, including the coordination of the team, a social practice, take place in a different reality from the technological construction of the rocket? Although we are arguing that the ‘nature of being’, the ontology, is the same across the sciences and social sciences, this argument does not imply that our ‘ways of knowing’, our epistemology, must also be the same across the whole spectrum. Our epistemology is based partly upon our experience, as

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gauged by our senses. More formally, much of our knowledge is based upon shared public understanding and relies upon research findings.

Transitive and Intransitive Objects Research in the social sciences differs from that in the sciences in several ways. Empirical work in the sciences involves attempting to create a closed system, limiting the number of variables that need to be adjusted. The aim is to ensure that each experiment is repeatable and that it is possible to determine which mechanism causes which effect. Closed experiments are easier to replicate and are seen to be objective and reliable. In a social situation, it is very difficult to limit the number of variables and, even where one can, ethical issues often come into play. The entities under consideration in a scientific experiment are intransitive objects, in the social system the objects under study are transitive objects. The human transitive respondents appreciate that they are being studied, this factor sometimes makes a difference to the outcomes of the research. An example is the Hawthorne effect where workers in a factory become more productive whenever a variable, such as the level of light or the level of heat is changed (Mayo, 2003: 1933). The participants appear to interpret any change as a show of interest and respond positively. To explore the transitive/intransitive opposition further, Norris (2005) defines the “intransitive, the domain of objects, structures, properties, causal dispositions” and the “transitive, where human agency plays a more-or-less decisive interventionist role” (ibid, p. 15). Hartwig (2008) also extends transitive objects beyond humans to the social practices that society generates. In his introduction to Bhaskar’s work, Hartwig (2008, p. xvi) states “Scientific knowledge has two kinds of object, an intransitive object (the enduring structures and mechanisms of the natural world), and a transitive object (the Aristotelian material causes - existing theories, technologies, social practices and so on… that scientists work on….)”. This interpretation is similar to Cruickshank’s (2004, p. 567) definition of the transitive domain as being the “fallible, theoretical interpretations of reality while the intransitive domain is the reality beyond our knowledge”. Benton and Craib (2011) refer to the transitive dimension as: the investigators, their forms of communication and the scientific culture in which they operate. Thus, the researchers are transitive objects, who can influence the responses from participants. This ability to influence research participants extends beyond transitive human participants to animals. An example of the experimenter influencing the respondents is the albino rat experiment of Rosenthal and Fode (1963) where the rats under investigation took their lead from the behaviour of the researchers. One group of experimenters was informed that they were running experiments with ‘maze-bright’ rats while another group was told that they were running the same experiments with ‘maze-dim’ rats. Both groups of rats had been selected at random. The performance of the ‘maze-bright’ rats proved better, in terms of time to run a task and frequency of success. The experimenters appear to

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have handled the rats in different ways, as a result of their expectations, and the rats had performed accordingly.

Context of Discovery and Context of Justification Norris (2005) splits the scientific method into the ‘context of discovery’ and the ‘context of justification’. He perceives the ‘context of discovery’ as a social practice where scientists make decisions about what to investigate, in the light of the current sociocultural situation. Although this decision-making is part of the scientific investigation process, it takes place within a social context. The ‘context of justification’ is what is commonly entitled the scientific method. It involves observation and experiment. Evidence leads to the construction of hypotheses that are then tested by collecting data in an experimental situation, where certain variables are held constant. Given the results from an experimental situation, a theory can be generated and in turn tested. An important aspect of the scientific method is that such empirical tests can be replicated by others. In addition to these results being tested by other scientists, they frequently provide the basis for the development of technology. Thus, they are tested in scientific experimentation and through their contribution to technological developments. Scientific theories can, of course, be contested and replaced with theories that prove to be more accurate predictors. This practice of overwriting scientific theories is an element of the scientific method. While this method aligns with the ‘covering law’ theory discussed in Chap. 2, it also recognises the fallibility of science that Norris (2005, p. 178) describes as “the idea of science as a truth-seeking enterprise with its own distinctive standards of rational accountability”. Baert (2005, p. 87) talks of finding a “single method of inquiry” to encompass the sciences and social sciences and he refers to the boundaries between science and social science. One of the tenets of critical realism is that our epistemology, that is our knowledge of the world, is fallible and we are constantly trying to seek the truth (Bhaskar, 1975, 1979). In philosophical terms this objective is often described as the ‘Whiggish view of progress’, a view that humanity is always moving towards greater enlightenment through scientific discovery (Alvargonzález, 2013). The Whigs were a British political party from the seventeenth century to the early nineteenth century. When considering the scientific method, only one instance is needed where a law does not apply in order to falsify that law. It is impossible to test all cases, thus there is no way to prove that a law works in every case. However, experiments are prone to error and require considerable technical expertise to conduct, so it is rare that one example of falsification of a long-standing law could demolish it. Another principle adopted within the ‘context of justification’ is the concept of accurate measurement. The ‘Uncertainty Principle’, posited by Heisenberg in 1927, put paid to this assumption by revealing that the more accurately one measures a sub-atomic particle’s position, the less accurately one is able to measure its momentum and vice versa (Hilgevoord & Uffink, 2016). Thus, even in the ‘context of

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justification’, often called the scientific method, there is no certainty. Meanwhile the ‘context of discovery’ is firmly in the realm of the social sciences. Our choices of the aspects of the physical world that are to be explored are socially and culturally constructed, so these factors enable or constrain scientific discovery.

Epistemological Spectrum Research methods texts frequently differentiate between the epistemology relating to science and the epistemology relating to social science and recommend distinctive research methodologies be adopted (O’Gorman & MacIntosh, 2017; Saunders et al., 2009). As was illustrated in Chap. 2, the epistemologies are normally labelled positivism at the scientific end of the epistemological spectrum and social constructivism, at the social science end of the spectrum. The term social construction appeared in the title of Berger and Luckmann’s (1966/1991) eponymous text. It is said that the ‘man in the street’ takes reality for granted, whereas the sociologist notes that the ‘men in the street’ take different realities for granted, depending upon the society or culture from which they hail. A major advantage of selecting a positivist epistemology is that the scientific method, including the observation of experiments, carries with it a cultural authority. Social science in our day is overwhelmed by the towering accomplishments of the natural sciences. Social scientists are everywhere on the defensive as they are asked to meet the same success in prediction, explanation and technological control as is found in the precincts of physics and biology (Blakely, 2016, p. 5).

The benefits of this cultural authority are, that in both public and political circles, the outputs from scientists are generally valued more than those from social scientists. During the Covid19 pandemic, we have seen some shifts in this thinking in the UK as experts are respected again. Nevertheless, the findings, and associated recommendations, from educational research are less likely to be valued and implemented than are recommendations from researchers in the arena of health and medicine. Avoiding both extremes of the epistemological spectrum by selecting a middle point, we propose that it is possible to adopt a social science methodology that aligns with a critical realist epistemology and ontology. In doing this, we will be accepting that “the world… exists independently of our beliefs about it, it is differentiated, and is stratified” (Benton & Craib, 2011, p. 130).

Key Tenets of Critical Realism Fletcher (2016, p. 1) states that critical realism “helps researchers to explain social events and suggest practical policy recommendations to address social problems”. As such, critical realism can be a practical tool applied in an everyday situation.

First Tenet of Critical Realism 1 2 3 4

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Reality cannot be reduced to epistemology Social world comprises stratified, open systems with emergent properties an entity ‘possesses’ a causal power in the ‘real’ world; ‘exercises’ a causal power in the ‘actual’ world ‘actualizes’ the causal power in the ‘empirical’ world Events are often caused by the interaction of multiple entities

Fig. 3.1  Four key tenets of critical realism

There are a number of important tenets of critical realism that need to be borne in mind when applying it in the social sciences. In Fig. 3.1 four of the tenets that we judge to be critical are described. Bhaskar (1975) generally terms the three worlds described in the third tenet ‘domains’ and we will adopt this term later in this chapter. The fourth and final tenet indicates that events are often caused by the interaction of multiple entities, each exerting their causal power within a particular configuration. This interaction between entities can result in unexpected, and therefore unpredictable, consequences. The reader wishing to explore critical realism should note that many of the early texts concentrate on the philosophical aspects of critical realism: Bhaskar (1975, 1979), Archer (1995, 1998), Porpora (2015a), Bunge (2004a), Sayer (2000), and Collier (1989). Meanwhile a number of social scientists have addressed the feasibility of undertaking research in a critical realist framework: O’Mahoney and Vincent (2014), Monder et al. (2014), Elder-Vass (2010), Danermark et al. (1997), Mingers (2016), and Fleetwood and Ackroyd (2004). Finally, several authors have applied critical realism in other disciplines: Zachariadis et al. (2013), Wynn and Williams (2012), Volkoff et al. (2007), Mingers et al. (2013), Lawson (1997), and Cochran-Smith et al. (2014).

First Tenet of Critical Realism The first tenet of critical realism is that reality cannot be reduced to epistemology. The scientific method of positivism tends to assume that reality is our current state of knowledge at any point in time. Perhaps it would be better to say that our current state of knowledge, at any point in time, is considered to be reality. However, critical realism demands that there are always ‘unknown unknowns’, reality can never be totally known (Vegh et  al., 2018; Rumsfeld, 2002). There will always be causal mechanisms that cannot be perceived directly. Those mechanisms that we claim to know are generally inferred from empirical practice. Assuming that what exists is reducible to what is known, is to adopt the ‘epistemic fallacy’. The Black Swan, as described in Chap. 2, is the standard illustration quoted as an example of the epistemic fallacy. Critical realism encourages us to use ‘retroduction’, where one seeks to determine what the underlying mechanisms must be in order for the world to

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appear as it does through human senses. Identifying possible mechanisms is a largely conceptual exercise. Making an inference demands that we are creative in intellectual terms, (O’Mahoney & Vincent, 2014). Critical realism does not specify that we follow rigid methodological rules. However, it requires that our research principles align with our ontological beliefs.

Second Tenet of Critical Realism The second tenet of critical realism is that the social world consists of stratified, open systems. Emergent causal powers arise at a higher stratum, these causal powers are formed from the combination of the powers of lower-level entities, but the emergent power is not just the sum of those lower-level powers. An example of this process, discussed in Chap. 1, is that hydrogen and oxygen can combine to form water, a substance that has the emergent property of ‘wetness’ whereas neither of the contributing elements, in isolation, exhibit this property. An alternative example from a social situation would be an army. An army is more than the sum of all the soldiers, uniforms, weapons, vehicles, roles and rules (Bunge, 2004b). As a whole unit, it exhibits the powers of fighting, of protecting a country, of maintaining the peace. It can be difficult to identify whether a combination of entities will form an amorphous mass, ElderVass (2010) terms this mass a heap, or whether it is in fact a new whole. To determine this, we need to identify the emergent powers of the higher-level entity. Bunge (2004b, p. 372) argues that an entity, such as an army, is a concrete social structure because it has “cohesion, structure and mechanisms”. These three terms are helpful in both social and physical situations as they help to identify whether there is a new, emergent whole. Bunge (ibid) extends this by describing a system as a composite that is embedded in a particular context; it has an internal structure that he terms an endo-structure and it is bound to its environment by an exostructure.

Third Tenet of Critical Realism The third tenet of critical realism is derived from Bhaskar’s (1975/2008, p. 46) three domains: “Mechanisms, events and experiences thus constitute three overlapping domains of reality, viz. the domains of the real, the actual and the empirical”. While Bhaskar (ibid) uses the term mechanism here, other authors (O’Mahoney & Vincent, 2014; Elder-Vass, 2010) talk of three sorts of power. The first domain of reality that Bhaskar describes is the ‘real domain’. In the ‘real’ domain an entity ‘possesses’ power but may not yet ‘exercise’ it. The second sort of power is that ‘exercised’ in Bhaskar’s ‘actual’ domain. Finally, a power can be ‘actualized’ in Bhaskar’s ‘empirical’ domain such that we perceive a power causing a particular effect. These three

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Fourth Tenet of Critical Realism Domain empirical actual real

Description We see the effect of the power in this domain Entity exercises the power, but the power of other entities may prevent the power being actualised We accept this entity as our ontology but there is no way of proving it.

Power of entity actualised exercised possessed

Fig. 3.2  Domains and powers

Imagine that you have a packet of sunflower seeds containing six seeds. From our existing knowledge we can infer that these seeds possess the power to germinate and grow. We would not have purchased them otherwise. This causal power of the sunflower seeds is, according to Bhaskar, in the real domain. There is no way that we can confirm, simply by looking at them, that these particular seeds have this power. The real domain is an ontological domain that Bhaskar’s model assumes exists, but we cannot perceive the powers of the entities within it. In the past, other sunflower seeds have exercised their power in the actual domain, in the ground. Some have actualised their power, that is they have grown, and the effect of their power can be viewed. Others have failed to grow; they have exercised their power but not actualised it. Moving to the empirical domain, we plant the six seeds in compost, water them and leave them in the sun. We are thus configuring the seeds to interact with other entities: compost, water, rays from the sun. A few days later, we observe an event, five of the six seeds germinate. In the empirical domain, five of the seeds have actualised their power. From the interaction of certain entities, we see the emergence of a new power, the power of germination. This empirical information contributes, along with previous empirical information, to provide an expectation of the patterns that we might expect to see. One of these patterns would be an indication of the percentage of the seeds within a packet that are likely to germinate, under certain conditions. Note that the compost, the water and the sun are also entities that each bring their own causal powers; together they form a configuration that enables the emergent power of germination. This is an example of morphogenesis, the change in nature of the seed into a plant.

Fig. 3.3  Sunflower example

terms  - possessed, exercised and actualized are a little confusing in relation to Bhaskar’s terms the real, actual and empirical domains. Figure 3.2 may help to clarify the situation. Powers are often exercised but not actualised. “The social world is full of powers, the actualization of which is often retarded by other powers within the open systems in which they are located” (O’Mahoney & Vincent, 2014, p. 7). Figures 3.3 and 3.4 present two examples from the field of botany. Hopefully, these illustrations will clarify the three domains. In these examples, growing sunflowers and keeping aspidistras, the action of entities could include insects eating the seed or the power of the sun shrivelling a leaf. Later in this chapter, we will explore the concepts of ‘morphogenesis’ and ‘morphostatis’. ‘Morphogenesis’ is the emergence of a higher-level entity coming into being and ‘morphostasis’ describes the stability of an entity (Archer, 2013). The sunflower example in Fig. 3.3 is an instance of ‘morphogenesis’ and the aspidistra example in Fig. 3.4 is an instance of ‘morphostatis’.

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Imagine the situation where you are given an Aspidistra elatior as a Christmas present. You already have a Monstera deliciosa, a cheese plant, that grows rapidly, forms new leaves frequently and grows to a large size, possibly taking over the room. You are aware that the Aspidistra exhibits different properties from the Monstera. You know that the Aspidistra is often called the ‘cast iron plant’ because aspidistras were very popular with the Victorians, surviving in the cold drawing rooms and halls of the middle classes. Orwell (1936) entitled one of his books ‘Keep the Aspidistra Flying’ thus capturing a physical object, a plant, as a cultural statement. From the empirical domain we can infer the real domain, that the Aspidistra has the power of slowly growing and tolerates neglect, (providing it is not located in a sunny spot). From our knowledge of the actual domain and the power exercised by an aspidistra we can assume that it will grow new leaves at a much slower pace than the Monstera. Let us enter the empirical domain, we note the advice that Aspidistras should not be kept in sunlight and we keep it in a darker room, a cold room and remember to water it occasionally. In the spring we see four new shoots emerging and within three months these shoots have become small light green leaves. This is an example of morphostatis.

Fig. 3.4  Aspidistra example

Fourth Tenet of Critical Realism The fourth tenet of critical realism relates to multiple variables acting within a situation, they are the necessary and sufficient causes. Each variable has causal power and the causal power from one entity impacts differently on the other entities leading to a complex set of relationships with outcomes that are often difficult to predict. Let us take, for example, a plague of mice in South Australia (Henson, 2017). In conditions where there is an unusually high level of rainfall, a condition that might occur every 80 years, the rainfall leads to a greater volume of crops than normal. The mice therefore have an abundant supply of food and when they procreate, they can feed their young, so the young thrive. Mice can procreate when they are five weeks old and the gestation period for mice is three weeks. Thus, providing there is enough food to feed this rapidly expanding body of mice, we see an exponential growth in their numbers. This is an example of positive feedback. The high level of rainfall alone would not lead to a plague unless the animals in question breed rapidly. So, the high rainfall is the necessary cause, but it requires another factor such as the high breeding rate to create the event, that is the plague. This is an example of morphogenesis. In many situations like this there is a predator that reduces the mouse population, this helps to maintain a steady state of morphostasis, it produces negative feedback.

Ontological Rigour in the Social Sciences There is “a radical absence of ontological rigour” in social science research methodology (Elder-Vass, 2010, p. 64). Concepts such as discourse, the state, the family and money are rarely clearly defined in terms of the type of entity they are, their properties and their powers. By comparison, terms within the sciences and their properties are defined. Similarly, within the ontology of critical realism, the terms causal powers and emergent properties are often used in vague ways (ibid). Within the ontology of critical realism, entities are whole or entire objects that, in

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turn, are composed of parts. They are entities as a result of having powers or properties as a whole. Their component parts, however, do not exert these same powers. These powers are termed ‘emergent’ properties, as they emerge at a higher level in a stratified system. Each entity is formed by the causal mechanisms of its components, if and only if, it is arranged in a particular configuration. In turn, this entity can interact with other entities, each using their causal powers, to create new higher-level entities. The clustering of a set of lower level entities does not necessarily result in a higher-level entity. The lower-level entities must be formed into a particular configuration in order to create the higher-level entity. A single missing entity, or a change to the configuration of the components, can halt the creation of the higher-­level entity. The examples below should clarify this argument. Elder-Vass (ibid) uses the term ‘heap’ for a group of entities that do not form a composite whole. He contrasts this situation with a group of entities that are formed into a particular configuration and are able to generate a new entity with emergent causal powers. This latter situation Elder-Vass entitles ‘relational’ emergence (ibid). If we mix ingredients such as sugar, lemonade and milk, we produce an unpleasant drink, an example of a ‘heap’. If, however, we combine grape juice, sugar and yeast, in specified quantities and under certain conditions, we can produce wine, an alcoholic beverage with well-known causal powers. The ingredients must be combined in a certain order and at a certain temperature. A limited set of configurations will generate wine. The structural relationship, the quantities of the parts and the conditions and configuration of the parts enable the causal powers to interact. This interaction is the mechanism that creates the new entity with new causal powers. In Chap. 2 the example of the components of a bicycle was discussed: gears, wheels, pedals and so on; formed into a particular structure to generate an entire bicycle with the causal power of motion, a power not exerted by the individual components. In this instance, the bicycle must be combined with a human entity in order to exert the power of motion. Should one have an electric bicycle, it still requires a source of power. Another aspect to consider is the relationship between the strata posited under critical realism and the disciplines that humankind recognise and operate within (Elder-Vass, 2010). While there seems to be agreement that physics forms the lowest horizontal stratum, with chemistry forming the next stratum and biology the next, there is not a straightforward mapping beyond the natural sciences. Disciplines such as geology are difficult to place; geology is defined as an earth science; it relates to geography yet considers the history of the earth. There is also the question of the relationship of emerging disciplines. It seems unlikely that the world consists of strata with distinct boundaries like geological strata. It is more likely that humans have imposed a structure to make sense and manage the world and thus subjects or disciplines are created rather than discovered. Mor (2019, p. 1) states that “Social science refers to the science of people or collections of people, such as groups, firms, societies, or economies, and their individual as well as collective behaviour”. He then goes on to list the various disciplines under this umbrella term: psychology, sociology, economics and history. This epistemological partitioning, once we reach the level of social practice, no longer fits with the concept of horizontal strata. Two other terms are critical when considering entities and their properties. ‘Morphogenesis’ describes the process of a higher-level entity coming into being,

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the point at which the emergent power first appears, and the term ‘morphostasis’ describes the process of an entity remaining stable. In order to explain emergent properties, we must know (i) their component ‘parts’, (ii) the ‘relationships’ between those parts, (iii) the ‘morphogenetic’ causes that bring the entity into being and (iv) the ‘morphostatic’ causes that provide the mechanisms for stability (Elder-Vass, 2010). A final term that needs to be defined is an ‘event’, a term familiar in common parlance. Let us take, for example, a hurricane. This weather event can be identified by its outcomes, by the demonstration of its causal powers, the wind speed, thunder and lightning, strong waves and damage to trees and buildings. ‘Events’ occur when there is an interaction between the causal powers of different entities. The basic climatic conditions that cause a hurricane to develop can be identified; hurricanes form from low pressure areas positioned over warm oceans.

Structure and Agency Within the literature, there is a heavily-contested argument between structure and agency. Firstly, there is considerable debate on the meaning of social structure. One of the main camps considers social structure to be ‘structure-as-relationship’ (Giddens, 1984) while the other main camp talks of ‘structure-as-whole’ (Lopez & Scott, 2000; Elder-Vass, 2010, pp.  64–86). One way to interpret these opposing conceptions is that ‘structure-as-relationship’ will result in structure being a verb and ‘structure-as-whole’ will result in structure being a noun. In everyday language, the term structure is used as both a verb and a noun; one can structure an essay or build a structure. If the latter conception is adopted, then ‘structure-as-whole’ indicates that one is discussing an entity. Entities, in turn, under a critical realist ontology, have causal powers. Many authors adopt the concept of ‘structure-as-whole’ and this leads to the belief that, just as individuals have causal properties and can possess, exercise and actualise them, social structures also have causal powers that can be possessed, exercised and actualised (Elder-Vass, 2010; Scott, 2010; Archer, 1995). Agency is taken, in general parlance, to mean the ability to make independent choices or the capacity to act autonomously. The dichotomy of ‘structure’ and ‘agency’ is frequently discussed (Porpora, 2015a, b; Archer, 2001; Giddens, 1984). David Scott (2010) is a key contributor to the debate between structure and agency from within the ontology of critical realism, within the social sciences. He produces a clear and readable interpretation of the work of others in the field, focussing particularly on the four relational modes described by Margaret Archer, see Fig. 3.5. He embraces Archer’s morphogenetic view (No. 4 in Fig. 3.5) that structure and agency have distinct powers and structures, that cannot be subsumed into one another. Like many other authors, Scott (ibid) provides only the flimsiest of examples regarding how to apply critical realism within educational research. Nevertheless, he addresses and lucidly articulates numerous aspects relating to the research approach including criticality, social evolution, data collection methods, causal

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1.

Downward conflationary view:

Structure and agency are conflated, action is solely through structure

2.

Upward conflationary view:

Structure and agency are conflated, structure is entirely the creation of agency

3.

Central conflation view: Structure as relationship

Structure has virtual existence as social practise Gidden’s structuration theory

4.

Morphogenetic view:

Structure and agency both have causal powers Archer’s morphogenetic/morphostatic position

Structure as whole

Fig. 3.5  Structure and agency

narrative and his categorisation of five social objects. Scott (ibid) deems the application of the term ‘critical’, as used in critical realism, to mean fallible. The world exists, but we cannot be sure of its functioning and there are no constant laws that apply within social systems. Social systems are open, making it difficult to determine what entities are relevant in any given situation. Additionally, such entities, whether agents or social structures, may possess causal powers but that does not mean that these powers have been actualised.

Social Evolution Another complication relating to the social world is that it is constantly evolving so that new social structures emerge routinely (ibid). The reality that we experience is frequently unstable; social reality changes, often rapidly, with time and context. Scott’s interpretation of Archer’s morphogenetic position is that social structures pre-exist agency, they influence a person’s capacity to act. Individuals are causally affected by the social structure and in turn causally affect the social structure. In other words, we are born into social structures and are causally impacted by them. Evolution in the biological world is no different, except that most life-forms in the natural world evolve over millions of years. Some species however, for example many insects with a short life and fast reproductive rate, can be studied as new generations evolve in the field or the laboratory. There is the well-known example of the peppered moth. During the industrial revolution, as pollution left black deposits on the buildings, the frequency of dark coloured moths increased (Barton et al., 2007). As the moths adapted, darkly pigmented, melanic moths formed the majority. This adaptation helped them to avoid predators by camouflaging them against the dark, sooty buildings. The adaptation reversed as environmental standards improved and buildings were cleaned. The environment impacts the moth in the same manner that the social structure impacts the person.

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Truth and Data Collection Methods Scott (2010) introduces a problematic and contentious issue. He poses the question: Is truth the match between ideas and reality? In other words, is truth when our knowledge (epistemology) matches the real world (ontology)? We know that this knowledge often has a temporary status. Alternatively, is truth the reaching of consensus? If it is the latter, meaning there is no truth criterion, then where does this leave us? Scott (2010, p. 199), writing before notions of fake news were prevalent, claims that “untruthful ideas have as much chance of being influential in society as truthful ideas”. If one is to take a critical realist position, then one has to accept that one can never know reality. One has to accept that the truth, at any point in time, is the consensus of the current epistemology, it is what has been determined by researchers. The fluidity of this ‘best guess’ of the truth has been apparent during the Covid19 pandemic. Within the scientific domain, we have seen scientific views adjusting as more data is received and analysed. Within the social sciences, researchers in social behaviour have come to the fore in order to predict the behaviour of citizens, as they are instructed to lockdown, to self-isolate, to wear masks and to socially distance, a circumstance never previously experienced. Scott (ibid) dedicates one chapter of his book to the use of qualitative versus quantitative data. He provides an example of a research study, using questionnaires, that sought to correlate PISA scores of students (Programme for International Student Assessment) with certain demographic markers. In one case, the variable in question was the number of books available to the student within their home. For pragmatic reasons, this data was collected by asking students to estimate. Scott considers that this method opens up many questions regarding how a student might choose to respond to such an enquiry. For example, what sort of books are included, how were they used, to whom did they belong, thus raising concerns about the truth value of the response. Scott (ibid) stresses the need for a causal narrative within a critical realist approach and states that this requirement tends to lead one to a qualitative data collection method. While there may be doubts and uncertainties about the truth value of the data collected within a qualitative approach, this example indicates that a quantitative approach does not necessarily yield a clear truth value either. Additionally, questionnaires with Likert scales, where respondents grade their views on a scale (e.g., 1–5), yield quantitative data, but rarely generate a causal narrative.

Scott’s Five Social Objects Using the structure/agency dichotomy, Scott labels the social structures ‘social relationships’ or ‘social objects’. He categorises these ‘social objects’ using five fundamental types. The first type includes embodied objects: objects that relate to time and space and impose constraints upon individuals. The second type includes social

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Vertexicality Structural objects in the social world (Scott, 2010)

Description

Our examples Time, space, certain physical resources: curricula, handbooks Time is money, teaching as a craft, reflective practitioner Interpersonal skills, supportive nature, knowledge possessed Policies, standards, power of official agencies Gender, class, ethnicity, age, job

1.

Embodied objects

Structures that prevent people from moving through space or time.

2.

Social discourses

3.

Structures/modes of agency

4.

Institutional and systemic forms.

5.

Social markers

Ways of seeing the world, that influence an individual’s intentions. This is the worldview of SSM Structures that impact on the agency of an individual Provide the background to the individual’s performance Regulated through explicit or tacit sanctions Can include norms Markers that influence one’s experiences, how one is treated and perceives self

Structure allows resistance to its shaping capability Firm, difficult to alter (5) Soft, easiest to ignore (1) Malleable over time (3) More malleable when younger Mostly fixed (4) Mostly fixed (4)

Fig. 3.6  Scott’s five social objects

discourses: these can be perceived in narratives and in arguments and they provide a belief system as a resource. An individual may not recognise that they are informed by a particular social discourse, nevertheless the discourse may be causally effective. The third type of social objects are designated modes of agency. These modes relate to the capabilities of individuals, as described by themselves and by others. Scott’s description of this social object is not immediately comprehensible, it appears to intersect with social discourses, however it becomes clearer in practice. Scott labels the fourth object, institutional and systemic forms, these forms persist over time and include those related to roles and positions. Scott (2010, p. 208) states that “Certain types of regulation have legal status and are thus textual and understood in terms of specific sanctions attached to them; the law may not be understood but the sanction is.” These forms may be legal instruments or unwritten norms. The fifth and final object includes social markers. These markers are commonly entitled demographic information, they are the sorts of categories used frequently to search for correlation with outcomes; they include factors like gender, class or race. Figure 3.6 summarises the five social objects.

Vertexicality Scott’s third mode, listed in Fig. 3.6, refers to the extent to which a social object resists shaping. For example, a table is highly resistant to shaping while a pillow is easily shaped. Just as duvets are given different ‘tog’ ratings to designate their thermal capacity, we allocate firmness grades to Scott’s five social objects, see Fig. 3.6. Scott uses this term, vertexicality, in exploring the relationship between a specific structure and a particular agent. Therefore, these gradings will vary depending on the causal powers of the agent in question. For example, a head teacher may be able

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to allocate additional physical resources and thus reduce the firmness of the embedded object whereas a pre-service teacher would not be able to.

Norm Circles Having explored Scott’s five social objects, we now introduce the four social categories described by Elder-Vass (2010). These categories help us to identify and to elaborate on Scott’s ‘social markers’, the fifth of Scott’s categories. Elder-Vass’ social categories are used in the data interpretation Chaps. 8, 9, and 10. The first category is the ‘norm circle’. Humans act under the influence of a large number of norms. They display “normative social practices…. regularised practices encouraged by dispositions or beliefs about appropriate ways of behaving that are shared by a group of people” (Elder-Vass, 2010, p. 116). ‘Norm circles’ generate emergent causal powers that enable them to persuade individuals as a result of the interaction within the circle, so the collective norm produces standardised behaviour. Hodgson (2007) makes a similar point, in the field of economics, where he indicates that economic game theory assumes the existence of implicit or explicit social norms. An alternative way to express this is that a norm circle exercises ‘downward causation’ on the entities within it. Some of these norms, such as driving on the left-hand side of the road in the UK, are regulatory, legal norms. Others, such as shaking hands with the right-hand, are cultural norms that operate within western cultures. An individual is, of course, part of many intersecting norm circles. Elder-Vass (2010) takes the example of queuing as a cultural norm and the reader is encouraged to read his well-developed example in Chap. 7 of ‘The Causal Powers of Social Structures: Emergence, Structure and Agency’ (Elder-Vass, 2010). Some readers may be unfamiliar with the British term ‘queue’, and the British practice of queuing, using instead the North American phrase ‘getting in line’. It is an instructive example as, in the UK, there is a strong norm of queueing; and associated with it is a deep aversion to those who disregard the unwritten rules and ‘jump the queue’. Sanctions are applied to rule breakers. Elder-Vass (2010) introduces three types of norm circle, the ‘proximal’ norm circle, the ‘imagined’ norm circle and the ‘actual’ norm circle. Norm circles are groups of people who “endorse and enforce” a particular norm (ibid, p.  123). A ‘proximal’ norm circle is the group of people who have interacted directly with an individual. There is a second, wider group and this is the ‘imagined’ norm circle. This is the group that the individual believes hold the norm. The third and final group is the ‘actual’ norm circle that comprises all the people who do actually hold the norm in question. To explore the different types of norm circle, we take an example. On a group walking tour in the south of France, the guide indicates a particular hill and recounts the story of a religious cult that many centuries ago believed that the world would soon end. They would, however, be saved if they performed certain devotions regularly and made their way to the aforementioned hill at midnight on a certain date. Whether this is a true or apocryphal story, it will serve as the

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setting for this example. Let us say a villager is invited by a neighbour to join this cult of 20 people. After several meetings of the cult, the villager endorses the norm, believes the hypothesis and performs the necessary devotions. This village group forms the ‘proximal’ norm circle. From the other members of the cult, the villager is led to understand that there are small groups throughout the region, each focussed on a local landmark, and this image of the region forms the villager’s ‘imagined’ norm circle. However, the cult has been initiated by a traveller who has instigated a group in only three villages spread across the country, so the ‘actual’ norm circle is only slightly bigger than the ‘proximal’ norm circle. It is the ‘proximal’ norm circle that has emergent causal power, encouraged by the beliefs of its members, it has the power to endorse and enforce the cult’s belief. The villager’s belief that a much larger group, the ‘imagined’ norm circle holds the same beliefs reinforces this causal power.

Interaction Groups The second category of social structure posited by Elder-Vass is the ‘interaction’ group, a term introduced by Goffman (1956/1990). This term describes a group of people who all congregate for a particular event. They do not know each other but they will all experience a particular event because they are present at a particular place, at the same time. It is common with an interaction group for some members to hold a common norm, others may then copy the action that the norm demands, thus accepting the norm. Members who hold the norm may also impose sanctions on those who do not comply with it, thus again, reinforcing the norm. Let us take a situation where a number of adults take their young child, or children, to a play-­ park. The smallest children will need close supervision, others may need help or supervision on certain equipment. The sort of norms that will apply will be supervision of the youngest children, turn-taking and compliance with any regulations, such as maximum age of children permitted in the play area or the prohibition of dogs. In terms of sanctions, adults are most likely to sanction the behaviour of their own or other children where they believe the behaviour could put a child at risk. This will probably be followed by adults sanctioning behaviour that does not comply with regulations. With their own children, they are most likely to curb behaviour that they think is risky and discourage their child from doing something that they feel is unfair to other children, such as spending too long on the swing while other children are waiting for a turn. The norms that apply in this situation relate to risk, fairness and following regulations. Should we find that two parents start to chat to each other, and as a result cease to observe the behaviour of their children, then another parent might intervene in relation to any of these norms and directly approach another person’s child. A prominent norm however would be to address concerns directly to a parent rather than the child. In the case of an older unaccompanied child coming into the playpark, adults may well sanction them if they are not observing the norms.

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Associations The third category of social structure to be explored is the ‘association’. Where an ‘interaction’ group persists beyond a single event or where members of a ‘norm circle’ meet together regularly, they become an ‘association’. The noticeable difference here is that this group exerts ‘downward causation’ upon its members. We are all members of many different ‘associations’, for example families, working environments, religious groups, political parties, and sports clubs. An extreme example of an ‘association’ is that used in the example presented earlier in this section, the cult. Festinger explored this issue and in so doing introduced the term ‘cognitive dissonance’ by becoming an undercover researcher who joined a cult (Festinger et al., 1956). The cult believed that the world would end on a certain date and that the believers would be saved and transported to a better place. The aim of Festinger’s (ibid) research was to understand what happens when the date is reached, and the world does not end. He explored the factors that lead to some members of the cult withdrawing from the cult, while others have their beliefs reinforced. He discovered that some members generated an explanation for the non-ending of the world. The transportation date had been delayed for some good reason and would occur later. This disappointment led to some cult members losing their faith and leaving the cult, while others developed an even stronger commitment to the cult. The main factor, impacting this choice, was the presence or absence of the cult member at the time of the ‘non-event’. Those members of the ‘association’ who were together, generated an emergent causal power that acts upon all the individuals present to accept the explanation and retain their belief in the norms of the ‘association’. Those members of the cult who were absent from the group at the time were more likely to question the beliefs of the cult. For those readers who wish to explore cognitive dissonance, Festinger’s (ibid) account of undercover research is gripping. Such research would, of course, no longer be sanctioned for ethical reasons.

Organisations The fourth category of social structure to consider is the ‘organisation’. This category is a more structured and formal ‘association’. It could be a company, a university, a school. An ‘organisation’ has people who occupy specialist roles and there are authority relationships, as a result of this role specialisation. Many of the roles will have formal job descriptions but there will also be some informal roles as there would be in an ‘association’. Like associations, organisations have emergent causal powers and exert downward causation upon those employed within the organisation. The roles within an organisation are not entities. The incumbents, the people who occupy those roles, are the entities. Many of the norms of an organisation will be captured in documents such as role descriptions, committee responsibilities, committee agendas, human resource policies, and the institution’s values and

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Elder-Vass’ Five-Stage Social Ontology

strategic objectives. In addition, there will be informal norms that are usually similar to those of other institutions of the same type. To summarise, we have just presented a number of different group structures posited by Elder-Vass, the ‘norm circle’, the ‘interaction’ group, the ‘association’ and the ‘organisation’. These are all groups of human beings. A human is a set of biological parts, these parts are entities in their own right but when combined they create an entity that has the emergent causal power of agency. In just the same manner, any of the social structures just described comprise human parts that are entities, but when combined create an entity that has emergent causal power. This power is the power to endorse and enforce one or more norms.

Elder-Vass’ Five-Stage Social Ontology Elder-Vass (2010) proposes a five-stage approach to research in the social sciences that aligns with critical realism. Prior to the five stages, he recommends listing the terms in the domain that is being studied, that is identifying the entities, their parts, relationships, causal powers, emergent properties, mechanisms, morphogenetic and morphostatic causes, interaction, and events. In Fig.  3.7 we have included the actions described above as stage 0. This allows us to produce a helpful summary of the tests that Elder-Vass (ibid) proposes should be undertaken. For example, the first test in stage 0 identifies which concepts are entities and which are emergent properties. While these stages are presented as if they should be completed consecutively, Elder-Vass (ibid) makes the point that the order is not critical and that the researcher should iterate. Stage 1, the ‘local complementarity’ stage, can be facilitated by studying the literature in a particular domain to identify the causal factors that experts in the subject have acknowledged. Stage 2, the ‘downward recursion’ stage considers whether parts identified in stage one, form wholes in another discipline. The third stage is the ‘retroduction’ test where one asks what could produce the emergent causal power or effect. This is the hypothesis generating stage. The fourth stage is the ‘emergence level’ test, where one asks whether the parts would generate the same emergent property if organized in a different way. Finally, within the fifth stage, the ‘fallibility’ test, one assesses whether the method works. These stages are Stage 0

Test Identification of Terms

1 2 3

Local Complementarity Test Downward Recursion Test Retroduction Test

4

Emergence Level Test

5

Fallibility Test

Fig. 3.7  Elder-Vass’ social ontology

Description List entities, powers, events, from domain specific or regional ontologies Identify whether the concepts of interest are entities, emergent properties etc. What are the parts/components of each entity? Ask yourself: What could be the causal entities underlying the emergent properties? Would the emergent power have emerged had the components been organized in a different way? Does it work?

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presented here for information. The researcher attempted to utilize these tests during the first iteration of data interpretation. They proved difficult to apply and did not yield useful outputs. As a result, Scott’s social objects and Tao’s interpretation of the capability approach and value functioning, as described in the next sections, were adopted in their place.

Introduction to the Capability Approach One of the few examples of the application of critical realism in a research study in education is that of Sharon Tao (2013, 2016). She combined critical realism with the Capability Approach in order to answer the question “Why are teachers absent?”. During her PhD research in Tanzania, she explored the circumstances surrounding frequent teacher absence from school. Previous research in the area had assumed that teachers’ behaviour was a product of “cultural structure … thereby overlooking teachers’ capacity for deliberation and agency” (Tao, 2013, p. 2). Her argument for selecting critical realism is that it provides an explanation of empirical events by interrogating the causal mechanisms and her rationale for choosing the capability approach is that it is able to explain behaviour that may be considered irrational. We begin by considering the conception and development of the capability approach. It was conceived by Amartya Sen, winner of the Nobel Prize in Economic Sciences, a political economist with a doctorate in philosophy. Unusually, for a theoretical framework, the capability approach has influenced public policy. Since 1990, it has formed the basis for the annual Human Development Report of the United Nations Development Programme (Kremakova, 2013). There is a great deal written about the capability approach in the field of social welfare analysis, both by its originator Sen (1979, 1999, 2002) and by the other major protagonist, Martha Nussbaum (2000). She writes instead of the Capabilities Approach. Both authors have adapted and developed their ideas over several decades and a number of other writers have addressed their ideas and suggested adaptations (Robeyns, 2005a; Alkire, 2005; Kremakova, 2013). The major point of difference between the thinking of Sen and that of Nussbaum is that Nussbaum contends that it is helpful to make lists of the central human capabilities. Robeyns (2005a) investigates this difference in approach, by Sen and Nussbaum, and proposes capabilities that she believes influence the quality of life, noting that Nussbaum’s work is predominantly philosophical and places great emphasis on justice. Nussbaum’s view is a normative one, she derives a list of the qualities of life that she believes should be important. Meanwhile, “Sen stresses the role of agency, the process of choice, and the freedom to reason with respect to the selection of relevant capabilities” (Robeyns, 2005a. p. 196). Sen believes that the voice of the relevant group should be the one speaking, he emphasises the importance of participation and reinforces the fact that it is the aims and values of the group under investigation that are of critical importance. Both the capability approach and the capabilities approach are loose networks rather than theories.

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Sen’s Capability Approach Model Sen’s model, originating in the 1970s and 1980s, attempted to shift the thinking of politicians and policy makers to capability “as a human-centred alternative to traditional utilitarian economics” (Kremakova, 2013). In ‘Development as Freedom’, Sen (1999) states that human development should not be limited to factors such as growth in GDP, rising income, industrialization, technical advance and social modernisation, it should also give regard to human freedoms. He defines these as “the substantive freedoms - the capabilities - to choose a life one has reason to value” (ibid, p. 74). His approach judges human development by well-being rather than by economic growth. The term well-being has entered the public lexicon and is recognised as a significant factor within the education of children. Nevertheless, many policy documents ascribe the goal of education to be the production of a trained workforce to enable the nation state to compete in a global marketplace. Sen has written a very large number of articles and books. One of the earliest was the Tanner lecture in 1979, where he discussed the concept of ‘basic capability equality’. Sen (2002) has written extensively on poverty and famine. The example frequently quoted is of the comparison between someone who fasts and someone who starves due to famine. The individual choosing to fast for religious, or other reasons, is making a deliberate choice and has the capability to eat, should they choose to. The family living in poverty, without sufficient income to purchase food, do not have the capability. Sen emphasises that there is no direct correlation between income and capability because capability is influenced by factors such as age, gender, social class and disability, the variables that Scott (2010) entitles social markers.

Description of the Capability Approach There are two primary components of the capability approach, the first is functionings and the second is capability (Alkire, 2005). Sen describes the functionings as the beings and doings of people, the activities that a person wants to do and the person that they want to be. Although there will clearly be an overlap between different people, in terms of what functionings are valued, the functionings will nevertheless differ depending upon the situations in which people find themselves, their prior experience and the multiplicity of the beings and doings that any one person has in their life. The second component capability refers to the freedom that an individual has to achieve the functionings that they value. Another term for capability, therefore, would be the freedom to achieve the aim that you wish or the opportunity to achieve the functionings that you value. Sen uses the term freedom in many of his articles and books. An example that may clarify this concept follows. If I do not wish to go out this evening but instead hope to stay at home and read a book, I can choose to stay at home, therefore I have the capability. This is a doing that I value at the moment and

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that I can achieve. Now, imagine my choice is made during the Covid19 pandemic lockdown; the places that I might go in the evening have all been closed. My alternatives, my capabilities, are much reduced and I may no longer judge that the doing that I value is to read a book. My circumstances have changed and with it the value of my functionings. In this situation I no longer have the capability or the freedom to choose alternative doings. Tao (2013, 2016) extends the capability approach slightly by taking on board proposals from Robeyns (2005b). Robeyns (ibid) introduces the term conversion factor that identifies the capability or the opportunities for choice in order to be able to achieve the desired functioning. She categorises these conversion factors under three headings: i) personal -relating to the skills and abilities of the individual, ii) environmental – relating to the geographical or space opportunities or constraints and iii) the social- relating to social norms and practices. Tao (2013) uses these three categories and incorporates them into a model whereby she moves from functionings and capability into conversion factors and then converts them into tendencies and counter-tendencies, the latter being concepts adopted from critical realism.

Conclusion In this chapter the concepts of critical realism, as described by Roy Bhaskar (1975, 1979), have been reinforced and related to the social sciences. Four main tenets of critical realism are listed and described. The first tenet is the epistemic fallacy, that one cannot assume that the facts that one knows represent the whole of reality. The second tenet is that the world consists of stratified, open systems with emergent causal powers that surface as we move up a level. The third tenet is that objects, whether physical or social, have power, three sorts of power- possessed power, exercised power and actualised power. Finally, the fourth tenet is that events are produced by multiple variables acting within particular configurations or patterns of relationships. This chapter also introduces several theoretical frameworks that inform the research strategy. The issue of ontological rigour is discussed, drawing on the work of Elder-Vass (2010). The comparison between morphostasis and morphogenesis leads us into the contentious area of structure versus agency and we present Margaret Archer’s four-part model. Scott’s categorisation of five social objects is described and discussed, together with his perceptions of social evolution, of truth value, data collection and vertexicality. The four social categories of Elder-Vass, norm circles, interaction groups, associations and organisations are explained, and his five-stage social ontology is tabulated. Finally, discussion moves to Tao’s (2013) amalgamation of critical realism with the Capability Approach. Tao combines the two frameworks in order to undertake a research project within education. The capability approach, as introduced and applied in social welfare analysis, is discussed at length (Sen, 1999, 2002; Nussbaum, 2000; Robeyns, 2005a; Alkire, 2005). The theory

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discussed in this chapter forms the basis for the Womposo strategy devised in the next chapter, Chap. 4 and applied within the practicum study in Part II.

References Alkire, S. (2005). Why the capability approach? Journal of Human Development, 6(1), 115–135. Alvargonzález, D. (2013). Is the history of science essentially Whiggish? History of Science, 51(1), 85–99. Archer, M. (1995). Realist social theory: The morphogenetic approach. Cambridge University Press. Archer, M. (1998). Critical realism: Essential readings. Routledge. Archer, M. (2001). Being human: The problem of agency. Cambridge University Press. Archer, M. (2013). Social morphogenesis. Springer. Baert, P. (2005). Philosophy of the social sciences: Towards pragmatism. Polity Press. Barton, N. H., Briggs, D. E. G., Eisen, J. A., Goldstein, D. B., & Patel, N. H. (2007). Evolution. Cold Spring Harbor Laboratory Press. Benton, T., & Craib, I. (2011). Philosophy of social science: The philosophical foundations of social thought. Palgrave Macmillan. Berger, P. L., & Luckmann, T. (1991). The Social construction of reality. Penguin. (original work published 1966). Bhaskar, R. (1975). A realist theory of science. Verso. Bhaskar, R. (1979). The possibility of naturalism. Routledge. Blakely, J. (2016). Alastair MacIntyre, Charles Taylor and the demise of naturalism: Reunifying political theory and social science. University of Note Dame Press. Bunge, M. (2004a). Emergence and convergence: Qualitative novelty and the unity of knowledge. University of Toronto Press. Bunge, M. (2004b). Clarifying some misunderstandings about social systems and their mechanisms. Philosophy of the Social Systems, 34(3), 371–338. Cochran-Smith, M., Ell, F., Grudnoff, L., Ludlow, L., Haigh, M., & Hill, M. (2014). When complexity theory meets critical realism: A platform for research on initial teacher education. Teacher Education Quarterly, 41(1), 105–122. Collier, A. (1989). Scientific realism and socialist thought. Harvester Wheatsheaf. Cruickshank, J. (2004). A tale of two ontologies: An immanent critique of critical realism. The Sociological Review, 52(4), 567–585. Danermark, B., Ekström, M., Jakobson, L., & Karlsson, J. C. (1997). Explaining society: An introduction to critical realism in the social sciences. Routledge. Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Festinger, L. A., Schachter, S., & Riecken, H. W. (1956). When prophecy fails: A social and psychological study of a modern group that predicted the destruction of the world. University of Minnesota Press. Fleetwood, S., & Ackroyd, S. (2004). Critical realist applications in organisations and management studies. Routledge. Fletcher, A.  J. (2016). Applying critical realism in qualitative research: Methodology meets method. International Journal of Social Research Methodology., 20(2), 181–194. Giddens, A. (1984). The constitution of society: Outline of the theory of structuration. University of California Press. Goffman, E. (1990). The presentation of self in everyday life. Penguin. (Original work published 1956). Hartwig, M. (2008). Introduction. In R. In Bhaskar (Ed.), A realist theory of science. Routledge. (original work published in 1975).

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Henson, E. (2017 May 27). Mice plague: The moment hundreds of mice flee mid north property caught on camera. The Advertiser. Retrieved from http://www.adelaidenow.com.au/technology/science/mice-­p lague-­t he-­m oment-­h undreds-­o f-­m ice-­f lee-­ mid-­n orth-­p roperty-­c aught-­o n-­c amera/news-­s tory/6da5018849a9466452bdd8442 79cd324 Hilgevoord, J., & Uffink, J. (2016). The uncertainty principle. In E. N. Zalta (Ed.), The Stanford encyclopaedia of philosophy (Winter). Retrieved from https://plato.stanford.edu/archives/ win2016/entries/qt-­uncertainty/ Hodgson, G.  M. (2007). Meanings of methodological individualism. Journal of Economic Methodology., 14(2), 211–226. Kremakova, M. I. (2013). Too soft for economics, too rigid for sociology, or just right? The productive ambiguities of Sen’s capability approach. European Journal of Sociology, 54(3), 393–419. Lawson, T. (1997). Economics and reality. Routledge. Lopez, J., & Scott, J. (2000). Social Structure. Open University Press. Mayo, E. (2003: 1933). The human problems of an industrial civilisation. Routledge. Mingers, J. (2016). Systems thinking, critical realism and philosophy: A confluence of ideas. Routledge. Mingers, J., Mutch, A., & Willcocks, L. (2013). Critical realism in information systems research. MIS Quarterly, 37(3), 795–802. Monder, R., Edwards, P. K., Jones, T., Kiselinchev, A., & Muchenje, L. (2014). Pulling the levers of agency: Implementing critical realist action research. In P.  K. Edwards, J.  O’Mahoney, & S.  Vincent (Eds.), Studying organizations using critical realism: A practical guide (pp. 205–222). Oxford Scholarship Online. Mor, S. (2019). Social science research: An introduction. ResearchGate. Retrieved from https:// www.researchgate.net/publication/331979987 Norris, C. (2005). Epistemology: Key concepts in philosophy. Continuum. Nussbaum, M. C. (2000). Women and human development: The capabilities approach. Cambridge University Press. O’Gorman, K., & MacIntosh, R. (2017). Research methods for business and management: A guide to writing your dissertation. Goodfellow Publishers Ltd. O’Mahoney, J., & Vincent, S. (2014). Critical realism as an empirical project: A beginner’s guide. In P. K. Edwards, J. O’Mahoney, & S. Vincent (Eds.), Studying organizations using critical realism: A practical guide (pp. 1–20). Oxford University Press. Orwell, G. (1936). Keep the Aspidistra Flying. Gollanz. Poli, R., Scognamiglio, C., & Tremblay, F. (2010). The philosophy of Nicolai Hartmann. De Gruyter. Porpora, D.  V. (2015a). Reconstructing sociology: The critical realist approach. Cambridge University Press. Porpora, D.  V. (2015b). Whatever happened to social structure? In D.  V. Porpora (Ed.), Reconstructing sociology: The critical realist approach (pp.  96–128). Cambridge University Press. Robeyns, I. (2005a). Selecting capabilities for quality of life measurement. Social Indicators Research, 74, 191–215. Robeyns, I. (2005b). The capability approach: A theoretical survey. Journal of Human Development, 6, 93–114. Rosenthal, R., & Fode, K. M. (1963). The effect of experimenter bias on the performance of the albino rat. Behavioural Science: Journal of the Society for General Systems Research, 8(3), 183–189. Rumsfeld, D.  H. (2002, February 12). DOD News briefing: Secretary Rumsfeld. US Department of Defense. Retrieved from http://archive.defense.gov/Transcripts/Transcript. aspx?TranscriptID=2636 Saunders, M., Lewis, P., & Thornhill, A. (2009). Research methods for business students. Pearson Education Limited.

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Sayer, A. (2000). Realism and social science. Sage. Scott, D. (2010). Education, epistemology and critical realism. Routledge. Sen, A. (1979). Equality of what? The Tanner lecture on human values. Delivered at Stanford University, May 22, 1979. https://www.ophi.org.uk/wp-­content/uploads/Sen-­1979_Equality-­ of-­What.pdf Sen, A. (1999). Development as freedom. Oxford University Press. Sen, A. (2002). Rationality and freedom. Belknap Press. Tao, S. (2013). Why are teachers absent? Utilising the capability approach and critical realism to explain teacher performance in Tanzania. International Journal of Educational Development., 33, 2–14. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan. Vegh, C. A., Vuletin, G., & Riera-Crichton, D. (2018). From known unknowns to black swans: How to manage risk in Latin America and the Caribbean. The World Bank. Volkoff, O., Strong, D. M., & Elmes, M. B. (2007). Technological embeddedness and organizational change. Organization Science, 18(5), 832–848. Wynn, D., & Williams, C. K. (2012). Principles for conducting critical realist case study research in information systems. MIS Quarterly, 36(3), 787–810. Zachariadis, M., Scott, S., & Barrett, M. (2013). Methodological implications of critical realism for mixed-methods research. MIS Quarterly, 37(3), 855–879.

Chapter 4

The Stepping-Stones Model and the Worldview, Metaphor and Power of Social Objects (Womposo) Strategy

Abstract  This chapter has three purposes. Firstly, it seeks to direct the post-­ graduate student and early career researcher towards various types of research text. Secondly, it develops and presents a ‘Stepping-Stones’ model of the stages of a research project. Thirdly, drawing on several theoretical frameworks, a composite research strategy entitled Worldview, Metaphor and Power of Social Objects (Womposo) is devised. Womposo is our new research strategy based upon a critical realist ontology and epistemology and is predicated on systems thinking. Womposo adopts Peter Checkland’s Soft Systems Methodology for the first two activities. The second activity also incorporates the notion of metaphor. The metaphor concept emerged from the interpretation of the data, at an early stage in the Practicum Study research project, presented in later chapters of this book. Womposo takes the causal powers of social structures and social categories as described by Dave Elder-Vass, together with the social objects of David Scott for the third activity. The fourth and final activity in Womposo co-opts the Capability Approach of Amartya Sen, as adopted by Sharon Tao in her thesis, together with the exit, voice, and loyalty concept of Albert Hirschman. Keywords  Action research · Axiology · Exploratory/explanatory approach · Metaphor · Research design · Research onion · Soft systems methodology · Stepping-stones · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction This chapter has several purposes. Firstly, it seeks to point the post-graduate student and early career researcher towards research texts, both those that provide a high-­ level overview of the stages of the research process and those that focus on particular research strategies or data collection techniques. While many texts are aimed at the social sciences in general, others focus on specific areas, such as education, health and social care, management and business studies. Those books aimed at specific disciplines will often be equally beneficial to the researcher in any social science and we encourage the reader to seek advice from any research methods © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_4

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texts, regardless of the intended discipline. Secondly, this chapter seeks to develop and present a ‘Stepping-Stones’ model of the stages of a research project, one that will provide a structure for the arrangement of this chapter and provide signposting to the reader. These stages will frame the description of the action taken within the Practicum Study, as described in Chap. 7. Thirdly, this chapter draws on several theoretical frameworks and presents to the reader a composite research strategy that we entitle ‘Worldview, Metaphor and Power of Social Objects’ Womposo. Womposo is split into four activities, that can be seen later in this chapter in Fig. 4.3. The first two activities are modified elements of Soft Systems Methodology (SSM) (Checkland, 1981; Checkland & Scholes, 1990). The third activity integrates Elder-Vass’ (2010) work on the causal powers of social structures with Scott’s (2010) categorisation of social objects and their resistance to agency. The fourth activity is influenced by the Capability Approach (Sen, 1999; Nussbaum, 2000) and its application by Tao (2013, 2016). Activity 4 also incorporates the ‘exit, voice and loyalty’ construct that has been applied widely, over many years (Hirschman, 1970). The notion of metaphor emerged from the interpretation of the data in the Practicum Study at an early stage in the research process. The naming of the Womposo research strategy results from the combination of the following key aspects: importance of stakeholder perspective represented by the term Worldview; our novel application of Metaphor; the Power of social entities; and finally the term Social Objects emphasising entities with causal mechanisms. All these concepts are underpinned by our commitment to a critical realist ontology. The reader who has no knowledge of critical realism is advised to read Chaps. 2 and 3.

Research Methods Texts There are numerous research methods textbooks, many of which are suitable for new researchers, guiding them through the research process. Other texts focus on research in specific disciplines, for example education or business studies. Table 4.1 provides a list of references categorised by discipline or theme. While some texts focus on a particular research strategy such as case study, others focus on general data collection methods. Some texts address techniques such as interviewing, and others present specific aspects such as research ethics. Not only should you consider texts that cover the whole research cycle, different disciplines, various research stages, specific data collection tools and data analysis techniques, but it is worth seeking out readable texts. There are texts that focus on the nature of the participants, suggesting that it is necessary to adopt a relational epistemology, something based on the lived experience and the culture of the respondents. An example is Chilisa (2012) who concentrates on indigenous societies. Changes in the environment will lead to new methods, such as the application of online research approaches (Fielding et al., 2016). Fozdar and Israel (2018) identify emerging areas of debate: new technologies, data sharing,

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Table 4.1  Scope of research texts Scope covered Broad steps of the research cycle Research in education Research in management/ business studies Case study research strategy Grounded theory research strategy Action research strategy Qualitative analysis Quantitative analysis Interviewing Research ethics Readable texts

References Bell (1987), Blaxter et al. (1996), and Denscombe (2003) Cohen and Manion (1991: 1980), Ary et al. (2014), and Punch and Oancea (2014) Saunders et al. (2016), Bell et al. (2015), Easterby-Smith et al. (2008), Tharenou et al. (2007), and Ghauri et al. (2010) Gillham (2000), Gerring (2006), Stake (1995), Denscombe (2003), and Yin (2003) Strauss and Corbin (1997) and Denscombe (2003) Zuber-Skerrit (1992), Mills (2000), Carr and Kemmis (1986), and McKernan (1996) Miles and Huberman (1994), Silverman (2000), Burgess (1985), and Strauss (1991) Hoy and Adams (2016), Muijs (2011), and Kaplan (2004) Kvale and Brinkmann (2009), Gillham (2000), and Johnson (1994) Iltis and MacKay (2018), Israel (2015), and Oliver (2010) Robson (2002), Miles and Huberman (1994), Blaxter et al. (1996), and Bell (1987)

formalisation of consent, intercultural/indigenous study and auto-ethnology. You will need to read widely before you determine your research approach and then you should consider the stages of the research study. The references included in this chapter will of course date and, as you will see, some of them were published some time ago and may not be the most recent edition. Nevertheless, many stand the test of time, and you will note that many new editions are published, often with an additional contributor (Saunders et  al., 2016; Gilbert & Stoneman, 2016; Cohen & Manion, 1991 and 6th edition: Cohen et al., 2007). This publication of new editions is a sign of popularity with students and academics. It is also important that you search for new research methods texts. Access to a university library will enable you to browse the shelves and access the university’s electronic library. This resource is invaluable given the number of relevant journal articles. Some journal articles will address rather unusual topics, such as an article on e-mail interviewing (Meho, 2006) and one on the power of narrative in research (Chambers, 2003). It is logical and practical for the early career researcher to begin by considering the stages of the research project. Most research methods texts are structured in a coherent and comprehensible manner. However, there is limited consistency between authors regarding the classification and naming of stages. This inconsistency can be confusing. A serviceable model that stresses the importance of recognising an underpinning philosophy to inform your research design is the ‘Research Onion’ (Saunders et al., 2016). Although originally aimed at students of Business Studies, it is equally relevant for all social science research. Taking the Research Onion model as our starting point, we have consulted a number of research texts to

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compare terminology. These findings have enabled us to determine the naming conventions for our Stepping-Stones strategy.

Research Onion Model: Ontology and Epistemology Saunders et al. (2016) devised the Research Onion model for research in Business Studies and the reader will find many references to it on-line (Research Onion, n.d.). We note that post-modernism and critical realism have been introduced to editions post 2015. The diagram presented has six concentric ovals representing the layers of an onion (Saunders et al., 2016, p. 124). In some of the on-line versions, ‘ontology’, ‘epistemology’ and ‘axiology’ lay outside the onion but none of these terms appear in the 2016 edition of the textbook. Saunders et al (ibid) entitle the outer layer of their Research Onion model ‘philosophies’, this layer represents both the researcher’s ontology and their epistemology. The examples given by Saunders et al (ibid) are positivism, realism, interpretivism and pragmatism. Realism and critical realism are ontologies that reflect the belief that the world exists. Positivism, interpretivism and pragmatism are all epistemologies. Many research texts and even on-line sources in philosophy, such as the Stanford Encyclopaedia of Philosophy and the Internet Encyclopaedia of Philosophy fail to distinguish between ontology and epistemology. In the research sphere, the term ‘research philosophy’ is often used to encompass both. Where authors do specify whether a term is ontological or epistemological, there is often disagreement. If you try looking up a term such as ‘constructivism’ you will find different definitions and disagreement regarding whether it is an ontology or an epistemology. More than most disciplines, philosophy is laden with confusing and changing terminology, where a particular term can have many meanings.

Exploring the Layers of the Research Onion The six layers of the Research Onion are listed in Table 4.2, where examples from Saunders et al. (2016) can be found in column 3. Terms from other authors have been incorporated in column 4, for each stage. This list is by no means a comprehensive survey, but it will enable you to see the wide range of terminology in use. It is recommended that the reader approaches research methods texts seeking to understand how the authors are interpreting commonly used expressions. The metaphor of the onion serves to stress that one should start peeling the onion from the outside, thus the outermost layer is layer 1. This implied importance of the order of actions is at odds with our view that there are multiple points at which one could begin, and that it is necessary to iterate, that is to revisit earlier stages. Regardless of the differences in interpretation, application of the Research Onion model

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Table 4.2  Comparison of research stages Research onion Layer classification 1 Philosophies

Saunder’s examples Positivism Realism Interpretivism Pragmatism

2

Approach to theory Deductive development Inductive

3

Strategy(ies)

Case study Action research Experiment Survey Ethnography

4

Methodological choice

5

Time horizons

6

Techniques & procedures

Multi-method Mono-method Mixed-method Longitudinal, cross section Data collection & data analysis

Alternatives Philosophical stances: University of Derby, no date Subjective/objective dimension: Cohen and Manion (1991) Strategies: Bell et al. (2015) Paradigms: Lather (2006), Ling and Ling (2017), and O’Gorman and Macintosh (2017) Strategies: Bell et al. (2015) Sources of knowledge: Ary et al. (2014) Approach: Creswell (2013), Blaxter et al. (1996) and Bell (1987) Research design: Bell et al. (2015) Methodology: Checkland and Scholes (1990) Fixed designs: Robson and McCarten (2016) Designs: Hesse-Bib (2010) Methodologies: Dick (1995) Research design: Bell et al. (2015) Methods: Cohen and Manion (1991)

Term adopted in this chapter PARADIGM

RESEARCH DESIGN STRATEGY

RESEARCH DESIGN RESEARCH DESIGN METHODS

reinforces the fact that the practical activities of collecting and analysing data should be informed by decisions of a more conceptual nature. There is widespread agreement that researchers should disclose their underpinning philosophy, for example O’Gorman and Macintosh (2017) contend that one’s research design should be located within a particular research paradigm. However, there are some contradictory views, for example Robson and McCarten (2016, p. 18) state that “jobbing researchers often seem to get on quite adequately without worrying about philosophical matters such as ontology and epistemology. We have tried to restrict such matters to a need-to-know footing”. Conversely, we hope that by addressing the fundamental question of the researcher’s interpretation of the nature of the world, as presented in Chaps. 1, 2, and 3, we can dissipate the fear of such philosophical matters. Our aim is to provide each of Robson and McCarten’s ‘jobbing researchers’ with a handy backpack in which to carry the research design, strategies and methods.

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As can be seen from Table 4.2, the first layer of the Research Onion is entitled ‘philosophies’. This captures the researcher’s outlook on the objective/subjective dimension, it determines where one is on the ontological and epistemological spectrum. Some interpretations of the model (University of Derby, n.d.) term it a philosophical stance, perhaps meaning a viewpoint. This is an unusual term and many authors speak instead of a ‘paradigm’: meaning a widely accepted belief or worldview. An example of one such belief is the acknowledgement that the earth is round. When the common belief was that the earth was flat, people supposed that they could fall off the edge. The adoption of a contradictory belief is an example of a ‘paradigm shift’. The shift in view, from a flat to a round earth, resulted in sailors, or at least ship captains, starting to believe that it was possible to sail around the world. Kuhn (1965) established the term ‘paradigm shift’ to describe the situation when scientists, following a gradual evolution of ideas, perceive and accept a major change in worldview, a sudden and significant conversion, indeed a conceptual revolution. One can see this new concept as an emergent social entity. Using systems terminology, the initial scientific understanding is in ‘morphostasis’, a steady state situation. A minor change to an entity possessing causal powers, or to the configuration of a set of entities, can result in the appearance of an emergent feature. This process is ‘morphogenesis’, the emergence of a new paradigm (Archer, 2013). After this change the system will settle into another steady state. The terms adopted by Saunders et al. (2016) for each layer, discriminate between distinct stages of the research process and imply the order in which decisions should be made and actions undertaken. However, other authors identify and name stages differently, or not at all (Creswell, 2013; O’Gorman & Macintosh, 2017). We have concluded that the three distinct stages in Table 4.2, labelled as (2). ‘Approach to theory development’, (4). ‘Methodological Choice’ and (5). ‘Time horizons’ should all be incorporated in the Stepping-Stones Research Design stage. If the reader consults Saunders et al. (2016) they will find that their chapter headings do not coincide with the onion layers and many research activities are included in their research design chapter. Nevertheless, the Research Onion (n.d.) is a fruitful model to help researchers gain a holistic, conceptual map of their own research project. By choosing to adopt the commonly used term Research Design to encompass a wide range of activities, it acts as a ‘bucket’ to hold various aspects of the research process, including many aspects not listed in the Research Onion (n.d.) model. The ‘strategies’ stage of the Research Onion (ibid) is the point where the researcher decides on an overall or holistic approach or strategy, such as case study, insider research, survey, experiment, grounded theory, SSM. Although some writers call this an approach or methodology, the term Strategy is most used. The definition of strategy is a plan of action to achieve a long-term aim. Finally, at the heart of the Research Onion (ibid) is (6). ‘techniques and procedures’. We have chosen the more commonly applied term Methods. Finally in Fig. 4.1, three additional stages are added to form our Stepping-Stones model. At the beginning, at 12 noon on the diagram, will be Topic and Aims and at the end, as we move round the diagram clockwise, will be Sample, Collect, Interpret Data followed by Compare with Literature. Most research methods texts use the

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Fig. 4.1  The stepping-­ stones research stages TOPIC AND AIMS

COMPARE

STRATEGY

WITH LITERATURE

PARADIGM SAMPLE

RESEARCH DESIGN

COLLECT INTERPRET METHODS

term ‘analyse’ to represent the inspection and dissection of data, but we employ the term ‘interpret’. As has been discussed in Chap. 1, a systems approach dictates that one should sometimes avoid breaking data into smaller components, at a lower level within the system. Instead, one should group data into higher-level components and interpret it holistically. In their Research Onion model, Saunders et al (ibid) are not attempting to capture all aspects of the research life cycle but are reinforcing the importance of the conceptual stages and emphasising the link between the conceptual and physical stages.

Stepping-Stones Research Stages We present our Stepping-Stones model of research in Fig. 4.1. Like Blaxter et al. (1996, p.  10), who present a research spiral diagram, we assert that undertaking research is not a linear process, it is cyclical and the researcher can enter at many points. The stepping-stones around the edge of the model represent the planning, action, analysis and write-up stages of the research. While convention indicates that one starts at the top, at 12 noon, and takes a clockwise movement to an adjacent stone, one could easily hop over two or three stones or revisit a stone. Having determined the Topic and Aims of the research, it is common to begin by exploring the literature. In this event one would hop anticlockwise first. Although it would be possible to complete the circle by stepping around the outer stones and the ‘jobbing researcher’ (Robson & McCarten, 2016) who was mentioned earlier in this chapter, might make

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this choice, we believe that it is vital to consider the underpinning Paradigm positioned in the centre of the stones. The centrality of this stage and its relationship to the other stones is captured in Fig. 4.1. Another metaphor of movement can be used to describe the situation in which one chooses to be Robson and McCarten’s ‘jobbing researcher’. This metaphor relates to the importance of articulating the central paradigm that encapsulates one’s assumptions about ontology and epistemology. Joining a research team is like swimming in a swimming pool. One can learn to swim, and practice without worrying about what is below the surface of the pool. If instead, one is an individual swimmer who is going to swim across a body of water, it is important that one knows whether there might be crocodiles or strong currents in the water. In this circumstance one needs to take these environmental factors into account. Similarly, the early career researcher joining a team may be guided around the Stepping-­ Stones stages without a clear articulation of the underpinning paradigm. However, researchers undertaking a research study alone, will need to explore the whole territory, including consideration of the paradigm. Earlier in this chapter, several layers of the Research Onion (n.d.) were combined into one stage that is entitled the Research Design. Part of research design is to consider how to negotiate access and gain ethics approval, and how to determine whether the methods chosen are valid and reliable. Epistemological choices related to the underpinning paradigm are questions of approach. Is one applying inductive, deductive or retroductive approaches or some combination? Will data collection methods be quantitative or qualitative, or a combination of both? Finally, is data collected as a snapshot, at one point in time, or is it collected longitudinally over a period? Responses to these questions will be determined partly by the epistemological assumptions but also by practical considerations such as the aims of the research and the length of time available to complete it.

Stepping-Stones: Topic and Aims It is generally easier to identify a generic research topic than it is to specify a question. In some cases, one may be able to generate a hypothesis but in the social sciences it is more likely that one will generate questions or aims. One often changes one’s mind about the questions once one has determined the generic area of study and started the background reading. It can be helpful to consider whether one’s research will be exploratory or explanatory, descriptive or predictive. Let us take the example of a trainee teacher who wishes to compare the reading genres chosen by boys and girls aged 7–11. An ‘exploratory’ research project would demand that the trainee teacher takes a large sample of boys and girls in the age-group and finds a data collection method that would reveal the percentages selecting different genres. Ways to undertake this sampling could include accessing data from libraries about the borrowing habits of children of this age-group or distributing questionnaires within schools asking pupils to record their perceived preferences. The latter might

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not reveal their actual choices but could reveal their thoughts at the time of data collection. Within an ‘exploratory’ approach the trainee teacher is trying to discover more detail, in which case he is moving towards a ‘descriptive’ approach. The trainee teacher might wish to see how the genres chosen vary by age across the 7–11 age-­ group or might wish to compare the reading of pupils in different socio-economic groups or ability levels. If, within the literature on the topic of children’s reading, the trainee teacher finds evidence to suggest that boys tend to choose non-fiction whereas girls choose fiction, then an ‘explanatory’ approach may be adopted to determine any causal factors. In this situation, the data collection method would demand more information about individual pupils. One option would be to ask a sample of girls and a sample of boys within the age-group to keep diaries over a specified period. Another option could be to interview pupils about their recent reading. Taking an ‘exploratory’ approach, the trainee teacher could be positing the hypothesis that boys read more non-fiction than girls. Taking an ‘explanatory’ approach, the trainee teacher could be asking why girls select fiction rather than non-fiction. The approach chosen is likely to be determined by the trainee teacher’s personal interest. That choice is influenced by the literature referenced and the practicalities of the research, including the timescale available for the research project and the student’s access to data. Now let us instead take the situation where the research project on pupils’ reading preferences is being undertaken by a qualified teacher as an ‘action research’ approach, a study undertaken to trial ways to improve the situation. This teacher may be concerned because all the indicators available from assessing classes over several years, suggest that nine-year old boys’ reading skills are behind those of nine-year-old girls. The teacher may hypothesise that this difference is because boys read less fiction. The research project will be driven by the teacher’s intent to take some action within the classroom. This action might be to encourage boys to read fiction or it might be to find an alternative intervention that will improve their reading skills. An ‘action research’ approach demands that data is collected from the group in question. The teacher will collect that data and the class will be ‘guinea pigs’ in any intervention. Nisbet (2005, p. 40) suggests that “there is a sense that worthwhile research must start from a position of uncertainty and uncertainty is difficult to reconcile with action and decision”. There is also a danger with an ‘action research’ approach that the teacher who introduces an intervention and measures its effect concludes that this intervention causes the improvement. As it is difficult to keep all other factors constant, one can rarely draw a cause-and-effect conclusion. This example has been chosen to illustrate that context, stance or relationship to the topic and aims will impact upon the chosen data collection methods. While determining the topic and aims is often the starting point for a research project, the aims often need to be revisited in light of the practical considerations of data collection.

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Stepping-Stones: Paradigm Many research texts discuss research philosophy but do not differentiate between ontology and epistemology. Let us briefly discuss the definition of the terms here. Ontology is the nature of reality; epistemology addresses the question of how we know about the nature of reality. The terms are interrelated, but they are not the same thing. A third underpinning aspect is axiology, the study of the value of one’s underpinning philosophy. Axiology, the philosophical study of value, is rarely discussed in research texts but is included in some authors’ discussions (Saunders et  al., 2016; O’Gorman & Macintosh, 2017). Meanwhile there are a number of books and many articles on research ethics (Israel, 2015; Iltis & MacKay, 2018; Oliver, 2010). Axiology is the study of value or of what is good, ethics is the academic study of morality. There are two main ethical standpoints, the consequentialist and the deontological. Traditionally, approaches to research ethics have leaned on the philosophical dualism of consequentialist approaches (determining whether greater good than harm will result from the research in a particular context) and non-consequentialist approaches (basing ethical decisions on predetermined general principles). (Fozdar & Israel, 2018, p. 3)

For the early career researcher, it can be difficult to untangle ontology and epistemology, but one should consider both. The epistemology that one operates within must be dependent upon what one believes reality to be. What one thinks one can know about the world, and the related methodology, that is how one can find out about it, must be dependent on one’s beliefs about reality, that is one’s ontology. Norris (2005) states, with reference to epistemology, that: the entire argument can be viewed as a range of positions taken up with regard to the basic issue between realism and scepticism concerning the existence of an ’external’ (objective or mind-independent) world that is not just a construct out of our various sense data, conceptual schemes, paradigms, language games, discourse, cultural life-forms or whatever. (ibid, p. 166)

While physical objects, whether natural or man-made, fit most easily into a realist paradigm, social objects can seem more ethereal. If we consider a physical object, the tree that the writer can see through the window, the realist considers this tree to be mind-independent. The physicality of the tree does not, however, prevent us from using the constructs and conceptual schemes to which Norris (ibid) refers. One observer may be able to distinguish between an oak tree and an ash tree; another observer may not. Observers may disagree on the precise colour of the tree. The writer may be using the tree as a metaphor. When discussing physical objects and sense data, our conceptual schemes or taxonomies and our discourses come into play. This fact does not mean, however, that we are sceptical about whether the tree exists. Many texts quote Burrell and Morgan (1979) when describing the extreme ends of the spectrum of ontology, epistemology and research methodology. At one extreme is a ‘realist’ ontology, the belief that an objective, external world exists,

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independent of the knower. This ‘realist’ ontology aligns with a ‘positivist’ epistemology, belief that the world can be researched by an independent researcher, an observer with a value free approach. At the other extreme of the spectrum is a ‘nominalist’ or ‘sceptical’ ontology, the belief that there is no objective truth, that the world is the product of individual consciousness, is socially constructed and subjectively perceived. Hence, ‘epistemology’ requires subjective consciousness to give it meaning, and research and theory are both value-driven (Zuber-Skerrit, 1992). A ‘positivist’ epistemology generates the covering laws, as discussed in earlier chapters. A ‘phenomenological’ epistemology demands that the observer cannot be detached from the frame of reference. Many authors reproduce or adapt Burrell and Morgan’s early model the “subjective- objective dimension” of social science (Burrell & Morgan, 1979, p. 3). Burrell and Morgan’s model is frequently cited by other authors and forms the basis for later models. Many ontologies and epistemologies are developed to contrast with, or replace, previous models and therefore, to understand them fully, one needs to study the history of ontology and epistemology. In Fig. 4.2, we present our version of the spectrum of ontology and epistemology. We have adopted the terms that are most frequently used and widely understood. As we are adopting a critical realist paradigm, we include critical realism in our spectrum and locate it in the centre, midway between the two extremes that are normally presented. This section concludes by reminding the reader of the nature of critical realism, as explained in more detail in Chap. 3. While realists accept that concrete objects are mind-independent, critical realists recognise that physical objects are ‘mind-­ independent’ but our observation of events is ‘theory-laden’. Critical realism describes the world as stratified, consisting of objects that have causal powers. These causal powers interact and form emergent properties. This description of the world is an ontology. Once the question ‘How do we know?’ is asked, then we enter the realm of epistemology and the statement that our observation of events is ‘theory-­laden’ becomes relevant. The layered concept of powers within critical realism accepts the assumption that there will be things we cannot know. So there are two important factors within a critical realist epistemology. Firstly, there will always be things that we cannot know and cannot discover. Secondly, how we see things will be interpreted through our existing beliefs and theories. Critical realism

Ontology: what can we know? Realism Social and natural reality exists

Critical realism Stratified Causal powers

Epistemology: how can we know it? Positivism Critical realism Objective

Mind-independent but value-laden

Fig. 4.2  The spectrum of ontology and epistemology

Relativism/Idealism Reality derived from human cognitive process Social Constructivism Subjective

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provides a middle way, for both ontology and epistemology, traversing the gap between the extremes of the spectrum.

Stepping-Stones: Strategy There are numerous situations in which a positivist epistemology can be applied in the social sciences, where one collects a large sample of numerical data. One normally tests the data by having two groups, with one group used as a control group. This technique is the traditional research paradigm, quantitative, mathematical and statistical and yielding results that are claimed to be valid and reliable (Cryer, 2006). Early work in educational research, in the late 1960s and early 1970s, focused on a scientific-experimental paradigm. Large-scale statistical analyses undertaken by The National Foundation for Educational Research (NFER), were in alignment with a realist ontology and positivist epistemology (Nisbet, 2005). Surveys and questionnaires are still very widely used and are popular with students (Cohen & Manion, 1991; Easterby-Smith et al., 2008; Moser & Kalton, 1989). Questionnaires are not, however, straightforward. Response rates are generally poor; appropriate sampling can be difficult to realize and statistical analysis is required to draw conclusions from the data. Although many authors (Muijs, 2011; Moser & Kalton, 1989) consider that, subject to the above factors, the outcomes yielded by surveys are valid, the questions posed by the researchers are often understood differently by respondents. This circumstance calls into question the assumption that a positivist epistemology will yield objective results. Of course, progress in health and epidemiology relies on large-scale quantitative research projects but they are not an easy option for the early career researcher. An alternative, rarely exploited, approach is the quasi-­ experiment. Whereas in an experiment the researcher selects an experimental group and a control group, in a quasi-experiment the researcher uses intact groups rather than forming groups from individuals chosen at random. This technique allows the researcher to co-opt existing classes of students which is more practical (Frankfurt-­ Nachmias & Nachmias, 1996). Brause and Mayher (1991) present an edited text for the practicing teacher on hypothesis generation and hypothesis testing in the classroom. At the interpretivist or social constructionist end of the spectrum of epistemology lie Garfinkel’s ethnomethodology (Heritage, 1984), the interpretive paradigm (Burrell & Morgan, 1979), and Husserl’s work on phenomenology (O’Gorman & Macintosh, 2017). Cryer (2006) likens the interpretivist research paradigm to a court of law, rather than an experiment, answering the questions how and why. Strategies adopted at this end of the epistemological spectrum include qualitative approaches such as case studies, discourse analysis and grounded theory. We present a poem by Carl Rakosi (n.d.), a member of the objectivist poets. It provides an unusual perspective on the interpretation that a researcher places on the positivist experiment.

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The Experiment withaRat byCarl Rakosi



Every time I nudge that spring a bell rings And a man walks out of a cage Asssiduousand sharp like one of us And brings me cheese.



How did he fall into my power ?



 Rakosi, n.d.

SSM is an approach designed by Checkland (1981, 2000) to apply as an action research strategy. Earlier in this chapter, an example of action research was discussed and related to the aims of the research and the decision to take an exploratory, an explanatory or a descriptive approach. Nisbet (2005) situates the emergence of action research within education as part of the teacher-researcher movement. Action research is defined as a “small scale intervention in the functioning of the real world… and the close examination of the effects of such interventions.” (Educational Priority, 1972, p. 165). There is a danger, however, that action research generates action intended as reform but without necessarily promoting an understanding of why an intervention works. Critical reflection is a strong element of most action research models (ZuberSkerrit, 1992) and, according to Dick (1995) action research tends to be cyclic, participative, qualitative and reflective. There are a wide range of action research approaches from the critical action research approach of Carr and Kemmis (1986) through the SSM of Checkland (1981) to the evaluation of Guba and Lincoln (1989). Within this book, we adapt an existing action research strategy, SSM, and combine it with a critical realist epistemology to form a new research strategy that we designate Womposo. We could discuss many more research strategies at the interpretive end of the epistemological spectrum; common examples are case studies and insider research. Some research projects may fit into more than one strategy. One could undertake a case study that is also an insider research strategy (Hockey, 1993; Cohlan, 2001).

Stepping-Stones: Research Design In the Research Design stage consideration is given to access and to ethics approval; data collection methods, validity, reliability and generalisability. From the Research Onion  (n.d.) layers we have extracted approaches (deductive/inductive); choices

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(mono/mixed/multi-method); and time horizons (cross-sectional/longitudinal). Although the term ‘research design’ does not appear as the label for any of the layers in Saunders et al’s Research Onion model, in their text they include a chapter entitled research design. The ‘research design’ stage links closely to other stepping-­ stones and it is necessary to keep in mind the practical implications of one’s decisions. Certain aspects of ‘research design’ link closely to the research ‘paradigm’. Firstly, let us pose the question: Are we adopting an inductive, a deductive or a retroductive approach? At the social constructionist extreme, an interpretive paradigm that links to a grounded theory approach could be adopted. In this instance we would be using induction. Alternatively, at the positivist extreme, we might start with a hypothesis that could be tested using deduction. In employing a critical realist paradigm, all three approaches, induction, deduction and retroduction are used. Retroduction poses the question of the causal entity underlying an emergent feature; this question is explored in much greater detail in Chap. 2. Another decision is whether to collect qualitative data or quantitative data or some combination of the two. This choice links to the dichotomy of the positivist paradigm versus the interpretivist paradigm. A multi-method approach is one where the choice is made to collect quantitative data by multiple means or to collect qualitative data by multiple means. In contrast, a mixed-method approach is the term employed for the collection of data by both qualitative and quantitative methods (Punch & Oancea, 2014; Hesse-Bib, 2010). This option demands a little more work from the researcher to justify its suitability within a particular research paradigm. Earlier in this chapter we referred to the requirement for the ethics of a project to link to one’s axiology. This poses the question: ‘Should the ends justify the means?’. If one responds in the affirmative, then one is a consequentialist. Alternatively, should one always choose to do the right thing, regardless of consequences, the deontological approach? One important source of ethical principles is a relevant professional body, such as the British Educational Research Association (BERA) or a discipline organization such as the American Sociological Association (ASA). The ASA list the following research principles: professional competence, integrity during planning and implementation, professional and scientific responsibility, respect for rights, dignity and diversity, and social responsibility. They also stress that their principles and practical advice should be considered at all stages of research, from planning through data collection and analysis to publication. BERA make a number of statements in their list of principles, including “Social science is fundamental to a democratic society, and should be inclusive of different interests, values, funders, methods and perspectives” (BERA, 2018). They also refer to integrity, avoiding harm and increasing benefit, respecting dignity, autonomy and privacy. Some authors focus instead on the characteristics needed by a successful researcher: reflexivity, humility, resoluteness, sincerity and courage (Macfarlane, 2010). Stutchbury and Fox (2009) create a set of questions that the researcher can pose at stages throughout their research to check that they are behaving ethically. If one is a student or academic in a university, one will have to apply the ethical standards documented and probably complete the necessary documentation required for their ethics committee.

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The aims of the research project will determine whether you collect longitudinal or cross-sectional data. Choosing a longitudinal approach will impact upon the length of the project, the time constraints of the project may impose restrictions on the method selected. Other factors to consider in the Research Design stage are reliability and validity and to achieve these one should consider triangulation. Reliability refers to the extent to which one could achieve the same result if one collected the same data in the same manner on a different occasion (Carmines & Zeller, 1979). In the social sciences this consistency is difficult to achieve, it is nigh on impossible to replicate the same context at a different point in time. Validity refers to the attempt to collect data that measures the variable that one thinks it does. Quantitative approaches provide strong reliability and validity whereas qualitative approaches are seen to be more authentic (Denscombe, 2003). Authenticity in constructivist inquiry refers to “the meaningfulness and usefulness of interactive inquiry processes and social change that results from these processes” (Shannon & Hambacher, 2014, p. 1). Lincoln and Guba (1985) introduce the term authenticity and identify five types of authenticity to take into account when undertaking what they entitle ‘naturalistic’ inquiry, a type of inquiry firmly at the interpretive end of the spectrum of epistemology, an entirely different meaning of the term ‘naturalistic’ from that referred to in Chap. 2 and discussed by Bhaskar (1979). Generalisability refers to how applicable are the patterns observed, or the theories generated, beyond the setting or the case under consideration (Easterby-Smith et  al., 2008). Triangulation usually refers to adopting three data collection methods but can also refer to three different data sources or to multiple theoretical perspectives (Zuber-Skerrit, 1992).

Stepping-Stones: Methods There is a great deal written about data collection methods. If, for example, you wish to be advised on when to choose and how to carry out interviews you will be able to delve into many research texts that include a chapter on interviewing; they cover various types of interview, from unstructured through semi-structured to tightly structured (Denscombe, 2003; Johnson, 1994; Cohen & Manion, 1991; Bell, 1992). Alternatively, you may wish to study a text that is devoted entirely to interviewing for research purposes (Kvale & Brinkmann, 2009; Gillham, 2000). As you move from individual interviews to group interviews, you might use focus groups. Focus groups do not provide individual opinions, as in an interview, as individuals form and express their views in interaction with the other group members (Krueger & Casey, 2015). Other data collection methods include surveys, open-ended and closed questionnaires, diaries, observation, analysis of documentation and nominal group technique. The last listed is a structured group discussion aimed at reaching a consensus (Chapple & Murphy, 1996). It is used frequently in health settings.

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Stepping-Stones: Sample, Collect, Interpret Once one has determined the data collection methods, one needs to consider the sources of data and how to sample and identify gatekeepers. In almost all circumstances, to gain access to the individuals from whom one will collect data, approval is needed from an organization. ‘Cold calling’, the practice of making unsolicited telephone calls as commercial companies do, is unlikely to prove a successful way to gain access to an organization. Identifying gatekeepers within the organization, perhaps through existing contacts, is paramount. It is not only the issue of identifying the gatekeepers but also of briefing them to be fully informed about the research (McFadyen & Rankin, 2016). For readers wishing to explore this further, there is one volume of a research journal dedicated entirely to the issue of gatekeepers (Crowhurst & Kennedy-Macfoy, 2013). We also need to consider how to collect and record data, for example should we audio record interviews and focus groups, take written notes or some combination. The technology now available makes it much easier to conduct recorded interviews. However, listening to them after the event is time consuming. An excellent source of advice for alternative approaches to analysing qualitative data is Miles and Huberman (1994). In terms of the interpretation stage of the Stepping-Stones model, we interpret the data within a systems approach guided by Checkland and Poulter (2006). Elder-Vass (2010) and Scott (2010) inform our interpretation within the framework of critical realism in the social sciences. Examples based on others’ adoption, within Information Systems, of a methodology based on critical realism include Zachariadis et al. (2013), Volkoff et al. (2007) and Wynn and Williams (2012). Finally, we draw on the work of Tao (2016) and Stutchbury (2019) who  base their work  on critical realism in the field of education.

Stepping-Stones: Comparison with Literature A literature search should form an early stage of any research project. Once one has identified a research topic, it is necessary to explore the research that has already being published in the topic area. This approach enables one to identify where there is a gap in knowledge and ensures that the existing theories in the area inform one’s research. It also allows the researcher to create a conceptual framework for their research project (Leshem & Trafford, 2007). A conceptual framework is formed from the researcher’s background reading, the researcher’s assumptions, experience and reflection. An instance of a conceptual framework for the Practicum Study is provided in Fig. 7.3, Chap. 7. Finally, the findings of the research are analysed using thematic devices from the literature search or subjected to comparison with the literature. In relation to the Practicum Study, one might expect the background literature to be focused upon research into the nature of learning, the practicum in teacher education in different countries and the thematic issue of policy borrowing. We

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Mapping out the Womposo Research Strategy

have, however, drawn on a much wider range of literature covering systems thinking, SSM, critical realism and the Capability Approach; all are described in Chaps. 1, 2, 3, and 4. This broader literature base relates to methodology and therefore also informs the conceptual framework. The purpose of the conceptual framework is to represent the theories that will guide the research and to clarify, and where necessary to integrate, complex ideas. Capturing the researcher’s ideas in one diagram facilitates the presentation of a cogent, coherent summary of the research project. The conceptual framework is an emergent feature of a research project.

Mapping out the Womposo Research Strategy Now that the reader has been guided through the different stages of the research process as defined by the Stepping-Stones model, we move on to present the ‘Worldview, Metaphor and Powers of Social Objects’ (Womposo) research strategy, illustrated in Fig. 4.3. Womposo is based on SSM for Activity 1 and Activity 2. It integrates Elder-Vass’ concepts for application within the social sciences with Scott’s social objects to form Activity 3. Finally, it combines various interpretations of the Capability Approach with Hirschman’s exit, voice and loyalty to form Activity

• Problem situation • Planning • Data collection

• Functioning value • Tendences and counter-tendencies • Exit, voice and loyalty

Activity 4:

Activity 1:

Activity 3:

Activity 2:

Explaining

Conceptualising

Finding out

Modelling

• List entities, causal powers and liabilities • Norm groups • Social objects

Fig. 4.3  Worldview, metaphor and the power of social objects (Womposo)

• Metaphor • CATWOE • Root definition

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Table 4.3  Sources of research activities Activity Activity 1: Finding out

Steppingstones Topic and aims Paradigm Research Design Sample, Collect,

Activity 2: Modelling

Activity 3: Conceptualising

Collect, Interpret

Interpret Interpret Interpret

Interpret

Activity 4: Explaining

Interpret

Research steps a. Problem situation

Source Checkland

Notes Key aspect is to explore the situation and not to assume that the problem is already understood b. Planning Added Checkland uses rich picture Practicalities that are not focused on in SSM are c. Data collection Added discussed in Stepping-Stones model. d. Metaphor Based on This is an alternative to the rich picture creation of a rich picture and emerged from the data collection process as an effective, holistic way to articulate the data e. CATWOE Checkland Generated from metaphor f. Root definition Checkland Generated from CATWOE Elder-Vass We look for entities and g. List entities, powers, identify norm circles, causal powers interaction groups etc. and liabilities, events Scott Embodied, social discourse, h. Five social modes of agency, institutional objects and their and systemic forms, social resistance markers i. Functioning Sen/ Explains behaviour that may be value Nussbaum considered irrational j. Tendences and Tao counter-­ tendencies k. Exit, voice and Hirschman loyalty

4. Figure 4.3 illustrates these four activities and Table 4.3 reveals the derivation of each activity.

The Learning Cycle Model of SSM The most recent practical account of SSM, the SSM Learning Cycle is split into four activities (Checkland & Poulter, 2006). This four-stage activity Learning Cycle has been adopted here. The Learning Cycle is described as “a process of enquiry …. into problematic situations… to improve the situation” (Checkland & Poulter, 2006, p. 148). In other words, SSM is an action research strategy based on one situation or

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one organization, with the assumption that the investigator is acting as a consultant to recommend changes. The Practicum Study, described in Parts II and III of this book focuses on research across multiple organizations to better understand the situation and therefore, this is ‘explanatory’ research. Checkland and Poulter (2006) focus mainly on talking to people, observing and listening to them and consulting documents. After collection, the data it is analysed by themes. This approach rarely captures the interacting relationships and entities that can be seen in complex social encounters. SSM places stress on the creation of diagrams to capture this complexity and in particular the use of a ‘rich picture’ at the early stages to capture entities, structures and perspectives. Wilson (2001, p. 246) contends that SSM provides “An explicit, organised and defensible way of reconciling different and/or conflicting perspectives.” Researchers seek to determine how a problem situation is perceived from the perspectives of different stakeholders to aid understanding.

Activity 1 and Activity 2 of the Womposo Research Strategy Checkland (1981) designed SSM as an action research strategy. SSM begins by identifying a ‘problem situation’ that someone in an organization, the ‘owner’, wishes to resolve or improve. Within the organization under consideration, the investigator then explores the problem situation from the perspective of different stakeholders. These stakeholders may be members of the organization or may be external to it yet affected by the problem situation. These perspectives are then captured in a series of illustrations entitled ‘rich pictures’. Rich pictures allow one to specify the problem, as perceived by groups of stakeholders, and document each stakeholder perspective as a ‘root definition’. Once the different perspectives on the problem situation are understood, the organization is better positioned to agree a common aim. Emphasising the importance of using stakeholders to shine a light on this problem situation, means that the approach is particularly appropriate at the early stages of developing a new information system or the adaptation of an existing one. SSM is designed to be an action research strategy, but it is valuable in any situation where we wish to study the perspectives of different stakeholders. It is particularly appropriate where a situation is ‘messy’. The Womposo strategy begins with Checkland’s Activity 1: Finding out, using his concept of the problem situation and adding two additional tasks. These extra tasks are: planning a research project; and collecting the data. Once a problem situation has been identified, the ‘Topic and Aims’ in the Stepping-Stones model are determined, and the underpinning ‘Paradigm’, based on a critical realist ontology and epistemology is embraced. Moving on to Checkland’s Activity 2: Modelling (Checkland & Poulter, 2006), Checkland’s rich picture is augmented with the concept of a metaphor. This adaptation is explored in Chap. 7. The metaphor helps to identify and create the CATWOE in the same way that Checkland applies the rich picture to create a CATWOE. We explained the mnemonic CATWOE and the concept of a root definition in Chap. 1 and provided an example. Finally, within Activity

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2 the CATWOE generates a root definition. This activity is repeated several times when collecting data from several groups of stakeholder.

Integrating SSM with Critical Realism The researchers’ original intention was to apply the entirety of SSM to the Practicum Study (Checkland, 1981; Checkland & Scholes, 1990). However, in the course of the literature search on systems thinking and the exploration of the underpinning philosophy of SSM, we came upon Mingers’ (2016) text ‘Systems Thinking, Critical Realism and Philosophy’. Mingers (ibid) posits that the ontology of critical realism aligns with systems thinking and provides a strong underpinning rationale for parts of SSM. The reader wishing to explore the extensive literature about critical realism is recommended to start with Porpora (2015), Archer (1998) or Edwards et  al., (2014) prior to reading Bhaskar (1979), the originator of critical realism. Mingers (2016, p. 35) states “Checkland explicitly allied SSM to phenomenology and against positivism, and he has never accepted the possibility of an excluded middle – namely critical realism”. Elder-Vass (2010) has produced a comprehensive elucidation of critical realism in a generic social science setting. He sets out to explore the ontology of social construction and solve the problem of structure versus agency, from within a critical realist framework. As explained in Chap. 3, he concludes that social structures have emergent causal powers, distinct from the powers of individuals, and this assumption allows him to develop a set of tools for the analysis of problem situations. We attempted to utilise the full social ontology method, as described by Elder-Vass and documented in Chap. 3, Fig. 3.7. However, this approach proved extremely difficult to execute, particularly towards the end of the method; it was not an intuitive approach to seeking an explanation of the mechanisms. As critical realism searches for a rational explanation for the behaviour and discourse of individuals, the method proposed by Elder-Vass was not illuminative. We therefore explored the work of Scott (2010) and the Capability Approach (Sen, 1999). Stage 0, the initial stage of the Elder-Vass model (Fig. 3.7) has been retained and Scott’s five social objects have been added. The reader who wishes to adopt a critical realist stance will find Scott (2010) a helpful source. We chose to select two related elements. Firstly, his five social objects are listed and secondly, their resistance is discussed, see summary in Table  4.4. The term resistance relates to the Table 4.4  Activity 3, Conceptualising stage of research strategy Author Elder-­ Vass

Scott

List of terms Identification: List entities and determine type, list powers and liabilities, identify social category of respondents in focus group Embodied objects. Discourses, modes of agency, institutional and systemic forms, social markers

Terminology Social Structures and 4 social categories

Key terms Powers and liabilities

5 Social Objects and their resistance

Powers and occasionally liabilities

Approach of Elder-Vass to Critical Realism in the Social Sciences

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ability of the respondent to apply their agency to contest the power or tendency of this social object.

 pproach of Elder-Vass to Critical Realism A in the Social Sciences The example in Fig. 4.4 aims to clarify how the critical realist can be a realist and a social constructionist. Elder-Vass (2010) begins by expressing the need for the definition of terms such as social structure. He indicates that in the sciences terms are always defined and then used consistently whereas there is no such accord in the social sciences. He sets out to correct this flaw by stating that “the concept of social structure refers to the causal powers of specific social groups” (ibid, p. 66). While many research methods texts differentiate between a realist approach and a social constructionist approach Elder-Vass holds that one can, and should, be both realist and social constructionist. He claims that events are the result of interacting causal powers and he begins by defining the starting point as the definition of entities that are laminated hierarchies of smaller entities. A whole entity has some causal powers that are emergent at the level of the whole entity but do not exist in the sub-elements of the entity.

How do we define a socially constructed entity? Does it have meaning independently of social actors? Does a picnic exist separately from its definition by the social actors taking part? We could argue that a picnic is the emergent property of a group of people gathering to eat food in the open-air. If any of the three elements: people, food and suitable location are not present then it is not a picnic. Could there be a situation where these three components are all present but are configured differently? Well, yes. If each person is sitting some distance from each other person we would probably consider it a lunch break, rather than a picnic*. Therefore, configuration matters. If a group of people were gathering for a different purpose, such as listening to a band or buying and eating ice cream, we would not consider this event to be a picnic. So social intention matters, the agency of the people concerned matters. We can see from this example that a social phenomenon, like a picnic, is socially constructed. It can, however, be impacted by a mind-independent entity like rain; rain has a causal impact on the picnic, rain is an entity that has the power to stop the picnic and rain is an objective phenomenon. Mindindependent entities (people eating outside) exist says the realist, but our observation of events (the picnic) is theory laden (socially constructed) says the interpretivist. Both are true says the critical realist. * Following the Covid19 pandemic. Many of us are now able to conceptualise a socially-distanced picnic. This is an example of a social situation formed due to a ‘mind-independent’ entity, a virus.

Fig. 4.4  Eating al Fresco

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Activity 3 and Activity 4 of the Womposo Research Strategy In Activity 3 Checkland’s phrase ‘using models to structure debate’ is replaced with the term Conceptualisation. In this activity, the terms that Elder-Vass describes in the early stage of applying critical realism within a social environment are combined with Scott’s five fundamental types of social object. In Chaps. 8, 9, and 10 a table is created to record each focus group. This table is formed by incorporating the CATWOE transformation and the metaphor from Activity 2 with a breakdown of components listed by Elder-Vass: namely entities, powers, liabilities, events and contingent conditions. The entities are then categorised using Scott’s social objects and the powers and liabilities are re-labelled tendencies and counter-tendencies. Scott also refers to the extent to which the social object resists shaping and this factor is included within Activity 3. Figure 4.5 provides an example of the first part of Activity 3, derived from Elder-­ Vass’ work, with a concrete example related to the use of a vacuum cleaner. It is best to read the diagram from bottom to top, so that one considers the real world, then the actual world and finally the empirical world. Two of Scott’s social objects can be seen, the vacuum cleaner is an embodied object and the human is demonstrating their mode of agency in the act of cleaning and in the act of resolving the problem. This figure reinforces the ontology of critical realism in a practical situation. In our earlier diagrams illustrating the real, actual and empirical layers of critical realism, see Figs. 2.4 and 3.2, we did not use the triangle shape. It has been adopted here to reinforce the fact that there are many more real powers than exercised ones, and many more exercised powers than actualised ones. There are of course many real mechanisms of which we are not aware.

Fig. 4.5  Concrete example of Activity 3

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Activity 3 and Activity 4 of the Womposo Research Strategy Domains Empirical domain Actual domain Real domain

Power/tendency Sophie joins the football team and actualises the power/tendency. Sophie exercises the power/tendency and kicks the ball around. Sophie possesses the power/tendency to play football.

Liability/counter-tendency Sophie’s parents object to her joining the football team. They possess the counter- tendency Reasons for objections: Boots and kit expensive and Sophie has a habit of joining clubs for a short period and losing interest, Parents will need to drive her to the ground every Sunday. Girls should not play football.

Fig. 4.6  Activity 3, Joining the football team example

Sophie wishes to join the local football team (her value functioning) Enabling Tendency: her desire to join the team Achieves value functioning Tao includes this option in her method.

Constraining counter-tendency: her parents’ objections

Exit Decides not to achieve her value functioning

Voice Contends or evades the constraints

Loyalty Complies with the constraints

Sophie gives up or loses interest in football and joins the Brownies.

Sophie is frustrated and Sophie is loyal to her grumpy. She is more than parents, she may try to ever determined to join the negotiate and borrow team. She uses her voice to some kit. She is helpful badger her parents and and tries to save may ask a friend to add to money towards the the collective voice. costs. Her choice depends on the strength of her wish (value functioning) and her agency.

Fig. 4.7  Activity 4, Joining the football team example

Checkland’s Activity 4 ‘defining and taking action’ is replaced with Explaining. For this final activity, we identify the value functioning, this emerges from the metaphor and the CATWOE transformation from Activity 2. We consider the tendencies and counter-tendencies (also entitled powers and liabilities) from Activity 3 and apply a revised version of Tao’s method to identify three outcomes under the categories of exit, voice and loyalty, see Table 4.5. We present an example in Figs. 4.6 and 4.7 relating to Sophie, a 9-year-old girl who wants to be a footballer. There is a team that she can join but her parents object. Once again, the left hand side of Fig. 4.6 is best read from bottom to top.

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I ntegrating Social Structures, Social Objects and the Capability Approach The final ‘explanation’ stage of the Womposo strategy results from our interpretation of the Capability Approach. Tao (2013) has developed a research interpretation technique based on critical realism and the Capability Approach, see Table 4.6. It does not make reference to Elder-Vass or Scott. The principle of Tao’s approach is to identify the enabling and constraining factors that assist or limit one’s capability to achieve one’s aim in a particular situation. The approach analyses the situation under four conditions, see Table 4.5 in the previous section. The first outcome is that the individual achieves their aim. Tao entitles this aim the individual’s ‘value functioning’ and sees it as a causal mechanism. The second outcome is that the individual chooses not to achieve their ‘value functioning’. The third outcome results from the constraining factors preventing the individual from achieving their outcome, in this case the individual complies with these factors. The fourth and final outcome is again that the factors prevent the individual from achieving their outcome, however the individual contends or evades these constraining factors. As mentioned in Chap. 3, Tao’s writing is based on a critical realist approach; she uses the words tendency and counter-tendency rather than power and liability. While recommending that the interested reader explores Tao’s method as an alternative to the one adopted within this book, we felt that the options fitted more clearly into three categories. During our study of Tao’s interpretation of her data, three words emerged, ‘exit, voice and loyalty’ (Hirschman, 1970). The ‘exit, voice and loyalty’ concept was originally developed in the field of marketing but has been applied beyond the sale of products to political science, to the study of trade unions and in relation to citizens’ responses to the provision of public services (Dowding et al., 2000). This threefold exit, voice and loyalty approach simplifies the model presented by Tao, assumes slightly more straight-forward language and, importantly, begs the question, if loyalty is chosen, to whom is the respondent being loyal. Table 4.5  Simplification of Tao’s method (2013, 2016) The individual wishes to achieve their value functioning Enabling tendency dominates Constraining counter-tendency dominates 1 2 3 4 Achieves value Decides not to achieve Complies with the Contends with or evades functioning value functioning constraints the constraints Table 4.6  Activity 4, Explaining stage of research strategy Author Sen

Method Capability approach Nussbaum Capabilities approach Tao Capability approach

Value functionings Beings and doings

Capability/Freedom Enabled or constrained Enabled or constrained Conversion factors: tendencies and counter-tendencies

Fundamental assumption Voice of group should emerge Helpful to list central human capabilities Appears to use Sen’s (1999) approach

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Conclusion This chapter seeks to present a new research strategy, Womposo, based upon a critical realist ontology and epistemology; a research strategy also predicated on systems thinking. Over many years, Checkland (1981, 1983, 2000) has developed and applied SSM as an action research tool and a way of thinking, emphasising that SSM is an epistemology and denying that the real social world is composed of systems. Mingers (2016) and Jackson (2001) have used critical realism, as defined and developed by Bhaskar (1979), as an underpinning philosophy that aligns closely with systems thinking. If we consider the epistemological spectrum from positivism to interpretivism, as mapped in Fig. 4.2, critical realism provides a middle way that integrates the objective and subjective. In Part III of this book, the Practicum Study: Data Collection and Interpretation, we apply SSM as a method for comparative research. Unlike Checkland’s approach, the method is not the application of an action research strategy. By engaging with the literature on critical realism, we have developed an alternative research strategy, the Worldview, Metaphor and Power of Social Objects research strategy, Womposo, that enables us to incorporate systems thinking into an educational research project. The strategy that we have devised adopts Checkland’s SSM for the first two stages, Activity1 and Activity 2, takes some concepts from Elder-Vass (2010) and Scott (2010) for Activity 3, and adapts ideas influenced by the Capability Approach, by the work of Tao (2016) and the exit, voice and loyalty concept of Hirschman (1970) for Activity 4. There are few examples of critical realism forming the basis for research projects, but some can be found within the Information Systems research literature (Volkoff et  al., 2007; Wynn & Williams, 2012; Zachariadis et  al., 2013) and two within educational research (Tao, 2016; Stutchbury, 2019).

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Part II

Practicum Study: Context

Chapter 5

The Three Jurisdictions: England, New South Wales and Ontario

Abstract  This chapter describes the school education system and the initial teacher education system in the three jurisdictions of England UK, New South Wales Australia, and Ontario Canada. It forms the background to the Practicum Study described in later chapters. This research study sets out to compare the effect of the local educational policy landscape on the practicum in pre-service teacher education. Each jurisdiction’s school system is analysed using the categories of hierarchy and markets; regulation, operation and funding; curriculum, assessment and inspection; and markets and choice. Comparison of agencies and responsibilities across the three areas is tabulated. The purpose, the forms, the credit volume, and the practicum length of the initial teacher education courses in the three jurisdictions are described and compared. The relevant agencies and Teachers’ Standards are listed. Local factors are considered and the differences between the jurisdictions are tabulated. The general direction of travel, as strongly evidenced by the English system, is towards greater scrutiny and accountability. New South Wales is slower to adopt concepts, such as Teachers’ Standards, but it does evaluate and gradually implement such initiatives. Ontario has a more independent, values-based model placing more trust in its professionals. Keywords  Accountability · Curriculum · Independent schools · Initial teacher education · Jurisdiction · Ofsted · Oversupply of teachers · PISA · Teachers’ standards

Introduction This chapter forms the introductory chapter of part two. It presents the background context for the Practicum Study that is presented here as an example of using the Worldview, Metaphor and Power of Social Objects (Womposo) strategy; the

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strategy introduced in Chap. 4. The Practicum Study was a funded project with the initial aim as follows: To compare the effect of the local educational policy landscape on the practicum in pre-­ service teacher education in three jurisdictions.

The motivating factor for the research was the rapid transfiguration of initial teacher education in England. We chose two jurisdictions to compare with England, one in Australia and one in Canada, both members of the Commonwealth. The rationale for the choice of these jurisdictions was as follows. Selecting English speaking countries facilitates data collection because there are added difficulties and costs in acquiring and using an interpreter. A practical reason for choosing Australia was that the researcher had a senior academic contact in an Australian university enabling her to negotiate a visiting scholarship. This choice provided the benefit of a longer visit to Australia, given the cost and time of travel. Higher PISA (Programme for International Student Assessment) scores have been reported for Canada; for Ontario in particular; it is considered to be one of the jurisdictions with high performing schools (Sandilands et al., 2014; Robertson, 2012). An informative article about teacher education in Ontario enabled the researcher to contact the author who, in turn, facilitated contacts in other universities (Van Nuland, 2011). It is not uncommon for researchers to select Anglo-American countries for comparison (Manzer, 2003). In their research on educational reforms, Davies and Guppy (1997) select the US, New Zealand, UK, Australia and Canada on the grounds that, as well as having a shared language, their common immigration history has led to similar multicultural populations. Their similar governance structure also aids the diffusion of ideas. For each of the three jurisdictions under consideration, there is a summary of the school system and the initial teacher education system. This background information to the Practicum Study serves two purposes. Firstly, it provides a description of the environment within which the schools, universities and stakeholders are located. Secondly, it describes the policy setting and some of the technical requirements demanded of educational institutions within each jurisdiction. The term jurisdiction is used to refer to each geographical unit in the study, as in all cases they are units within a nation state. Later in this chapter, we will describe the status of the three jurisdictions: England, New South Wales and Ontario within the nations of the United Kingdom (UK), Australia and Canada. There is an additional reason to understand the context, within which the data is being collected, and that relates to the research methodology being used. When applying systems thinking, the context is critical because it provides the environment within which the system operates and it may contribute components to the system, depending upon where one draws the boundaries. As a result of the interaction of various components, one cannot expect a policy borrowed from one jurisdiction to have the same effect, when introduced into another jurisdiction. It is standard research practice to carry out a thorough literature review prior to confirming the research question and, informed by the relevant epistemology and ontology, decide how to collect data. This literature search enables the researcher to position the research and provides the reader with sufficient background

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information and context to understand the direction of travel. It also supports the researcher in identifying whether the research question is novel and whether similar issues have previously been addressed. The literature review is presented in Chap. 6. In the Practicum Study, Silverman’s advice (2000) is followed by avoiding the completion of the literature search at too early a stage. Instead, we have explored and maintained our interaction with the literature throughout the analysis/interpretation stage. Additionally, the literature is not presented as an inventory but is clustered and critiqued.

Accessing the Three Jurisdictions The information about the three jurisdictions presented in this chapter was gained in a number of ways. Firstly, the authors became fully aware of the operation of the English school and higher education system during their work in teacher education within English universities, and through associated reading. Secondly, the researcher spent 2 months in Australia and, for most of this time, she was based in a host university. This visit gave her the opportunity to discuss the New South Wales’ education system with her hosts and attend several meetings with school-teachers and teacher educators. Thirdly, as part of the negotiation with putative gatekeepers to gain access to the three categories of stakeholder, the researcher held fact-finding discussions with teacher educators in Ontario prior to data collection. Having made initial contact by email the first visit of the researcher to Ontario was to meet the gatekeepers, discuss the purpose of the research and the nature of stakeholders required for the focus groups. These groups include pre-service teachers (PSTs), mentors in school and faculty advisors. In the course of this discussion the researcher was informed about the nature of schooling and pre-service teacher education by a number of university faculty from different universities. The researcher’s discussions included a larger number of respondents than those formally recognised as gatekeepers, thus providing a comprehensive picture of the situation in Ontario.

Policy in Schools: Hierarchy and Markets A recent report on the self-improving school-led system in England provides an overview of the current English education system (Greany & Higham, 2018). Building on the previous Labour government policies, the Conservative/Liberal Democrat Coalition Government that came to power in 2010 initiated a step change in approach. Michael Gove, then Secretary of State for Education was the driving force behind these changes (Lightman, 2015). In the foreword to the Greany and Higham (2018) report, Becky Francis, then Director of UCL Institute of Education states that: “Their (the authors) mapping of ‘multiple sub-systems, with different, partially overlapping middle-tier organizations holding diverse views on how the

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school system should be organized’ lends credence to calls for clarification in the system.” (Greany & Higham, 2018, p. 8). It is common to see the term ‘education system’ used and, generally, the word ‘system’ is used with a different meaning from that adopted in this book. This common usage defines a system as a set of principles and procedures used in an organized fashion. It is noteworthy that Francis refers to the word ‘system’ several times and her use of the terms ‘subsystems’ and ‘overlapping … organisations’ implies that she is taking a systemic view, recognizing stratification and envisaging overlapping circles as in a Venn diagram, as we described in Chap. 1. Ball (2009, p. 100) refers to this overlap of interacting organisations and relationships as ‘heterarchy’, differentiating this term from hierarchy, the latter term meaning control through authority. Greany and Higham’s report employs a three-part framework to interpret data: hierarchy, markets and networks. The conclusion reached by the authors of this report is that “hierarchical governance is more influential than market or network coordination in England” (Greany & Higham, 2018, p.  17). The concept of networks, referred to in the report, describes the formal and informal ways in which schools support each other. This chapter will summarise the report’s analysis of the situation in England and present a similar summary of the situation in New South Wales and Ontario, by focussing on hierarchy and markets. We contend that networks are a less significant factor, in the context of this research study. While there is some reference to inter-school work in some of the focus group data (Chaps. 8, 9, and 10), it is minimal. Hierarchy defined as “control by using formal authority as a means of coordination” is explored at some depth in the report (ibid, p. 26). This chapter subdivides hierarchy into two components when presenting the education system of each of the three jurisdictions. Component one includes regulation, operation and funding. Component two comprises curriculum, assessment and inspection. The concept of markets has been prevalent in the literature for a considerable time, especially in the work of Ball (2017) and this chapter addresses the concept of markets and choice.

Schools in England: Regulation, Operation and Funding Education within the UK varies across the four constituent countries. The Scottish education system is distinctly different from the other three. There is some commonality across the educational systems of England, Wales and Northern Ireland but they are not identical. For the purposes of this case study, we will focus, as do many textbooks and research articles, on the English education system alone. Scotland has a national (Scottish) parliament with certain devolved powers that include education; Wales and Northern Ireland each have an Assembly, again with devolved powers that include education. As there is no devolved assembly or parliament for England, the English educational system is determined by the UK parliament. As one of the critical public services, English education can be seen as a

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‘political football’; a change of political administration and the whim of a Secretary of State for Education changes the state of play and the rules of the game. For many years, English schools were coordinated by, and funded through, local authorities. These local authorities receive funding from central government through the revenue support grant and collect income through business rates and from the citizens in the geographical area, through a precept on the local tax on residences, entitled the Council Tax. Local authorities still coordinate admission to primary and secondary schools, however their role supporting school heads and governors in appointment of staff and providing advice and continuous professional development is reduced. It has been reducing since Local Management of Schools (LMS) was introduced in 1988. The reasons for this are explored below. There is a long and messy history of the formation of different types of school in England, especially of secondary schools. The saga has involved debates over the establishment or extension of selective schools, entitled grammar schools, versus support for non-selective, comprehensive schools (Chitty, 2014). Alongside the publicly funded state system there are schools that are predominantly funded by parental fees. Such schools are entitled ‘independent’ schools and receive some government funding, partly through their designation as charities. Additionally, at various points over the last 40 years, the government has provided scholarships to independent schools for able pupils from poorer families. In the UK, most fee-­ paying schools are entitled ‘independent’ schools. In addition, a smaller number of expensive, elite schools are entitled ‘public’ schools, a confusing, historical nomenclature. Independent schools are not subject to the full range of regulations that are required of state schools. For example, their teachers are not required to have Qualified Teacher Status, although many do. Most independent schools are inspected by the Independent Schools Inspectorate (ISI) as approved by the Department for Education, although some are inspected by the Office for Standards in Education, Children’s Services and Skills (Ofsted), the agency that inspects all state schools in England. The most significant and recent change to the categories of school in England is the formation, from 2010 onwards, of ‘academies’. The concept, and precise title, of the ‘academy’ has metamorphosed over time and under different political administrations. Beginning with ‘Grant Maintained’ schools under the Conservative government in the 1980s, they became under the Labour Government from 1997 ‘City Technology Colleges’ and were later retitled ‘academies’. In all cases, these schools were funded and controlled through central government, sometimes with support from industry or commerce. Numbers remained small under the Labour Government. The Conservative/Liberal Democrat Coalition ‘academies’, of 2010 onwards, were to be funded directly from Government and their links with the local authority would be tenuous. Initially, schools were encouraged by financial incentives to convert into academies. They were offered additional funding and could use it to buy in  local authority support. The reduction in funding to local authorities, and the related uncertainty, led local authorities to reduce their staffing so that they began to lose their ability to provide support to schools. Schools agreeing to convert were also permitted some elements of greater freedom and, finally, schools gaining poor

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Ofsted inspection grades were compelled to convert to academies. To give some indication of the take-up, in 2010 there were 200 academies and by October 2017 there were 6700 primary and secondary academies (Greany & Higham, 2018). There was also encouragement to form clusters of academies in the form of Multi Academy Trusts (MATs). Alongside this development, the government began to cut funding to local authorities. Between 2010/11 and 2014/15 there was a 27% reduction in the spending power of English local authorities (Hasting et  al., 2015). Education is not the only provision affected by this cut. Services such as libraries, public leisure facilities, refuse collection and the significant and expensive social services function are all funded through this route (Hetherington, 2017). Funding to local authorities continues to be reduced year on year and, in 2018, Northamptonshire County Council was the first local authority to be declared effectively bankrupt (Butler, 2018). Local authorities still retain responsibility for school admissions, although they do not have any control over where new-build schools are located, making it more difficult for them to ensure that the distribution of schools relates to population density.

Schools in England: Curriculum, Assessment and Inspection Following the 1988 Education Reform Act, and prior to the introduction of the National Curriculum in England in 1998, subject curricula were coordinated by examination boards. There were three or four examination boards, each established around a group of universities, that designated the syllabus for school examinations. This coordination resulted in a small number of common syllabi in the 2 years of schooling prior to the matriculation examination, at 16 years of age. These syllabi influenced the earlier curriculum because of the need, particularly in subjects such as mathematics, to build upon prior knowledge. Initially pupils were tested at ages seven, 11, 14 and 16, using Standard Attainment Tests (SATs), now known as National Curriculum Assessments. The final stage is judged by General Certificate of Secondary Education (GCSE) examination. Test results were reported by school at all four stages. However, a debacle with outsourcing the marking of the SATs at 11 led to the re-marking of many of the papers in 2008 and resulted in the abolition of SATs at 14 (Chitty, 2014). School-level results are published as comparisons, alongside national and county results on the UK Government website. Although Her Majesty’s Inspectorate had visited schools for many years, this review had included a very low-key form of observation (Chitty, 2014). Inspection was introduced under the Education (Schools) Act 1992 and Ofsted, initially entitled the Office for Standards in Education, was created as an arms-length, independent body to inspect schools beginning in 1993 (Earley, 1998). School Ofsted grades are published on a website and most estate agents link each house to a list of local schools, including their Ofsted grade, an indicator of the importance of school location in England (Rightmove, n.d.).

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Schools in England: Markets and Choice The function of education is increasingly seen as the production of a trained workforce that will enable each nation state to compete in a global market and improve its standard of living. As Ball (2017, p. 13) states “the social and economic purposes of education have been collapsed into a single overriding emphasis on policy making for economic competitiveness”. In a neo-liberal climate where league tables, accountability measures and a culture of performativity proliferate, the element of competition between nation states is demonstrated by their responses to international league tables (Ball, 2012). Such league tables are increasingly seen as a proxy for a nation’s success. The prime measure is the PISA score, organised by the Organisation for Economic Co-operation and Development (OECD), that tests the skills and knowledge of 15 year-old students in more than 65 countries and economies (Meyer and Benavot, 2013). England has focused on the education marketplace with much being made of the case that academies offer parents increased market choice, alongside school improvement. There is no doubt that middle class parents consider the league tables of local schools when choosing where to live and choosing an appropriate school, whether primary or secondary. The number of choices parents are permitted ranges from three to six, depending upon area of residence. Parents cannot be guaranteed their first choice. In London, for example, 67% will gain their first choice, and 95% will gain one of their choices (BBC, 2018).

 chools in New South Wales: Regulation, Operation S and Funding Australia is a federal parliamentary constitutional monarchy recognising the UK Queen as the Head of State. Since 1901, the six states and ten internal and external territories have been formed into the Commonwealth of Australia. Both the commonwealth government and the state legislature provide funding and determine the context for schools and universities. Most aspects of schooling are regulated and funded through the state or territory. The New South Wales (NSW) Department of Education is the prime regulatory agency for the state of NSW. The NSW Education Standards Authority (NESA) that replaced similar bodies in 2013/2014 has responsibility for all schools, sets and monitors school standards, oversees the curriculum and oversees the Higher School Certificate examinations. New South Wales has a population of about eight million, almost a third of Australia’s total population. Like other Australian states, it has three types of school, comprising public schools and two categories of independent school. The proportion of independent schools is much higher in Australia than in England, 34.8% in Australia in 2015 (Australian Bureau of Statistics, 2019) compared with 7% in England in 2016 (Department for Education, 2016). Additionally, there are far more single sex schools, although they are in decline (Koziol, 2015). There are two

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categories of independent school in NSW.  Firstly, there are Catholic systemic schools, also known as parochial schools, run locally and with lower fees due to high government subsidies. The second category comprises the high fee, independent schools enjoying considerable cachet, including ‘independent’ Catholic schools that operate outside of the Diocesan system, run more like a traditional ‘private’ school and usually charging significant fees. This second category of independent school also receives considerable subsidies from the federal/commonwealth government. The Government funding of independent and Catholic school in Australia is contentious and is seen to overshadow much of the discussion about educational reform (Jensen et al., 2011). While this practice of supporting independent schools helps to take a number of schools ‘off the books’, it is perceived as reducing the funding for the public education system.

 chools in New South Wales: Curriculum, Assessment S and Inspection The Australian Curriculum, Assessment and Reporting Authority (ACARA) (2016a) developed the first version of the Australian national curriculum in 2009 and the latest edition is version 4, developed in October 2012, it covers eight learning areas from foundation to Year 10. This national curriculum was guided by the Melbourne Declaration on Educational Goals for Young Australians, adopted by the Australian Ministerial Council in December 2008 (Ministerial Council on Education, Employment, Training and Youth Affairs, 2008). The National Assessment Programme – Literacy and Numeracy (NAPLAN) is a set of tests in school years 3, 5, 7 and 9 along the same lines as Standard Assessment Tests (SATs) in England (ACARA, 2016b). NESA is the administration authority for NAPLAN. It is interesting to note that the introduction of NAPLAN in 2008 preceded the approval of the full Australian curriculum in 2015 by 7 years (Loughland & Sriprakash, 2014). There is no equivalent to the English Ofsted inspection in Australia; each state adopts its own system based on self-review by schools. Information on individual schools, last released in 2016, includes information on NAPLAN performance for the years 2008–2015 (ACARA, 2016b). Lingard (2010) argues that these testing and reporting developments are creating a national schooling system, as a response to globalization and in order to address the socio-economic goals of the education system, regardless of the Australian federal structure. However, Fraser et al. (2020) call attention to the lack of a national curriculum and the differing methods of assessment from state to state. They posit that, as a result of these differences, incoming undergraduate physics students have differing knowledge and mathematical skills.

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Schools in New South Wales: Markets and Choice Australia has seen the same neo-liberalism and market choice as the UK. Take-up, however, seems to be at a more leisurely pace. The results of NAPLAN are published on-line on the My School website alongside socio-economic, demographic and funding data about schools (ACARA, 2016b). These data are open to all, so that parents can select the school they judge most suitable for their child. Although schools have designated catchment areas, there are an increasing number of schools that have differentiated themselves in order to recruit more widely. In cities, this factor has resulted in extending schools’ catchment areas so that secondary pupils, particularly, may need to travel long distances to school. An example of this differentiation was seen in one of the schools in the Practicum Study, a secondary school for girls focused on recruiting Muslim girls that had two versions of the uniform, one designed specifically for this cultural group. Given the distances and public transport links those populations living in urban areas have considerably more choice than those who live in rural areas. The authors of this text, living on a small island, in a country with a population of over 66 million tend to overlook the impact on the inhabitants of living in a large continent with a dispersed population, as is the case in both Australia and Canada. Australia can be described as a large continent comprising five major conurbations distributed around the edge, with very little in between. The urban areas operate much as urban areas do in the UK. Well-developed public transport systems allow children to travel on a daily basis and thus permit parents and pupils more choice of school. Meanwhile, education in the outback is of a very different nature, teachers must live alongside their pupils and many pupils have to attend boarding schools or study through distance learning. Recruiting teachers for remote areas is problematic as few newly qualified teachers wish to move to distant locales.

Schools in Ontario: Regulation, Operation and Funding In Canada, there is no federal Ministry of Education. Education has been under the legal jurisdiction of the provinces since the British North America Act of 1867 (Sattler, 2012). A Council of Ministers of Education allows ministers from the provinces to share experience and benchmark their standards. Each province delegates some of its powers to school boards and to schools. In the 1990s, Canada experienced the same neoliberal forces as other western nation states. Numerous scholars have documented the rise of the neoliberal policy orthodoxy across nation states during the late twentieth century, and the redefinition of education from a public good to an instrument to enhance national and international competitiveness and meet the demands of a global economy. (Sattler, 2012, p. 4)

From 1990 to 1995 the ruling party in Ontario was the New Democratic Party (NDP) followed, from 1995 to 2003, by the Progressive Conservative Party. A Royal

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Commission report entitled ‘A Love of Learning’ was published in 1995 and the NDP quickly set up the Education Quality and Accountability Office (EQAO, 2020) to oversee school assessment tests. They also created a task force to explore school board funding and mandated the establishment of school councils (Sattler, 2012). From 1995, the Progressive Conservatives continued most of these initiatives and introduced a bill in 1996 that reduced the number of school boards from 129 to 72. The Education Improvement Act, a year later, removed the power of the school boards to raise local taxation. A number of Conservative initiatives aimed at creating competition were launched, for example the introduction of tax credits for parents sending their children to private schools. However, the election of the Liberal Party in 2003 changed the direction of education, including a reduction in support for private education. The Ontario Ministry of Education is responsible for determining policy and procedures in the province and the local school boards are responsible for ensuring implementation, for example of the provincial curriculum. Most school boards are defined geographically, but there are also different types of school board to cover religious distinctions and language differences. Some school districts have been recently merged, once again to reduce costs (Sattler, 2012). Although English is the dominant language in Ontario, there are also French language school boards. Ontario has strong teachers’ unions, and the teaching force is well-paid and has a higher status than in other countries. There are few private/independent schools in Ontario. However, parents of children attending public school often contribute towards resources, such as books. The Toronto area is very mixed in socio-­economic and ethnic terms and pupils start elementary school at age 6. They move to secondary school in grade 9 and leave school, at 18 or 19 years of age. The structure is similar to the English structure, the main difference being that English pupils start elementary school up to 2 years earlier. The province of Ontario recruits its teachers from the top 30% of graduates and, since 2006, they are supported by a new teacher induction programme; teachers are then appraised using a set of competences derived from the Ontario College of Teachers’ Standards (NCEE, 2020). An unusual feature of the schooling system in Ontario, at the time of data collection, was that the province had an oversupply of teachers and only 20% of graduating pre-service teachers, known in Ontario appropriately as ‘teacher candidates’, gain a contract to teach in a school. This will be discussed later in this chapter.

Schools in Ontario: Curriculum, Assessment and Inspection Although there is no Canadian federal curriculum, there are provincial guidelines on the curriculum in each province and the Ontario Common Curriculum was established by the NDP in 1995. The curriculum is revised cyclically (NCEE, 2020). Following the creation of the EQAO in 1995, and with the help of classroom teachers, large-scale assessment programmes in literacy and mathematics for students in Grades 3, 6, 9, and 10 were produced (Volante, 2007). The EQAO administers and

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reports on these provincial large scale assessment tests (Ontario Ministry of Education, 2010). EQAO also produces standard criteria and reporting cards to be used for the publicly supported school system, known in North America as the K-12 system; teachers and administrators receive profiles of students’ performance and advice on how to share data with parents (Volante, 2007). Results of the tests are also reported by individual school and by school board and full details can be found on the EQAO website (EQAO, 2020). Every 3 years, pupils in year eight (13-year-­ olds) are tested under the Pan Canadian Assessment Programme (PCAP) designed to be similar to the PISA assessment (NCEE, 2020). There is no general school inspection regime, although private schools that wish to offer the Ontario Secondary School Diploma must be inspected (Ontario Ministry of Education, 2020).

Schools in Ontario: Markets and Choice Although Canada has neither a federal minister for education nor a federal department of education, there is a long-standing Council of Ministers of Education and this group try to steer the direction of education nationally (Fullan, 2012; Lingard et  al., 2016). Canada, especially Ontario, is perceived as one of the high-quality education systems alongside Finland and Shanghai, as reported by the OECD and Pearson (Lingard et  al., 2016; Robertson, 2012). There is a school information finder on the Ministry of Education website (Ontario Ministry of Education, 2020). School boards designate catchment areas for schools, but it is possible for a parent to request that their child attends another school (Ontario Ministry of Education, 2020). The criteria for a successful application are unclear. Ontario does not appear to offer the choice that would be available in either England or New South Wales. However, there is some element of choice on the basis of religion or language (French/English) as the school boards are designated by religion and language, as well as by geographical boundaries. The data for the Practicum Study was collected within Toronto and other urban areas within 2 h travel of Toronto. It is worth noting that, outside the urban areas, Ontario, like New South Wales, has vast rural expanses where students may be placed on practicum. One of the gatekeepers referred to a period when she had been working at Nipissing University in northern Ontario and her visit to one of her students on practicum had involved a six-hour journey each way.

Comparison of School Education in the Three Jurisdictions Commonality in terms of agencies and methods of accountability can be identified across the three jurisdictions, see Table 5.1. The significant difference is the inspection agency for schools in England, Ofsted, for which there is no equivalent in

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Table 5.1  Comparison of agencies and responsibilities England Responsible agency UK Department for Education Mid-level agency Local Authority, or if academy direct to DfE, may be part of multi-academy trust (MAT) Ofsted Standards/ accountability agency

New South Wales NSW Department of Education None

Ontario Ontario Ministry of Education School Board

NSW Education Standards Authority this replaced previous similar bodies in 2013/2014

Education Quality and Accountability Office Develops, administers, reports on tests none Provincial large scale assessment grades 3, 6, 9 Pan-Canadian Assessment Programme (PCAP), year 8, every 3 years EQAO reports by individual school and School Board

Inspection Testing of pupils (in addition matriculation system at 16 years)

Ofsted Standard Assessment Tests (SATs) at years 2, 6, 9

none National Assessment Programme – Literacy and Numeracy (NAPLAN) at years 3, 5, 7, 9 operated by ACARA

Reporting of tests

Department for Education through gov.uk SAT grades.

Public/private

Independent schools have charitable status and thus receive a subsidy. Independent schools are split into elite public schools and others, priced to differentiate.

Job opportunities for teachers

Shortages in Maths and Physics, English. Foreign languages

Reported by Australia Curriculum Assessment and Reporting Authority (ACARA) on MySchool Higher proportion of private schools than England 3 types:  (i) Catholic systemic also entitled parochial.  (ii) Higher status Catholic.  (iii) Independent. All receive federal subsidies Incentives for taking posts in rural areas. Long standing incentives for science, Maths, technical subjects

Lower proportion private than England Private schools offering Ontario diploma are inspected

In 2014 only 20% of graduating teacher candidates got a permanent job Shortage French and music

Ontario or New South Wales. Table 5.1 lists the key agencies in each jurisdiction and their responsibilities. Table 5.2 compares the spending on private/independent schools in the three jurisdictions. It should be noted that Ontario provides no financial support to private schools (Ontario Ministry of Education, 2020).

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Table 5.2  Primary and secondary education expenditure in 2016 Expenditure on educational institutions as a percentage of GDP (OECD, 2016, Table B2.1) Expenditure on educational institutions as a percentage of GDP, by source of funding (OECD, 2016, Table B2.3) public Expenditure on educational institutions as a percentage of GDP, by source of funding (OECD, 2016, Table B2.3) private Share of private expenditure as percentage of total spending on educational institutions (OECD, 2016, B3.1)

Australia Canada UK 3.9% 3.6% 4.9% 3.2%

3.3%

4.1%

0.7%

0.3%

0.7%

18%

8%

16%

Policies in English Initial Teacher Education In England, there has been a significant shift from university-led initial teacher education towards a school-based system, with the introduction of School Direct in 2012 (Lightman, 2015). Universities still award accreditation but many other responsibilities, such as requesting target numbers, recruiting and increasingly teaching, rest with schools. This direction is not entirely new. Since 1993 there has been an alternative system of school-based teacher training providers delivering School Centred Initial Teacher Training (SCITT) (Anderson, 1994). Each SCITT comprises one or more schools, provision that has developed from local education authority partnerships. An individual SCITT is accredited to award students (entitled trainees) qualified teacher status (QTS). If the SCITT wishes to see their students graduate with a higher education qualification, then they must work with a university to be able to award accreditation at level six of the higher education qualifications framework, first degree level (Quality Assurance Agency, 2014). Another route, the Graduate Teaching Programme, designed for mature students with school experience, has been phased out. In this programme students worked in a school and received payment. The trend towards school-based development is one of several changes introduced following the White Paper published by the Conservative/ Liberal Democrat coalition government, with the intention of improving the quality of teacher training (Department for Education, 2010). A number of other pilot initiatives have recently been introduced on a small scale in a number of universities, some proving more popular than others. One popular route has been ‘Teach First’, a fast-track route for high-flyers, and a less popular route has been ‘Troops to Teachers’. All methods aim to fill the gaps in shortage school subjects, for example secondary school teachers of subjects such as physics and mathematics. Alongside the introduction of alternative routes, students are offered financial incentives, linked to their degree subject and classification. During the 1970s, a teaching qualification obtained after a first degree included substantial emphasis on educational psychology, sociology, and the history and philosophy of education. There was a practicum element comprising two placements at different schools. Over time, content has moved away from the theoretical

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underpinning of education towards the practicalities of teaching specific subjects, frequently known as didactics, and there has been an increase in the time spent on the practicum in schools, an increase from 90 to 120 days for post-graduate students. In terms of volume of credit studied, the Tuning Project recommends that undergraduate teacher education courses (first cycle) should comprise 180–240 ECTS (European Credit Transfer System) credits, and post-graduate courses (second cycle) 90 to 120 ECTS credits (Tuning Educational Structures in Europe, 2009). Most teachers in England graduate from a 3-year BA or BSc. degree comprising 180 ECTS credits or from a 1-year Post-graduate Certificate in Education (PGCE) comprising only 30 ECTS credits. However, the Carter Review identified considerable inconsistency in the number of credits awarded for a PGCE (Department for Education, 2015). The system for training teachers in England differs significantly from training teachers in most EU countries, in terms of credit volume. For the reader accustomed to UK courses, UK credits are double the size of European ECTS credits. In Finland, one of the countries that performs well in PISA tests, we discern a very different model of teacher education, in terms of content and credits studied, from that in England. Finland educates all its pre-service teachers on a 2-year course to masters level including a more rigorous educational curriculum (Gilbert et al., 2017). Many other European countries, including Estonia, Czech Republic, Croatia and Slovenia, require all teachers to be educated to masters level (Zuljan & Vogrinc, 2007). Niemi and Jakku-Sihvonen (2007) studied the curriculum of all initial teacher education courses in Finland and found that 60 ECTS credits of pedagogical studies are obligatory for all students, with 120 ECTS credits of pedagogical studies required on masters courses. Most Finnish courses include didactics, psychology, educational sociology, the philosophy and history of education, and comparative education. In Poland a similar list also includes logic and cultural anthropology and forms 40 ECTS credits of a Masters course (Zuljan & Vogrinc, 2007). Pre-service teachers in England are labelled ‘trainees’ by the inspection agency, Ofsted. Ofsted consistently use this term within inspection reports and this influence has led to its adoption by many university providers, especially those most concerned about their inspection grade. The term is used in preference to ‘student’, ‘pre-service teacher’ or ‘student teacher’. As stated above, the PGCE normally provides pre-service teachers with 30 ECTS credits (or 60 UK credits) at postgraduate level (second cycle). Alongside the university credits, they are awarded the designation qualified teacher status (QTS). Most students proceeding through the undergraduate route qualify to teach in primary schools and an undergraduate course may last 3 years or 4 years. Ten years ago, it was common for courses to last 4 years, but market forces have driven most universities to reduce courses to 3 years. To summarise, initial teacher education in England is much shorter, has a much greater practical component with far less study of theoretical elements than is the case in other European countries.

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Policies in New South Wales’ Initial Teacher Education Australian initial teacher education differs from the English system in the following way. During approval of new teacher education programmes, Australian teacher educators have to comply with a set of specific requirements, in addition to the normal approval system extant within each university. The presenting panel of teacher educators is judged by a panel that includes peers from other universities, school-­ teachers and representatives at the systemic level from either the Catholic, independent or state sector. In contrast to the 1-year PGCE in England with 120  days practicum, most of Australia’s pre-service teachers are required to study a 2-year post-graduate Master of Teaching (MTeach) qualification, including at least 60 days practicum, of which only 45  days contribute to achieving the NSW Teachers’ Standards. Normally, the final 40-day element of the practicum is entitled an ‘internship’. To commence this internship, the PSTs must have achieved the National Professional Standards for Teachers (Graduate) so that they are considered qualified and do not have to be observed or supervised in the classroom. This model is popular with schools as interns remain unpaid and thus provide additional staffing. The allocation of interns is often used as an inducement to schools to host other PSTs. There is also a 1-year or one and a half-year Graduate Diploma of Education that is on a par with the English PGCE. Teachers holding an English PGCE are permitted to teach in Australia, but teachers qualified through the English graduate teaching programme (GTP) or holding only Qualified Teacher Status (QTS) are not recognised. AITSL (Australian Institute for Teaching and School Leadership) Assessment for Migration can only consider initial teacher education programs that result in a formal academic award, final academic transcript and a statement of supervised teaching practice all issued by the institution awarding the teaching qualification. (AITSL, n.d.)

Australian undergraduate secondary teacher education programmes are typically 4 or 5 years in duration, compared with English undergraduate courses of 3 years. The requirement for the length of the Australian practicum is 80  days for the 4 and 5-year undergraduate degrees and 60 days for the 2-year Master of Teaching qualification. This compares with the English requirement for 160  days for a 4-year course and 120 days for a 3-year course. Thus, in Australia there is far less emphasis on the practicum and concomitantly more emphasis on taught content and subject-­ specific pedagogies. AITSL approves initial teacher education courses and is similar to the, now disbanded, National College for Teaching and Leadership (NCTL) in England (see Table  5.3). AITSL has recently introduced a national approach to the practicum, guidelines for admission to initial teacher education and a national literacy and numeracy test for graduates of initial teacher education courses. This test is similar to the long-standing language, IT and numeracy skills tests for entry to courses in England. It has been mandatory in Australia since 2016, for all PSTs graduating from a teacher education course (Australian Council for Educational Research, 2016). Teachers’ Standards were introduced in Australia in 2012 and are levelled at

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four standards, Graduate, Proficient, Highly Accomplished Teacher and Lead. New entrants to the teaching profession have been registered against the national standards since 2012. In New South Wales, state-based standards have been a requirement since 2005. Existing teachers have to register against the standards according to the schedule of each state teacher registration authority. A recent English initiative being replicated in Australia is ‘Teach for Australia’ that mirrors the English ‘Teach First’ scheme. Placing pre-service teachers in a range of different schools, outside of the urban area, can be problematic. This research was undertaken in a large urban area and therefore issues of distance and rurality did not negatively impact the research. However, some PSTs made reference to their experience teaching in schools in rural areas and it was clear that living and working in very small, remote communities was markedly different from a placement in a large urban school.

Policies in Ontario’s Initial Teacher Education The Ontario College of Teachers was created in 1996 as a self-regulatory professional agency for certified elementary and secondary school teachers and, since then, it has set teacher standards, determined a code of conduct and maintained a register of teachers (Anderson & Jafaar, 2007). In Canada trainee teachers are entitled ‘teacher candidates’. Undergraduate initial teacher education is designated the ‘concurrent’ route and comprises a 5-year course leading to qualification, providing graduates with a qualification to teach in an elementary school, or to instruct in certain ‘teachables’ in a secondary school. A ‘teachable’ refers to a subject that the graduate is qualified to teach. In most universities, a ‘consecutive’ course comprises a 4-year undergraduate degree followed by a 16-month qualification to Bachelor of Education (B.Ed.). This opportunity provides graduates with a Bachelors’ teaching qualification. For the ‘consecutive’ course, the specified minimum duration of the practicum for a 1-year course is 40 days. Kitchen and Petrarca (2013) state that for much of the history of education since the mid-nineteenth century, there has been a shortage of teachers in Ontario. However, at the time of data collection, there had, for some years, been a significant oversupply of PSTs graduating in Ontario. Writing in 2011, Van Nuland reports that only 20% of graduating teachers gain employment and graduating teachers have, first, to complete daily supply opportunities prior to being placed on a School Board list for long-term occasional positions such as maternity cover. Once they have completed 10 months of supply teaching, or two report cards, they can be considered for a permanent post. Schools are only permitted to place newly qualified teachers on their shortlist if they have fewer than five current teachers available to shortlist. Only two subjects were reported to be teacher shortage subjects, these are French and music. Brock and Ryan (2016) indicate that it can be 5 years between a teacher’s graduation and the gaining of a permanent post. They explore whether those teachers’ skills will remain current over such a period.

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The National Centre on Education and the Economy (2020) reported that in 2014, the province of Ontario aimed to tackle this oversupply problem and raise the quality of graduating teachers. The action taken to achieve these aims was to reduce the intake of PSTs by half, while doubling the length of the programme to 2 years and doubling the length of the practicum to 80 days. The press reported on this ‘glut of teachers’ situation and on the Ontario provincial government announcement that the period of training for teacher candidates on consecutive degrees would be increased to 2 years (Alphonso, 2013). The increase in length of teacher education courses was also covered in local newspapers and some were critical of the developments (Wente, 2013). While the claim was made that the increase in course length would improve the quality of the teaching supply, it is apparent that the imperative was to reduce the oversupply of teacher candidates. Nevertheless, the increase in the length of courses has allowed universities to provide greater development opportunities for PSTs, for example in digital technologies (Hughes et al., 2015). By 2019, there were reports that this situation has rapidly transformed from teacher glut into teacher scarcity (McDonald, 2019). The reasons for the oversupply of teachers in the years leading to 2013 was explained, by the various stakeholders that the researcher met, as follows. The financial crash in 2008 did not lead to the closure of any banks in Canada, as occurred in the US and in the UK. However, due to the volume of trade between the US and Canada, there was an impact on jobs in Ontario and many jobs were lost. A number of teachers who were about to retire delayed their retirement in order to ensure that there was an income in households where other adults had lost their job. As a result, there were fewer vacancies in schools. Additionally, there was a greater demand for teacher training places, presumably intensified by lack of other jobs, alongside a cap, due to funding restrictions, on the number of training places available within Ontario. The province therefore permitted ‘off-shore’ universities to offer Ontario teaching qualifications; these students have to pay for their education thus providing income to the province. There were two types of ‘off-shoring’; the first being US universities close to the Canadian border offering teaching qualifications accepted by Ontario and placing their students on practicum in Ontario; the second being the location of a campus of an Australian university in Ontario.

Synthesis Table 5.3 compares the various initial teacher education agencies and processes in the three jurisdictions. It presents a summary of the key differences across these jurisdictions. If various stakeholders in education from the three jurisdictions were asked what they felt was the strength of the public education system, the following responses might be expected. In the Canadian context, the respondents might argue that the quality of the teachers is paramount and that there is a high level of professionalism amongst administrators and teachers. The Australian respondents might focus on

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Table 5.3  Initial teacher education Agencies

Teacher Standards

England Department for Education (National College for Teaching and Leadership disbanded in early 2018)

Teacher standards published by DfE 1 level

New South Wales Australian Institute for Teaching and School Leadership (AITSL) New South Wales Education Standards Authority Australian Professional Standards for Teachers at 4 levels published by AITSL New South Wales Education Standards Authority plus University

Higher Education Individual programmes approved by University. Programme Universities or school accreditation providers of ITE retain (or lose) accreditation through Ofsted inspection Ug 80 days, Pg 60 days Practicum length 120 days minimum including 40 days internship Yes Yes Literacy/ Literacy and numeracy numeracy test for initial teacher entrance education (LANTITE) qualification Introduced in 2016 Length of Ug 3 (few 4) Ug 4 to 5 years programmes PG (PGCE) 1 year MTeach 2 years Graduate diploma education 1.5 years Unusual types of programme

School Direct, Teach First, long standing SCITTs

Teach Australia mirrors Teach First

Ontario Ontario College of Teachers Sets standards and code of conduct, maintains register Standards of practice published by Ontario College of Teachers 1 level By Ontario College of teachers plus University

40 days increased to 80 in 2015/16 Yes

Ug concurrent 5 years Pg consecutive 1 year increased to two in 2015/16 leading to Bachelor of Education none

the market choice indicating the opportunity to choose a school appropriate for your child. Finally, the English respondents might commend the publication of information about schools and the scrutiny under which schools are placed; the intention to ensure that poorly performing schools are quickly improved. An alternative way to imagine the situation is to consider how we might perceive it if we were discussing a parallel professional situation. Let us take the situation of healthcare. The Canadians would praise the doctors and nurses and indicate that it was the public perception of their skills, knowledge and professionalism that provides confidence in the Canadian system. The Australians would welcome the fact that they can choose to go to a general or specialist hospital, can opt for a private hospital to speed up the process and can opt for their children to be admitted to gender specific children’s wards. Finally, the English respondents would express confidence through the national oversight of health care, the reviews, audits and extensive checks and

References

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balances that ensure that poorly performing hospitals are identified and improved.1 It is possible to identify all three elements: professionalism, market choice, and scrutiny, in each jurisdiction’s education system. But in each case, one element dominates.

Conclusion In this chapter we have presented a description of the school education system and the initial teacher education system in the three jurisdictions. The Australian and Canadian education systems and teacher education systems are more like other European systems than is England. The English teacher education system is distinctly out of step with most other countries. in England ….. we have national testing and high stakes inspection processes alongside publication of performance indicators. As a result of these factors, exacerbated by changing models for teacher education, we have a lower status workforce and difficulty recruiting to certain subjects and posts. (Gilbert et al., 2017, p. 104)

The general direction of travel, as evidenced by the English system, is towards greater scrutiny and accountability. New South Wales appears slower to adopt concepts, such as Teachers’ Standards, but it does evaluate and gradually implement such initiatives. Ontario has a more independent, values-based model putting more trust in its professionals, possibly due to power being held by the liberal government from 2003 to 2018. Many changes in the school and initial teacher education systems align with a change of government. Most significant changes in the UK have followed a new administration but initiatives introduced by one administration are rarely entirely reversed by a change in the political party in government.

References Alphonso, C. (2013, June 5). Ontario moves to halve number of teachers-college grads. The Globe and Mail, Canada. Anderson, L. (1994). School-centred initial teacher training: A difference of emphasis rather than degree. Annual Conference of British Educational Research Associate. Anderson, S., & Ben Jafaar, S. (2007). Policy narrative for Ontario. In A.  Chan, D.  Fisher, & K.  Rubenson (Eds.), The evolution of professionalism: Educational policy in the provinces and territories of Canada (pp. 79–97). UBC Centre for Policy Studies in Higher Education and Training.

1  It should be noted that the inspection agency for health and social care provision in England, the Care Quality Commission does undertake such checks and inspections. Despite these extensive inspection obligations, there have been some notable failures in certain hospital groups.

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Australian Bureau of Statistics. (2019). Schools Australia 2019: Key statistics. Retrieved from https://www.abs.gov.au/ausstats/[email protected]/0/9448F2F814FA0311CA2579C700118E2D?Op endocument Australian Council for Educational Research. (2016). Literacy and numeracy test for initial teacher education students. Retrieved from https://teacheredtest.acer.edu.au Australian Curriculum Assessment and Reporting Authority. (2016a). Curriculum. Retrieved from http://www.acara.edu.au/curriculum Australian Curriculum Assessment and Reporting Authority. (2016b). MySchool. Retrieved from http://www.myschool.edu.au Australian Institute for Teaching and School Leadership. (n.d.). Retrieved from https://www.aitsl. edu.au/migrate-­to-­australia/frequently-­asked-­questions Ball, S.  J. (2009). Academies in context: Politics, business and philanthropy and heterarchical governance. British Educational Leadership, Management & Administration Society, 23(3), 100–103. Ball, S.  J. (2012). Global education inc. new policy networks and the neoliberal imaginary. Routledge. Ball, S. J. (2017). The education debate. The Policy Press. Brock, A., & Ryan, T. G. (2016). Exploring the gap between teacher certification and permanent employment in Ontario: An integrative literature review. Canadian Journal of Educational Administration and Policy, 175, 1–28. Butler, P. (2018, February 11). Northamptonshire council faces up to cost of effective bankruptcy. The Guardian. Retrieved from https://www.theguardian.com/uk-­news/2018/feb/11/ northamptonshire-­county-­council-­effective-­bankruptcy-­tories-­cuts Chitty, C. (2014). Education policy in Britain. Palgrave Macmillan. Davies, S., & Guppy, N. (1997). Globalization and educational reforms in Anglo-American democracies. Comparative Education Review, 41(4), 435–459. Department of Education. (2010). The importance of teaching: The schools white paper (cm 7980). Her Majesty’s Stationery Office. Department of Education. (2015). Carter review of initial teacher training (DFE-00036-2015). Her Majesty’s Stationery Office. Department for Education. (2016). National statistics: Schools, pupils and their characteristics: January 2016. https://www.gov.uk/government/statistics/schools-­pupils-­and-­their-­characteristics-­ january-­2016 Earley, P. (1998). School improvement after inspection? School and LEA responses. Paul Chapman Publishing Ltd. Education Quality and Accountability Office (EQAO). (2020). Retrieved from https://www.eqao. com/Pages/launch.aspx BBC. (2018, March 1). Five things to know on school offer day. Retrieved from https://www.bbc. co.uk/news/education-­43216483 Fraser, P.  R., Sidhu, L.  A., Jovanoski, Z., Hutchison, W.  D., Tran, T.  P., & Arnold, J. (2020). Teaching university physics to students from different school systems: Australia’s state-based education. Journal of Physics: Conference Series, 1643, 012165. Fullan, M. (2012 May 4). What America can learn from Ontario’s education success, The Atlantic. Retrieved from https://www.theatlantic.com/national/archive/2012/05/ what-­america-­can-­learn-­from-­ontarios-­education-­success/256654/ Gilbert, J., Moilanen, P., & Saukkonen, S. (2017). Perspectives on accountability in education: Local democracy versus national regulation. In A. Raiker & M. Rautiainen (Eds.), Educating for democracy in England and Finland (pp. 93–108). Routledge. Greany, T., & Higham, R. (2018). Hierarchy, markets and networks: Analysing the ‘self-­improving school-led system’ agenda in England and the implications for schools. UCL Institute of Education Press.

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Hasting, A., Bailey, N., Brambley, G., Gannon, M., & Watkins, D. (2015). The cost of the cuts: The impact on local government and poorer communities. Universities of Glasgow and Heriot-­ Watt, Joseph Rowntree Foundation. Retrieved from www.jrf.org.uk Hetherington, P. (2017, September 5). How will councils survive the funding abyss? The Guardian. Retrieved from https://www.theguardian.com/society/2017/sep/05/ how-­will-­councils-­survive-­funding-­abyss Hughes, J., Laffier, J., Mamol, A., Morrison, L., & Petrarca, D. (2015). Re-imaging pre-­service teacher education in Ontario, Canada: A journey in the making. Higher Education in Transformation Conference, Dublin. Retrieved from https://arrow.tudublin.ie/cgi/viewcontent. cgi?article=1003&context=st5 Jensen, B., Reichl, J., & Kemp, A. (2011). The real issue in school funding: An analysis of increasing government school expenditure and declining school performance. The Australian Economic Review., 44(3), 321–329. Kitchen, J., & Petrarca, D. (2013). Teacher preparation in Ontario: A history. Teaching & Learning, Brock University, 8(1), 56–71. Retrieved from https://journals.library.brocku.ca/teachingandlearning/index.php/home/article/view/426 Koziol, M. (2015). Single-sex schools in decline as co-education favoured. Sydney Morning Herald, July, 12, 2015. Lightman, B. (2015). The Gove legacy in state education. In M.  Finn (Ed.), The Gove legacy: Education in Britain after the coalition (pp. 14–33). Palgrave Macmillan. Lingard, B. (2010). Policy borrowing, policy learning: Testing times in Australian schooling. Critical Studies in Education, 51(2), 129–147. Lingard, B., Martino, M., Goli, R., & Sellar, S. (2016). Globalizing educational accountabilities. Routledge. Loughland, T., & Sriprakash, A. (2014). Bernstein revisited: The recontextualisation of equity in contemporary Australian school education. British Journal of Sociology of Education, 37(2), 230–247. Manzer, R. (2003). Educational regimes and Anglo-American democracies. University of Toronto Press. Meyer, H.-D., & Benavot, A. (2013). PISA, power and policy: The emergence of global educational governance. Oxford Symposium Books. McDonald, M. (2019, January 9). Teacher supply goes from glut to scarcity in a few short years. University Affairs. Retrieved from https://www.universityaffairs.ca/news/news-­article/ teacher-­supply-­goes-­from-­glut-­to-­scarcity-­in-­a-­few-­short-­years/ Ministerial Council on Education, Employment, Training and Youth Affairs. (2008). Melbourne declaration on educational goals for young Australians. Retrieved from http://www.curriculum.edu.au/verve/_resources/National_Declaration_on_the_Educational_Goals_for_Young_ Australians.pdf National Centre on Education and the Economy (NCEE). (2020). Centre on international education benchmarking (2020). Retrieved from http://ncee.org/what-­we-­do/center-­ on-­i nternational-­e ducation-­b enchmarking/top-­p erforming-­c ountries/canada-­overview/ canada-­teacher-­and-­principal-­quality/ Niemi, H., & Jakku-Sihvonen, R. (2007). Teacher education in Finland. In M.  V. Zuljan & J.  Vogrinc (Eds.), European dimensions of teacher education: Similarities and differences. Faculty of Education, University of Ljubljana. Ontario Ministry of Education. (2010). Growing success: Assessment, evaluation and reporting in Ontario schools. Retrieved from http://www.edu.gov.on.ca Ontario Ministry of Education. (2020). Private elementary and secondary schools. Retrieved from http://www.edu.gov.on.ca/eng/general/elemsec/privsch Organisation for Economic and Co-operation and Development. (2016). Education at a glance 2016: OECD indicators. OECD Publishing. Retrieved from h­ttp://dx.doi.org/10.187/ eag-2016-en

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Quality Assurance Agency. (2014). The frameworks for HE qualifications of UK degree-­ awarding bodies. QAA.  Retrieved from https://www.qaa.ac.uk/searchresults?indexCata logue=global&searchQuery=Frameworks%20for%20HE%20Qualifications%20of%20 UK&wordsMode=AllWords Rightmove. (n.d.). www.Rightmove.co.uk Robertson, S. L. (2012). Placing teachers in global governance agendas. Comparative Education Review, 56(4), 584–607. Sandilands, D., Barclay McKeown, S., Lyons-Thomas, J., & Ercikan, K. (2014). An investigation of school-level factors associated with science performance for minority and majority francophone students in Canada. Canadian Journal of Science, Mathematics and Technology Education, 14(2), 135–153. Sattler, P. (2012). Education governance reform in Ontario: Neoliberalism in context. Canadian Journal of Educational Administration and Policy, 128, 1–28. Silverman, D. (2000). Doing qualitative research: A practical handbook. Sage Publications. Tuning Educational Structures in Europe. (2009). Reference points for the design and delivery of degree programmes in education. Universidad de Deusto Apartado 1. UK Government website. https://www.compare-­school-­performance.service.gov.uk Van Nuland, S. (2011). Teacher education in Canada. Journal of Education for Teaching, 37(4), 409–421. Volante, L. (2007). Educational quality and accountability in Ontario: Past, present, and future. Canadian Journal of Educational Administration and Policy, 58, 1–21. Wente, L. (2013, June 6). Overeducated and underemployed: The teachers college mess. The Globe and Mail, Canada. Retrieved from https://www.theglobeandmail.com/opinion/ wente-­overeducated-­and-­underemployed-­the-­teachers-­college-­mess/article12366486/ Zuljan, M. V., & Vogrinc, J. (2007). European dimensions of teacher education: Similarities and differences. Faculty of Education, University of Ljubljana, Slovenia and the National School of Leadership in Education, Kranj, Slovenia.

Chapter 6

The Literature on Policy Borrowing, Learning, Professional Identity and the Practicum

Abstract  The literature search explores the existing knowledge base and frames the discussion and interpretation of the Practicum Study data. It reports on two systematic reviews of research on the practicum in initial teacher education. The role of the mentor and their feedback is crucial and contextual factors are important. Another important theme explored is the sharing of policy across jurisdictions. Bob Lingard and Shaun Rawolle’s concept of the ‘rescaling of political authority’ is discussed; referring to the adoption of policies that have been labelled as good practice by supranational organisations such as the Organisation for Economic Development (OECD). Teachers’ Standards, one of the generic policy initiatives shared, is compared across the three jurisdictions examined in the Practicum Study. Several models are presented including Lave and Wenger’s concepts of legitimate peripheral participation, communities of practice and codes of practice. The issue of identity is raised in relation to learner identity, teacher identity and professional identity. Another theme explored is that of agency and the concept of reality shock, a feeling of disorientation experienced by pre-service teachers. The chapter concludes by exploring teaching as a craft and the notion of the reflective practitioner. Keywords  Agency · Communities of practice · Governance · Legitimate peripheral participation · Mentor · National standards · Policy borrowing · Reality shock · Rescaling of political authority

Introduction This chapter summarises the literature necessary to frame the discussion and interpretation of the data collected within the Practicum Study. Doctoral students normally identify a general area of interest and carry out a literature search to form one of the introductory chapters of their thesis. This search serves several purposes (Phillips & Pugh, 1996; Bell, 1987; Silverman, 2000; Blaxter et  al., 1996; Denscombe, 2003). It allows one to identify gaps in knowledge so that one does not, unknowingly, replicate an existing piece of research. It provides the context for research in the area and identifies themes that have already been explored. It © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_6

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provides a knowledge base on which to build and with which to compare. In this chapter, the literature search begins with an exploration of policy borrowing. The ways in which policy is shared across jurisdictions are discussed, introducing the concept of the ‘rescaling of political authority’ and the adoption, from supranational organisations, of policies that have been labelled as good practice (Lingard & Rawolle, 2011, p. 490). In the course of the discussion, examples of these concepts are presented. We then move on to the concept of learning within the sphere of teacher education. The issue of identity is raised by several researchers in relation to learner identity, teacher identity and professional identity. We present several models that relate to learning, including authors who call on the work of Vygotsky (Vygotsky & Cole, 1978) and of Lave and Wenger (1991). The concepts of legitimate peripheral participation and communities of practice are explored. Literature reporting on research into the practicum, begins with two systematic reviews of research studies. A systematic review collects, collates and summarises journal articles from multiple studies. This is a frequently used technique in the healthcare disciplines, when collecting reviews of multiple studies of controlled trials. Following these systematic reviews, the literature on research into the role of the mentor and the pre-service teacher (PST) is surveyed. Many research projects have focussed on collecting data from PSTs with a number collecting data longitudinally and thus searching for evidence of stages of development during the process of training to be a teacher. Warin et al. (2006) and Poulou (2007), for example, present stages of development models. Other themes discussed here include van Huizen et  al.’s (2005) comparison between the Anglo-American and the Continental approach to teacher education. They highlight the importance of identifying sense-­ making motives as accentuated in the Continental model. The value of reflective practice is called into question by Crichton and Valdera Gil (2015) and further analysed by Erlandson (2005) to explore the ways in which reflection has become a method of enforcing accountability. Agency is another theme examined in this chapter, together with its relationship with context. Kim and Cho (2013) explore the concept of reality shock, a feeling of disorientation, and use questionnaires to assess the level of reality shock experienced by PSTs and explore its relationship with PST resilience. The chapter concludes by briefly exploring teaching as a craft and relating it to the reflective practitioner concept (Moore, 2004).

Policy Change and Policy Borrowing The discussion of educational policy begins with a step back into the 1980s. It is at this point that we see the “rolling back of the state” (Bevir, 2009, p. 94), the shift to a minimal state and the increasing marketisation of education and growth of networks (Ball, 2006; Castells, 2009). The metaphor widely used is the move from ‘government’, seen as ‘rowing the boat’, to ‘governance’ viewed as ‘steering the boat’. Osborne and Gaebler (1992), advocates of New Public Management, recommend that government should cease performing a service role, that is ‘rowing’.

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Instead, government should take responsibility for governance or ‘steering’ and focus on policy development and monitoring (Denhart & Denhart, 2015, p. 213). Ball (2012, p. 23) argues that neoliberalism should not be considered a solely theoretical doctrine: Policies cost money, and that money must come from somewhere, and one of the responses of states around the world to the 2008 financial crisis has been to make ‘cuts’ in public spending and to look for ways of doing policy cheaper – marketisation and privatisation are taken to be one way of doing policy cheaper, as well as more effectively.

Ball (2006) furnishes several cases, including private colleges and universities that demonstrate the prime objective of profitability. The involvement of the private sector in initiatives like the Public Finance Initiative (PFI) can be seen at a national level. At a supranational level the activities of the World Bank and various NGOs (non-governmental organisations) can be traced. Money furnishes power, as Ball’s discussion of entrepreneurs exemplifies. Bill Gates claims to want to “give something back”, by providing capital for enhancements in developing countries (Ball, 2012, p. 24). Ball’s argument is that much of this donation is an investment into a nation to commodify its citizens. The growing number of private sector agencies operating the whole or part of public sector organisations has reduced some of the cost, but has also increased the need for government to oversee and regulate their activities. Such contracting out includes the private sector running of prisons and the outsourcing of catering, cleaning and car parking in hospitals. Holding such private agencies to account leads to further accountability measures. Ball (ibid) concludes by saying that education policy is not just a battleground for ideas but is, in many cases, driven by a search for profit. Since before the First World War, Britain has scrutinised the ways that German education has provided advantages in trade and industry, not to mention in military terms (Ochs & Phillips, 2002). In observing German educational policy,  Phillips and Ochs (2004) have highlighted the problems that accompany any expectation of being easily able to transplant a policy to a different context; they also comment that policy borrowing must be conscious and that “susceptibility to influence is not itself borrowing” (ibid, p. 773). In their earlier paper, Phillips and Ochs (2003, pp.451–452) present a four-stage model of policy borrowing comprising cross-national attraction, decision-making, implementation and internalisation. In turn, they discuss examples of situations where government policy at the second stage, that of the decision-making, can be divided into the categories of theoretical, realistic, quick fix and phoney policies (Phillips & Ochs, 2004). Another means of categorising the different aspects of policy that can be borrowed includes compartmentalising them according to different themes. Phillips and Ochs (2004) debate the following themes: sources of funding, training approaches, enabling structures, alternative processes and techniques.

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The Rescaling of Political Authority Lingard and Rawolles (2011) introduce an important consideration when they argue that the ‘social’ no longer predominantly aligns with the nation state but instead associates with the global knowledge economy. They, therefore, question the primacy of the nation-state as the unit of analysis within comparative education (ibid, p.489). This notion builds upon the work of Appadurai (1996) and introduces the concept of a global policy field. It leads us to consider the stratum above, and the stratum below, the level of the nation-state. The stratum above comprises supranational organisations such as the Organisation for Economic Development (OECD), the World Bank and the European Commission. The stratum below is the subnational level and includes, in a federal framework such as Australia and Canada, the states or provinces. The supranational entity with the most noticeable impact on educational policy is the OECD. Education is recognised as a critical policy tool for nations and the OECD exerts an influence on education by means of surveillance and accountability. Lingard and Rawolles (2011, p.492) entitle this change of influence a “rescaling of educational politics and policies”. The OECD produces the Programme for International Student Assessment (PISA) tables, and thus provides “a global scale metric of comparison between national education systems … on the basis of a single major performance indicator: student achievement on high stakes standardized testing” (ibid, p.490). The reaction of politicians to the PISA results centres on deriving a quick policy response, and there is limited discussion of the accuracy or suitability of the methodology. Responses in both Australia and the United States have entailed a rescaling from subnational to national level, that is from state control to federal control (ibid, p.492). Astiz and Akiba (2016) present a compilation of chapters discussing the global and the local; they suggest that there is a global environment that facilitates the transfer of generic solutions to common problems. The prominence of supranational entities is illustrated by the report produced by the World Bank on Russian teacher education (Aydarova, 2014). Their recommendation to make teacher education ‘more market relevant and more market flexible’ led to the Russian Federation harmonizing its teacher education with the Bologna process (ibid, p.67). The Bologna process is a practice of voluntary harmonisation of higher education within European countries. The process defines educational concepts such as credit, level, and competence and introduces a common structure that permits the translation of qualifications, currently between the European Commission and 49 countries in the European Higher Education Area (EHEA and Bologna Process, 2021). Global factors, therefore, influence policy at a national and subnational level. Another example, from the field of higher education, illustrates the influence of global factors on nation states. Keeling (2006) argues that although education is not a European Union competency (power), the European Commission is dominating the higher education discourse in Europe. It achieves this control through its involvement in the Bologna process, comprising agreements for comparable standards for higher education qualifications, and leading structural reform to encourage the

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mobility of students. This drive to make European higher education systems compatible confirms the role of education as a commodity. Qualifications are more easily defined (through generic learning outcomes), more measurable (through credit accumulation and transfer) and common standards are maintained (through similar quality assurance methods). In the research field, the Lisbon process focuses on funding collaborative research and the creation of intellectual property that can be traded. Within national higher education systems, such initiatives provide both legitimation and funding opportunities. “National governments …. have embraced the Commission’s deft combination of research and Bologna priorities, utilising their common language for higher education to describe and contextualise their national reforms” (Keeling, 2006, p.213). As membership of the European Higher Education Area extends well beyond the European Union, the UK has retained its membership post-Brexit.

Example of Policy Adoption The comparison of PISA outcomes by country and the application of the results to make changes within one’s own country can be seen frequently. Chung et al. (2012) present an illuminative example from the English teacher education field. They discuss the PISA 2009 results that ranked the UK as average on the table of nation states, whereas PISA 2009 placed Finland third from the top of the table (OECD, 2009). The Finnish system of teacher education was examined to consider what policies it might be fruitful to copy (Chung et al., 2012). All Finnish teachers are educated to Masters level and this element of Finnish education was the one chosen for adoption. Having made the decision, the government adopted a ‘quick fix’ approach, as referred to earlier in this chapter. Consortia of universities were invited to bid to deliver such courses and certain groups of teachers were permitted to enrol and were funded. With a change of the UK government, funding was curtailed, and no further teachers were enrolled; thus it proved a short-lived initiative, its efficacy never evaluated and its cost considered prohibitive. It is difficult to judge whether the initiative was discontinued solely due to the pragmatic reason of cost, whether the Secretary of State for Education felt that there was an ideological mismatch, or whether the new Government simply wanted to distance its policy from its predecessor. At the time of writing, the most recent statistics published are the PISA 2018 results. PISA publishes reports on three tests, reading, mathematics and science. Using the first reported, the reading results shows Finland in 5th place, Canada 6th, UK 14th and Australia 16th. Engels et al. (2019) provide an example of the continuing critique regarding the application of these results as an effective measure of competence and warn readers to be cautious in interpreting the results.

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Adoption and Legitimisation of Policy Initiatives The next issues considered are ‘policy tourism’, ‘cherry picking’ and legitimisation. Governments often find PISA results disquieting. They do not necessarily worry about their position on the PISA scale, many worry about the countries that are ahead of them (Chung et al., 2012). This anxiety has resulted in what Winstanley (2012, p.518) calls ‘policy tourism’ where education ministers make “forays abroad to investigate and borrow structures and practices”. The policy selected for appropriation is frequently chosen because it aligns with the government’s prevailing ideology and therefore the visit abroad, and the evidence presented on return, serves to ‘legitimise’ the consequent home policy. This tactic is often termed ‘cherry picking’. In a long and detailed analysis of policy-borrowing, Steiner-Khamsi (2014) makes a similar case. She describes policy-borrowing as ‘deterritorialized’; policies that are defined as international best practice are shared and adopted and become the norm. Ministers, in adopting such standardised policies, select only those features that align with their domestic agenda. Steiner-Khamsi (ibid) also discusses some of the factors that have influenced this production of global policy standards and outputs. Key factors include the standardisation and commercialisation of educational products such as textbooks or assessment methods, it being more lucrative to sell one’s products worldwide. This commercial approach can be observed with organisations like Pearson, the UK’s largest awarding body for technical and vocational qualifications. Having secured a significant part of the higher education market related to Higher National Certificates and Diplomas in the UK, they also offer lower-level qualifications for schools and further education that include international qualifications (GCSEs and Edexcel certificates). Finally, we consider three assumptions that researchers commonly accept when researching the topic of ‘policy borrowing’ (Steiner-Khamsi, ibid, p.  161). Firstly, they may assume ‘loose-­ coupling’, the belief that global policies have to be adapted to local contexts and therefore consider there is little to learn from the study of ‘policy borrowing’. Secondly, they may assume that “adaptation in different cultural environments” is interesting and worthy of study (ibid, p. 162). Thirdly, they may assume that the main issue of interest is how global policy is interpreted within a given local system. “Globalization is not an intervention that is introduced by global forces but …… it is stakeholders in the system that use the semantics of globalisation or international standards …. to shake up the power dynamic in a system” (ibid, p. 162).

National Standards One of the generic policy solutions applied across numerous nation states is the imposition of national standards, for example in the National Curriculum or in a set of Teachers’ Standards. Ostinelli (2009) compares five European countries and identifies many common features in the education of teachers. These include the

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place of knowledge in a rapidly changing world and the professional discretion of the teacher versus the need for teachers to be functionaries, in a climate of increasingly defined curricula. They also raise concerns about the number of children without “a basic mastery of the country of adoption’s spoken and written language” (ibid, p.  291). Richmond et  al. (2016) discuss the dichotomy between what pre-­ service teachers are taught in the university and their experience in the reality of the classroom, all within the continuous spiral of policy reform in the United States. Meanwhile, England stands out as the country having moved unambiguously from teacher autonomy to central control over the last 20 years (Ostinelli, 2009). This change has accelerated since the date of Ostinelli’s writing. A more extreme version of the effect of policy on the teacher in the classroom in England, is proposed by Maguire (2005, p. 428): “through the specification and regulation of their work the reformed teacher is being constructed as a deliverer of policy constructed by the central state”. Policies and procedures are designed to dictate, leading to the teacher’s professional judgment being replaced by conformance to standards. Lingard (2010) describes the situation in Australia. The legal authority of the individual states has been usurped by federal responsibility for the introduction of national testing for literacy and numeracy via the National Assessment Program for Literacy and Numeracy (NAPLAN) with its outcomes reported on the MySchool website. Such national tests are examples of generic policy solutions; these solutions reflect the increasing emphasis on education as the production of an economically competitive workforce, a source of human capital (ibid, 2010, p. 136). During his explanation, Lingard (ibid) describes the role of the Australian press in the education debate thus illustrating the global nature of the media as another supranational force, alongside OECD, the World Bank and global companies. Gillies (2015) provides a summary of the changes within Australian education and its responses to a global neoliberal agenda. She also compares progress in Australia with the jurisdictions that consistently score highly on PISA assessments: Ontario, Finland, Singapore and Hong Kong (ibid, p. 201). She talks of these successful jurisdictions, each advancing an inspiring and inclusive shared vision, rather than simply imposing a set of targets to be achieved. In contrast with Australia, Canada does not exert any federal control over education; Ontario, like the other Canadian provinces, has legal jurisdiction over education and delegates considerable responsibility to its School Boards. Sattler (2012) provides an overview of education governance reform in Ontario from 1990 to 2010, as governance tracks the neoliberal market paradigm. She indicates that Ontario introduced “measures to reduce education expenditures by amalgamating school boards and centralizing funding, and to increase accountability through new provincial curriculum, outcomes-based education, standardized testing, and greater parental/community involvement in governance” (ibid, p. 2). She explains how the approach to the adoption of generic policy solutions has swung between centralisation, under a conservative provincial government, and devolution, under a liberal provincial government. The pendulum, she notes, now veers toward a ‘policy tutelage’ model where the Province sets the policy and provides advice on

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implementation. Meanwhile, the Province permits School Boards to adjust policies to fit their needs (ibid, p. 21).

Teachers’ Standards in Three Jurisdictions The OECD’s advice on teacher profiles, the term that the OECD uses for Teachers’ Standards will now be explored in order to consider the impact that global organisations have on policy (OECD, 2011). One of the reasons for selecting Teachers’ Standards as the topic in this chapter is because it is the policy most frequently referred to within the Practicum Study focus groups and thus emerges from the data. The OECD defines teacher profiles as statements of ‘what a teacher knows or is able to do’ and suggests that they are used at various stages of the teacher life cycle: in initial teacher education; for certification; through professional development; and for career promotion. OECD also advises on the aspects of teaching that the profile should cover; this list includes knowledge of subject and pedagogy, interpersonal skills with pupils and colleagues, contribution to the school and the profession, and personal development. The profile should be evidence-based and should be used to determine performance. A jurisdiction should have the necessary power and authority to ensure that profiles are implemented; this capacity is frequently referred to colloquially as ‘having teeth’. Different timeframes apply for the adoption of teacher profiles in each country. The longest established Teachers’ Standards are in England (1994), followed by Ontario (1998), and most recently New South Wales (2011), see Table  6.1. In England, the Teachers’ Standards were redefined following the election of the Conservative/Liberal Democrat coalition government in 2010, to simplify and define them more clearly for functional application. This simplification was one of a large number of changes, beginning with the abolition of the General Teaching Council for England and the amalgamation and incorporation of agencies like the Teacher Development Agency into the Department for Education. Curricula and qualifications were amended, and performance-related-pay was extended to all teachers. The devolution of much of teacher training to schools led to the closure of some university education faculties (Lightman, 2015, pp.20–23). In addition to this action there was a strengthening of the inspection regime; the creation of free schools; and the increase in the number of academy schools (ibid, p. 17). Michael Gove, the Secretary of State for Education from 2010 to 2014, was able to dictate the direction of education because “his educational vision as a minister was consonant with a broader Conservative politics” and his determination could be considered ideological zeal (Finn, 2015, p. 6). New South Wales is following the same direction as England. Both jurisdictions propose the overriding aim to be improving the quality of teachers in order to improve the outputs of pupils, so it is clear that teachers are held to be accountable for these outputs. Meanwhile, in Ontario the standards “articulate the goals and standards of the profession” and are the responsibility of the Ontario College of Education, a

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Table 6.1  Comparison of Teachers’ Standards in England, New South Wales and Ontario

Jurisdiction England (Department for Education, 2011)

Introduced when/by whom Department for Education (UK), devised by set of experts Latest, set 2011

Levels/ Applies to 1 common set

Structure 8 responsibilities. Each broken down into 3–5 aspects plus, professional conduct

New South Wales (New South Wales Education Standards Authority, 2017)

Australian Institute for Teaching and School Leadership 2011 Note reference to OECD and McKinsey Report

Set at 4 career stages starting with graduate standards for newly qualified teachers

Under 3 headings Professional Knowledge Practice Engagement Cover similar aspects to UK

Ontario (Ontario College of Teachers, 2019)

Ontario College of Teacher provides licence to teach

1 common set Ontario Certified Teacher to those in good standing introduced in 2009

5 standards of practice Ethical standards Professional learning framework

Original set The standards replace the ‘standards for qualified teacher status’ and the ‘core professional standards’, previously published by the former Training and Development Agency for Schools (and TTA established 1994) At one stage linked to responsibility and pay Appear to be new with aim of improving teacher quality Accreditation is provided by NSW Education Standards Authority and NSW Department of Education

To be used for QTS Induction Annual appraisal & performance related pay Professional Conduct section can be used for misconduct cases

Graduate underpin ITE, others voluntary, but are being introduced gradually Define the work Provide common understanding and language Guide learning and practice Use for goals and self-reflection Inspire Introduced in teachers, 1998 following identify values, international comparisons and guide judgement, in province promote consultation common Ethical part language approved later

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non-government office rather than an arm of government. The data collected in the Practicum Study included reference to Teachers’ Standards in Australia and England, but Teachers’ Standards were not introduced in the discussion in Ontario. Where a jurisdiction has followed OECD advice and given the Teachers’ Standards ‘teeth’, it can be discerned in the discourse and is likely to impact on action and possibly change behaviour. It is not feasible, nor particularly helpful, to undertake a summary of the position of Teachers’ Standards for a geographically wider area. However, it is interesting to note the wide variation in Europe, with the Netherlands introducing a set of Teachers’ Standards in 1990 while Norway did not introduce a set until 2011 (Tillema et al., 2011).

Learner Identity We move on from the discussion of policy and standards to consider the individual student and their learning. Mutton et al. (2010) explore PSTs’ learning during a one-­ year post-graduate teacher education course in England. They explore the learner’s perceived identity in relationship to the school context. Their research method contrasts with the one adopted in the Practicum Study. Mutton et al. select one stakeholder group only, PSTs, and they undertake a longitudinal study lasting a year, holding in-depth interviews with 25 students. Mutton et al. have very similar aims to the initial aims of the Practicum Study, despite the difference between their research approach and ours. Their questions include: What contextual factors do the PSTs perceive as facilitating their learning and what factors are perceived as constraints?” (ibid, p. 75). In the article referenced, they report on three of the PSTs and state that “the most striking finding to emerge from this analysis of student teachers’ accounts of their learning: the multi-dimensional, idiosyncratic, context-specific nature of the process of becoming a teacher” (ibid, p. 86). Note that Mutton et al’s facilitating factors and the constraints are synonyms for powers and liabilities in critical realism and Tao’s (2016) tendencies and counter-tendencies. Mutton et  al.’s (2010) interviews reveal one example of a PST who, facing a challenging context, is reactive and makes use of the context whereas another example exposes a PST who blames the context for his lack of progress. Contextual factors are vital, and the mentor is considered crucial, in relation, particularly, to the match between student and mentor and the related nature of mentor feedback. While one PST might seek very detailed feedback on their lesson observation, another might respond badly to exhaustive feedback. Another contributing feature to the constraints is a PST’s lack of knowledge, whether this deficiency relates to their knowledge of pupils or their knowledge of the subject that they are teaching. The level of opportunity afforded, and the responsibility given to the student, is another important influence. This final factor relates to the student’s lack of power as a novice in the classroom. Student responses indicate that they had “different notions of what learning from experience might mean” (ibid, p. 86). The research concludes that the constraints were: “expectations of them as student teachers, lack of

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knowledge, lack of expertise, lack of power and pressure to conform” (ibid, p. 80). The main facilitation factors are feedback (from mentor), advice (from mentor), opportunity/responsibility, contribution of teachers other than the mentor, observation of others, participation in the research project, student teachers’ work, and university input and assignments (ibid, p. 79). The number and diversity of facilitating factors increased over the time span of the practicum. With, however, the exception that the importance of mentor feedback and advice reduced slightly over time. The PST appears to become less reliant upon the mentor.

Professional Identity In this section we progress from the concept of the PST’s identity as a learner to their emerging identity as a professional teacher. Many authors discuss the development of a teacher’s professional identity, particularly during the practicum stage of their training. Each person already has a personal identity determined by their social and cultural background and life experiences. They begin to develop a professional identity once in the classroom. This identity is normally defined by one’s pattern of behaviour over time. Warin et al. (2006) talk about the construction of that professional identity and how teaching provides both opportunities and threats to that construction. Smagorinsky et al. (2004) discuss the dichotomy that PSTs face when they experience the two worlds of teacher education, the first world- the university programme and the second world – the school experience. PSTs who were interviewed talk of a conflict between the university’s emphasis on the value of a constructivist approach to teaching and, what they term, the ‘traditional’ approach within the school (ibid). By the traditional approach, they mean the transmission of a fixed body of knowledge, as practised by most mentors in the classroom. The PSTs are also subjected to the powerful forces of a centralised curriculum conflicting with their frequent desire to be creative. Nguyen and Sheridan (2016) applied a model derived from Wenger (2000) where Professional Identity develops along a continuum from ‘connectedness’ to ‘expansiveness’ and finally to ‘effectiveness’. This development is supported by the individual’s engagement or relationship with other staff, their prior experience and imagination, and their alignment with the school context. Warin et al. (2006) identify different models of teaching that are experienced by PSTs at different stages. Firstly, there is the ‘missionary’ model, the desire to contribute to society. Secondly, there is the ‘professional status’ model that relates to the working conditions of the teacher and thirdly, there is the ‘professional goals’ model that encompasses the intrinsic goals of the teacher. Poulou (2007) also identifies three stages that PSTs pass through. The first is the stage of survival in the classroom, the second is their ability to manage the teaching task and the third is the development of their concern for pupils’ learning. The stages appeared to be grounded in practice, but in fact Poulou (ibid, p. 105) notes that PSTs’ worries are moral, ethical and pedagogical. Rather than listing stages of development, another

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way of structuring ‘professional identity’ is by identifying its components. Nykvist & Mukherjee (2016) interview teachers who describe three components: their subject knowledge, their pedagogic expertise and their didactic skills. In this instance, pedagogic expertise refers to engagement with a class plus their ethical views and standards, whereas didactic expertise refers to lesson planning and organisational skills. Liu and Fisher (2006) explore the changing beliefs and knowledge of a small number of PSTs. They discern four factors that change over time as each student’s self-conception alters; these four factors are (i) their classroom performance, (ii) their teacher identity, (iii) their relationship with pupils and (iv) their self-image in the eyes of pupils. The ability of PSTs to self-identify as teachers helps to determine their motivation, satisfaction and commitment and for some PSTs “having freedom to test out their teaching ideas freely in the classroom was very significant” (Izadinia, 2015, p.  7). Effective mentors who provide empathy and advice to PSTs help to move them on and empower them (ibid).

Three Paradigms of Teaching Van Huizen and his colleagues, van Oers and Wubbels, are teacher educators and academics within institutes of education based in different universities in the Netherlands (van Huizen et al., 2005). They contrast Anglo-American traditions of teaching with those of continental Europe stressing that the continental approach emphasises the importance of “meaning and intentionality” (ibid, p.  271). Their views will therefore shed an alternative spotlight on the findings from the Practicum Study, which is a research project focused on three countries, all embedded in the Anglo-American tradition of teaching. Van Huizen et al. (ibid) present an entirely theoretically derived framework based on the work of Vygotsky (Vygotsky & Cole, 1978). They begin by describing three approaches to teaching, one could call them alternative worldviews. The first is the competency-based approach, the second the personality-based model and the third the inquiry-based approach. The first approach is perceived as having originated in the 1960s and 1970s. Given that this approach includes the setting of national or supranational performance standards for teachers, in the form of teacher profiles, there is evidence that a competency-based worldview continues to dominate. The second model, the personality-based approach emphasises the presence and personality of the individual teacher as the key determinant of their performance. This model had generated several pieces of research that focus on teacher biographies (Haynes et  al., 2020; Kelchtermans & Ballet, 2002). The third paradigm is the well-known conception of the reflective practitioner and includes the teacher as action researcher. This final model provides an approach that, purportedly, enables the teacher to self-appraise and either reaffirm their activity or modify it. Having presented these three models, van Huizen et  al. (2005) debate their value and venture to develop a single, comprehensive paradigm based on Vygotsky’s work (Vygotsky & Cole, 1978).

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Van Huizen et al. (ibid) begin by setting out three levels within education, the macro-level, the meso-level and the micro-level. The macro-level refers to the state, it includes citizenship, economic interests and pressure groups. The meso-level relates to the institutions that deliver education, the universities and schools, their mission statements and actions, based on the legislation set at the macro-level. Finally, the micro-level relates to individual actions within teaching, both those with explicit meanings and implicit ones, such as the hidden curriculum. This stratified model aligns with systems thinking as described in chapter one. The macro-level and society shape the individual and, in turn, the individual shapes society. This hypothesis aligns with critical realism and the ideas proposed in chapter three. The final argument from van Huizen et al. relates to the search for meaning. They assert that meaning gives rise to action and that action aids understanding, is linked to emotional experience and generates meaning. Humans have a need for “sense-­ providing motives” (ibid, p. 273). Referring to both Vygotsky’s Zone of Proximal Development  (Vygotsky & Cole, 1978) and legitimate peripheral participation (Lave and Wenger, 1991), they discuss the importance of the ideas and motives or the aims of the trainee teacher. These concepts align with the capability approach model discussed in chapter four and the concept of ‘functionings’ or ‘beings and doings’ from Sen (1999) and the research activity of Tao (2016). The conclusion of van Huizen et al. is that teacher education courses should “shape the interaction” between the students’ assignment of meaning and their practical actions (van Huizen et al., p. 285). It is difficult to see what this might mean in practice, but it is possible that research exploring the meanings assigned by the stakeholders within teacher education, could help us to gain an understanding of how this interaction could be achieved.

Reflective Practice The notion of reflective practice, introduced in the third paradigm and referred to in the last section, was initiated by Schön (1995) and numerous researchers have built upon the concept (Zeichner & Liston, 1996; Finlay, 2008; Grushka et al., 2005). Crichton and Valdera Gil (2015, p. 513) review some of the literature and comment that the concept of ‘reflective practice’ has been over-used and over-theorised and is frequently exercised as a box-ticking activity. In the light of our interpretation of the systemic nature of the world, social or otherwise, as discussed in Chap. 1, we agree with their conclusion that reflection and self-evaluation do not, in themselves, allow one to determine the causes and consequences of one’s actions (ibid, p.  513). Nevertheless, Crichton and Valdera Gil (ibid) undertake research based on the self-­ reflective essays submitted by PSTs for their coursework and they follow up with a small number of interviews. They find that school-based mentors are generally directive and provide feedback to enable the PST to improve their teaching in the classroom, however they do not provide feedback that encourages the PSTs to reflect and evaluate. The PSTs see their reflection as an exercise in thinking rather

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than something that has an impact on their practice. Atkinson (2004) studied student teachers’ narratives that describe situations in the classroom and retrospectively justify the actions taken. He comments that previous models of ‘reflective practitioner’, ‘reflexive practitioner’ and ‘critical practitioner’ all assume that the individual can stand back, in a rational manner, from themselves and occupy a neutral position when discussing their behaviour. He holds that “the apparent transcendent element of reflective practice can therefore be seen as an ideological illusion” (ibid, 2004, p. 393). Erlandson (2005) takes an alternative approach to reflection. In his examples, reflection appears to have become part of the ‘policy doctrine’ (ibid, p.  661). Ehrlandson (2005, p. 662) claims that the doctrine of reflective practice is “a tool for the control and discursive domination of working (practicing) bodies”. He uses the narrative from Foucault’s reasoning on control and disciplining of the body (Foucault, 1991). His argument is that the concept of ‘reflective practice’ is embedded in the discourse of many journal articles and texts, as well as in teacher education courses and, most importantly, in the written statements of accountability, that is in various standards. Teachers’ Standards are external parameters by which a teacher can be measured. However, Ehrlandson (2005) claims that practitioners believe that they will be judged by their willingness to conform to these standards and this supposition is critical to their compliance. Even if no-one checks their conformance, they act as if they are being observed. This action is akin to respecting the speed limit when driving. While the use of speed cameras and occasional checks by traffic police can be argued to be the reason to obey, in fact, most people conform because they have internalised ‘respecting the speed limit’ into their conception of being a safe driver. Ehrlandson argues that one’s willingness to act as if observed, even when not under surveillance, has the effect of making one more effective and efficient and thus of more economic benefit to society. At the same time, one is more politically docile and less questioning. Under this argument, one can perceive government policy, in relation to Teachers’ Standards, as a tool for domination of the teaching workforce. In Table 6.2, we identify the way reflection has been incorporated into the Teachers’ Standards for the three jurisdictions under consideration in Table 6.2  Reflection as documented in the Teachers’ Standards Jurisdiction England New South Wales

Ontario

Text taken from Teachers’ Standards Reflect systematically on the effectiveness of lessons and approaches to teaching Teacher standards also inform the development of professional learning goals, provide a framework by which teachers can judge the success of their learning and assist self-reflection and self- assessment. Continual reflection assists members in exercising integrity in their professional commitments and responsibilities, Members refine their professional practice through ongoing inquiry, dialogue and reflection.

Interpretation Stated as an instruction or requirement. The standards ‘assist self-reflection’ so it is assumed in the statement that the teacher does reflect. Links more closely to the personal characteristics of the teacher: Integrity, professional practice.

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147

the Practicum Study. The three examples confirm that reflection has been embedded in the three written statements of accountability. They also demonstrate the way in which this generic solution of ‘reflective practice’ is applied in different ways that align with the policy situation in each jurisdiction.

Legitimate Peripheral Participation We proceed from one concept well-embedded within the field of education to another set of well-known concepts that also emerged about 30 years ago. ‘Situated learning’ and ‘legitimate peripheral participation’ are terms introduced by Lave and Wenger in their seminal work “Situated learning: legitimate peripheral participation”, first published in 1991. Two key concepts are introduced, the first concept is that learning is a “socially constituted experience of meaning making” (Farnsworth et  al., 2016, p.  141). This explanation is considered a paradigm shift. The initial view of learning as the absorption or consumption of knowledge, like the soaking of a sponge or the filling of an empty vessel, shifted to a model of constructive learning through interaction with others. The second concept, one that has been widely shared and adopted, is the notion of a Community of Practice. Such a community is frequently perceived as a group of people and the concept has led to the production of a toolkit in the field of human resource management, providing an alternative to training the workforce within an organisation (Hughes et  al., 2007). In a recent interview with Farnsworth and Kleanthous, Wenger (now named Wenger-Trayner) states that “The notion of community of practice does not primarily refer to a ‘group’ of people per se. Rather it refers to a social process of negotiating competence in a domain over time.” (Farnsworth et al., 2016, p. 143). The newcomer or novice in a social situation must acquire knowledge and skills and also negotiate a new identity, in order to become a member of the community of practice. Apprentices or interns find themselves in a peripheral position in relation to the relevant community, yet the nature of their role gives them legitimacy, thus leading to the less-than-catchy term: ‘legitimate peripheral participation’. Wenger-Trayner asserts that a social theory, such as legitimate peripheral participation within a community of practice, is neither true nor false but is endorsed by its ability to tell a meaningful story. He explains that “a social theory ……is a conceptual framework. It is a tool for constructing a certain type of narrative.” (ibid, p. 141). This quote resonates with the need to provide a convincing explanation, or the mechanism, to explain an event, where we are unable to directly discern the causal mechanism. Within the ontology of critical realism, an event is defined as being in the ‘actual’ and/or ‘empirical’ world when we can perceive it, while the mechanism that is invisible to us, is in the ‘real’ world. The process of retroduction is the explanation of a causal mechanism present in the ‘real’ world, this concept is described further in Chap. 3. There is some debate within a compendium edited by Hughes et al. (2007), regarding whether the communities of practice model is descriptive or prescriptive. Our interpretation of the debate between descriptive or prescriptive is

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that the model is ‘descriptive and explanatory’. This is the result of our acknowledgement of critical realism. We espouse the importance of obtaining an account of the causal mechanism, thus we are searching for a narrative.

From Communities of Practice to Codes of Practice There have been a number of critiques of the concept of community of practice. Engestrom (2007) claims that due to the example given in the original book (Wenger, 1998), there is a perception that a community of practice is well-bounded, single-­ centred and has a centripetal force. This centripetal force represents the trajectory of the novice from the outside towards the centre. Fuller (2007) argues that drawing the boundaries can be problematic, asking whether a community of practice is one school or the profession of teaching. A third view is that Lave and Wenger erroneously paint only a harmonious picture of a community of practice (James, 2007). In earlier sections of this chapter, the topics ‘learner identity’ and ‘professional identity’ were discussed. Having introduced these identities, together with several models or paradigms of teaching, we now move on to consider the process of ‘becoming’ a teacher. In a research project that studied eight trainee teachers, in three practicums over a period of 3 years, Cobb et al. (2018) adopted the model of legitimate peripheral participation. They doubt that the centripetal movement of a novice from the edge of a community of practice to the centre necessarily implies that the novice accepts the views of the established teachers. Cobb et al. (2018) identify three themes that emerge from their research. The first theme is the nature of ‘situated knowledge’, the second theme ‘codes of practice’ and the third theme, ‘systems of relations’. Situated knowledge refers to knowledge such as lesson planning and assessment setting, knowledge that is deemed to be important by mentors and teachers in the school. The second theme ‘codes of practice’ refers to behaviours that are expected of trainee teachers, for example punctuality, initiative, organisation and collaboration. These codes are implicit; this makes them obvious to existing teachers and opaque to newcomers. Recognition of the presence of these codes implies that one has joined a Community of Practice (Wenger, 1998). Cobb et al. (2018) identify a relationship between the development of teacher identity and the perception and adoption of relevant codes of practice. The third theme, the ‘system of relations’ is the ‘becoming a teacher’ theme. This theme is probably the trickiest and the most underestimated, in that it requires the student to become a different person. Lave and Wenger indicate that novices are more likely to be legitimated, and therefore given access to a community of practice, when they display situated knowledge. Cobb et al. indicate that the exhibition of codes of practice is equally important. As trainee teachers often spend a short period of time in any one school it can be difficult for the trainee to identify any codes of practice or situated knowledge that is restricted to a single school. However, codes of practice will usually be generic and recognised across all schools. Much has been written about Lave and Wenger over the years; it is worth noting that

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Wenger has revised his views and an updated version of the ideas can be found in Wenger-Trayner and Wenger-Trayner (2020).

Systematic Reviews of Literature on the Practicum Earlier sections in this chapter have discussed policy borrowing and Teachers’ Standards, trainee teachers’ learning and their identity. The focus now transfers to the research and associated literature on the practicum, beginning with two systematic reviews. A systematic review is an article or report that collects, studies and collates the outcomes of multiple research reports. Two articles that present systematic reviews of the literature on the practicum are Lawson et  al. (2015) and Ambrosetti and Dekkers (2010). The first systematic review by Lawson et al. (2015) is sourced from well-respected educational journals and includes 114 articles, all reporting small scale, qualitative studies. Most of these studies report findings from a particular perspective, 70 of the articles are from the perspective of the pre-service teacher (PST), 14 from the perspective of the school mentor and only two from the teacher educator’s perspective. The key themes emerging from these 114 studies are: the importance of the relationship between the PST and the mentor; the need for communication and cooperation between the university and the school; the beliefs and perceptions of the PST; and the ambiguity of the role of the teacher educator. Many participants in teacher education would describe the purpose of the practicum as providing an opportunity to apply the theoretical understanding, developed within the university, in practice within a school setting. Other participants would see the practicum as an internship, a training experience to develop and test competence prior to taking up a post. Lawson et al. (2015, p. 2) reflect these options in the statement that “the construct of the ‘practicum’ is a contested one”. It appears that most research on the practicum reports from the PST’s perspective and very few studies consider the teacher educator’s viewpoint. The systematic review presented by Ambrosetti and Dekkers (2010) analyses approximately 50 journal articles and conference papers, most of them relating to the mentoring of PSTs, although some articles address the mentoring of nurses or higher education lecturers. All the articles selected relate to mentors. Ambrosetti and Dekkers (ibid) use the articles to describe and define mentoring and explore the role of mentors and mentees in the mentoring process. They conclude by categorising the mentoring role under three aspects: relational; developmental; and contextual. While there is no agreed definition for mentoring, they summarise their findings as follows: Mentoring is a non-hierarchical, reciprocal relationship between mentors and mentees who work towards specific professional and personal outcomes for the mentee. The relationship usually follows a developmental pattern within a specified timeframe and roles are defined, expectations are outlined, and a purpose is (ideally) clearly delineated. (Ambrosetti & Dekkers, 2010, p. 52)

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Role of the Mentor As the role of the mentor, and their relationship with the PST, are key features of much research, a number of models relating to the mentor role are explored below. Hennissen et al. (2008) derive a model that they entitle ‘Mentor Roles in Dialogue’ (MERID) based on mentor ‘directiveness’ and ‘input’ as derived from dialogue between the mentor and the PST.  Crasborn et  al. (2011), representing the same research group but with a different lead author, use the MERID conceptual model to carry out a piece of research analysing 20 transcripts of mentoring dialogues. They analyse these dialogues to determine four types of mentor, producing a 2 by 2 matrix. On the x axis is ‘directiveness’: ‘directive’ versus ‘non-directive’. On the y axis is ‘mentor input’, bringing in information (active) versus bringing out information (reactive). The largest number of mentors were identified as ‘imperators’, that is they are directive and provide active input. The second biggest group were ‘initiators’, that is they are non-directive and provide active input. The article concludes by suggesting that mentoring develops a PST’s teaching competence and provides them with emotional support. Hudson (2010) explores mentoring of PSTs during the introduction of the Australian National Curriculum. He focusses on the science and mathematics curriculum in primary schools and collects data from 72 mentors. He derives a ‘five factor model’ of mentoring with four inner quadrants comprising: systems requirements; pedagogy; feedback; and modelling; and an outer circle comprising personal attributes. He notes that, in Australia, there is no training for mentors and there are no defined mentor standards. Kwan and Lopez-Real (2005) undertake research in Hong Kong, distributing questionnaires to over 250 mentors; they identify three clusters of roles within mentoring: pragmatic; inter-personal; and managerial. The pragmatic component includes providing feedback and being an observer and a role model. The inter-­ personal component comprises being a counsellor, partner and critical friend. Finally, the managerial component requires quality assurance, assessment and managing. Tillema et al. (2011) collect data from mentors and PSTs in Norway, Israel and the Netherlands. They point out that a key aspect of mentoring is appraisal or assessment of the PST’s performance; this aspect has two aims, firstly to be able to confidently certify PSTs to teach and secondly to provide the necessary feedback to promote their development. There are a number of other articles exploring the mentoring of newly qualified teachers, some focus on the power relationship in play, due to mentors having a role in judging the mentee (Fransson, 2010; Kemmis et al., 2014).

Agency Two concepts that are discussed in several articles relate to the practicum, agency and reality shock. The word ‘agency’ is often used without a clear understanding of its meaning. A standard definition is ‘a thing or a person that acts to produce a

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result’. Woods (2003) defines agency as the interconnectedness between the social and non-social. He refers to agency as interior authority where “reliance is placed on the self who is the outcome of practices and rules and governs his or her own conduct” (ibid, p. 145). One’s agency is enabled through one’s identity. One’s identity is formed over time and space, as one becomes the person that one is, at a particular point in time. It tends to be assumed that receiving an education should impact a student’s autonomy, enabling them to gain more control over their life. Engagement in learning is presumed to make one better able to exercise agency. Biesta and Tedder (2006, p. 5) describe agency as “not exclusively an individual achievement but … connected to contextual and structural factors”. They take pains to explain that agency is not a capacity or possession of an individual but is something that occurs through engagement with the outside world; it is transactional. It could therefore include a sense of vocation or a calling. This interpretation calls to mind a student’s response to a question when one of the authors was undertaking a higher education review at a theological college. On asking the students ‘Why did you choose to come to this college?’ the first student replied, ‘You won’t be surprised to hear that God called me’. Having asked this question many times, and having never previously received that reply, the response was a complete surprise. Clearly, this setting provided a different context, this response was informed by the context. Biesta and Tedder (2006) also talk of three categories of agency; firstly ‘iterative’, where one repeats a process, perhaps with minor amendments; secondly ‘projective’ where one looks ahead and makes a major change, like the theological student joining a course, and thirdly ‘practical-evaluative’ where one considers a number of alternative futures before making a choice. While rationally, the ‘practical-­ evaluative’ approach seems appropriate for making any significant change, the motivation provided by a ‘projective’ approach more often provides the stimulus that one needs to make the change.

Reality Shock Kim and Cho (2013) explore the issue of ‘reality shock’ for PSTs and attempt to relate it to teaching efficacy. The issue of new teachers not being sufficiently resilient to be retained in the profession has led to the perception that initial teacher education programmes fail to prepare them effectively (Clarà, 2017; Özbey et al., 2014). The four aspects of teaching that have been found to impact on the level of ‘reality shock’ experienced are: (i) discrepancy between theory and practice, (ii) unexpected obstacles, (iii) the complex role of the teacher and (iv) a heavy workload (Kim and Cho, 2013, p. 77). PSTs encounter unexpected obstacles that lead to a plunge in their sense of efficacy. Kim and Cho (ibid) explore the reasons for this drop in efficacy using Tschannen-Moran and Woolfolk Hoy’s efficacy scale (Tschannen-Moran et al., 1998, p. 214; 2001). This efficacy scale is a set of 24 questions, each using a 7-point Likert scale including statements such as ‘The reality of classroom management will be different from the theories taught to teachers’. Kim

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and Cho (2013) administered questionnaires to 530 PSTs, the questionnaires include nine of the questions. The results indicate that male students have a higher expectation of challenge, and as a result, experience less ‘reality shock’. Unsurprisingly, all students have a greater expectation of reality shock and challenge prior to their second practicum. Kim and Cho (2013) also find that intrinsic motivation is a necessary, but not sufficient factor, in helping a PST to cope with reality shock. Intrinsic motivation must be accompanied with a high sense of efficacy. PSTs with both characteristics are better able to cope with reality shock. The ability to cope in the classroom links closely with the concept of teachers’ resilience, a factor important in the retention of teachers. Resilience requires confident adaptation to new and difficult situations, gaining capacity through dealing with challenging circumstances. Clarà (2017, p. 83) emphasises that resilience is the response to “continuous, cumulative difficulties”. Özbey et al. (2014, p. 4040) refer to it as “pulling yourself together” and becoming more powerful after dealing with problems. Le Cornu (2009, p.  718), on similar lines, uses the term ‘sink or swim’ and, in studying resilience in PSTs, proposes a supervision system that builds students’ resilience by avoiding throwing them in at the deep end. In her example from South Australia, she describes a structure within the practicum that provides PSTs with support groups of peers, university faculty and school mentors, thus affording a learning community. Dillon and Maguire (2011), in their edited compilation ‘Becoming a teacher: Issues in secondary teaching’, dedicate their first chapter to discussing the sort of issues that most teachers will recollect worrying about from their early days of training and teaching. The issues covered include the initial stress, anxiety and concern over pupil behaviour, difficulties in classroom management, problems in the negotiation of boundaries and keeping control. Reality shock would describe an extreme example of these worries, exacerbated by issues of lesson planning and inadequate subject knowledge. It is surprising that this issue is not generally discussed within the research.

The Craft of Teaching and the Practice The prime areas of literature to be drawn upon within the Practicum Study, in relation to learning and becoming a teacher, have now been covered. There are some other themes that have not been discussed. They will be mentioned here in case they are useful, or the assiduous student wishes to follow them up. One will occasionally hear the word ‘craft’ used in relation to teaching, although the term is rather dated. One example is Broudy’s 1954 article entitled ‘Teaching- Craft or Profession’. This will provide the reader with some historical background but will also shock them with some of the views expressed, for example the perception that marriage is a woman’s primary career. Brown and MacIntyre (1993) also indicate that some people feel uncomfortable with use of the term craft, nevertheless they attempt to define it. Winch (2011, p. 5) asks of craft knowledge is it ‘implicit, informal, non-codified’ or is it ‘prejudice picked up in the classroom’? Britzman (2003) states that:

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The myth that experience makes the teacher, and hence that experience is telling in and of itself, valorizes student teaching as the authentic moment in teacher education and the real ground of knowledge production…..Learning to teach is a social process of negotiation rather than an individual problem of behavior.” (ibid, pp.30–31).

Moore’s (2004) book focuses on the dominant discourses in teacher education and proposes a three-fold categorisation of the prevailing discourse in society. These categories describe the teacher as a charismatic individual, a competent crafts person or a reflective practitioner. We are now beginning to see the reappearance of models and terms that are used elsewhere. The early researcher may ask their research supervisor whether they have collected enough data or found sufficient background literature. The answer often quoted is that once findings start to recur, this implies that we have reached saturation point and it is time to stop.

Conclusion This chapter began with a discussion on the influence of the state and the impact of globalisation on educational policy. This led to a change in our conceptualisation of ‘policy borrowing’. Whereas initially, we imagined policies being borrowed from another jurisdiction and adopted in their entirety, now we can conceive a ‘rescaling of political authority’ where policy advice is disseminated by supranational organisations. Representatives of nation states select policies that have often been defined as good practice internationally, such as having a National Curriculum. The nation state then considers ways in which to incorporate the concept into their education system to achieve their specific aims. In doing this, they will not be appropriating another country’s national curriculum, wholesale, but will be developing their own. Several examples from the jurisdictions under consideration in this Practicum Study have been discussed in this chapter and the issue of Teachers’ Standards has been considered in some detail. In the data collected during the Practicum Study, the policy issue that was raised most often was that of Teachers’ Standards. With the example documented in Table 6.2, it is possible to see how the concept of reflective practice can be appropriated and redesigned to align with the situation in, and the values of, each jurisdiction. Following the discussion on policy, we considered the literature on identity, this covers learner identity and professional identity. The term identity is raised in many ways suggesting that ‘becoming a teacher’ is a key concept to consider in the research data (Dillon and Maguire, 2011). This ‘becoming’ is the gradual change from being a student to taking on the identity of a teacher. Much has been written about the dissonance one feels along the journey, rather like the changing colour of a chameleon (Kim and Cho, 2013; Clarà, 2017; Özbey et al., 2014; Le Cornu, 2009). We present numerous models and discourses including the reflective practitioner, legitimate peripheral participation and communities of practice. A popular approach to analysing the role of the teacher and the development of the PST is to identify three categories of teacher. A frequent classification is (i) the personality or

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charisma-based teacher (ii) the competence-based teacher and (iii) the reflection or inquiry-based teacher. Two systematic reviews of research into the practicum reveal that most research has been undertaken from the perspective of the PST. It is unusual to find research undertaken from multiple perspectives. Most of the articles referred to in the literature reviews analyse the role of the mentor within the practicum, while some focus on the PST. We concentrated on research into the role of the mentor and their interaction with the PST. The next concept widely discussed within the literature is that of PST agency. In this context, agency is the ability of the PST to deliver a result. An important consideration within the literature is that agency is not something possessed in isolation by an individual but is something demonstrated in certain contextual situations (Biesta & Tedder, 2006). Moving from agency to efficacy, Kim and Cho (2013) introduce teaching efficacy, which appears to have a very similar meaning to agency. Kim and Cho (2013) also introduce the expression ‘reality shock’. This builds upon the much-used term ‘culture shock’ describing the situation where one visits a country with entities, mores, language and processes that differ significantly from those at home. The term describes the discrepancy between one’s expectation of something and one’s experience of it, often resulting in a feeling of disorientation. A PST’s personal sense of efficacy relates to their ability to cope with ‘reality shock’. The chapter concludes by introducing the reader to the debate around the craft of the teacher, the practice of teaching and the dominant discourses within teacher education.

References Ambrosetti, A., & Dekkers, J. (2010). The interconnectedness of the roles of mentors and mentees in pre-service teacher education mentoring relationships. Australian Journal of Teacher Education, 35(6), 42–55. Appadurai, A. (1996). Modernity at large: Cultural dimensions of globalisation. University of Minnesota Press. Astiz, M. F., & Akiba, M. (2016). The global and the local: Diverse perspectives in comparative education. Sense Publishers. Atkinson, D. (2004). Theorising how student teachers form their identities in initial teacher education. British Educational Research Journal, 30(3), 379–394. Aydarova, O. (2014). Universal principles transform national priorities: Bologna process and Russian teacher education. Teaching and Teacher Education, 37(1), 64–75. Ball, S. J. (2006). Education plc: Understanding private sector participation in public sector education. Routledge. Ball, S. J. (2012). Show me the money! Neoliberalism at work in education. Forum, 54(1), 23–28. Retrieved from www.wwwords.co.uk/FORUM Bell, J. (1987). Doing your research project: A guide for first-time researchers in education and social science. Open University Press. Bevir, M. (2009). Key concepts in governance. Sage Publications. Biesta, G., & Tedder, M. (2006). How is agency possible? Towards an ecological understanding of agency-as-achievement. In Learning lives: Learning, identity and agency in the life course. Teaching and Learning Research Programme. RES 139-25-0111.

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Blaxter, L., Hughes, C., & Tight, M. (1996). How to research. Open University Press. Britzman, D. (2003). Practice makes practice: A critical study of learning to teach. State University of New York Press. Brown, S., & McIntyre, D. (1993). Making sense of teaching. Open University Press. Castells, M. (2009). The rise of the network society, the information age: Economy, society and culture Vol. I. Blackwell. Chung, J., Atkin, C., & Moore, J. (2012). The rise and fall of the MTL: An example of European policy borrowing. European Journal of Teacher Education, 35(3), 259–274. Clarà, M. (2017). Teacher resilience and meaning transformation: How teachers reappraise situations of adversity. Teaching and Teacher Education, 63, 82–91. Cobb, D. J., Harlow, A., & Clark, L. (2018). Examining the teacher identity-agency relationship through legitimate peripheral participation: A longitudinal investigation. Asia-Pacific Journal of Teacher Education, 46(5), 495–510. Crasborn, F., Hennissen, P., Brouwer, N., Korthagen, F., & Bergen, T. (2011). Exploring a two-­ dimensional model of mentor teacher roles in mentoring dialogues. Teaching and Teacher Education, 27(2), 320–331. Crichton, H., & Valdera Gil, F. (2015). Student teachers’ perceptions of feedback as an aid to reflection for developing effective practice in the classroom. European Journal of Teacher Education, 38(4), 512–524. Denhart, J. V., & Denhart, R. B. (2015). The new public service: Serving not steering. Routledge. Denscombe, M. (2003). The good research guide: For small-scale social research projects. Open University Press. Department for Education. (2011). Teachers’ Standards: Guidance for school leaders, school staff and governing bodies. DFE-00066-201. Retrieved from https://www.gov.uk/government/ collections/teachers-­standards Dillon, J., & Maguire, M. (2011). Becoming a teacher: Issues in secondary teaching. McGraw-­ Hill Education. Engel, L. C., Rutkowski, D., & Thompson, G. (2019). Toward an international measure of global competence? A critical look at the PISA 2018 framework. Globalisation, Societies and Education, 17(2), 117–131. Engeström, Y. (2007). From communities of practice to mycorrhizae. In J. Hughes, N. Jewson, & L. Unwin (Eds.), Communities of practice: Critical perspectives. Routledge. Ehrlandson, P. (2005). The body disciplined: Rewriting teaching competence and the doctrine of reflection. Journal of Philosophy of Education, 39(4), 661–670. European Higher Education Area and Bologna Process. (2021). Retrieved from http://ehea.info/ index.php Farnsworth, V., Kleanthous, I., & Wenger-Trayner, E. (2016). Communities of practice as a social theory of learning: A conversation with Etienne Wenger. British Journal of Educational Studies, 64(2), 139–160. Finlay, L. (2008). Reflecting on ‘reflective practice’: Practice-based professional learning. Paper 52. The Open University. Finn, M. (2015). The Gove legacy: Education in Britain after the coalition. Palgrave Macmillan. Foucault, M. (1991). Discipline and punish: Birth of the prison. Penguin Books. Fransson, G. (2010). Mentors assessing mentees? An overview and analyses of the mentorship role concerning newly qualified teachers. European Journal of Teacher Education, 33(4), 375–390. Fuller, A. (2007). Critiquing theories of learning and communities of practice. In J.  Hughes, N. Jewson, & L. Unwin (Eds.), Communities of practice: Critical perspectives. Routledge. Gillies, R. M. (2015). Education reform: Learning from past experience and overseas successes. In G. Bammer (Ed.), Change! Combining analytic approaches with street wisdom. ANU Press. Grushka, K., Hinde-McLeod, J., & Reynolds, R. (2005). Reflecting upon reflection: Theory and practice in one Australian university teacher education program. Reflective Practice, 6(1), 239–246.

156 6  The Literature on Policy Borrowing, Learning, Professional Identity and the Practicum Haynes, J. E., Quinn, F., & Miller, J. A. (2020). Teacher biography: SOLO analysis of preservice teachers’ reflections of their experiences in physical education. Australian Journal of Teacher Education, 45(4), 48–63. Hennissen, P., Crasborn, F., Brouwer, N., Korthagen, F., & Bergen, T. (2008). Mapping mentor teachers’ roles in mentoring dialogues. Educational Research Review, 3(2), 169–186. Hudson, P. (2010). Mentors report on their own mentoring practices. Australian Journal of Teacher Education, 35(7), 29–42. Hughes, J., Jewson, N., & Unwin, L. (2007). Communities of practice: Critical perspectives. Routledge. Izadinia, M. (2015). A closer look at the role of mentor teachers in shaping preservice teachers' professional identity. Teaching and Teacher Education, 52, 1–10. James, N. (2007). The learning trajectories of ‘old-timers’. In J. Hughes, N. Jewson, & L. Unwin (Eds.), Communities of practice: Critical perspectives. Routledge. Keeling, R. (2006). The Bologna process and the Lisbon research agenda: The European Commission’s expanding role in higher education discourse. European Journal of Education, 41(2), 203–223. Kelchtermans, G., & Ballet, K. (2002). The micropolitics of teacher induction: A narrative-­ biographical study on teacher socialisation. Teaching and Teacher Education, 18(1), 105–120. Kemmis, S., Heikkinen, H.  L. T., Fransson, G., Aspfors, J., & Edwards-Groves, C. (2014). Mentoring of new teachers as a contested practice: Supervision, support and collaborative self-­ development. Teaching and Teacher Education, 43, 154–164. Kim, H., & Cho, Y. (2013). Pre-service teachers’ motivation, sense of teaching efficacy, and expectation of reality shock. Asia-Pacific Journal of Teacher Education, 42(1), 67–81. Kwan, T., & Lopez-Real, F. (2005). Mentors’ perceptions of their roles in mentoring student teachers. Asia-Pacific Journal of Teacher Education, 33(3), 275–287. Lave, J., & Wenger, E. (1991). Situated learning: Legitimate peripheral participation. Cambridge University Press. Lawson, T., Çakmak, M., Gündüz, M., & Busher, H. (2015). Research on teaching practicum: A systematic review. European Journal of Teacher Education, 38(3), 392–407. Le Cornu, R. (2009). Building resilience in pre-service teachers. Teaching and Teacher Education, 25(5), 717–723. Lightman, B. (2015). The Gove legacy in state education. In M.  Finn (Ed.), The Gove legacy: Education in Britain after the coalition (pp. 14–33). Palgrave Macmillan. Lingard, B. (2010). Policy borrowing, policy learning: Testing times in Australian schooling. Critical Studies in Education, 51(2), 129–147. Lingard, B., & Rawolle, S. (2011). New scalar politics: Implications for education policy. Comparative Education, 47(4), 489–502. Liu, Y., & Fisher, L. (2006). The development patterns of modern foreign language student teachers’ conceptions of self and their explanations about change: Three cases. Teacher Development, 10(3), 343–360. Maguire, M. (2005). Textures of class in the context of schooling: The perceptions of a ‘class-­ crossing’ teacher. Sociology, 39(3), 427–443. Moore, A. (2004). The good teacher: Dominant discourses in teaching and teacher education. Routledge Falmer. Mutton, T., Burn, K., & Hagger, H. (2010). Making sense of learning to teach: Learners in context. Research Papers in Education, 25(1), 73–91. New South Wales Education Standards Authority. (2017). Australian professional standards for teachers: 2017. Retrieved from www.educationstandards.nsw.edu.au Nguyen, H. T. M., & Sheridan, L. (2016). Identity formation of language background other than English (LBOTE) pre-service teachers during the practicum: A case study in Australia in an urban high school. Teacher Education Quarterly, 43(2), 29–50. Nykvist, S., & Mukherjee, M. (2016). Who am I? Developing pre-service teacher identity in a digital world. Social and Behavioral Sciences, 217, 851–857.

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Ochs, K., & Phillips, D. (2002). Comparative studies and 'cross-national attraction' in education: A typology for the analysis of English interest in educational policy and provision in Germany. Educational Studies, 28(4), 325–333. Ontario College of Teachers. (2019). Professional Standards: 2019. Retrieved from https://www. oct.ca/public/professional-­standards Organisation for Economic Co-operation and Development: Directorate for Education, Education and Training Policy Division. (2011). Teachers matter: Attracting, developing and retaining effective teachers. Pointers for policy development. Retrieved from http://www.oecd.org/education/school/48627229.pdf Organisation for Economic Co-operation and Development: Programme for International Student Assessment. (2009). PISA 2009 results: Executive summary. Retrieved from http://www.oecd. org/pisa/46643496.pdf Osborne, D., & Gaebler, T. (1992). Reinventing government: How the entrepreneurial spirit is transforming the public sector. Addison Wesley Publishing. Ostinelli, G. (2009). The training of adult education professionals in Europe. European Journal of Education, 44(2), 291–308. Özbey, S., Büyüktanır, A., & Türkoğlu, D. (2014). An investigation of pre-service teachers’ reliance skills. Social and Behavioral Sciences, 116, 4040–4046. Poulou, M. (2007). Student-teachers’ concerns about teaching practice. European Journal of Teacher Education, 30(1), 91–110. Phillips, D., & Ochs, K. (2003). Processes of policy borrowing in education: Some explanatory and analytical devices. Comparative Education, 39(4), 451–461. Phillips, D., & Ochs, K. (2004). Researching policy borrowing: Some methodological challenges in comparative education. British Educational Research Journal, 30(6), 773–784. Phillips, E. M., & Pugh, D. S. (1996). How to get a PhD: A handbook for students and their supervisors. Open University Press. Richmond, G., Bartell, T., & Hadley Dunn, A. (2016). Beyond “tinkering”: Enacting the imperative for change in teacher education in a climate of standards and accountability. Journal of Teacher Education, 67(2), 102–104. Sattler, P. (2012). Education governance reform in Ontario: Neoliberalism in context. Canadian Journal of Educational Administration and Policy, 128, 1–28. Schön, D. A. (1995). The reflective practitioner: How professionals think in action. Arena. Sen, A. (1999). Development as freedom. Oxford University Press. Silverman, D. (2000). Doing qualitative research: A practical handbook. Sage Publications. Smagorinsky, P., Cook, S., Moore, C., Jackson, A.  Y., & Fry, P.  G. (2004). Tensions in learning to teach: Accommodation and the development of a teaching identity. Journal of Teacher Education, 55(1), 8–24. Steiner-Khamsi, G. (2014). Cross-national policy borrowing: Understanding reception and translation. Asia Pacific Journal of Education, 34(2), 153–167. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan. Tillema, H. H., Smith, K., & Leshem, S. (2011). Dual roles – Conflicting purposes: A comparative study on perceptions on assessment in mentoring relations during practicum. European Journal of Teacher Education, 34(2), 139–159. Tschannen-Moran, M., Woolfolk Hoy, A., & Hoy, W. K. (1998). Teacher efficacy: Its meaning and measure. Review of Educational Research Summer, 68(2), 202–248. Tschannen-Moran, M., & Woolfolk Hoy, A. (2001). Teaching efficacy: Capturing an elusive construct. Teaching and Teacher Education, 17(7), 783–805. Van Huizen, P., van Oers, B., & Wubbels, T. (2005). A Vygotskian perspective on teacher education. Journal of Curriculum Studies, 37(3), 267–290. Vygotsky, L. S., & Cole, M. (1978). Mind in society: Development of higher psychological processes. Harvard University Press.

158 6  The Literature on Policy Borrowing, Learning, Professional Identity and the Practicum Warin, J., Maddock, M., Pell, A., & Hargreaves, L. (2006). Resolving identity dissonance through reflective and reflexive practice in teaching. Reflective Practice, 7(2), 233–245. Wenger, E. (1998). Communities of practice: Learning, meaning, and identity. Cambridge University Press. Wenger, E. (2000). Communities of practice and social learning systems. Organization, 7(2), 225–246. Wenger-Trayner, E., & Wenger-Trayner, B. (2020). Learning to make a difference: Value creation in social learning spaces. Cambridge University Press. Winch, C. (2011). On becoming a teacher. In J. Dillon & M. Maguire (Eds.), Becoming a teacher: Issues in secondary teaching. Maidenhead. Winstanley, C. (2012). Alluring ideas: Cherry picking policy from around the world. Journal of Philosophy of Education, 46(4), 516–531. Woods, P. A. (2003). Building on Weber to understand governance: Exploring the links between identity, democracy and ‘inner distance’. Sage. Zeichner, K. M., & Liston, D. P. (1996). Reflective teaching: An introduction. Lawrence Erlbaum Associates Publishers.

Chapter 7

Research Stages of the Practicum Study

Abstract  This chapter forms the methodology chapter of the Practicum Study. It is arranged using the Stepping-Stones model of research stages, as derived in Chap. 4. The aims of the Practicum Study are to identify the mechanisms: the policy, culture, and stakeholder position, operating within the practicum to generate the behaviours and discourse of stakeholders. A conceptual framework, providing a holistic image of a research study, is drawn using a rich picture, thus aligning with the techniques applied in Soft Systems Methodology (SSM). This image captures the problem situation, the underpinning ontology of critical realism, the background reading and the Worldview, Metaphor and Power of Social Objects (Womposo) strategy. The Womposo strategy, derived in Chap. 4, is reiterated here. The research design includes the following components: selection of jurisdictions, identification of gate keepers, and collection of data. It also includes a discussion of reliability, triangulation, and validity. Ethics approval is discussed in some detail, as it proved to be an unexpectedly tricky aspect of the research. Ethics approval procedures are examined, together with the scope of regulations, in relation to harm and anonymity, and the issue of ethics creep. Keywords  Conceptual framework · Critical realism · Ethics approval · Ethics creep · Paradigm · Rich picture · Soft systems methodology (SSM) · Stakeholder · Stepping-stones model · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction This is the third and final chapter of Part II: Practicum Study Context. It presents the rationale for, and forms the methodology chapter of, the Practicum Study. Chapter 4 presented the Stepping-Stones model and this diagram is replicated in Fig. 7.1. We are aiming to provide the reader with an image of the messy reality of undertaking research by explaining how, in practice, one skips back and forth across the ‘stepping-­stones’ within the research stages. Part I of this book introduced the reader to systems thinking, critical realism and Soft Systems Methodology (SSM) © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_7

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7  Research Stages of the Practicum Study

Fig. 7.1  The stepping-­ stones research stages TOPIC AND AIMS

COMPARE

STRATEGY

WITH LITERATURE

PARADIGM SAMPLE

RESEARCH DESIGN

COLLECT INTERPRET METHODS

and, in line with a critical realist ontology and epistemology, the ‘Worldview, Metaphor and Power of Social Objects’ (Womposo) research strategy was derived. The Practicum Study serves two purposes. Firstly, it provides the reader with an example of the Womposo model in practice and presents a piece of research related to teacher education, together with the outcomes. Secondly, it tests the Womposo research strategy in practice and evaluates its efficacy through its application. This chapter is arranged using the seven stepping-stones, beginning with the stone positioned at 12 noon, the Topic and Aims. The title of each relevant steppingstone is included in italic in the text and in brackets in the paragraph heading in order to point the reader towards the relevant stage. The first section includes a description of the context and the drivers for the research. We then move to the central stepping-stone in the model, the Paradigm. Although we are adopting the early stages of SSM, we do not accept Checkland’s (1981) interpretive epistemology. Instead critical realism is adopted as our ontology and epistemology. The reader may need to read, or return to, Chapts. 2, 3 and 4 to grasp more thoroughly the nature of critical realism. The Strategy stage of the Stepping-Stones model is the application of Womposo, a strategy formulated by the integration of SSM with several interpretations of critical realism in the social sciences. Womposo assimilates Elder-Vass’ (2010) social structures, Scott‘s (2010) categorisation of social objects, the Capability Approach of Sen (1999) and Hirschman’s model of exit, voice and loyalty. Within the Strategy stage, the Conceptual Framework for the Practicum Study is presented. This Conceptual Framework provides a single image capturing the entire project. It describes the research topic, the key aspects of the literature informing the study and the paradigm and strategy. In most doctoral studies this conceptual framework is

Context and Objectives of the Practicum Study (Topic and Aims)

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presented as a diagram. We have chosen to use a rich picture as the image to present the Conceptual Framework. Rich pictures are described in Chap. 1, they reflect the SSM methodology adopted within this research. Moving on to the stepping-stone Research Design, we consider the data collection approach and the broad parameters of choice, including longitudinal versus cross-sectional sampling and reliability and validity. On the next stepping-stone of Methods, positioned at 6 o’clock, is ethics approval, together with the practicalities of gaining this approval and securing access to data. We then describe how to Sample, Collect and Interpret the data. Activity 1 of the Womposo model, see Fig. 7.3, has now been completed. Activities 2, 3 and 4 of the Womposo model are applied in Chaps. 8, 9 and 10. Each chapter focusses on one group of stakeholders. This chapter concludes with a summary of the literature review and a discussion of the use of metaphors and illustrations.

 ontext and Objectives of the Practicum Study (Topic C and Aims) The Practicum Study was a funded project and, therefore, the first task embarked upon was the application for funding. This funding bid is an aspect of research rarely addressed in standard research methods texts. It has been allocated to the Topics and Aims stage of the Stepping-Stones model as it forms the context and driver for the research. The bid had to comply with a number of parameters, these included having an international component and aligning with one of a limited number of themes. The theme chosen was employability and the objective of the research was initially defined as follows: “To compare the effect of the local educational policy landscape on the practicum in pre-service teacher education in three jurisdictions”. The prime motivation for the project was the observation that many nations borrow policies from another jurisdiction with the assumption that the policy will have a similar, and positive, impact in the recipient country. However, when a policy is imported into a system comprising many different components, one might expect different effects. The bid had to be submitted within a window of 2 months. This schedule allowed sufficient time to search and summarise the literature related to the practicum context, including the international aspects, and also consider the literature on the methodology. Simultaneously, it was necessary to enquire about the possibility of gaining match funding through a request for a sabbatical period to provide the researcher time for travel and collection of data. The fact that it was necessary to gain funding illustrates the importance of considering the external parameters within which the researcher has to operate. The Stepping-Stones model could be augmented by designating the space around the stones as that external context. In setting the aims of the Practicum Study, it was necessary to consider the external parameters and undertake background reading relating to the research methods as well as to the substantive topic. Such

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considerations resulted in the researcher hopping between the Compare with Literature stepping-stone and the Topics and Aims stepping-stone. In the documentation for the project bid, it was necessary to identify the three jurisdictions within which data was to be collected. This identification was necessary in order to specify the international dimension, to justify the selection of the countries and to calculate the budget request. The jurisdictions selected were New South Wales in Australia, Ontario in Canada and England in the UK, the latter being the researcher’s home jurisdiction. Once informed of the success of the project bid, the next priority was to contact the potential gatekeepers in each jurisdiction in order to negotiate the collection of data. Identifying and contacting gatekeepers are activities explored later in the Research Design stepping-stone.

Aims of the Practicum Study (Topic and Aims) The reader may be asking why does this research focus on the practicum. There are three reasons for this choice. Firstly, the pragmatic issue, in order to apply for funds under the advertised initiative, one had to propose a project under one of a number of headings. There was a limited choice and one of the choices was work-based learning. Secondly the researcher had previously undertaken research into work-­ based learning, in a subject area other than teacher education, and was interested in the topic. Thirdly, the most significant factor was the major change imposed on English teacher education. This transformation comprises a move from a primarily university-based initial teacher education course to a school-based course, together with an extended period in the practicum. This modification to both the temporal nature and the emphasis of the course provides the rationale for exploring the practicum. The three main stakeholder groups in initial teacher education are the pre-­ service teacher (PST), the mentor in the school, and the faculty advisor from the university. The practicum is the point of intersection, where the three meet. We are not the first researchers to study the practicum, but we were unable to find any research that included the perspectives of all three stakeholders (Kwan & Lopez-­ Real, 2005; Tillema et al., 2011; Kim & Cho, 2013). Within this chapter we have now utilised the terms, policy and stakeholder. The third term introduced into the revised project aims in Fig. 7.2 is culture. We will adopt the definition of culture from Becher and Trowler (2001, p.23) “sets of taken for granted values, attitudes and ways of behaving, which are articulated through and reinforced by recurrent practices among a group of people in a given context.”. The aims of the project were revised following the literature search and the decision to adopt a critical realist approach, see Fig. 7.2. These refined targets reflect the literature search in Chap. 6 and take into account the principles of critical realism and its application in determining the mechanisms in the ‘real’ world, mechanisms that cannot be discerned directly. By a process of retroduction, we are seeking to identify the mechanisms existing in the ‘real’ world but not visible to the observer. Taking this approach, we are aiming to provide an

Policy Borrowing (Paradigm)

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Aims of the Practicum Study To identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. To relate these mechanisms to the policies within each jurisdiction the culture of each jurisdiction the stakeholder’s position within the practicum.

Fig. 7.2  Aims of the practicum study

explanation for the actions and the discourses that can be observed in the actual and empirical world.

Policy Borrowing (Paradigm) In Chap. 4 the term paradigm, meaning worldview, is discussed at length. Within this Practicum Study it encompasses multiple aspects relating to the context of the research. As referred to in the Context and Objectives section, prior to the aims of the Practicum Study, the driver for the Practicum Study is the researcher’s concern with routine ‘policy borrowing’ and its effectiveness, in light of the other variables in play (Lingard, 2010). When policies from another country are adopted and reproduced at home, it is a moot point whether the ‘borrowing’ is intended to generate the same result. It may, instead, provide a suitable rationalisation for making a political decision. Educational policy generally accords with the political agenda of the Government or the Secretary of State for Education in power at the time. At least, that is how it has operated in the UK (Finn, 2015). In some jurisdictions, politicians seem more likely to operate at a distance and respect the views of the professionals involved (Anderson & Ben Jafaar, 2007). If, however, one accepts that the complex interaction of multiple variables leads to an effect, then introducing a new variable can lead to unintended consequences. Within any system, emergent features that cannot be predicted can appear, quite minor changes to a variable within a complex system can generate a major effect. It is, therefore, our contention that borrowing a policy from one jurisdiction and introducing it into another jurisdiction, will not necessarily lead to the same outcome. This conviction induced the researcher to embark on the Practicum Study.

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Systemic Effects (Paradigm) While the term systemic is used infrequently, the term systematic is commonly employed. In general parlance it is clear that people sometimes use the two terms interchangeably. As we are taking a ‘systems thinking’ approach to research, it is critical that we use the two terms correctly. Therefore, before moving on, we will reinforce the difference between the terms. Systematic refers to the manner in which one undertakes actions in a planned manner and acts methodically, whereas systemic refers to the behaviour of something ‘as a system’, as described in Chap. 1. A systemic or systems view maintains that, in many situations, large numbers of variables interact, and the results of these interactions cannot be predicted. Much has been written about the major consequences of ignoring systemic effects; climate change provides a well-established example (Attfield, 2014; Blackstone, 1977; Curry, 2011; Lovelock, 2005). If humanity values the earth as a resource for future generations then it is necessary to understand the systemic effects and the impact that the action of humans has on the planet ecosystem. Humans are polluting the planet in ways that are leading to instability. In addition to local effects such as de-­ forestation, the destruction of habitats, and plant and animal species, human activity is having a global impact. No longer does technology affect only the local vicinity. Carbon dioxide emissions create global warming; CFCs destroy the ozone layer. Greenhouse gases lead to the melting of icebergs, to a rise in sea-levels and changes to weather systems (Attfield, 2014). Many of these changes are systemic, they are the unintended consequences of our actions and minor changes in a single variable, such as carbon dioxide level, can have a significant effect on outcomes. Prediction is difficult in this situation. For example, computer models of weather forecasting are not reliable medium and long-term predictors of weather (Capra & Luisi, 2014). The planet is a self-maintaining super-organism of which humans are a component, and our actions are resulting in irreversible impacts, as we have the power to destroy the system from within. In the summer of 2019, France experienced record temperatures, five degrees higher than earlier records, and this heat wave is reported as being predominantly the result of an average one degree rise in world temperatures since industrialisation began. More recently, in 2021, the west coast of Canada and the United States has been suffering the results of a ‘heat dome’.

Ontology, Epistemology and Axiology (Paradigm) In Chap. 2 the spectrum of ontology and of epistemology was presented. We now consider this spectrum in relation to the Practicum Study. Taking ontology first, at one extreme is realism. The realist believes that all objects exist independently of human perception; in other words, objects are ‘mind-independent’. This belief leads us to a positivist epistemology where we believe that undertaking empirical tests will determine the truth. At the other extreme of ontology is relativism, the belief

The Middle Way (Paradigm)

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that the world is socially constructed. This belief leads us to an interpretive or social constructivist epistemology. Checkland (1995) accepts a positivist paradigm for hard systems problems, however he contends that an interpretive epistemology applies in human activity systems, that is in a social science context. Checkland (1995, p.53) contends that systems are not in the social world but in the “process of enquiry” about the world. He asserts that one must accept an ontology where one cannot be sure that the real world behaves as a system. In Chap. 1, Checkland’s position is explained more fully. We argue that it is not sensible to claim that systems exist in the physical, technical parts of the world but not in the social aspects. The impact that humanity is having on the planet, as described in the previous paragraph, makes it clear that human actions and beliefs are part of systemic effects on the planet. Finally, alongside ontology and epistemology, axiology, the philosophical study of value, must be considered. In this chapter we relate it to ethics approval. Later, we will reflect upon it in relation to our experience during the research activity.

The Middle Way (Paradigm) Critical realism provides a middle way, an alternative ontology to the two extremes of realism and relativism described above; objects are seen as mind-independent but our observation of them is theory-laden. Bhaskar (1975, 1979), the originator of critical realism, presents a complex model of the world with a hierarchical and stratified ontology; it is layered by discipline with emergent features being recognised as one moves to a higher level discipline. His model has three layered domains that he entitles the ‘real’, the ‘actual’ and the ‘empirical’. Bhaskar’s stratification, the principle of emergence and other features of critical realism align with systems thinking. Additionally, entities have causal powers and mechanisms. Archer et al. (2016, p.4) state that a basic premise of critical realism is that “Ontological realism asserts that much of reality exists and operates independently of our awareness or knowledge of it.” Critical realism presumes that there is always a gap between reality and what we know about reality. This lack of knowledge is more than the fact that our understanding of the world is fallible and influenced by our theories, norms and values. It is a statement that there will always be ‘unknown unknowns’ (Rumsfeld, 2002). We often assume that subject to our research methods, we are able to know everything. This false belief is known as the epistemic fallacy (Bhaskar, 1975). Having explored our underpinning philosophy within the central stepping-­ stone of Paradigm, we move on to explore the Strategy stepping-stone.

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Womposo (Strategy) The Strategy is the research stage where one selects a specific approach that aligns with the research Paradigm. It is the point at which one might decide to undertake a case study, embark on insider research, adopt a grounded theory approach, carry out a survey or implement some combination of such approaches. The Practicum Study began with the intention to use SSM but, as described in Chap. 4, this Strategy became the Womposo strategy. The assumptions from Checkland (1981) and Checkland and Scholes’ (1990) that relate to the early stages of SSM have been combined with the thinking of Elder-Vass (2010), Scott (2010), Tao (2016) and others to create the Womposo strategy. From the project’s inception, the intention was to recognise the systemic nature of the social world by adopting an approach that aligns with systems thinking. Thus, SSM was to be applied with the recognition that some amendments would be needed, due to the comparative nature of the Practicum Study and the multiple international settings. SSM was designed by Checkland as an action research method in a specific context. The Practicum Study could not adhere to the demands of SSM to be an action research project as it was not possible to suggest changes to the operation of the practicum in the universities that are the source of data. This data could, however, be collected and interpreted using stages within SSM. After the completion of the data collection, further reading on systems thinking introduced the researcher to critical realism; providing an ontology and epistemology that accords with systems thinking. Thus, having commenced with the intention of using SSM as the strategy, elements of SSM have been merged with the application of critical realism in the social sciences, social objects, and value functioning. These combine to produce the strategy entitled Womposo. The Womposo research strategy is reproduced in Fig. 7.3. Activity 1 and Activity 2 are based on SSM with some adaptations, Activity 3 is based on the interpretation of Elder-Vass’ (2010) and of Scott (2010). Activity 4 adopts concepts from the Capability Approach (Sen, 1999), Tao’s (2016) application of functioning value and Hirshman’s (1970) exit, voice and loyalty model.

Conceptual Framework for the Practicum Study (Strategy) A conceptual framework provides a holistic image of a research study. Miles and Huberman (1994, p.18) define the conceptual framework as “…the main things to be studied –….and the presumed relationships among them’. Trafford (2008) presents a diagram that illustrates the three interacting elements of a conceptual framework formed from firstly the researcher’s background reading, secondly the researcher’s reflection and thirdly the researcher’s assumptions and experience. Given these definitions, we argue that the conceptual framework should focus on the research question and the context of the research including the related literature. However, in the Practicum Study, given the importance of the underpinning

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Conceptual Framework for the Practicum Study (Strategy) • Problem situation • Planning • Data collection

• Functioning value • Tendences and counter-tendencies • Exit, voice and loyalty

Activity 4:

Activity 1:

Activity 3:

Activity 2:

Explaining

Conceptualising

Finding out

Modelling

• List entities, causal powers and liabilities • Norm groups • Social objects

• Metaphor • CATWOE • Root definition

Fig. 7.3  Worldview, metaphor and the power of social objects (Womposo)

philosophy or paradigm and the commitment to systems thinking leading to the integrated Womposo strategy, the conceptual framework must also illustrate the underpinning philosophy of critical realism and the strategy Womposo. As with any other research project it must also capture the aims of the project, the background reading and the researcher’s experience and assumptions. The conceptual framework is illustrated in Fig. 7.4. It is drawn in the form of a rich picture to align with the SSM methodology and is therefore hand-drawn by the researcher. Rich pictures are a common starting point to capture a situation, they can capture the perspectives of different stakeholders, or they can illuminate alternative views of a situation. Further details and examples of rich pictures can be found in Chap. 1. Checkland (1981) provides many examples in his work and the work he has authored in conjunction with colleagues (Checkland & Scholes, 1990; Checkland & Poulter, 2006). In Fig. 7.4, the problem situation can be found in the centre of the rich picture, note that the term ‘problem situation’ has also been adopted from SSM. The reader is reminded that the use of eyes in the picture is to represent the perspectives of different stakeholders, an important aspect in the problem situation. The underpinning philosophy or paradigm is placed to the left of the problem situation rich picture. This left-hand section represents the underpinning ontology and epistemology of critical realism. Below the three-layer image of critical realism is the diagram representing the Womposo strategy, as can also be seen in Fig. 7.3. To

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Fig. 7.4  Conceptual framework for the practicum study

the right of the problem situation within the rich picture is a cloud. This cloud contains some fundamental concepts from the literature.

Selecting the Jurisdictions (Research Design) In Chap. 5 the motivating reason for the research was explained, the rapid transfiguration of initial teacher training in England. We then described the background context for school education and initial teacher education in the three jurisdictions selected. Following this, we considered the rationale for the choice of jurisdictions for data collection. England, New South Wales and Ontario were chosen for several reasons. Firstly, selecting English speaking countries facilitates data collection and avoids the difficulties and costs of acquiring and using an interpreter. The researcher has previously collected data using focus groups in an Albanian speaking country and, even with an effective interpreter, it proved difficult (Gilbert & Pratt-Adams, 2020). Secondly, the British legacy in the two additional education systems lends coherence and some commonality in terminology. Thirdly, one should not ignore the affective reasons that steer one to select a research topic or a research environment. The researcher emigrated to Australia in her teens, living there for 2 years, and had a strong desire to revisit. There were practical benefits associated with spending a longer time in Australia, given the cost of travel and the time taken.

Collecting Data (Research Design)

169

Gatekeepers (Research Design) To gain access to the data through gatekeepers, the researcher considered the feasibility of being based in a faculty of education in an Australian university for 2–3 months. Through her academic networks she had a senior academic contact in an Australian university, the contact enabled her to negotiate a visiting scholarship. Canada was selected mainly as the result of reading an informative article about teacher education in Ontario (Van Nuland, 2011). The researcher contacted the author, who in turn facilitated contacts in other universities, providing the necessary gatekeeper for each institution. It was feasible to visit Ontario several times to set up the data collection and to collect the data. As a full-time academic, the researcher’s employing university was prepared to fund her salary and allow a two-­month sabbatical in Sydney and short visits of 1–2 weeks to Toronto. This information is being shared with readers to emphasise the need for an academic rationale for data selection and collection but also to aid the reader in navigating the practical aspects of undertaking research. Aspects include gaining access to data through gatekeepers, managing time and budget and, crucially, recognising the need to retain motivation.

Collecting Data (Research Design) Using SSM demands that one sets up opportunities to apprehend and comprehend the perspectives of different actors within the practicum. In this instance, the aim was to compare three jurisdictions, thus requiring the collection of rich data. This demand propelled the researcher to adopt a qualitative approach. The two practical options were interviews and focus groups. Although interviews would have yielded rich data, they may not have generated the same discourse that emerges within a group. Pragmatically, it was easier for gatekeepers to organise focus groups than to set up multiple interviews. Respondents are also more likely to agree to take part in a group event and focus groups are more likely to produce discussion and generate a range of ideas. If one has a longer timescale it is possible to collect data using various methods or to collect longitudinal data. The practical limitations of the project ruled out this longer process and demanded a cross-sectional slice of data be gathered. In this stage of the Practicum Study, one should consider whether one is using an approach based on deduction or induction, namely does one have a hypothesis to test, or is one aiming to identify cause and effect. As we have elected to adopt a critical realist position, we are choosing to use an inductive approach recognising the application of ‘retroduction,’ the identification of the causal powers of social entities. The decision was made to collect the data for the Practicum Study from the three main stakeholders involved in the practicum, namely the pre-service teachers (PST), their mentors (the teachers in school) and the teacher educators (university faculty

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advisors). The researcher planned to hold focus groups in three universities in each jurisdiction, yielding 27 focus groups in total (3 countries × 3 universities × 3 stakeholder groups) in order to compare data between England, New South Wales and Ontario. It was anticipated that this approach would present stark contrasts in perceptions. As there were problems with organising access to some groups the initial approach was adapted during the course of the study and data was finally collected from 24 groups. Checkland (1981) and Checkland and Scholes (1990) use a range of methods to collect data, in particular interviews and participant observation at meetings. The researcher reasoned that the use of focus groups would allow participants to share their thoughts and enter into discussion, thus exploring the practicum with the opportunity to critique each other (Wood & Kroger, 2000, p.73). In addition to generating dialogue within the group, this approach enables data to be collected from more participants in the time available. In practical terms, while there can be problems in finding suitable times to convene a group meeting, it is easier to limit the number of events that have to be arranged by gatekeepers. One is reliant upon the goodwill of the gatekeepers and it is sensible to consider ways to facilitate them in their role.

Validity, Triangulation and Reliability (Research Design) Within the research design stepping-stone, one should consider validity, triangulation and reliability. The data is valid if the data collection method yields the data that it claims to be measuring. In an in-depth summary of validity and validation Taylor (2013, p.2) asserts that “Validation in research involves close scrutiny of logical arguments and the empirical evidence to determine whether they support theoretical claims”. Triangulation refers to the use of several research tools in order to overcome bias. It can also refer to collection of data from three sources or multiple approaches to analysing the data. In this research we use triangulation of data and we also analyse the data in several ways, using CATWOE and value functioning. Reliability refers to whether stable and consistent results are produced by the tool including the transparency of the interpretation of the data, the extent to which the same method would yield the same results on a different occasion, and whether other researchers would reach the same conclusion (Easterby-Smith et al., 2008) It is commonly assumed that the replicability of a research method within the positivist paradigm means that testing is common. Hull (1997), however, suggests that the testing of other’s results by scientists happens infrequently. Our argument for Womposo being a valid method is that it is firmly based on the paradigm of critical realism and systems thinking. In particular, it recognises that in the social sciences it is not possible to keep numerous variables constant while measuring others. In order to triangulate within the Practicum Study, the decision to select three stakeholders and three universities in each jurisdiction was made. To reduce risk, in case of malfunctioning technology, respondents’ data was recorded in multiple ways. Prior to discussion within each focus group, the individuals made

Sampling of Data (Sampling, Collecting and Interpreting the Data)

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notes on their responses to the questions. During the focus group the researcher audio-recorded responses and constructed mind maps to collate the discussion. One participant in the group was asked to make notes during the discussion while another generated an image at the conclusion of the focus group, attempting to capture a holistic view of the discussion. Examples of these illustrations and data from recordings will be presented in later chapters. The background information for the research, presented in Chap. 5, was collected by interview, by participation in conferences, and from government publications from the UK, Ontario and New South Wales relating to curriculum, standards and performance. It is not possible to achieve repeatability. An acceptance of systems thinking entails minor differences, in one variable, resulting in totally different outcomes. In other words, one would not expect identical results on another occasion as the external context will change, however slightly, and the precise nature of the group will change. A minor difference in the mood, for example, of a single participant in a focus group could impact the group and affect the outcomes. As Elder-Vass (2010, p.47) states: Actual events, Bhaskar argues, are not produced by single causes as the covering law model suggests, but by a complex interaction of the causal powers of the entities involved …. actual events are always the product of an unruly mess of interacting powers that happen to rub up against one another at that particular moment and place.

Two questions to pose with regard to reliability are: is the method transparent and would other researchers reach the same conclusion. It is hoped that the level of detail that we provide in Parts III and IV of this book have addressed the transparency question. In most qualitative approaches, the findings are influenced by the researcher. The original intention of this method was to use the respondents to generate a rich picture while in their focus group; our experience is that only a few focus groups are able to devise either a rich picture or a suitable metaphor. This difficulty led to the researcher undertaking more of the work and is a potential weakness of the approach.

 ampling of Data (Sampling, Collecting and Interpreting S the Data) The rationale for the choice of jurisdictions for data collection and for the selection of focus groups as the data-gathering device was presented in the earlier section headed ‘Selecting the jurisdictions’. The visiting scholarship obtained at the Australian university provided the researcher with an office space for 2 months plus an academic host who managed the professional experience in the teacher education faculty. This academic host used his contacts in two other local, urban universities as gatekeepers to arrange the focus groups associated with those universities. While the ideal situation would have been to collect data from PSTs in similar courses, and at a similar point in their practicum study, this method proved to be impossible.

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Given the practicalities of organising time and place when students can be assembled, it was not possible for the researcher to demand particular samples. The parameters for focus group inclusion permitted student selection from any year of an undergraduate programme and from one and two-year postgraduate programmes. The groups were convened at different points in the study cycle. While the Australian meetings were held towards the end of the academic year in the hot Australian spring; the Canadian samples were collected in the snowy winter, half-way through the academic year. The English samples were collected late in the academic year during the summer. In all focus groups, the participants were asked to complete a form providing personal details. For PSTs, these details included gender, primary or secondary specialism, whether undergraduate or postgraduate and length of time spent on practicum to date. Mentors and faculty advisors were asked to supply similar information. This data enabled the researcher to make a tentative comparison between groups.

Ethics Approval (Methods) The final requirement, prior to data collection, is the application for ethics approval. It can take some time to gain university ethics approval because the application must be approved either at a department or faculty research committee or at a university research committee. If approval has to be administered by both committees, then this process will take longer. If the application is submitted during the summer recess, it may have to wait for the next scheduled meeting in the following semester. In some universities, prior to the formal approval at committee, the form must be processed by two reviewers who comment on different sections of the ethical approval form. If they make comments and reject the submission, then the form is returned to the applicant to make changes prior to resubmission. This rejection clearly extends the length of time that is required to gain ethics approval. There was an extra layer of complexity in this project due to the fact that data was to be collected from three universities and their partner schools in each jurisdiction. The researcher anticipated that the ethical approval of the English university, at which she was employed, would be adequate to encompass data collection at all the universities, but this did not prove to be the case. Table 7.1 presents a summary of the requirements of the ethical approval process in the English university. The headings are those of the researcher. There were 14 questions in the form. The Australian host university insisted that the project would have to be approved by their ethics committee as well as the UK university ethics committee. As the researcher had been granted a Visiting Scholarship and would be situated in the Australian university during the data collection stage in New South Wales, this requirement was a reasonable expectation. The application forms for the two universities differed, but the two ethics approval forms were completed and submitted at a similar point. The Australian committee approved the application whereas the English committee asked for it to be resubmitted and provided a set of

Ethics Approval (Methods)

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Table 7.1  Ethics approval England Research ethics approval form: England Harm/Risk Are there any of following? vulnerable participants; unequal relations, covert observation; sensitive topics; mental health issues, acquisition of blood & tissue Consent How is consent obtained? How obtained to avoid coercion? What is the nature, purpose and outcome of research? Are participants aware they can withdraw? Is a gatekeeper needed? Anonymity How maintained? Data storage How stored and secured Documents to Project proposal including details of methodology and source of funding attach. Informed consent form, Information sheet for participant Questionnaires if used

recommendations. These recommendations related primarily to a perceived lack of clarity in the research method, due primarily to its unfamiliar nature, rather than relating to concerns about ethical issues. The other two Australian universities recognised the approval system of the Australian host university. Therefore, at the same time as collecting the data from the three Australian universities, covered by the Australian ethical approval, the researcher worked on the English ethical application form and resubmitted it. By the time the data was collected in Australia, the English ethics approval had been granted. Table 7.2 is a summary of the Australian ethics approval form. As can be seen in the table, the Australian form covered more areas than the English form. The Australian form included 260 questions in total, including one that required a summary of the research project. The chief investigator listed on the form was the gatekeeper from the host Australian university. The other investigators included a research assistant from the same university and the gatekeepers from the other universities. The decision, regarding the naming of the chief and other investigators was taken in order to comply with the requirements of the University committee. Only faculty employed by Australian universities were permitted to be named investigators. The researcher from England was not listed in the opening section, although she was included in the project description. The Australian form required the author of the application to consider many more risks and associated actions, although many of the sections are tick-box. There was a similar situation in the gaining of approval from the Canadian universities. Two of the three insisted that ethics approval had to be obtained from their research committee. The third university was happy to accept the English approval form. In each case, where approval was required by the foreign university, the application form required that the information be reformatted and adapted to suit the requirements of that institution. Although much of the information needed was similar and could be replicated, each university had a different template and some unique requirements. The timescales and schedules for each university’s approval mechanism varied and in all cases the forms had

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Table 7.2  Ethics approval New South Wales Research ethics approval form: New South Wales Harm Are any of following involved in the research? Child participants; unequal relations, existing relationship, mental health issues, acquisition of tissue, does the research study Aboriginal or Torres Strait Islander peoples, culturally and linguistically diverse peoples, A number of other questions related to possible harm or discomfort, such as affecting one’s employment Consent How is consent obtained? How obtained to avoid coercion? Any financial benefit or reward? Is any deception involved? Are participants aware they can withdraw? How is sampling undertaken? Anonymity How will details of participants and their contact details be identified? How will confidentiality of participants be protected in disseminating the findings of the research? Data storage How stored and secured? Which room to be located in? How long will they be stored for? How will they be disposed of? Is this a student project? Other questions Has it been to any other ethics committees? How will the results be disseminated? Attach All emails and correspondence with potential participants documents

to be checked and signed off by a member of faculty in that university, thus placing additional demands on the gatekeeper. Table  7.3 presents a summary of the data from one Canadian university. The other Canadian university’s application was similar. In both cases, the gatekeeper had to make the submission because an external researcher was not permitted to submit an ethics approval request Additionally, the gatekeeper had to enter their name as the principal investigator. The researcher was listed as a co-investigator along with another academic from that university. The project was listed as being conducted in just one location, that of the approving university rather than as a multi-centre study. The form comprised approximately 53 questions, although not all will be completed in every case. From this summary, the reader can see that international research using university faculty and students as participants places heavier than normal demands on the gatekeeper. Collecting data from universities in several jurisdictions will generate problems when researchers are working to tight timescales or with reluctant gatekeepers. During the Practicum Study, there were some tricky moments with timing, given that transport and accommodation for the data collection had to be booked well in advance. The Canadian example in Table 7.3 shows two differences. The first is that the risks are drawn more broadly, enabling the Research Ethics Board to raise issues that might be ignored in the other jurisdictions. The second issue is the benefit or cost to the community. This finding leads us to an interesting proposition emanating from Canada, the concept of ‘ethics creep’.

Ethics Creep (Methods)

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Table 7.3  Ethics approval Ontario Research ethics approval form: Ontario Harm Do the researchers have any conflicts of interest in carrying out this research for example financial partnerships or economic interests? Are there any of following? vulnerable participants; physical risks, psychological risks, social and economic risks, are risks greater than those encountered everyday? Is there any deception? Are there any risks to the community? Are there any benefits to the community? Number of participants Exclusion criteria when selecting participants. Consent How are participants recruited? Any financial compensation or reward? Might participants feel coerced into participating? How is consent obtained? How will consent be documented? Are participants aware they can withdraw? Anonymity Will the data be treated as confidential and how? Will the data be anonymized and how? Data collection Who, other than the investigators, will have access to the data? and storage How will data be stored? How long will the data be stored for? Other questions Is the project funded and by whom is it funded? Is the project conducted in more than one location? Has any other institution approved this research? As the principal investigator had the required professional expertise and qualifications for the research? How is feedback given to participants Attach documents Summary of all research tools and materials used must be listed and attached.

Ethics Creep (Methods) Haggarty (2004) based in Alberta, Canada, introduces the concept of ‘ethics creep’. He suggests that the increasing regulation in ethics approval within universities has the tendency to disrupt the link between ethical behaviour and compliance with rules, rather than endorsing an ethical approach. He states that “the regulatory system is expanding outward to incorporate a host of new activities and institutions, while at the same time intensifying the regulation of activities deemed to fall within its ambit.” (Haggerty, 2004, p.391. He quotes the rise of Research Ethics Boards (REB) within universities and the requirement for research to be approved. The requirement to operate a REB is a Canada-wide requirement for universities (Canadian Institutes of Health Research et al., 2018). Both UK and Australian universities rely on the research ethics principles specified within the statements of professional bodies for education (BERA, 2018; AARE, 1993). As discussed in Chap. 5, Canada devolves all aspects of education to the provinces, therefore it is

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unusual to find the research ethics process in universities dealt with at the federal level. Haggarty (2004) addresses the following issues within research ethics approval: the scope of regulations; the interpretation of harm to participants and the requirement for anonymity. While research offers the potential to improve the situation for many people, it also poses risks. Haggarty (ibid) argues that REBs have gradually widened their remit in a way that was not originally intended due partly to the process of bureaucratisation that tends to increase the number of formalised processes. He is not disputing the need for research ethics approval but is commenting on his experience as a member of a University REB covering a wide selection of disciplines. He has perceived a shift from the concept of professional competence to a formalised system grounded on institutionalized distrust. He notes, however, that there is no oversight of the judgments of the REB. His major worry is that REB panel members identify a wide range of potential risks of harm to participants. The likelihood, he claims, is rarely based on empirical data and the risks are highly unlikely to occur, so the process can therefore limit the researcher’s autonomy, for no good reason. However, Haggerty, whose background is in journalism and criminology, compares the restrictions placed on researchers when interviewing participants, with the lack of restrictions placed on journalists. We now explore the views of Hammersley and Traianou (2011), academics within the education field. In their discussion of ethics committees, they refer to “the vice of overdoing morality” (ibid, p.379). While they agree with Haggerty about the amount of control now exercised by institutional research ethics committees, their concerns differ from his. They posit the question: ‘what is the goal of research?’ They ask whether the goal of research is the pursuit of knowledge or the intention to make the world a better place. They claim that there is a “fundamental conflict between research as a professional activity and some sorts of religious, political or ethical worldview” (ibid, p.385). They claim that in some research ethics committees the excessive emphasis on issues such as consent and anonymity can make it impossible for the researcher to complete their research project. If a researcher was exploring illegal acts, they might need to condone certain behaviour in order to carry out an interview. Deceit is another contentious issue. Undercover research undertaken without the consent, and indeed the knowledge of the data sources, is not likely to be approved now. Seminal work such as Festinger’s work on cognitive dissonance (Festinger et  al., 1956) is one example of many fruitful research projects that might yield valuable insight and knowledge but would not be permitted today. Hammersley and Traianou (2011) discuss several situations where the researcher’s autonomy is restricted and their ability to adapt their data collection proves challenging in the light of changing circumstances. This factor may lead to researchers evading obligations made within the ethics approval process.

Collecting and Recording Data (Sampling, Collecting and Interpreting the Data)

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Analysis and Synthesis (Methods) It is common for all the data collection to be completed prior to the analysis of data. However, if one is collecting data over a prolonged period it is possible to begin the analysis phase before all the data is collected. The word ‘analysis’ has been used here as it is the term one normally uses within a research project, but a systems approach is not reductive and does not rely on breaking things down or analysing them. While analysis is the approach generally taken, it is also possible to synthesise. For this reason, within the Womposo strategy we will adopt the term ‘interpret’ in place of ‘analyse’. Some early focus groups generated a rich picture that did not map out a system but did provide a holistic view of the situation, often including the generation of a metaphor. In the course of interpreting the early data, it became necessary to consider how SSM could be used to try and make sense of the situation and address the question of how policy impacts in different systems environments. It was only in this practical situation, when endeavouring to apply SSM to the data, that the researcher fully grasped how to employ the methodology and began to critique and question it, to consider precisely how it could be applied in this Practicum Study. During the funding bid process there had been neither the time nor the obligation to consider questions of ontology or epistemology. However, once the interpretation phase began, the researcher felt that there was a need to explore this area further. The research onion model (Saunders et  al., 2009) infers that the starting place for research is to consider the ontology (the nature of reality), and the epistemology (how we can know) but this can be difficult for early career researchers to achieve.

 ollecting and Recording Data (Sampling, Collecting C and Interpreting the Data) The background information about each of the three jurisdictions presented in Chap. 5 was gained in a number of ways. During their work in teacher education within English universities, the authors were privy to the key features of the English education system and the teacher education system. In Ontario, the researcher held discussions with teacher educators prior to data collection, mainly as part of the negotiation with putative gatekeepers to gain access to the three categories of stakeholder. Having made the initial contacts by email, the first visit of the researcher to Ontario was to meet the gatekeepers and discuss the purpose of the research and the nature of stakeholders required for the focus groups. In the course of this discussion, the researcher was informed of the nature of schooling and pre-service teacher education by a number of university faculty from different universities. The researcher’s discussions were with the gatekeepers and other faculty, consequently providing a comprehensive picture of the situation in Ontario. The researcher spent 2 months in Australia based in a host university; this visit gave her the opportunity to have a

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number of discussions with her hosts and attend several meetings and a conference to find out more about the Australian educational system. Within each focus group, respondents were briefed on the nature of the Practicum Study and given hard copies of the project information, a demographic data sheet and an ethics approval form to sign. They were then asked to spend 10 minutes individually considering three questions: 1. What are the factors that have impacted your experience during the practicum? 2. Which factors have helped you to become a better teacher? 3. Which factors have hindered or slowed your development? The questions above were targeted at the PSTs and the questions were rephrased for the other stakeholders, to ask them what factors they thought impacted PSTs. Individual participants were given time to think through their responses, prior to discussion with the rest of the group. This structure was thought likely to reduce the likelihood of the debate being dominated by the more outspoken participants. The researcher requested a volunteer scribe to take notes and another to produce some illustrations during the final part of the focus group. After the introductory individual element, the researcher asked the participants to share and discuss their thoughts. During this period, the groups were self-managing and there was no intervention from the researcher. In one or two cases a participant looked to the researcher for clarification of some point, the researcher then gave a short, succinct response. The volunteer scribe took notes and contributed to the group. Finally, the researcher asked the group to pull together the dialogue, identify the main themes and consider ways in which the conversation could be illustrated by the volunteer illustrator. As can be deduced from the above description, the recording of the data is integrated into the data generation process. This approach enables the researcher to retain and store all notes and illustrations. There is written data generated by individuals, together with the group summary and the final illustration. The researcher also kept notes during discussion as a mind map. The events were also captured as audio recordings and these proved to be an important source for the researcher to return to during the later stages of Womposo. The final exercise undertaken by the focus group, pulling together their discussion, summarising, identifying key themes and seeking images and metaphors, is akin to the coding and categorisation that researchers employ when analysing qualitative data. So, this approach employs the participants as ‘interpreters’ of data. The reader should be reminded that the aim is to present a holistic interpretation of each discussion and not to deconstruct it. It was noticeable that, in summarising their discussion, the participants often offered additional detail and strayed away from integrating the ideas from their previous discussion.

Metaphors (Womposo)

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Comparison with Literature It is standard practice to carry out a thorough literature review prior to finalising the definition of the research question and making decisions about how to collect data, informed by the epistemology and ontology that one considers applicable. This information enables the researcher to position the research and provides the reader with sufficient background and context to understand the direction of travel. It also enables the researcher to identify whether the research question being pursued is novel or whether something similar has been previously addressed. In this study we have split the literature into several categories. The literature discussing the research methodology covering systems thinking, SSM and critical realism is discussed in Chaps. 1, 2 and 3. The literature related to the background context in each jurisdiction is presented in Chap. 5; and the literature on the teacher learning, professional identity, the practicum and policy borrowing is to be found in Chap. 6. We are following the advice of Silverman (2000) to avoid completing the literature research at an early stage but instead to explore and engage with the literature throughout the interpretation stage. This chapter has now addressed all seven stepping-stones. We now consider the application of metaphor and illustration, devices that are used during the interpretation stage of the Stepping-Stones model and within Womposo.

Metaphors (Womposo) The novel aspect of the Womposo strategy that is not derived from SSM or the work of other authors is the application of metaphor in Activity 2. The application of a metaphor arose in the first focus group, the ‘luck of the draw’, Fig. 8.3 in Chap. 8. This focus group prompted the researcher to consider using the concept of metaphor more widely because it had appeared as an ‘emergent’ entity during the discussion, and it provided an ‘holistic’ view of the group’s opinions. As both ‘emergence’ and ‘holism’ are aspects of systems thinking, this factor stimulated the adoption of the metaphor concept. The researcher applied metaphor as a means of analysis during her doctoral study and therefore felt comfortable with it (Gilbert, 2001). Metaphor has been used as a means of making progress with scientific discoveries, a notable application being the description of light as both a ‘wave’ and a ‘particle’. Each metaphor yields valuable, yet partial, information. The physics student often has great difficulty making sense of this dichotomy, prior to realising that each metaphor can only make sense in isolation; yet both views are important because of their prescriptive and descriptive ability. In business settings, Morgan (1986) has explored the use of metaphor as an analytical device, he contends that all theories are implicit metaphors. While one might initially assume that metaphor is solely a linguistic manoeuvre, a number of authors contend that it is helpful in enabling us to conceptualise one domain in terms of another (Lakoff & Johnson, 1980; Mangham, 1995). Within an interpretive epistemology, metaphor has been used as a way of reading an

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organisation, for example a series of metaphors provides the basis for a “complete guide through the wilds of strategic management” (Mintzberg et al., 1998, p.iii). In a similar manner, metaphor has been applied within the field of information systems (Walsham, 1993; Kendall & Kendall, 1993, 1994). When metaphors are over-used, they become clichés and cease to provide valuable alternative views on situations.

Illustrations (Womposo) The reader will see that in the data interpretation chapters that follow, some illustrations of the metaphors have been produced by a professional illustrator. We are not suggesting that all researchers choosing to use the Womposo methodology must illustrate their data by such means. We suggest that you read Checkland’s work on SSM in order to explore the creation of rich pictures and researcher’s drawings, doodles and diagrams as they are a central component of SSM (Checkland & Scholes, 1990; Checkland & Poulter, 2006). Part of the reason for using professional illustrations in this project was the intent to publish the findings and the need to use illustrations as a means of communication with the early career researcher. Two early versions of the illustrations have been included as well, in order to demonstrate the development of a clear illustration. Having identified a metaphor, the temptation was to label all the components discussed in the focus group using concepts from the metaphor. In discussion with the illustrator, it became clear that this labelling was confusing and that a simpler image was needed, in order for the reader to quickly apprehend a single concept. Throughout the book, there are numerous diagrams, tables and illustrations highlighting the importance of using a range of visual means to interpret and make sense of data. Images and graphics are often more effective in illustrating relationships than words. You may ask why we have used some of the respondents’ original drawings and some professional illustrations. Resources are needed to produce illustrations, both financial resources and time for the production of the illustration and for the preceding discussion of the metaphor with the illustrator. Therefore, choices had to be made and we aim to provide an informative balance between three types of image. Firstly, there is the image produced in the focus group, by a member of the group. These images cover the gamut from figures that illustrate a metaphor clearly through to confused drawings; Figures 9.7 and 9.8 in Chap. 9 are examples of the latter. Secondly, there are the early professional versions mentioned above and thirdly, there are the final professional illustrations. These illustrations have received positive feedback from a number of colleagues. Using a technique similar to cartooning, humour and irony can be used to make a point. The reader may wish to check the ‘Luck of the Draw’ metaphor, Fig. 8.3, in Chap. 8 where the near invisibility of the ‘supervising’ faculty and the lack of cooperation from some of the ‘cooperating’ teachers can be perceived. The ability of the illustrator is key, in conjunction with the clarity and relevance of the metaphor.

Conclusion

181

Conclusion This chapter has employed the structure of the Stepping-Stones model to describe the research decisions made in relation to the Practicum Study. The chapter commenced with a short discussion about the funding application and the way in which this propelled the direction and aims of the research. These aims were later revised in light of the background literature and were informed by the underpinning ontology. The value of the paradigm stepping-stone was stressed in relation to the adoption of critical realism. The strategy, Womposo, that was introduced in Chap. 4 was reiterated and the conceptual framework for the practicum study was presented. The research design has many components including the selection of jurisdictions, the identification of gate keepers, and the collection of data. This stepping-stone also includes a discussion of reliability and triangulation, with some reference to validity. Within the methods stepping-stone, sampling of data was discussed alongside ethics approval. As this proved to be an unexpectedly tricky aspect of the research, a discussion of ‘ethics creep’ is included (Haggerty, 2004). The choice of focus group as the data collection method, and the inclusion of the questions posed, can be found in this chapter. Further information about data collection is included in Chaps. 8, 9 and 10. In this chapter there is also a brief reference to the literature search, which is discussed in far more detail in Chaps. 5 and 6. Two unusual devices were adopted in this research, metaphor and illustration. Therefore, discussion and justification of these choices is included in this chapter. Undertaking research is a tricky amalgam of theory and practice. The recommended order for carrying out research generally implies that theory should inform practice. However, the practical elements are often time-dependent and reliant upon contacts and need to be addressed early in the research process. All researchers, but especially the student or early career researcher, are likely to make mistakes and experience setbacks, these mistakes then require amendments to the plan. As discussed earlier in this chapter, our Stepping-Stones model of research stages indicates an order for carrying out research, but it also emphasises the importance of revisiting stages. In this chapter, we have explained, and justified, the decisions taken to revisit stages. One’s choices, at all stages of a research project, are informed by the practical aspects that move the research forward. Being able to justify one’s decisions provides one with confidence in the interpretations and findings of one’s research. The chapters in Part III, Chaps. 8, 9 and 10, present the data from the Practicum Study. We described some elements of Activity 1 of the Womposo research strategy in this chapter. In the following chapters, all four activities of Womposo will be applied in relation to the data collected from the focus groups of the three sets of stakeholder.

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References Australian Association for Research in Education (AARE). (1993). Code of ethics. Australian Association for Research in Education. Anderson, S., & Ben Jafaar, S. (2007). Policy narrative for Ontario. In A.  Chan, D.  Fisher, & K.  Rubenson (Eds.), The evolution of professionalism: Educational policy in the provinces and territories of Canada (pp. 79–97). UBC Centre for Policy Studies in Higher Education and Training. Archer, M., Decoteau, C., Gorski, P., Little, D., Porpora, D., Rutzou, T., Smith, C., Steinmetz, G., & Vandenberghe, F. (2016). What is critical realism? Perspectives: A Newsletter of the ASA Theory Section, 38(2), 4–9. Retrieved from http://www.asatheory.org/current-­newsletter-­online/ what-­is-­critical-­realism Attfield, R. (2014). Environmental ethics: An overview for the twenty first century. Polity Press. Becher, T., & Trowler, P. (2001). Academic tribes and territories. SRHE and Open University Press. Bhaskar, R. (1975). A realist theory of science. Verso. Bhaskar, R. (1979). The possibility of naturalism. Routledge. Blackstone, W.  T. (1977). Philosophy and environmental crisis. International Journal for Philosophy of Religion, 8(4), 271–271. British Educational Research Association (BERA). (2018). Ethical guidelines for educational research. Canadian Institutes of Health Research, Natural Sciences and Engineering Research Council of Canada, and Social Sciences and Humanities Research Council. (2018). Tri-Council policy statement: Ethical conduct for research involving humans. https://ethics.gc.ca/eng/documents/ tcps2-­2018-­en-­interactive-­final.pdf Capra, F., & Luisi, P.  L. (2014). The systems view of life: A unifying vision. Cambridge University Press. Checkland, P. B. (1981). Systems thinking, systems practice. Wiley. Checkland, P. B. (1995). Model validation in soft systems practice. Systems Research, 12(1), 47–54. Checkland, P. B., & Scholes, J. (1990). Soft systems methodology in action. Wiley. Checkland, P., & Poulter, J. (2006). Learning for action: A short definitive account of soft systems methodology and its used for practitioner, teachers and students. Wiley. Curry, P. (2011). Ecological ethics. Polity Press. Easterby-Smith, M., Thorpe, R., Jackson, P., & Lowe, A. (2008). Management research. Sage Publications. Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Festinger, L. A., Schachter, S., & Riecken, H. W. (1956). When prophecy fails: A social and psychological study of a modern group that predicted the destruction of the world. University of Minnesota Press. Finn, M. (2015). The Gove legacy: Education in Britain after the coalition. Palgrave Macmillan. Gilbert, J. F. (2001). Barriers to the adoption of ICT in teaching and learning in higher education. University of Lancaster. Gilbert, J., & Pratt-Adams, S. (2020). Transforming higher education culture: Teacher education in Kosovo. International Journal of Educational Reform, 29(3), 256–274. Haggerty, K. D. (2004). Ethics creep: Governing social science research in the name of ethics. Qualitative Sociology, 27(4), 391–414. Hammersley, M., & Traianou, A. (2011). Moralism and research ethics: A Machiavellian perspective. International Journal of Social Research Methodology, 14(5), 379–390. Hirschman, A. O. (1970). Exit, voice and loyalty: Responses to decline in firms, organizations and states. Harvard University Press. Hull, D.  L. (1997). What’s wrong with invisible-hand explanations? Philosophy of Science, 64(Supplement), S117–S126.

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Kendall, J. E., & Kendall, K. E. (1993). Metaphors and methodologies: Living beyond the systems machine. MIS Quarterly, 17(2), 149–169. Kendall, J.  E., & Kendall, K.  E. (1994). Metaphors and their meaning for information systems development. European Journal of Information Systems, 3(1), 37–47. Kim, H., & Cho, Y. (2013). Pre-service teachers’ motivation, sense of teaching efficacy, and expectation of reality shock. Asia-Pacific Journal of Teacher Education, 42(1), 67–81. Kwan, T., & Lopez-Real, F. (2005). Mentors’ perceptions of their roles in mentoring student teachers. Asia-Pacific Journal of Teacher Education, 33(3), 275–287. Lakoff, G., & Johnson, M. (1980). Metaphors we live by. The University of Chicago Press. Lingard, B. (2010). Policy borrowing, policy learning: Testing times in Australian schooling. Critical Studies in Education, 51(2), 129–147. Lovelock, J. (2005). Gaia: Medicine for an ailing planet. Gaia Books. Mangham, I. L. (1995). Some consequences of taking Gareth Morgan seriously. In D. Grant & C. Oswick (Eds.), Metaphor and organisations (pp. 21–36). Sage Publications. Miles, M. B., & Huberman, A. M. (1994). Qualitative data analysis. Sage Publications Ltd. Mintzberg, H., Ahlstrand, B., & Lampel, J. (1998). Strategy safari: The complete guide to the wilds of strategic management. Prentice Hall. Morgan, G. (1986). Images of organisation. Sage. Rumsfeld, D.  H. (2002, February 12). DOD news briefing: Secretary Rumsfeld. US Department of Defense. Retrieved from http://archive.defense.gov/Transcripts/Transcript. aspx?TranscriptID=2636 Saunders, M., Lewis, P., & Thornhill, A. (2009). Research methods for business students. Pearson Education Ltd. Scott, D. (2010). Education, epistemology and critical realism. Routledge. Sen, A. (1999). Development as freedom. Oxford University Press. Silverman, D. (2000). Doing qualitative research: A practical handbook. Sage Publications. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan. Taylor, C. S. (2013). Validity and validation: Understanding statistics. Oxford University Press. Tillema, H. H., Smith, K., & Leshem, S. (2011). Dual roles – Conflicting purposes: A comparative study on perceptions on assessment in mentoring relations during practicum. European Journal of Teacher Education, 34(2), 139–159. Trafford, V. (2008). Conceptual frameworks as a threshold concept in doctorateness. In R. Land, J. F. H. Meyer, & J. Smith (Eds.), Threshold concepts within the disciplines (pp. 273–288). Sense Publications. Van Nuland, S. (2011). Teacher education in Canada. Journal of Education for Teaching, 37(4), 409–421. Walsham, G. (1993). Interpreting information systems in organisations. Wiley. Wood, L. A., & Kroger, R. O. (2000). Doing discourse analysis: Methods for studying action in talk and text. Sage Publications Ltd.

Part III

Practicum Study: Data Collection and Interpretation

Chapter 8

The Perspectives of Pre-service Teachers

Abstract  The aims of the Practicum Study are to identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. The Womposo research strategy is applied to the first stakeholder set of data, the pre-service teachers (PSTs) in all three jurisdictions of the study. Following discussion of data collection from all stakeholders, each focus group is studied and processed through the remaining three activities. The Modelling activity, based on SSM, yields the CATWOE, the metaphor and the transformation. While the entities, and their powers and liabilities, are similar across focus groups, the emergent metaphors vary. All but two metaphors are illustrated by the professional illustrator. The transformations derived from CATWOE fit into two main categories, the ‘transformation of the PST’ and the ‘transformation of the practicum’. The third activity, Conceptualising, uses the ‘social structures’ posited by Dave Elder-Vass to display the contingent conditions, the entities, powers and liabilities, and the overall event or transformation. The same information is presented in an alternative manner, using David Scott’s ‘social objects’. Finally, the fourth activity, Explaining, draws on the preceding data and applies Sharon Tao’s ‘value functioning’ approach which is combined with the ‘exit, voice and loyalty’ model of Albert Hirschman. Keywords  CATWOE · Jurisdictions · Metaphor · Powers and liabilities · Practicum · Pre-service teachers (PSTs) · Soft Systems Methodology (SSM) · Stakeholder · Transformation · Value functioning · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction This is the fourth chapter relating to the Practicum Study and the first chapter presenting data. In the first chapter of the Practicum Study, Chap. 5, the context for data collection was outlined. The education systems in the three jurisdictions of New South Wales, Australia; Ontario, Canada; and England, UK were described. In the second chapter of the Practicum Study, Chap. 6, we presented literature on policy borrowing, teacher identity, learning and the practicum. In the third chapter of the © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_8

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Practicum Study, Chap. 7, we led the reader through the four activities of the Worldview, Metaphor and Power of Social Objects (Womposo) strategy. This strategy was devised and explained fully in part 1 of the book, in Chap. 4. We now focus on the data collected from the pre-service teachers (PSTs) and the application of the Womposo strategy to this first set of data. It is assumed that the reader has studied the previous chapter. In Chap. 7, we presented the detail of the project setting and the rationale for the choice of focus group as the method of data collection. Figure 8.1 replicates the Womposo strategy introduced in Chap. 4. The aims of the Practicum Study are listed in Fig. 8.2. They were presented earlier in Chap. 7. In Chap. 11, we will collate the outcomes from the three sets of stakeholders to address the aims. The Womposo research strategy model, illustrated in Fig. 8.1, has four stages and we have entitled these Activity 1, Activity 2, Activity 3 and Activity 4. These activities are highlighted in italic in this paragraph and in the remainder of this section. In Activity 1: Finding Out, we discuss: the sampling of data; the use of gatekeepers to gain access to groups; and the documents distributed to participants. Activity 1 encompasses all PST focus groups, then the remaining three activities are conducted for each focus group in turn. Each university is allocated a pseudonym that is used throughout the data collection and interpretation stages, for each of the three stakeholder groups, beginning with Old Possum University in New South Wales. Starting

• Problem situation • Planning • Data collection

• Functioning value • Tendences and counter-tendencies • Exit, voice and loyalty

Activity 4:

Activity 1:

Activity 3:

Activity 2:

Explaining

Conceptualising

Finding out

Modelling

• List entities, causal powers and liabilities • Norm groups • Social objects

Fig. 8.1  Worldview, metaphor and power of social objects (Womposo)

• Metaphor • CATWOE • Root definition

Introduction

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Aims of the Practicum Study To identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. To relate these mechanisms to the policies within each jurisdiction the culture of each jurisdiction the stakeholder’s position within the practicum. Fig. 8.2  Aims of the Practicum Study

with the Old Possum focus group, we move on to Activity 2: Modelling. In this activity, the PST focus group is described, and the key discussion points are outlined, leading to the emergence of a metaphor. This metaphor is presented as an image that illustrates the metaphor, as in  for example Fig. 8.3 to be found in later section ‘Modelling at Old Possum University’. Six of the eight metaphors presented in this chapter have been drawn by the professional illustrator to demonstrate forcibly the strength of the metaphor. The metaphor is then converted into a CATWOE analysis and this analysis yields a root definition. The reader wishing to explore, or be reminded of, Soft Systems Methodology (SSM), including CATWOE and root definitions, should consult Chap. 1. The final part of the CATWOE stage is the identification of the entity being transformed during the practicum, as it appears from the associated metaphor. Moving on to Activity 3: Conceptualising for the Old Possum group, the reader is reminded of the definition of different types of social group, such as norm circles, that can be identified from the focus group discussions (Elder-Vass, 2010). The tables, such as Table 8.4, display the contingent conditions; the entities and their powers and liabilities; and the overall event or transformation. Still within Activity 3, the same information is presented in an alternative manner, using Scott’s (2010) social objects, leading to a table such as Table 8.5. The final activity is Activity 4: Explaining. Drawing on the data identified and the analysis and interpretation performed in Activity 2 and Activity 3, the researcher then applies the ‘value functioning’ approach (Tao, 2016; Sen, 1999). This is combined with the ‘exit, voice and loyalty’ model of Hirschman (1970). Fig. 8.6 presents the ‘enabling tendency’, that is the desire of the stakeholder, the ‘constraining counter-tendencies’, that is factors that restrict the stakeholders’ ability to achieve their wish and the potential outcomes. It aims to provide an insight into the behaviour and the discourse of the stakeholder group in question. While presenting the first set of data, that for Old Possum University, there is an explanation of the methodology. Following this first case, the remaining focus groups’ data are presented merely applying the methodology in each situation. To summarise, each focus group of PSTs is presented individually, beginning with those in New South Wales, continuing with the groups in Ontario, and concluding with those in England. Prior to the first instance, that of Old

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Possum University, the Activity stage within the Womposo strategy is described, to help the reader to comprehend the process. Following this elaborated first case, the data from the remaining groups are merely presented.

Activity 1: Finding Out As described in Chap. 7, the intention was to collect data from three focus groups of PSTs in each of the three jurisdictions, giving nine groups in total. We succeeded in collecting data from eight sets of PSTs. Convenience and accessibility are important factors in selecting a sample, it is pointless developing an approach that is impractical to implement. Nevertheless, one should have stronger grounds for research decisions than just practicality. A purposive sampling method was chosen. “Purposive sampling demands that we think critically about the parameters of the population we are interested in and choose our sample case carefully on this basis” (Silverman 2000, p. 104). Theoretical sampling is a particular case within purposive sampling, and we utilized a predominantly theory driven approach to sampling the data, as described by Miles and Huberman (1994). As the initial aim of the research was to compare the effect of policy in different jurisdictions, we had to choose multiple jurisdictions. The rationale for the three jurisdictions chosen, their language and history, was explained in Chaps. 5 and 7. The other theoretical aspect that drove the sampling was the adoption of SSM, which places considerable emphasis on the perceptions of different stakeholders. Therefore, it was necessary to select groups that represent the key stakeholders: PSTs; mentors; and faculty advisors. There was also an element of cluster sampling (Silverman, 2000). “The logic behind it [cluster sampling] is that, in reality, it is possible to get a good enough sample by focusing on naturally occurring clusters of the particular thing that the researcher wishes to study” (Denscombe, 2003, p. 14). We initially intended to select consonant groups of PSTs, for example selecting a group all training to teach primary-age pupils, thus adopting a purposive sampling technique. However, it very quickly became clear that gatekeepers could invite students and teachers but could not guarantee that they would all attend. It was, therefore, preferable to throw a wider net in order to catch a large enough group. The PST focus groups ranged in size from three members to six members. Using a cluster sampling approach, the parameters of each group were not specified. Instead, we collected demographic data from PSTs, regarding gender, age group they are training to teach, undergraduate/post-graduate and length of time spent on practicum. Some authors recommend theory driven sampling, both at the start of the research and during the process of data collection. Where one is collecting data in different phases the outcomes of the first phase can then drive the second phase (Strauss, 1987). Miles and Huberman (1994) indicate that sampling strategies can evolve during research and Hammersley et  al. (1985) discuss the issue of the sampling of classes within a comparative study, in a longitudinal investigation of two contrasting schools. They found that, circumstances not initially considered, transpired during

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data collection making it impossible to follow the original sample of pupils over a 3-year period. As a result of this problem, they had to choose a narrower sample than intended. We had a similar experience during the Practicum Study. The first phase of data collection in Australia and Canada was within a tight timeframe and relied on gaining access to different universities through one initial key stakeholder in each country. The secondary phase was the collection of data in England. Given our knowledge of the English teacher education, and using purposive sampling, the intention was to select one of the English groups from a school-based or school-­ centred environment in order to represent a different type of initial teacher education. Access to the final focus group of the nine intended groups proved problematic. The researcher attempted to arrange PST, mentor and faculty advisor groups with two types of school-focused initial teacher education provider in England: a School Centred (SCITT) and a School Direct provider. The initial potential gatekeeper who was approached declined to take part. The second potential gatekeeper agreed but withdrew shortly before the arranged date. The reason given in both cases was pressure of work. By this stage, the end of the academic year was upon us, leaving insufficient time to approach other contacts and arrange meetings. It was necessary to decide whether to delay collecting data to the following year or to ascertain whether we had sufficient data. We judged that there was ample data to test the methodology and to shed light on the research question. With few exceptions, the university gatekeepers contacted expressed more interest in supporting a research project. The PST focus groups were convened as described in Chap. 7. They received a participation information form, a participation consent form to complete and a summary of the research project. They were also supplied with an instruction sheet for the focus group activity, as well as being briefed orally by the researcher. Prior to their group discussion, see Chap. 7, the participants were asked to spend 10 min individually considering three questions: 1. What are the factors that have impacted your experience during the practicum? 2. Which factors have helped you to become a better teacher? 3. Which factors have hindered or slowed your development? The terminology for the stakeholders varies between countries, indeed in England it varies between universities. The terms chosen are as follows: ‘PST’ (pre-service teacher) for student teachers, ‘mentor’ for the classroom teacher who is supervising the PST and ‘faculty advisor’ for the university supervisor. Some of the metaphors make reference to other terms used in the context of the particular jurisdictions and therefore these terms are explained as they occur. A pseudonym has been invented for each university in order to present the data anonymously. All the names are based on animals found in the jurisdiction in order to enable the reader to readily identify whether the university is in the UK, Canada or Australia. In the sections above, Activity 1 of Womposo has been completed, describing the Finding Out stage for all of the 8 focus groups of PSTs. Moving on to Activities 2, 3 and 4, each focus group of PSTs is presented individually beginning with those in New South Wales, continuing with the groups in Ontario and concluding with those in England. Prior to the first instance, that of Old Possum University, details of the activity stage

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within the Womposo strategy are described. Following this first case, the data from the remaining groups are simply presented.

Modelling at Old Possum University, NSW: Activity 2 This is the first instance of the application of Activity 2: Modelling. It begins by describing the group and their discussion and presents an illustration of the metaphor derived. Using SSM, a CATWOE table is created, and the transformation identified. The first PST focus group held during the data collection phase was the Old Possum University group. It comprised a mixed primary/secondary group of PSTs, a third of whom had lengthy practicum experience. All participants were female and studying on the 2-year MTeach programme. A third had spent 19 weeks in practicum and two thirds had spent 5 weeks. Although their experiences had been good, they were well aware that their peers had not all enjoyed positive experiences. The over-riding metaphor identified by them was that the practicum was the Luck of the Draw. The playing cards (Fig. 8.3) represent the main points discussed. If the PST

Fig. 8.3  Old Possum University emergent metaphor

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draws a low card, such as a ‘disobliging mentor’ (the eponymously termed ‘cooperating teacher’) they perceive that it compromises their progress. Conversely a higher card, a ‘supportive mentor’ has a beneficial impact. Gaining access to resources in the school is often a problem, especially with a brief practicum, an example described was a PST allocated a login to electronic resources in week three, of a five-week practicum. Expectations are sometimes unclear; PSTs are unsure whether they should be spending all their time teaching or whether they should also be observing experienced teachers. Some teachers are positive role models, others not; one teacher, graphically described as the ‘Yeller’, not only shouted at pupils but tore up a pupil’s work in front of the class. The individuals in this group of PSTs were in paired placements and they normally consider their ‘buddy’ an asset, depending upon the relationship. The reflective teacher is another strong image in the discussion, the PSTs acknowledge the tenet of the self-­monitoring teacher, an element proselytised within the taught course. There were disparities in PSTs’ aspirations, one PST’s concern about being ‘thrown in the deep end’ conflicts with another’s desire to experiment, depending upon their experience, confidence and maturity. The lack of personal control within the situation is revealed, not only in the main Luck of the Draw metaphor but in other metaphors articulated during the discussion. For example, the group employed a ‘snakes and ladders’ image to illustrate the random nature of encounters and the turbulence of events. Communication between university and school was perceived as problematic and the practicum organization poor. The Faculty Advisor, the ‘supervising faculty’, lacks visibility and the role is Table 8.1  Old Possum University CATWOE analysis CATWOE Customer:

Old Possum interpretation Pre-service teacher

Actor:

University/school

Transformation:

Practicum: From the ‘luck of the draw’ to a well-organised, consistent experience The practicum experience is the luck of the draw

World view:

Owner:

University

Environment:

New South Wales’ requirements for teacher education

Definitions of terms The victim or beneficiary of the system Those who can realise the transformation The conversion of input to output

The worldview (Weltanschauung) that makes the transformation meaningful Those with the power to stop the transformation The environmental constraints within which the system must operate

Root definition: Luck of the draw A university responsibility to work with schools to convert the practicum from the ‘Luck of the Draw’ to a consistently organised experience in order to benefit pre-service teachers in an environment framed by the New South Wales’ requirements for teacher education.

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ambiguous. The lack of parity between the schools’ welcome to PSTs clearly surprised them; they ranked this factor second only in importance to the allocation of their mentor. From the root definition in Table 8.1, the group’s over-riding wish to see improvement in the organisation of the practicum, and the related communication and support, can be seen. The metaphor helps us to isolate the six aspects designated by the term CATWOE and having defined these terms, we can form the root definition. Of particular interest is the ‘transformation’ T as T tells us that the stakeholder group, the PSTs, desire a situation where the current practicum ‘lottery’ is transformed into a state where they feel more in control.

Conceptualising: Activity 3 Expounding the Method Two research articles in the Information Systems (IS) discipline informed the creation of the Entities and Powers tables. In these IS research projects the authors attempted to use the methodology of critical realism (Wynn & Williams, 2012; Zachariadis et al., 2013). We adopted concepts from these articles to devise the table entitled Entities and Powers. This table, exemplified by Old Possum Table 8.4 in Activity 3, summarises the key aspects of each focus group. The first three rows of each table provide us with background data; the university; the metaphor; the motivating question for the research; and the column headings. To form part of the contingent conditions we adopted Elder Vass’ social structures. Elder-Vass (2010) suggests categorising social structures as norm circles or interaction groups. These have been discussed in Chap. 3 and the reader can refer to Table 8.3 for a reminder of the meaning of each term. Some of the focus groups were associations and norm circles and others were interaction groups. The main social structures were organisations and the main imagined norm circles were the school and the education faculty in the university. External organisations were also mentioned as having an impact on the PSTs directly or through their impact on the school. These are School Boards and the Ministry of Education (Ontario), Ofsted (England), and the Department of Education (New South Wales). Table 8.2 provides a summary of the method and is referred to in the later data chapters, Chaps. 9 and 10. Table 8.3 presents Elder Vass’ social structures. We outline here, in more detail, the method for the completion of an Entities and Powers table. The entities for each focus group are presented in the central column of the table, see Table 8.4. There are different types of entity. There are entities that Table 8.2  Creating an Entities and Powers table (for example see Table 8.4) (i) Identify the Contingent conditions and place them in the left-hand column. These are the demographics of the respondents and the type of group, interaction group or norm group (see Table 8.4) (ii) Identify the Entities and list them in the central column. (iii) Identify the Powers and Liabilities for each entity and list them in the second and fourth columns (either side of Entities). (iv) Identify the Event (Transformation) and place it in the right-hand column.

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Table 8.3  Norm circles, interaction groups, associations and organisations Norm circles

Proximal norm circle Imagined norm circle Actual norm circle

Interaction group Association Organisation

Influenced by those physically around you All those who you think may have influenced you All those who did influence you Group coming together for a specific event Group meeting regularly A more formal association

Elder-Vass (2010) Table 8.4  Old Possum University, Entities and Powers (Table  8.2 is a guide to completion of this table) Old Possum University, New South Wales Luck of the draw Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events MENTOR Has power of OVERALL Supports 100% Female assessment OUTCOME 5 weeks spent in Allows To convert the experimentation practicum OR practicum from Observes and gives 19 weeks the ‘Luck of the feedback Primary/ Draw’ to a secondary PRE-­ Reflective consistently All post-grad SERVICE practitioner organised Interaction TEACHER Open minded experience group Supports FACULTY Poor [Metaphor Small group ADVISOR communication University course identified by group] ideal, not aligned with real practicum Supports Welcome, behaviour management policies helpful, shares resources with PST Scaffolding using observation sheets Sets standards

BUDDY School

Takes time to access resources Poor role model

SPECIFIC EVENT Observing ‘The yeller’, another teacher yelling at a child and ripping up his homework

Size of handbook Guidance unclear Timing of Dept. of Education NAPLAN Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Practicum

are individual ‘human agents’. In this research study most of the entities identified fit into this category. They are represented in the tables by displaying the ‘ENTITY’ in capital letters. Common entities across the focus groups are the ‘mentor’, the ‘PST’ and the ‘faculty advisor’. Another common type of entity is a ‘Group entity’, something considered by Elder-Vass (2010) to be part of the social structure. Such a group is displayed in lowercase, the most common example being the ‘School’.

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The final type of entity is a ‘non-human’ entity; displayed in italic. Non-human entities comprise resources: IT, stationery, books, worksheets, classrooms, or conceptual entities like the ‘practicum’ or the ‘curriculum’. The PSTs were asked what factors help or hinder their development as a teacher. The factors that they acknowledge assist development are categorised as the ‘powers’ exhibited by an entity; the factors that hinder development are categorised as ‘liabilities’. Occasionally a group disputed whether a factor helped or hindered, the list accords with the main tenor of the discussion. The ‘transformation’ or ‘event’ that has been identified is derived from the metaphor. Occasionally the respondents have described other events. The metaphor was either recognised by the focus group during discussion or distinguished by the researcher when studying the data. A note indicating who derived the metaphor is included in the right-hand ‘Events’ column.

Conceptualising at Old Possum University, NSW: Activity 3 The first instance of the application of the above method for Activity 3 is presented here for Old Possum PSTs. Table 8.4 utilises the concepts of Social Structures as devised by Elder-Vass (2010). In order to create Table 8.5, based on Scott’s (2010) Social Objects, the researcher returned to the paper-based data, exploring the PSTs’ individual notes, the group notes and the researcher’s contemporaneous mind maps. The audio recording was not revisited. The researcher now steps into Activity 4: Explaining. All the above data is held in mind in order to derive a feasible explanation.

Table 8.5  Old Possum University, social objects (Scott) Old Possum University, New South Wales Discourse Agential Regulatory Embedded Social markers

Scott’s social objects Luck of the draw, snakes and ladders, in at the deep end Reflective practitioner, open minded. Poor communication, responsibility permitted Department of Education, large handbook, behaviour management policy Mentor, faculty advisor, school, buddy, time to get resources. Role model, paired placement, family support Female, most have spent 5 weeks in practicum, primary/ secondary. All post-grad Interaction group

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Explaining at Old Possum University, NSW: Activity 4 This focus group provides the first data set for the application of the Womposo method. We return to a comment related to critical realism as we apply the concept of value functioning and identify the constraining counter-tendencies, see Fig. 8.4. This comment is “Reasons can be viewed as causal mechanisms which are beliefs rooted in the practical interests of life” (Bhaskar, 1979, p. 123). It must be remembered that in every case the focus group contains several people and is not feedback from an individual. Groups varied in size and the size of this group has been listed in the contingent conditions in Table 8.4. Small groups comprise three to four participants and large groups include five to six participants. The number of participants possibly had an impact on the tenor of the discussion. In the main, the smaller groups reached agreement. We contend that the discourse of the group yields a composite student. The derivation of Fig. 8.4 can be found in Chap. 4. Based on the evidence from applying the Womposo strategy, we posit the following explanatory scenario. The PSTs are studying in an élite university and thus have increased confidence as a result of having gained entrance to that university. They have been selected from a large group of applicants and they believe that they conform to the University’s criteria. The PSTs in this focus group are either in the first year of the course and have spent a short period of time in the practicum or in the second year having spent 19 weeks in practicum. The group are embedded in the culture of the university course. The course paints the picture of the model teacher and the PSTs’ references to role models indicate that they have an expectation that there will be archetype teachers available to observe. The vivid description of the

Old Possum PSTs’ wish to gain control of a situation that they perceive as disorganised and become a ‘good teacher’ (their value functioning) Enabling Tendency: their desire to gain control in order to become a good teacher Achieves value functioning

Constraining counter-tendency: Disorganisation, poor communication, lack of guidance, poor role models, time taken to access resources, a less than welcoming school, an invisible faculty advisor, bullying mentor, overloaded handbook. Exit Voice Loyalty to becoming a teacher Decides not to achieve their Contends or evades the Complies with the constraints value functioning constraints The PST learns how to play PST The PST learns how to play the the game and judges when In this group exiting is game. They apply the rules to to comply with the rules. unlikely. There is enough their advantage. Retaining the The PST evades certain support for them to avoid intention to become a ‘good rules and/or complains to or withdrawing from the course. teacher’, they have the seeks advice from faculty It is possible that they may confidence to persevere. advisor and mentor. decide to coast, in order to complete the practicum. As the PST spends longer in school, and experiences different schools and mentors, they will comprehend the rules of the game more fully and be able to move towards the loyalty model.

Fig. 8.4  Old Possum University: Value functioning

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teacher who was a poor role model, the Yeller, highlights the shock experienced by the PST who realises how far reality can stray from the ideal of the ‘good teacher’. The group members articulate the importance of becoming a reflective practitioner and seem to have internalised this concept. They enter the practicum with high expectations of others and themselves. There are several examples that demonstrate that the participants can critically evaluate, for example they talk about useful feedback from the mentor, demanding constructive feedback rather than ‘nit picking’. They feel that some mentors are inconsistent with their feedback. They expect a lot from the mentor; mentors should be flexible, supportive, give them the right amount of responsibility and provide clear instructions. The PSTs are aware that they are operating in the mentor’s territory. Regardless of the university guidelines and protocols, it is the mentor’s decision how much time the PST is permitted in front of the class and how much latitude they are given to experiment. This group all claim to have had good experiences and imply that the constraints that they raise have been experienced by their peers. Nevertheless, it is clear that some of the temporal issues such as the delay of 3 weeks to gain a log-in identification and the poor communication between the university, the PST and the school refer to their own experience. They find the poor communication and disorganisation disappointing. While the discourse does suggest a limit to the control that they can exert, it also implies a game-playing attitude. They talk of the ‘luck of the draw’, alluding to playing a game of cards. They mention ‘snakes and ladders’, another well-known game. The debate implies that they comprehend the practicum as a game, they need to ascertain the rules. However, this game-playing contrasts with receiving a’ baptism of fire’ and feeling that they have been pushed in at ‘the deep end’. This situation may occur because the mentor is not fully aware of the PST’s subject knowledge and skills level. The tenor of the exchange was positive, the discourse was not judgemental and disapproving. The PSTs are able to evaluate the university course and the school and mentor support, and recognise the external support received from their family. They do not respond emotionally in the focus group, they recognise their own role in reflecting and considering how to deal with a situation, the next time they are faced with it. We conclude that these are able and confident students with high expectations of themselves and others, and able to play the game.

Modelling at University of Wallaby Creek, NSW: Activity 2 All the PSTs in the second focus group were training to be secondary teachers and had around 10 weeks of practicum experience. Only one participant was male. Half of them were studying on the 1-year Graduate Diploma course, a third on an undergraduate programme and the remainder on the 2-year MTeach programme. The group expressed similar views to the Old Possum group but with even greater

Modelling at University of Wallaby Creek, NSW: Activity 2

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Fig. 8.5  University of Wallaby Creek emergent metaphor

emphasis on the importance of the mentor. They were more critical of the university and of the taught components of the course. Two PSTs had experienced a stressful practicum and their response lent an emotional edge to the discussion, not evident in the other two Australian focus groups. The group felt that each factor could help or hinder their progress, depending on its quality and they explored each factor in detail, focussing on the university input. The metaphor of Pawns in the Game, see Fig.  8.5, reflects their perceived powerlessness. The Wallaby Creek respondents perceived a situation that could quickly spiral into a vicious circle where elements aggravate each other to worsen the situation. They felt that the odds were ‘stacked against them’ and their over-riding wish was to see improvements in communication, support and organisation of the practicum. The metaphor is again used to help determine the six aspects designated by the term CATWOE in Table  8.6 and the formation of the root definition.

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Table 8.6  University of Wallaby Creek CATWOE analysis Customer: Actor: Transformation:

World view: Owner: Environment:

Pre-service teacher University/school Practicum: From a situation where PSTs feel powerless to a well-organised, consistent experience PSTs are pawns in the games, at the mercy of their mentor University Overloaded course and unsupportive staff

Root definition: Pawns in the game A university responsibility to work with schools to convert the practicum from a situation where PSTs feel powerless to a well-organised, consistent experience in order to benefit pre-service teachers who feel like ‘pawns in the game’ in an environment with an overloaded course and limited support from university staff.

 onceptualising at University of Wallaby Creek, NSW: C Activity 3 Applying Activity 3: Conceptualising for the Wallaby Creek PSTs we see that Table 8.7 utilises the concepts of social structures (Elder-Vass, 2010) and Table 8.8, Social Objects (Scott, 2010).

Explaining at University of Wallaby Creek, NSW: Activity 4 This case comprises a larger focus group. All the members are training to be secondary teachers and have had roughly 10 weeks practicum experience. They are from one undergraduate course and two different postgraduate courses and include some mature students. This particular grouping may have facilitated certain students, those who were strongly critical of the course and practicum, to speak out vociferously. At the time of the focus group, some of the group were feeling powerless, demoralised and stressed. They were disparaging of the course operation, the support they had received and their practicum experience. They felt that the course was overloaded. The mature students also referred to home responsibilities and part-­ time work. The value functioning model is shown in Fig. 8.6. The mentor forms the focus of their criticism as they feel that often the mentor is a poor role model and that there is a power dynamic in play. One PST talked of the role of the faculty advisor being to undertake conflict resolution, indicating that they felt they had reached the point where they were in conflict with the mentor. This group was the only one of the eight focus groups that spoke about the Professional Experience Office. Most universities have support units to help deal with allocating students to schools, monitoring them and keeping track of faculty advisor visits. In

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Table 8.7  Wallaby Creek University, Entities and Powers (Table 8.2 is a guide to completion of this table) Wallaby Creek University, New South Wales Pawns in the game Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL OUTCOME MENTOR Their agenda Supports 80% female To convert the practicum Poor role Open 10 weeks spent in and course from model minded practicum overloaded to a Criticising All secondary consistently organised Bullying Under grad and experience (power post-grad [Metaphor identified by dynamic) Interaction group researcher] Large group Reflective PRE-SERVICE Demoralised practitioner TEACHER Stressed External demands FACULTY Disorganised Conflict resolution ADVISOR Reports to DEC for recruitment Inconsistent Supports Professional Inflexible Empathetic development Unhelpful office School Lack of space Welcome Conflict of ethos culture Involves School PST restructure (union issue) Practicum Massive handbook Assessment overload Department of Reporting for recruitment Education (NSW) Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities.

England they are essential because of the amount of data that has to be retained and analysed for the annual reports to Ofsted, and in readiness for Ofsted inspections. Such units provide a useful liaison point when the faculty advisor is not available. While some members of the focus group refer to them as being supportive and empathetic, others say they are inconsistent, inflexible and unhelpful. PSTs were not as openly critical of the faculty advisor as they were of the mentor. However, one PST referred to the fact that faculty advisers have the power of assessment, as grading information is passed to the Department of Education (DEC). DEC require that the PST has been graded ‘have exceeded the standard’ to accept them as successful. We conclude that these are overworked students with other demands on their time on a trajectory that could spiral downwards.

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Table 8.8  Wallaby Creek University, social objects Wallaby Creek University, New South Wales Scott’s social objects Discourse Pawns in the game, odds stacked against them, need for conflict resolution Agential Demoralised, stressed, external demands, reflective practitioner Critical of taught components of course, power dynamic Regulatory Assessment overload, massive handbook, Department of Education Embedded Professional development office, Mentor, faculty advisor, school, lack of time Social markers Most female, 10 weeks spent in practicum, all secondary, under graduate and post-graduate Interaction group Wallaby Creek PSTs wish to gain support from others and a sense of power (in an environment where they are overloaded and sometimes bullied). Enabling Tendency: their desire to gain support from others and a sense of power/control Achieves value functioning

Constraining counter-tendency: Disorganisation, duplication of content in course, assessment overload, massive handbook, unhelpful and inflexible staff, external demands, lack of space, lack of time, unwelcoming school, over-tired. Exit

Voice

Loyalty to completing the course Decides not to achieve their Contends or evades the Complies with the value functioning constraints constraints PST likely to withdraw from The PST moans to mentor, Given support and the course or request they FA, PEO, peers. Satisfices advice the PST are moved to another on assessed work. focuses and prioritises, school for practicum. May Discussion may help to gains a sense of take time off sick. resolve priorities perspective and perseveres. May need to re-schedule work. Student is overloaded and dependent on support from others. The flailing PST can achieve the value functioning but only if someone helps them to manage the workload and prioritise their conflicting demands.

Fig. 8.6  Wallaby Creek University, value functioning

Modelling at Australian Koala University, NSW: Activity 2 The third focus group included secondary and primary PSTs, with around 14 weeks practicum experience, so they had generally spent longer in the practicum that the previous two Australian groups. All were undergraduates and there was only one male participant. While this focus group raised many of the same issues as the previous two, they did not use metaphors relating to chance. They focussed instead on what they, as PSTs, were trying to achieve. The central metaphor Learning to Fly relates to the concept of permitting ‘freedom of choice’, the opportunity to ‘nail the craft’, albeit

Modelling at Australian Koala University, NSW: Activity 2

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Fig. 8.7  Australian Koala University emergent metaphor

with sufficient support to enable them to practice safely. We see here a more positive attitude from PSTs and their recognition of the value of learning from mistakes. Unlike the other two groups, this group did not mention the ‘reflective practitioner’ model. This response seems counter-intuitive. The group most able to articulate the application of the ‘reflective practitioner’ concept did not use the term. The Australian Koala University group spent more time discussing the importance of context; they talked at some length about the wide range of school types that they had experienced and how this experience had changed their perceptions. They also discussed, at some length, the nature of the children they taught. They noted the significance of the warmth of the school’s welcome and they talked about the varying levels of formality in schools. This variation is reflected in the image in the metaphor (Fig. 8.7) contrasting the extremes: formal, autocratic, didactic teaching versus relaxed, independent, group-based learning. This root definition, see Table 8.9 contrasts with the previous two in seeking to transform the PST into a qualified teacher.

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Table 8.9  Australian Koala University CATWOE analysis Customer: Actor: Transformation: World view: Owner: Environment:

Pre-service teacher University/school PST: From a naïve PST to a PST who has ‘nailed the craft’ PST needs to be supported but also given freedom to choose University Diverse set of schools plus New South Wales’ requirements for teacher education

Root definition: Learning to Fly A university responsibility to work with schools to convert a naïve pre-service teacher to one who has ‘nailed the craft’, by providing support and ‘freedom to choose’ in diverse school environments complying with the New South Wales’ requirements for teacher education.

 onceptualising at Australian Koala University, NSW: C Activity 3 Applying Activity 3: Conceptualising for the Australian Koala PSTs we see that Table 8.10 utilises the concepts of social structures (Elder-Vass, 2010) and Table 8.11 social objects (Scott, 2010).

Explaining at Australian Koala University, NSW: Activity 4 This case was an entirely undergraduate group. As they had all spent a similar amount of time, about 14 weeks, in practicum it is likely they were all at a similar stage of the course. They have also chosen to study at a Christian university of a specific denomination. The University accepts students of any faith or none. We did not pose a question relating to their choice of university. It is likely that several students will have been brought up in this faith and intend to teach in schools of this denomination. There is a wide range of school types that they could be placed in, public and private, single gender or mixed. The value functioning model for this group is shown in Fig. 8.8. It is recognised that research respondents tend to report events that are especially vivid or are recent. At the time of the focus group PSTs were spending 1 day a week in school, concurrently with the 4 days of study on the course. This pattern is more common in undergraduate courses than postgraduate courses, where students normally complete blocks of teaching. The PSTs were critical of the lack of link between the course and the practicum. Given the concurrent nature of the university course and the practicum, they were far more likely to notice the mismatch between the two. This inconsistency may well have been the case in other groups but, as it was not uppermost in their minds, it did not come to the fore in discussion. This

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Table 8.10  Australian Koala University, Entities and Powers (Table 8.2 is a guide to completion of this table) Australian Koala University, New South Wales Learning to Fly Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL Is supportive MENTOR Is controlling 80% female OUTCOME Is open ‘Looks at you 14 weeks spent in Convert a naïve throw’ practicum pre-service teacher magnifying Primary & secondary to one who has glass’ All under-grad May be norm group Learn from Not prepared for ‘nailed the craft’ PRE-­ or association behaviour SERVICE each other Large group management Adopt ‘lens of TEACHER External factors teacher’ ‘Nail the craft’ Observes but FACULTY Gets flustered doesn’t grade ADVISOR Takes snapshot observation School [Metaphor identified Behaviour by researcher] management Positive ethos Access to varied types Access to technology Learn from Mixed gender/ Pupils preparing and ability, handling Plan for disruptive elements Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities.

Table 8.11  Australian Koala University social objects (Scott) Australian Koala University, New South Wales Discourse Agential Regulatory Embedded Social markers

Scott’s social objects Nail the craft, lens of the teacher, looked at through at magnifying glass, ability to work autonomously, immersion Learn from each other, positive ethos of school, lack of motivation, Behaviour management (in school), lesson plans may not be adapted Mentor, faculty advisor has little impact, school, pupils, resources IT, travel time 14 weeks spent in practicum, primary & secondary, all under-­ grad, may be norm group, large group

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Australian Koala PSTs wish to ‘nail the craft ‘ of teacher, be immersed in the practicum and learn to fly. Enabling Tendency: their desire to ‘nail the craft ‘ of teacher, be immersed in the practicum and learn to fly. Achieves value functioning

Constraining counter-tendency: Lack of link between course and practicum, no behaviour management training, not enough time in school, no opportunity to be immersed in the practicum, inconsistent mentors, faculty advisors who get flustered, lack of motivation of some PSTs

Exit

Voice

Decides not to achieve their value functioning Demotivated PST unlikely to withdraw from the course as they would leave without qualification, but they could decide not to teach on completion.

Loyalty to becoming a professional Complies with the constraints PST searches for relationship of course with their practicum experience. Persuades mentor to allow them to experiment.

Contends or evades the constraints PST raises the issue of course content with tutors, they are likely to associate more closely to the school and possibly devalue the university input. Loses motivation. These malleable PSTs are ready and keen to spend more time in practicum. Some will fly, others could lose motivation.

Fig. 8.8  Australian Koala University, value functioning

group complained of a lack of behaviour management training in the course and talked of conflict between practice (in school) and pedagogy (in university). The group appears to be malleable and pragmatic. They are unusual in making lots of references to the pupils. They discussed mixed ability teaching, dealing with disruption, subjects taught, different year groups, class size and demography. This emphasis may well be the result of PSTs spending 4 days per week on the course, the PSTs may be discussing recently taught topics. Some PSTs were critical of the faculty advisor, saying they did not ‘see the point of them’ given that the mentor is responsible for the grading of PSTs. One student felt the faculty advisor ‘got flustered’ whereas another thought they were helpful when there were problems. One can see that in several groups the PST feels that they have insufficient time to complete the work. This group is rather different. Some of them complain about the time taken to travel to school but otherwise their main complaint, in relation to time, is that they do not spend enough of it in the practicum. To conclude, this group comprises keen and malleable students who want to spend more time in school and ‘nail the craft’.

 odelling at University of Grey Seal Province, Ontario: M Activity 2 In Canada, pre-service teachers are called ‘teacher candidates’. They can qualify as a teacher by studying for a Bachelor of Education consecutively, that is after they have been awarded an undergraduate qualification or concurrently, alongside studying relevant undergraduate subjects. The University of Grey Seal Province is not

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formally labelled as an Ivy League or élite institution, but it is long established and is more selective in its recruitment. 75% of the members of the focus group at the University of Grey Seal Province were male, unlike all the other PST focus groups, where the majority were female. They were all studying on the consecutive Bachelor of Education for the secondary age-range, and all had spent only 6 weeks in practicum. There was greater recognition of the external environment in this focus group than in others. The group made a number of references to external structures and policies; they talked about the role of School Boards and they referred to Ministry of Education documents. The group was also more analytical and evaluative than other focus groups and, while discussing the role of mentors, the ‘associate teachers’, they focused on abstract concepts such as feedback and trust. They began by talking about the school and the need for the Head to be welcoming and there was a perceptive discussion about the need to recognise the ‘politics’ within the school. They discussed the important role of school boards in allocating PSTs to schools. In other jurisdictions this placement of PSTs was a university responsibility. They discussed the demographic and socio-economic differences between schools and their catchment areas, and they also raised practical issues like the difficulties of travelling to schools. ‘Associate teachers’ had a crucial role, and the discussion raised the same sort of issues as other groups did, but with a more detailed discussion about the type of feedback that was helpful to PSTs. The feedback should be specific, rather than generic, regular and encouraging. One feature of the group’s discussion was the issue of what the PSTs say that they ‘bring to the party’. They referred to their previous experience working with children and coaching various sports, and their prior knowledge, including the depth and breadth of their subject knowledge. Faculty advisors were mentioned, and as with other groups this focus group was largely critical of them, indicating that faculty advisors ‘turn up randomly’ and visit schools chiefly when there is a problem. The metaphor used to describe this group is the ‘Beehive’. A beehive is an artificial structure where the beekeeper is rarely seen, yet the construction of the hive perpetuates the super-organism (Seeley, 1989). The hive houses an effective system that enables the bees to survive and reproduce and to create two outputs, namely honey and the pollination of plants. The actors, in this case the bees, interact with the environment by collecting pollen and contributing to the environment by pollinating plants. This metaphor presents a system that is self-perpetuating with minimal intervention from the owner of the system. Let us briefly describe the roles of the actors within a beehive (Seeley, 1995). The queen bee lays all the eggs, a small number are unfertilised and develop into drones. The fertilised eggs become female worker bees. The youngest worker bees are tasked with cleaning the hive, then they move on to caring for the eggs in the nursery. After this role they act as guards and then they become foragers with the guard bees allowing them in and out of the hive to forage for pollen. The male drones swarm and mate with the queen who is thus able to lay the next generation of fertilised eggs. If we compare the components of this metaphor with the practicum situation, the beehive is the school, the beekeeper: the faculty advisor, the eggs: the pupils, the young bees: the PSTs and the older bees are the teachers. Comparing this metaphor with the practicum leads to the emergent aim ‘maintenance of the educational

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Fig. 8.9  University of Grey Seal Province emergent metaphor

Table 8.12  University of Grey Seal Province CATWOE analysis Customer: Actor: Transformation:

Pre-service teacher/ pupils University/school PST within practicum: As a self-perpetuating system

World view:

All components of the system interact positively to generate knowledge and contribute to society

Owner: Environment:

University Diverse socio-economic settings and interventionist school boards

Root definition: The beehive A university responsibility to work with schools to enable pre-service teachers to contribute to an effective education system in order to educate pupils for society, in diverse socio-economic environments with interventionist school boards.

Conceptualising at University of Grey Seal Province, Ontario: Activity 3

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system’, and the honey produced could be knowledge. We must be wary of catachresis, a term that means the over-extension of a metaphor. It may be a step too far to equate all the entities within a beehive to the entities within the practicum. However, this metaphor envisages the placement of a PST in a school as an element in the ‘morphostatis’ of the education system; the ability of the system to retain its structure in a shifting environment. Figure  8.9 shows the beehive metaphor and Table 8.12 presents the related CATWOE.

 onceptualising at University of Grey Seal Province, Ontario: C Activity 3 Applying Activity 3: Conceptualising for the Grey Seal Province PSTs, Table 8.13 utilises the concepts of social structures (Elder-Vass, 2010) and Table 8.14 categorises by using social objects (Scott, 2010).

Table 8.13  University of Grey Seal Province, Entities and Powers (Table  8.2 is a guide to completion of this table) University of Grey Seal Province, Ontario The Beehive Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL MENTOR Generic Tailors feedback 75% male OUTCOME feedback Acts as role model 6 weeks spent in PSTs contribute to Lack of Shares experience practicum the educational trust All secondary Acts ‘on the system Post-grad (morphostatis) fly’ Association and [Metaphor identified norm group PRE-­ Prior experience by researcher] Small group SERVICE Coaching TEACHER experience Subject knowledge HEAD Welcomes PST Professionalism TEACHER FACULTY Shows up Observes, acts as back stop for PST ADVISOR randomly Very short visits Varied School School socio-economic politics, conflict Freedom to choose Curriculum Teach to Resources to use test Allocating schools School board Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities.

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Table 8.14  University of Grey Seal Province, social objects University of Grey Seal Province, Ontario Discourse

Scott’s social objects Trust, professionalism, extra-curricular important, school politics

Agential

Their own prior experience, coaching experience, subject knowledge

Regulatory Embedded

Curriculum, allocation by school board Mentor, faculty advisor, visible headteacher, welcoming school, school board 75% male, 6 weeks spent in practicum, all secondary, post-grad, norm group, small group

Social markers

 xplaining at University of Grey Seal Province, Ontario: E Activity 4 Grey Seal is an élite university, similar in many ways to Old Possum in Australia. The group appeared to be an association and proximal norm circle, a group of participants who meet regularly and therefore share norms, see Table 8.13. They were half-way through the school year of a 1-year course yet had not spent long in school practicum to date. We surmise that this timing influenced their discussion, which revolved around the university course as much as it did their experience within the practicum. In Table 8.13, one can see that the group focuses on the powers of the entities rather than the liabilities. The mentor was one of the crucial factors and unusually this group made the comment that even a mentor who was a poor role model could nevertheless provide the PST with a learning opportunity. This group focused a little more on the strengths that the PST brought to the practicum and the opportunity to learn even when there were problems. Figure 8.10 presents the value functioning of this group. Another unusual statement was the importance of a PST being willing to ask questions. They were aware of the school community, commenting on whether there was a welcoming and positive climate, whether the head teacher was visible and whether school politics were perceptible. The issue of trust between the mentor and the PST was raised on several occasions. Other practical aspects raised included time to travel to the school, access to resources and the mismatch between the resources available in the school and those that the PST had been introduced to during the course. This group made more references to external factors, such as ministry policies, the role of the school board and the socio-demographics of the school, than did other PST focus groups. The school board was considered to have a direct influence on the PST because it was responsible for allocating the PSTs to schools for the practicum, thus determining the type and range of experience that they gain. The PSTs also referred to the different types of school, the role of the curriculum and the university taught course. They dwelt on their own powers rather than their

Modelling at Caribou Metropolitan University, Ontario: Activity 2

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Grey Seal PSTs wish to learn and become a professional teacher Enabling Tendency: their wish to learn and become a professional teacher Achieves value functioning

Constraining counter-tendency: Mentor may not wish to take the PST, doesn’t trust PST, acts on fly, feedback not tailored. Lack of fit with mentor. FA visits infrequent and brief. School politics. Financial burdens. Travel issues. Exit

Voice

Loyalty to becoming a professional Decides not to achieve Contends or evades the Complies with the their value functioning constraints constraints PST unlikely to withdraw at The PST may raise Continues to link this point in the course concerns about the mentor theory and practice. unless a significant with FA or Head teacher. Builds trust with personal problem arises. May discuss school politics mentors. with peers. Accommodates any issues. PST relies on self and trusted colleagues and peers. Learns to adapt and make best use of problematic mentor and colleagues, drawing on the context.

Fig. 8.10  University of Grey Seal Province, value functioning

weaknesses. This university and its education faculty appear to be more selective in their recruitment of students and it may be that the group had a more theoretical and analytical bent than the other groups. As Elder-Vass states (2010, p. 177) “Many of these causal factors are mediated through beliefs and dispositions of the actors”. So, we must take into account the views and experiences of the focus group members. To summarise, here is a group of students who have been recruited to an élite university, they are also the only group interviewed with more male students than female. Literature on the practicum suggests that male students are more confident, as evidenced by the reduced likelihood of suffering reality shock (Kim & Cho, 2014). The group has a greater awareness of the context and is generally more aware and positive about what they can contribute. They are able to discuss and apply the content, theories and information from the course to their discussion of the practicum and do not, therefore, perceive a mismatch. We conclude that these are confident students with an awareness of the context and an appetite for learning, who aim to become professionals.

 odelling at Caribou Metropolitan University, Ontario: M Activity 2 The researcher held a discussion with a large focus group in the second Canadian university; the group comprised only female members. The members were selected from different programmes and 40% were early years, 20% were primary and 40% secondary PSTs; they had spent on average 9 weeks on practicum. Of all the groups interviewed, they were the most unhappy group, some members could be described

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as wretched. The tension within the group was palpable and the input from one, particularly vociferous, member served to raise the temperature and depress the whole group. One of the most consistent lines of discussion was that PSTs felt powerless. The term that they used a number of times was that they had to ‘suck it up’. For the first time in this chapter, the illustration included is a re-drawing of that created by the PSTs during the focus group. The image is typical of the drawings by the focus groups in attempting to capture a number of ideas in a series of small illustrations, in addition to one main concept that forms the metaphor. It is also typical in being annotated. We include this image, Fig. 8.11 as a contrast to the professional illustrations and to provide the reader with an indication of the type of rich picture produced by a focus group. The CATWOE analysis and transformation is presented in Table 8.15. Derivation of the metaphor Scaling the Volcano illustrates that while some PSTs are prepared and carrying suitable equipment, others are unfit and ill-equipped. Some have a good guide and others are without a map and led by an inexperienced guide. During the climb, all risk the eruption of the volcano and being engulfed by lava. This metaphor suggests that after all the effort, it is unlikely there will be a permanent post. NB. This illustration is a redrawing of the original respondent’s rich picture

Fig. 8.11  Caribou Metropolitan University emergent metaphor Table 8.15  Caribou Metropolitan University CATWOE analysis Customer: Actor: Transformation:

World view:

Owner: Environment:

Pre-service teacher University/school Practicum: From a poorly-structured and badly-timed experience to one that supports and prepares the PST for teaching A challenging climb to scale the volcano with the risk of being engulfed by lava University Demanding school settings and few jobs for available

Root definition: Scaling the volcano A university responsibility to work with schools to convert the practicum from a poorly-­ structured and badly-timed experience to one that supports and prepares the PST for teaching in a demanding school setting where there are few jobs available.

Explaining at Caribou Metropolitan University, Ontario: Activity 4

213

The PSTs stated that the system required them to follow in the mould of the mentor teacher, even when there was a mismatch between the PST’s teaching philosophy and the mentor’s approach. Mentors were criticised because their role was ambiguous, the selection process for mentors was unclear and PSTs were not given the opportunity to evaluate them. Some members of the focus group were more positive and talked of the need to ‘pick your battles’ and make a good impression with the mentor and exercise perseverance. Others in the group talked about ‘being forced to participate in additional activities’ while their peers saw this participation as an opportunity. Members of this group referred to family responsibilities resulting in less time for the demands of the practicum and the course assessments. The ‘elephant in the room’, not mentioned until the end of the discussion, was the lack of jobs following course completion. The selected metaphor Scaling the Volcano reflects the fact that, while some PSTs are well-equipped and provided with a good guide, others are unfit, without a map and following an inexperienced guide. Finally, they risk the volcano erupting and engulfing them with lava. This image partially represents the conclusion that, after all the effort, there was not necessarily a job.

 onceptualising at Caribou Metropolitan University, Ontario: C Activity 3 Applying Activity 3: Conceptualising for the Caribou Metropolitan PSTs Table 8.16 presents the concepts of social structures (Elder-Vass, 2010) while Table 8.17 uses social objects (Scott, 2010).

 xplaining at Caribou Metropolitan University, Ontario: E Activity 4 This case is a mixed group. They teach three different age groups of pupils and are all postgraduate students. It appears that the group teaching early years felt the most disaffected. They commented that the course replicated much of what they had studied on their undergraduate course at another university. The value functioning Fig. 8.12 is presented here. PSTs interviewed were spending Thursday and Friday of each week in the practicum at the time of the focus group. There was a fairly strong feeling that this schedule was not a sensible one, as they missed all of the activities in the school that occurred between Monday and Wednesday. It is clear that some of the PSTs have family responsibilities and resent the expectation that they take part in extracurricular activities, the term used was that they are ‘forced’ to take part. They also strongly object to the cost of the course tuition including the practicum. Another source of

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Table 8.16  Caribou Metropolitan University, Entities and Powers (Table  8.2 is a guide to completion of this table) Caribou Metropolitan University, Ontario Scaling the volcano Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL MENTOR Not trained Welcoming 100% female OUTCOME Tries to mould Effective guide 9 weeks spent in To convert the PST Shares lesson practicum practicum from a live Difference in plans Early years, volcano to be scaled to values primary & a fair and supported Not evaluated secondary climb. All post-grad Powerless Important to PRE-­ Interaction group persevere ‘Suck it up’ SERVICE Large group Stressed TEACHER Good to talk to FACULTY Weekly email ADVISOR inadequate Helps with FAMILY Impacts on work perseverance MEMBER life balance [Metaphor identified School Expects extra Being able to by group] curriculum input at team activities from meetings PST Expectations unclear Travel too far Practicum Structure unsuitable Timing problematic Theory is not modelled Work overload No jobs Ministry of Education Ontario Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Table 8.17  Caribou Metropolitan University, social objects Caribou Metropolitan University, Ontario Discourse Agential Regulatory Embedded Social markers

Scott’s social objects Powerless, suck it up, work-life balance, tug of war, pick your battles Stressed, powerless, need to persevere, limited hope Ministry of education and no jobs, course and practicum cost Mentor, faculty advisor, school, family member, time issues 100% female, 9 weeks spent in practicum, early years, primary & secondary, all post-grad. Interaction group. Large group

215

Modelling at Raccoon Technical University, Ontario: Activity 2 Caribou PSTs wish to complete the course and get a job. Enabling Tendency: their wish to complete the course and get a job Achieves value functioning

Constraining counter-tendency: Powerless in relation to mentor, work-life balance problem, concerned about finance. Practicum badly timed, assessment overload. Course and practicum not aligned. No jobs at the end. Exit

Voice

Decides not to achieve their value functioning PST may withdraw. Main concern will be inability to recoup costs. If their desire to teach is strong they will stay the course.

Loyalty to completion course Complies with the constraints Perseveres. May request extensions and negotiate with tutors and mentor. Tries to take more responsibility in order to feel more in control.

Contends or evades the constraints PST avoids after-school activities. This focus group has provided an opportunity to voice concerns and may have helped with venting the pressure. PST relies on voicing concerns to peers and family. The PST is stressed and annoyed. They can achieve the value functioning but they need someone to help take on their external responsibilities and advice to manage the workload.

Fig. 8.12  Caribou Metropolitan University, value functioning

annoyance is that their coursework assignments are due at the same time as they are taking part in the practicum and have to produce lesson plans. Over and above these negative views, the dominant impression is that a significant number of them feel powerless and must accept the situation or to use their vocabulary they must ‘suck it up’. This response is a more extreme version of the Wallaby Creek PSTs. We identify a group of students who have family responsibilities, financial problems and are experiencing work overload. They may well be suffering from mental stress and they feel powerless in relation to the mentor. The disconnect between the course and the practicum is perceived by the PSTs, and this disconnect is likely to be reinforced by the fact that the course and practicum are running concurrently. This group do not specifically raise the issue of time. However, resistance to taking part in extracurricular activities after school may result from conflict with family responsibilities and the resentment that they feel about having to pay. We conclude that these are stressed students who feel powerless and overloaded and need to get a job.

 odelling at Raccoon Technical University, Ontario: M Activity 2 In the focus group at Raccoon Technical University, two thirds of the respondents were female. Half of the group were teaching primary age pupils and half were teaching secondary age pupils. They had spent on average 7 weeks in school. The

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discussion within this group covered a wide range of areas, including the role of the mentor, termed the ‘associate teacher”. Their drawing comprised a large person at the centre representing the mentor. Like many of the other groups they were able to list the characteristics of an effective mentor. They discussed working with mentors, some of whom were very organised while others improvised, or as they termed it ‘winged it’. They referred to mentors who were unwilling to let the PST, the ‘teacher candidate’, try out new ideas, they argued that this was because mentors wished to avoid creating more work for themselves. While, from the PST’s perspective, this reluctance was seen as problematic, one might judge the mentor as being an effective role model when assessing what is practical for a PST to achieve. Nonetheless, PSTs noted the difference between mentors who were prepared to spend time in

Fig. 8.13  Raccoon Technical University emergent metaphor

Conceptualising at Raccoon Technical University, Ontario: Activity 3

217

Table 8.18  Raccoon Technical University CATWOE analysis Customer: Pre-service teacher Actor: University/school/mentor Transformation: Practicum: From a rigid, poorly supported experience to one that supports and builds the confidence of PSTs. World view: The practicum setting is dominated by the mentor Owner: University Environment: School settings with resource shortages, requiring PST to travel considerable distances, few permanent jobs available on graduation. Root definition: Your mentor I am A university responsibility to work with schools to convert the practicum from a rigid, poorly supported experience to one where the mentor supports and builds the confidence of the PST in a challenging environment with few immediate permanent jobs.

discussion with them versus others who utilised them mostly to take a break from the class. The faculty advisor was deemed to occupy the role of ‘peeking in’ occasionally. The group were aware that many of the advisors visiting them were retired school principals, who in their view, were not yet ready to leave the profession and the group questioned their ‘value for money’. Other factors that hindered the PSTs’ development were their own lack of confidence and anxiety, scarcity of suitable resources and lengthy travel time. While the focus group did not generate a complete metaphor, they highlighted a concept raised by many groups, the stark binary divide between the good mentor and the bad mentor. This split gave rise to the idea of characters in the Star Wars films. In this series of films, the guru is Yoda, a Jedi master, wise and powerful, he appears gentle and supportive and is known for speaking OSV, sentences that are formed by the order Object, Subject, Verb thus leading to the sentence ‘Your mentor I am’. By contrast another Star Wars character is Darth Vader, a Jedi Knight, who has been seduced by the dark side. These characters are selected to represent the two extremes, the mentor, who is supportive of mentees, flexible and wise, the other who is dictatorial and rigid. This contrast also captures the classroom management schemes described by various focus groups. At one extreme there are formal rows, with rigid and didactic approaches, characterised by the term ‘chalk and talk’. At the other extreme is an open plan, discursive setting with pupils working in groups and spending more time on tasks. The ‘Your mentor I am’ metaphor can be seen in Fig. 8.13 and the CATWOE is presented in Table 8.18.

 onceptualising at Raccoon Technical University, Ontario: C Activity 3 For this final Canadian PST focus group, Activity 3: Conceptualising generates Table 8.19 Entities and Powers (Elder-Vass, 2010) and Table 8.20 uses the categories of social objects (Scott, 2010).

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Table 8.19  Raccoon Technical University, Entities and Power (Table 8.2 is a guide to completion of this table) Raccoon Technical University, Ontario Your mentor I am Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL OUTCOME MENTOR ‘Wings it’ Organised 66% female To convert the practicum Doesn’t allow 7 weeks spent in Role model experimentation from a poorly-structured Gives time practicum ‘Make or break’ and badly-timed Primary/ experience to one that secondary Lack of PRE-­ Time to reflect prepares the PST for a All post-grad self-confidence SERVICE Finding own demanding school Interaction group voice TEACHER ‘Sink or swim’ setting [Metaphor Large group FACULTY ‘Peeks in identified by researcher] ADVISOR occasionally’ Inconsistent Retired head teachers Rigid Cliques exist

School Open relationships with all teachers, shares resources Design and Practicum Purpose not clear clarity Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Table 8.20  Raccoon Technical University, social objects Raccoon Technical University, Ontario Discourse Agential Regulatory Embedded Social markers

Scott’s social objects Sink or swim, mentor wings it, cliques, minefield Time to reflect, finding own voice, lack of confidence, anxiety, humour Mentor, faculty advisor, school, practicum, resources in school 66% female, 7 weeks spent in practicum, primary/secondary, all post-grad, interaction group, large group

 xplaining at Raccoon Technical University, Ontario: E Activity 4 This group focused on the difficulty of fitting into the school community, as much as dealing with the classroom situation. It is unclear whether these are students who are more susceptible to the interpersonal aspects of environments or whether they have been placed in schools that are in some way dysfunctional. Another unusual

Explaining at Raccoon Technical University, Ontario: Activity 4

219

Raccoon Technical PSTs wish to find own voice and become a professional teacher but need support. Enabling Tendency: Their wish to find own voice and become a professional teacher but need support Achieves

Constraining counter-tendency:

value functioning

Decides not to achieve their Contends or evades the value functioning constraints PST unlikely to withdraw at The PST may display this point in the course anxiety. May ignore wider unless a significant school debates. Could personal problem arises or disengage May discuss they have no-one to school politics with approach for advice. colleagues and peers. The PST s can achieve the value functioning but probably only if they are given sufficient support, encouragement and examples of good practice.

Squabbling between staff in school and cliques. Mentors cynical or disengage. Timing of practicum, lack of PST confidence and anxiety, lack of support from staff, lack of preparedness. School is a perceived as a minefield.

Exit

Voice

Loyalty to completing the course Complies with the constraints Tries to build trust with mentor. Treads carefully within school community. Makes an effort to find own voice.

Fig. 8.14  Raccoon Technical University, value functioning

aspect of this group is that there was no reference to regulatory issues at all. They focused entirely on interpersonal, interactional and emotional aspects and not on any of the contextual or policy related issues. Their value functioning is presented in Fig. 8.14. As the metaphor ‘Your mentor I am’ indicates, the role of the mentor is critical for this group. There were lots of positive accolades for certain mentors. The praiseworthy aspects include their management of the class, their knowledge of the children, their inclination to let the PST experiment and their willingness to spend time with the PST. Criticism of mentors was not for their lack of ability but for their unwillingness to give the PST their time. In some cases, the PSTs were also cynical and disparaged the school and the state of education. This group displayed anxiety and a lack of confidence. The members of the group were worried they might be stepping into a minefield, different cliques, political undertones and disengaged teachers. Another issue they raised is that of needing support. Their original drawing had a picture of a PST shouting in a speech bubble “I need you”. They want to be able to observe teaching and they want to be able to rely on the mentor. Working together, communicating and sharing are important. These group members are reliant on the mentor, and they would also like to approach the faculty advisor for support if they felt this was welcomed. We conclude that these are anxious students who are strongly influenced by the interpersonal aspects of school life and require support from others.

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Modelling at Badgerford University, England: Activity 2 The focus group from Badgerford University comprised students who were all studying on an undergraduate Bachelor of Education primary programme; 75% of them were female and they had all spent at least 24 weeks in schools. They were interviewed in the university and, as they were all final year students, they had known each other for a considerable time, although they were not necessarily in friendship groups. They discussed aspects of the school experience that they felt were important for their development; whether the Head showed an interest; whether they felt valued; whether they were recognised as a teacher rather than as a student. This last aspect was exemplified by whether they were invited to meetings and generally immersed in the school. There was agreement that they normally felt welcomed and valued, although they reflected that in their first-year practicum they had been expected only to observe and do the photocopying. The group spent some time talking about the minimum requirements needed to develop a good teacher, and therefore what would facilitate their progress from pre-service teacher to qualified teacher. This entailed gaining a range of experience in different types of schools, with different age-groups and some specialist training. The group need clear targets, the opportunity to gain ownership of the class, time to experiment and time to reflect. They appreciate the opportunity for a long placement in one school because this time gives them the chance to teach whole topics and provides them with time to reflect upon this experience, leading to a boost in their self-confidence. The group discussed the links between the university and the school and were critical of the 10-min observations from faculty advisors. Although the observations were required to satisfy university expectations, they provided weak and irregular feedback. In the course of discussing teaching observation, the group referred to short and ‘box ticking’ observations by the faculty advisor and ‘scary’ observations by the Head. The group referred to the bureaucracy within the practicum process, the inappropriate forms devised by the university for completion by mentors and PSTs. They were, nevertheless, aware that they needed to evidence their performance against the Teachers’ Standards. Meanwhile this group was less critical of mentors than were other groups; they talked about mentors’ feedback and the training that mentors receive from the university, a point not raised elsewhere. During a school Ofsted inspection visit many of them were not allowed to teach because their performance might impact the Ofsted judgement of the whole school and was considered too risky. Some of the group felt that when they were placed in a school that was rated ‘good’ by Ofsted they were more confident that any advice they were given by teachers was correct. The Ofsted requirements led to elements of ‘jumping through hoops’ during the practicum but the dominant metaphor derived by the group in their illustration was the move from learner driver to qualified driver. They require supervision while learning to drive; once they have achieved the Teachers’ Standards and become a Newly Qualified Teacher (NQT) they have passed their driving test.

Conceptualising at Badgerford University, England: Activity 3

221

Derivation of the metaphor. Learner driver illustrates the dominant metaphor derived by the group, the passage from learner drivers qualified driver. The requirement for supervision while learning to drive. The achievement of the teachers standards to become a newly qualified teacher. They have passed their driving test but still wear a pee sign to indicate that they are provisional

Fig. 8.15  Badgerford University emergent metaphor Table 8.21  Badgerford University CATWOE analysis Customer: Actor: Transformation: World view:

Pre-service teacher University/school PST: From a naïve PST to a newly qualified teacher (NQT) Although there is an element of ‘jumping through hoops’ during the practicum, immersion in a school aids the PST to develop as a learner driver. University A setting heavily moulded by Ofsted

Owner: Environment: Root definition: Learner driver A university responsibility to work with schools to convert a naïve pre-service teacher to a newly qualified teacher, by immersion in diverse school settings in an environment where compliance with Ofsted requirements for schools and teacher education is a requirement.

The metaphor of the Learner Driver is presented in Fig.  8.15 and the related CATWOE in Table 8.21.

Conceptualising at Badgerford University, England: Activity 3 Table 8.22 presents the social structures  (Elder-Vass, 2010) derived for the Badgerford PSTs and Table 8.23 shows the social objects (Scott, 2010).

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Table 8.22  Badgerford University, Entities and Powers (Table  8.2 is a guide to completion of this table) Badgerford University, England Learner driver Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events MENTOR Personality clash OVERALL Organises 75% female OUTCOME meetings 24 weeks spent in To convert a naïve Gives PST practicum pre-service teacher chance to All primary to a newly qualified experiment All under-grad teacher Strong and Association or [Metaphor confident proximal norm identified by group] group Lack of Time to reflect PRE-­ SPECIFIC EVENT Small group self-confidence SERVICE Reflection forced Observation by TEACHER Head Teacher scary, Can be scary if Values PSTs and HEAD being judged TEACHER observes PST Immerses in activities FACULTY Rarely seen Observes back stop for PST ADVISOR Purpose to ‘tick boxes’ School Slow access to Valued as a resources teacher Range of types Ofsted Not allowed to School with a teach during ‘good’ Ofsted school Ofsted grade gives PST inspections confidence Set clear targets Practicum Jumping through hoops Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Table 8.23  Badgerford University, social objects Badgerford University, England Discourse Agential Regulatory Embedded Social markers

Scott’s social objects Jumping through hoops, box ticking by FA. Immersed in the school Time to reflect, forced to reflect, being immersed in school activities, need to be valued as a teacher not a student Not allowed to teach during school Ofsted inspections, Ofsted grade gives PST confidence Mentor, faculty advisor, school, Headteacher, Ofsted, practicum Temporal issue: At end of 3 year course. Observations. 75% female, 24 weeks spent in practicum, all primary, all under-grad, association and proximal norm group, small group

Explaining at Badgerford University, England: Activity 4

223

Explaining at Badgerford University, England: Activity 4 This focus group was interviewed in the summer, very close to the end of their 3-year course. There was a relaxed feeling, probably as a result of this timing. The PSTs may also have been focused on what was to come, rather than what they had just experienced. This factor may have influenced the time spent debating what makes a good teacher. Their response indicates that they expect them to be involved in planning, in setting themselves targets, having a range of experience in different sorts of schools and different age groups. One could surmise that at the point that one is trying to find employment, these issues raise their heads. They felt that a very important aspect was being in the school long enough to teach a whole topic. While the members of the group did not refer to the reflective practitioner, they did talk about having time to reflect on their teaching experiences. At another point they spoke of the requirement to undertake reflection for assignments and their uncertainty regarding what they were expected to write about and how it would be graded. The value functioning analysis for Badgerford PSTs is presented in Fig. 8.16. The PSTs mentioned the quality of the mentor and the mentor’s review of their teaching, as they discussed the factors within the school that influence their ability to succeed. However, they also considered quite a wide range of other phenomena within the school; whether the management was effective, whether the head teacher was interested in the pupils, what was the Ofsted rating, were they invited to meetings, and did they feel valued by the school. The group, therefore placed more emphasis on the role of the school than did many other groups. This response Badgerford PSTs wish to complete the course, get a job and become a ‘good teacher’. Enabling Tendency: wish to complete the course and get a job and become a ‘good teacher’. Achieves value functioning

Constraining counter-tendency: Personality clash with mentor, faculty advisor rarely seen and grades on minimum evidence, practicum not always immersive, lack of confidence. Not clear on assessment criteria for reflective assignments. Not valued by the school. Ofsted impacts their teaching. Exit

Voice

Loyalty to becoming a teacher Decides not to achieve Contends or evades the Complies with the their value functioning constraints constraints PST unlikely to withdraw PST selective about which PSTs are applying for towards the end of the schools to apply to. May jobs and keen to course due to the time and still lack confidence in a progress. Have money investment made. new environment. Wary thought about Some may not take up about claiming that they responding to interview teaching posts. Some may have the skills needed to questions. Wary about find it difficult to gain a be a good teacher. unsupportive schools teaching post. and personality clashes. The PST is keen to progress to a teaching post but may be anxious particularly about the school culture and the nature of potential work colleagues.

Fig. 8.16  Badgerford University, value functioning

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implies that their experience in different schools had helped to inform them in readiness for applying for their first job. Factors within the school that hindered them included whether they had experienced a range of types of school and whether they had been able to do observations. Like other groups they had criticisms of the university operation and the level of inconsistency. PSTs were disappointed with the irregular feedback and meetings with the faculty advisor to check their progress. They did, however, refer to mentor training by the university. This reference was unusual as there was no evidence that mentors were trained in New South Wales or Ontario. This group still had memories of their first-year placement, where they observed classes and were assigned the photocopying, making them feel like a teaching assistant. While they understood the importance of observing classes, they felt that being in school 2 days per week and not being fully immersed was unsatisfactory. This group was more aware than most groups of the need for liaison between the university and the school. The metaphor for this group of the learner-driver indicates that they are at the stage where they wish either to take their driving test or to move from the position of learner driver to provisional driver. The provisional driver green ‘P’ plate in the UK replaces the Learner red “L’ plate and indicates that the driver has recently passed their test. There is no legal requirement to use this plate. We conclude that the Badgerford PSTs are keen, but anxious, students searching for their first teaching post.

Modelling at Roe Deer Valley University, England: Activity 2 This focus group interview was unusual in that it took place in a primary school where the whole group was placed for the practicum. It was a small group, and all members were female and had been working together in Fawn Park Catholic School, for some time. All members of the group had spent at least 24 weeks in practicum. They were well settled and happy with the school and had clearly gelled as a group. This group produced a clear metaphor to describe their experience and then spent some time aligning the various components of the practicum with their metaphor. The group’s discussion mirrored that of previous groups. Four themes emerged from their discussion; the opportunities needed, the support requirements, the significance of relationships, and communication. In terms of opportunities, the different types of school, age ranges, the opportunity to observe and to teach. They discussed the tricky balance of taking responsibility with the need for encouragement; they raised the importance of professional relationships and the worries of feeling alienated. Under the heading of communication, they talked about needing clear targets and guidance, requiring clarity about the expectations of the school, dealing with too many administrative tasks and paperwork, and facing a surfeit of evaluation. The metaphor devised by this group was Turbulence en route to the destination. The different context provided by each school practicum was akin to changing flight direction and the length of the flight related to the length of the practicum. The PSTs

Modelling at Roe Deer Valley University, England: Activity 2

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considered themselves the passengers. The mentors, represented by the flight attendants, were seen as calm models of good practice, supporting and reassuring passengers. The faculty advisor (here entitled the Link Tutor) was represented by the wheels of the plane, an interesting comparison. Like the wheels, the faculty advisors are often secreted away for use at key points like take-off and landing. During touchdown wheels ensure a smooth landing and prevent a crash, thus faculty advisors were seen as providing a safety function. The schools themselves were represented by the airlines. The PST cannot choose their school, as they could an airline, but even then, their choice of carrier is limited by their departure and destination point and the money that they have available. The final drawing produced by this group was very similar to Fig. 8.17. It may be relevant that the group who knew each other the best were able to understand and undertake this task easily, whereas other groups were not. Additionally, this discussion was one of the last focus groups and the researcher had by then learnt the best way to brief and manage the group to achieve this outcome. Table 8.24 presents the CATWOE derived from this metaphor. Derivation of the metaphor Turbulence en route to the destination was the metaphor identified by the group. The professional illustrator derived this illustration from the original drawing. We are aware that the depiction of the female flight attendant is a stereotype. However, the group drew this character as female, and she represents the mentor. In primary schools in England the vast majority of teachers/mentors are female

Fig. 8.17  Roe Deer Valley University emergent metaphor Table 8.24  Roe Deer Valley University CATWOE analysis Customer: Actor: Transformation: World view:

Pre-service teacher University/school PST: From a nervous PST to a confident newly qualified teacher (NQT) The practicum is akin to the flight to a desirable destination. On this flight one often experiences turbulence, but one is supported through it. Owner: University Environment: A bureaucratic, paper heavy environment Root definition: Turbulence en route to destination A university responsibility to work with schools to convert a naïve pre-service teacher to a newly qualified teacher, by immersion in diverse school settings in a bureaucratic, paper-heavy environment.

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 onceptualising at Roe Deer Valley University, England: C Activity 3 In this final focus group of Roe Deer PSTs, Table 8.25 presents the social structures derived (Elder-Vass, 2010) and Table 8.26 shows the social objects (Scott, 2010). Table 8.25  Roe Deer Valley University, Entities and Powers (Table 8.2 is a guide to completion of this table) Roe Deer Valley University, England Turbulence Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL MENTOR Is supportive 100% female OUTCOME Acts as role 24 weeks spent in To convert a naïve model practicum pre-service teacher to a Calm and critical All primary newly qualified teacher but constructive All under-grad [Metaphor identified Association and by group] proximal norm Prior Apply own ideas PRE-­ group experience can SPECIFIC EVENT SERVICE Builds Eating lunch in the Small group disenchant TEACHER confidence corridor, alone. Steps on Learns from people’s toes negative experiences Safety device Varied experience High achieving ethos motivates PST Use of targets Guidance

FACULTY ADVISOR School

Rarely seen Feeling alienated

Too much paperwork and bureaucracy Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Practicum

Table 8.26  Roe Deer Valley University, social objects Roe Deer University, England Discourse Agential Regulatory Embedded

Social markers

Scott’s social objects Feeling alienated, high achieving school ethos, faculty advisor safety device, step on people’s toes, mentors calm and reassuring Building own confidence, learn from negative experiences, feeling part of group that have gelled University bureaucracy, surfeit of evaluation Mentor, faculty advisor, school and types, practicum, extra-curricular activity. Temporal issue: Close to end of 3-year course. 100% female, 24 weeks spent in practicum, all primary, all under-grad, association and proximal norm group, small group

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227

Creating the second table using Scott’s (2010) social objects serves to immerse one more fully in the data. Striving to identify the elements, and how they might be categorised, begins to provide an insight in preparation for determining the value functioning of the group in Activity 4.

Explaining at Roe Deer Valley University, England: Activity 4 Like the previous group, these were undergraduates who were close to completion of the 3-year course. The members of the group were still on their placement and all of them were placed, and therefore interviewed, in the same school. They had been in the school for some time and felt established. Figure 8.18 describes the value functioning of this group. The group welcomed the opportunity to take part in out-­ of-­school and extra-curricular activities. They particularly valued the mentor being able to model the advice that they were giving. There were comments that one learned, not only from positive experiences, but also from negative experiences that could strengthen one as a teacher. The level of support should be pitched at the right level, neither too much nor too little. There was discussion about the need to be part of the wider school, not be solely in the class one is based in. They spoke for some time about the auditing that was required by the university. They felt that there was often more paperwork than

Roe Deer PSTs wish to become established in, and contribute fully to, a welcoming school. Enabling Tendency: wish to become established in, and contribute fully to, a welcoming school. Achieves value functioning

Constraining counter-tendency: Disenchantment from early problems, stepping on people’s toes, not being welcomed. Too much University assessment, paperwork and bureaucracy. Faculty advisor rarely seen. Need right amount of support and responsibility allocation, not too little or too much.

Exit

Voice

Loyalty to becoming a teacher Decides not to achieve their Contends or evades the Complies with the value functioning constraints constraints PST unlikely to withdraw PST selective about which PSTs are applying for towards the end of the schools to apply to. May jobs and keen to course due to the time and seek to obtain job in a progress. Understand money investment made. school where they have it is important to find A student obtaining a job in been placed. Anxious the right school for a a school where they do not about ending up in the job. Aware they need feel that they fit could wrong school. Hoping for to be careful to avoid easily become reduction in paperwork. offending new demoralised. colleagues. The PST is keen to progress to a teaching post but realises they will need support and should be careful to avoid offending new colleagues at the outset.

Fig. 8.18  Roe Deer Valley University, value functioning

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learning, that the paperwork was tedious and not always relevant. There was not always enough help for them to deal with supporting children with special educational needs. This group seemed very happy with their experience in the current school and commented that the length of time spent in a particular school was important as it helped them to become established. Issues that one might think are relatively small could make the PST feel alienated. One PST spoke of having to eat their lunch in the corridor. The group felt that it was useful to know what sort of teaching the pupils were used to before they dealt with them. The metaphor chosen by this group, of turbulence on the way to a destination, reflects the fact that they were keen to reach the destination but were fully aware that there could be bumps along the road or, in this case, turbulence in the air. This group was one of those that picked a very clear metaphor for themselves, and their illustration reflected the metaphor clearly. We conclude that the Roe Deer PSTs are keen students searching for a first teaching post that will provide them with support.

Conclusion In this chapter, the Womposo strategy has been applied to the first set of stakeholders, the PSTs. Activity 1 encompassed all the focus groups, explaining the processes of sampling, finding gatekeepers and persuading them to help, and determining the documents to be circulated to the participants in each group. Following this stage, each focus group was studied in turn and processed through activities 2, 3 and 4. In generating the final figure in each case, the figure that describes the value functioning of each group, all the previously noted information was reconsidered, then the researcher returned to the written notes recorded during the focus group. The decision not to return to the audiotapes was made. The reason for this choice was that re-listening to audio recordings is very time consuming and a researcher must set a limit, in terms of the time on analysis and interpretation of data, regardless of method. Activity 2 yields the CATWOE, the metaphor and the transformation. Despite significant commonality of entities and their powers and liabilities, the emergent metaphors vary. However, the transformations fit into two main categories, the ‘transformation of the PST’ and the ‘transformation of the practicum’. Activity 3 enables researchers to explore and categorise the data in different ways. The conceptual activity stimulated by this exercise assists researchers in immersing themselves in the data. A researcher will start to imagine the situation from the perspective of the PST. This cogitation leads into Activity 4. In order to generate the value functioning figure for each focus group, the researcher has to imagine a composite student who represents the modal value for the focus group. Having imagined oneself in the shoes of this composite student, one can envisage the aim of the student at that point in time. At this stage of Womposo, one discards all the positive elements reported in relation to the practicum and considers only the counter-tendencies or the constraining factors that are preventing the PST from achieving their aim. In the course of making the decision about ‘exit, voice and

References

229

loyalty’ for this PST, one has achieved a clearer view, sufficient to describe this PST in one phrase. Having concluded the application of the Womposo strategy for one set of stakeholders, one could argue that all that one is achieving is endeavouring to see the world from their perspective. In this chapter, we are not attempting to determine cause and effect. Systems thinking and the ontology of critical realism align and inform us that an outcome is rarely generated by one entity with a causal power, there is not a simplistic cause and effect. Nevertheless, this will be explored in Chap. 11  when the findings from this chapter, together with the findings from Chaps. 9 and 10, will be collated, presented and interpreted.

References Bhaskar, R. (1979). The possibility of naturalism. Routledge. Denscombe, M. (2003). The good research guide: For small-scale social research projects. Open University Press. Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Hirschman, A. O. (1970). Exit, voice and loyalty: Responses to decline in firms, organizations and states. Harvard University Press. Hammersley, M., Scarth, J., & Webb, S. (1985). Developing and testing theory: The case of research on pupil learning and examinations. In R.  G. Burgess (Ed.), Issues in educational research: Qualitative methods (pp. 48–66). The Falmer Press. Kim, H., & Cho, Y. (2014). Pre-service teachers’ motivation, sense of teaching efficacy, and expectation of reality shock. Asia-Pacific Journal of Teacher Education, 42(1), 67–81. Miles, M.  B., & Huberman, A.  M. (1994). Qualitative data analysis: An expanded sourcebook. Sage. Scott, D. (2010). Education, epistemology and critical realism. Routledge. Seeley, T.  D. (1989). The honey bee colony as a superorganism. American Scientist, 77(6), 546–553. Seeley, T. D. (1995). The wisdom of the hive: The social physiology of honey bee colonies. Harvard University Press. Sen, A. (1999). Development as freedom. Oxford University Press. Silverman, D. (2000). Doing qualitative research: A practical handbook. Sage. Strauss, A. L. (1987). Qualitative analysis for social scientists. Cambridge University Press. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan. Wynn, D., & Williams, C. K. (2012). Principles for conducting critical realist case study research in information systems. MIS Quarterly, 36(3), 787–810. Zachariadis, M., Scott, S., & Barrett, M. (2013). Methodological implications of critical realism for mixed-methods research. MIS Quarterly, 37(3), 855–879.

Chapter 9

Faculty Advisors’ Perspectives on Becoming a Teacher

Abstract  The aims of the Practicum Study are to identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. This chapter presents the data from the second set, the faculty advisors in universities. Each university is described using a pseudonym based on an animal that represents the jurisdiction, yielding in New South Wales, Old Possum University, the University of Wallaby Creek and the Australian Koala University. Following the description of each university’s context, the membership of the focus group, and the tenor of the discussion, the themes are discussed and references to policy are noted. The modelling stage of Womposo yields two transformations identified by faculty advisors, ‘transformations of the PST’ and ‘transformations of the practicum’. The University of Grey Seal Province in Canada produces the metaphor: From Backpack to Briefcase, falling into the first transformation category. Undertaking the Womposo research strategy stages, Conceptualising and Explaining, generates the value functioning figure for each focus group. For example, it yields the result that Grey Seal Province faculty advisors are worried about the anticipated change to the teacher education course and the consequent change to their role and ability to maintain the quality of the practicum. Keywords  CATWOE · Metaphor · Partnership · Powers and liabilities · Practicum · Faculty advisors · Pre-service teachers (PSTs) · Soft Systems Methodology (SSM) · Stakeholder · Transformation · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction The previous chapter presents the data from the pre-service teachers’ (PST) focus groups and applies the Worldview, Metaphor and Power of Social Objects (Womposo) strategy to interpret the data. The second set of data, the data collected from the faculty advisors employed by each university is now considered. Chapter 7 describes the project setting and the rationale for choosing the focus group as the data collection method. In Chap. 8, the data sampling, the gatekeepers and the © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_9

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briefing of participants are described. This is not repeated here, instead we consider the terminology used for the entities described in each jurisdiction. The Womposo model, devised and presented in the methodology section of this book, in Chap. 4, is replicated in Fig. 9.1. Activity 1: Finding Out is an activity relating to all focus groups. Activities 2, 3 and 4 are undertaken for each focus group in turn. As in Chap. 8, each university is described using a pseudonym based on an animal that represents the jurisdiction. In Activity 2: Modelling, each Faculty Advisor focus group is described, and the key discussion points are outlined, leading to the emergence of a metaphor. Following the description of each university’s context, the membership of the focus group, and the tenor of the discussion, we explore the themes discussed and note references to policy. In each case this leads to a metaphor and the derivation of a root definition. During this activity, each situation is presented using a drawing produced by one of the focus group respondents. In Chap. 8, most of the metaphors derived are illustrated by a professional illustrator. In this chapter, copies of the original hand-drawn rich pictures are displayed. Each picture was drawn by a volunteer from a focus group during their meeting, and it has been traced to produce a clearer image suitable for publication. In drawing these rich pictures, many of the illustrators used initials to represent the actors, for example using TC to label the ‘teacher candidate’, the Canadian term for PST. To interpret each illustration Table 9.1 provides us with

• Problem situation • Planning • Data collection

• Functioning value • Tendences and counter-tendencies • Exit, voice and loyalty

Activity 4:

Activity 1:

Activity 3:

Activity 2:

Explaining

Conceptualising

Finding out

Modelling

• List entities, causal powers and liabilities • Norm groups • Social objects

Fig. 9.1  Worldview, Metaphor and Power of Social Objects (Womposo)

• Metaphor • CATWOE • Root definition

Introduction

233

Table 9.1  Comparison of terminology Term used in this text Practicum

Practicum Coordinator

New South Wales: Australia Professional experience School experience Professional practice (PRAC) Professional Experience Coordinator

Pre-service teacher (PST) Mentor

Pre-service teacher Student Cooperating Teacher (Old Possum) Supervising Teacher (Wallaby Creek, Australian Koala) Colleague Teacher (Australian Koala) Faculty Advisor Supervising faculty Tertiary mentor (Old Possum)

Ontario: Canada Field experience Practicum

England: UK School experience Placement Partnership

Manager of Field Experience

Partnership Director (Badgerford) Partnership Coordinator (Roe Deer) Teacher Candidate (TC) Trainee (Badgerford) Student (Roe Deer) Mentor (Badgerford) Associate Teacher Class Teacher Mentor (Grey Seal, Raccoon (CTM) (Roe Deer) Technical) Mentor teacher (MT) (Caribou)

Lead mentor in a school

Faculty Advisor (Grey Seal) Practicum Facilitator (Caribou) Practicum Supervisor (Caribou) HAT (Highly Accomplished Site/School coordinator Teacher) (NSW)

Lecturer

Teacher educator

Instructor

Link tutor (Badgerford, Roe Deer Valley) Cluster Coordinator (Badgerford) Lead mentor (Badgerford) School mentor (Roe Deer Valley) Lecturer

synonyms for the main entities. We use the methods, as applied in Chap. 8, to present the data for each faculty advisor focus group. Activity 3: Conceptualising addresses each faculty advisor focus group in turn. Using the social structures of Elder-Vass (2010) tables such as Table 9.3 displays the contingent conditions, the entities and their powers and liabilities, and the overall transformation. Similar information is presented in an alternative manner using Scott’s (2010) social objects, in, for example, Table 9.4. Using Womposo, we progress to Activity 4: Explaining. The ‘value functioning’ approach (Tao, 2016; Sen, 1999) is combined with the ‘exit, voice and loyalty’ model of Hirschman (1970) to form, the Value Functioning figure, see for example Fig. 9.5. This figure presents the ‘enabling tendency’, that is the desire of the stakeholder, and the ‘constraining counter-tendencies’. This final technique should provide insight into the discourse and the behaviour and attitudes of the stakeholder group in question. In Chap. 8, Activity 3 and Activity 4 were described in detail and then applied to each PST data set. In this chapter, we take each university in turn and progress through Activities

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9  Faculty Advisors’ Perspectives on Becoming a Teacher

Aims of the Practicum Study To identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. To relate these mechanisms to the policies within each jurisdiction the culture of each jurisdiction the stakeholder’s position within the practicum. Fig. 9.2  Aims of the Practicum Study

2, 3 and 4 for the faculty advisor groups. The aims of the Practicum Study, first presented in Chap. 7, are listed again in Fig. 9.2. The outcomes from the three sets of stakeholders are collated to address the aims in Chap. 11.

Activity 1: Finding out The researcher set out to survey three universities in each of three jurisdictions and surveyed eight groups of Faculty Advisors in total. During the discussions, and within some illustrations, the respondents use the terms that are common for the three stakeholder groups within that jurisdiction. In Chap. 8, the terms mentioned by the PSTs are introduced. These terms are prominent in the faculty advisor discussions, and are often referred to in their drawings, in full or with their initials. The terms tabulated by jurisdiction can be found in Table 9.1. Note that not only are different terms used in each jurisdiction, but in some cases individual universities within the same jurisdiction use different terms. Where this occurs, we have indicated the university where the title is mentioned. The Faculty Advisor focus groups were convened as described in Chap. 7. Each participant was given an information form, a summary of the research project and a participation consent form to complete. An instruction sheet for the focus group activity was also supplied, in addition to an oral briefing from the researcher. Prior to their group discussion, the participants spent 10 minutes individually considering three questions: 1. What are the factors that impact the PSTs’ experience during the practicum? 2. Which factors help them to become a better teacher? 3. Which factors hinder or slow their development? The official term for the practicum, as captured in the student handbook, is Professional Experience for New South Wales, Field Experience for Ontario and School Experience for England. In the focus group discussions, however, these

Modelling at Old Possum University, NSW: Activity 2

235

terms are generally replaced by practicum or placement. The term commonly used in Australia is ‘prac’, an example of one of the many Aussie slang terms. Although the terms for different roles vary between the jurisdictions, there is a remarkable commonality, almost a one-to-one mapping, between the roles in place. Within the university there is a faculty member with an overall responsibility for the practicum: a practicum coordinator, and a faculty advisor allocated by the faculty and given the responsibility to liaise and, normally, observe a group of PSTs. In school there is a mentor, someone in the school with a responsibility for an individual PST, and many schools assign a member of the teaching staff to coordinate the mentors and the practicum in their school. This role is termed a lead mentor in some English universities and a HAT in New South Wales. This mnemonic refers to a teacher who has attained a higher level in the Australian Professional Standards for Teachers and is at the level of Highly Accomplished Teacher. Some of the terms, such as the use of ‘tertiary mentor’ in Australia, reflect terms with a wider application. The tertiary sector in Australia encompasses all post-secondary education, whereas in the UK, the higher education and the further education sector are differentiated.

Modelling at Old Possum University, NSW: Activity 2 Old Possum is one of the oldest universities in Australia founded in the nineteenth century and built, as are many of that period, from sandstone; this leads to the description of it as a Sandstone University. This is similar to the term Redbrick used in the UK to represent the civic universities, the second wave of British universities built during the late Victorian period. While these terms reflect the tangible buildings, they also imply an ethos and a culture. In the UK, the Russell Group is the equivalent to the Australian sandstone universities; this group is named after the hotel where the Vice Chancellors of élite institutions hold their meetings (Scott, 1995). Old Possum is a large research intensive, élite institution. The focus group of faculty advisors from Old Possum was one of the larger focus groups convened. 80% of the group were female and the members were from both primary and secondary teaching specialisms. Some had taught two age groups, that is lower secondary/middle school ages. All members of the group had occupied the role of faculty advisor for between 5 and 7 years and between them they covered a range of curriculum subjects. The current professional experience coordinator was not in attendance. There was considerable energy, and sometimes heated argument within the group, and two dominant speakers. Everyone was given the opportunity to make notes on their thoughts prior to the discussion encouraging each person, in turn, to enumerate their points and voice their opinion. Nevertheless, in most groups one or two members were noticeably more vociferous. The Australian Professional Standards for Teachers is the main policy directive discussed within the group. These are referred to in Chap. 5. They are set at four levels beginning with the expectations of a graduate teacher, then a proficient

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teacher, a highly accomplished teacher and finally, a lead teacher. Universities have for some years had to ensure that graduate teachers reach the standards, in order for the university to be accredited to operate teacher education courses (Call, 2018). Each state is rolling out the standards for the other three levels over different timescales. It is clear that not all mentors are trained at the moment. The group discussed the standards in relation to the current mentors and referred to the need for mentor training. Once the current teachers are required to comply with the Professional Standards for accreditation purposes, the respondents believe that they will have the leverage to oblige mentors to undergo training. There was a heated debate related to policies and guidelines for the practicum operation, particularly concerning whether it is mentors or faculty advisors who are responsible for summative assessment of PSTs. The researcher gained the impression that the guidelines for the assessment of PSTs had changed recently but were not widely understood. A structural factor discussed was the benefit of having a practicum coordinator within a school, normally this coordinator would be one of the Highly Accomplished Teachers (HAT). Differences in funding between schools was another topic of discussion. The group spent a long time discussing the limitations of the practicum and the actions that could be taken to redesign it. One view was that a longer practicum period is needed, as, in a short practicum, PSTs cannot experience diversity of schools nor observe pupils’ outcomes from their teaching. Another theme articulated by the group was the differentiation of the PSTs. Some of them were described as coming from the ‘wrong side of the tracks.’ Normally that phrase reflects differentiation by socio-economic group. In this case, however, the group also used it to indicate a group of PSTs lacking maturity, empathy, motivation and knowledge; English language proficiency was another indicator. The relationship and communication between the various actors in the practicum provided another discussion thread. Problems can arise because schools are busy and teacher education is not perceived as their core business. However, some schools realise that while hosting PSTs is demanding, it performs a valuable recruitment service. PSTs also bring skills, such as skills with Information Technology, that are valuable. The metaphor proposed by the group was the Sandstone Express, a term used by the faculty advisors to indicate that the PSTs are expected to reach the high standard demanded at a ‘sandstone’ university, within a tight timeframe. Towards the end of the discussion the phrase the ‘value of the credential’ was employed. In order to maintain links with good schools for placing future PSTs, the group felt that the value of an Old Possum teaching qualification had to be maintained, by recruiting good students and thus maintaining standards. The group produced Fig. 9.3. An early image from the professional illustrator together with a commentary, is also presented in Fig. 9.4. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.2.

Modelling at Old Possum University, NSW: Activity 2

237 Derivation of the metaphor Sandstone Express On the left is the image of an A+ university. Centre bottom are the tracks for the Sandstone Express and either side of the tracks are the students, the keen ones to the right and the easy-going, less committed, ones to the left. Time is a central concept, represented by a clock and top right are ‘helicopter’ parents. NB. This is an original drawing from a member of the focus group.

Fig. 9.3  Old Possum University Emergent Metaphor 1

Early illustration of Sandstone Express This was one of the first illustrations created by the professional illustrator. Reviewing it a little later, we decided that it was too complex and did not directly convey the metaphor. We initially matched each image in the picture against an entity discussed. The PST arrives in the Sandstone Express train at the Sandstone University. The entrants are first, second or third class recruits. The balloons represent the faculty advisors, some observing at a distance, others being blown off course and others avoiding contact. ‘Helicopter parents’ hover, top right. The PST, carrying a briefcase, is trudging up the hill towards the Teachers’ Standards.

Fig. 9.4  Old Possum University Emergent Metaphor 2 Table 9.2  Old Possum University CATWOE Analysis Customer: Actor: Transformation:

Pre-service teacher, school Faculty/school Practicum: From a situation where PSTs cannot see the outcomes of pupils to an opportunity that preserves the value of the credential for all PSTs. World view: The belief that the Faculty must preserve the ‘value of the credential’, maintain its standards, in order to maintain links with good schools. Owner: Faculty Environment: A school setting where ITE is not the core business, the school has to handle ‘helicopter parents’ and PSTs are required to attain the Department of Education (DEC) standards against the clock. Root Definition: Sandstone Express A Faculty responsibility to work with schools to convert the practicum from a situation where PSTs cannot see the outcomes of pupils to an opportunity that preserves the value of the credential, in an environment where ITE is not a school’s core business.

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Conceptualising at Old Possum University, NSW: Activity 3 Activity 3 is now applied for Old Possum Faculty Advisors. Table 9.3 utilises the concepts of Social Structures as devised by Elder-Vass (2010). Table 9.4 is based on Scott’s (2010) Social Objects. The researcher returned to the paper-based data to form these tables, exploring individual notes, group notes and the researcher’s contemporaneous mind-maps. The audio recording was not revisited. The researcher now steps into Activity 4: Explaining. All the above data is held in mind, as a feasible explanation is derived.

Table 9.3  Old Possum University, Entities and Powers Old Possum University, New South Wales Sandstone Express Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL Reject PST Accept and support MENTOR 80% female OUTCOME Not trained Mix of primary and PST To convert the secondary teaching Trained practicum from a Assess formatively experience and some both Lack maturity situation where PRE-­ Maturity and Experience and motivation PSTs cannot see the SERVICE motivation outcomes of pupils 5–7 years TEACHER Bring content to an opportunity Range of subjects. knowledge that preserves the Professional ‘Old and ‘Energetic and wise’ FACULTY value of the Experience ADVISOR cynical’ Summative credential Coordinator not assessment Metaphor identified included in the Too busy Value of a HAT in a School by group focus group ITE is not core school, (Highly Associate and business Accomplished proximal norm FA needs more Teacher) group connection coordinates Large group with schools placements within a single school PARENTS Helicopter OF PUPILS (intervening) Practicum Lack of time, Need to maintain PST not able to the ‘value of the see impact of credential’ their teaching on pupils Department Sets standards of Education All teachers must be accredited soon (NSW) DEC Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table

Explaining at Old Possum University, NSW: Activity 4

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Table 9.4  Old Possum University, Social Objects Old Possum University, New South Wales Discourse Agential (self) Agential (PST) Regulatory Embedded Social markers

Scott’s Social Objects Value of credential, helicopter parents, wrong side of tracks, Sandstone express, maintaining standards Part of élite university, Energetic and wise versus old and cynical, solid pedagogical awareness Maturity and motivation, or lack of them. Bring content knowledge, Varies in confidence, expectations, comprehension Department of Education, Teachers’ Standards, Highly Accomplished Teacher Mentor, faculty advisor, PST, school, pupils’ parents, practicum time, resources for faculty 80% female, mix of primary and secondary teaching and some both, Experience 5–7 years, Range of subjects. Professional Experience Coordinator not included in the focus group. Associate and proximal norm group

Explaining at Old Possum University, NSW: Activity 4 This group do not complain about the clarity of the practicum operation. Nevertheless. their discussion reveals an element of confusion. They are uncertain who is responsible for providing the summative assessment for the PST, the mentor, or the faculty advisor. Some respondents believe that there has been a recent change to their role. The group mentions the lack of secondary school places available and problems with timing. Not only is the practicum too short but the timing often coincides with high stakes exams or National Assessment Programme – Literacy and Numeracy (NAPLAN) tests, thus impacting upon the PST’s contribution. The only self-­ evaluative comment is the question: Is the faculty adviser ‘energetic and wise, or old and cynical’? Their criticisms are reserved for the school, the mentor, and the PST. Their discourse reflects their views that Old Possum is an élite university and should be recruiting A grade students. They talked of individual PSTs who were over-committed, had a poor attitude, lacked comprehension and might even be in a state of exhaustion. They have concerns for their social and emotional well-being, some have poor English language proficiency. It is not possible to assess what proportion of the recruited PSTs might have fitted into this category. Figure 9.5 captures the value functioning of this group of faculty advisors. It indicates that, working for an élite university, their self-image does not tally with the quality of many of the PSTs recruited. The value functioning or desire of the composite faculty advisor from this group shows one suffering from cognitive dissonance. This condition results from the mismatch between their view of the university and their perception of the calibre of some of the students being recruited. It is not possible to judge, from this focus group session, whether the faculty advisors treat those students whom they label as A grade students differently from

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Old Possum Faculty Advisors wish to recruit A grade PSTs who are permitted to spend longer in the practicum. (their value functioning) Enabling Tendency: Their desire to recruit A grade PSTs who are permitted to spend longer in practicum Achieves value functioning

Constraining counter-tendency: Mentors not trained, lack of clarity and communication between school and faculty. Teacher education is not core business for schools. Lack of time in practicum and placed at worst time of year. Shortage of secondary places in school and long way to travel. PSTs from the ‘wrong side of tracks’, immature, lack confidence, lack of language proficiency and may be exhausted and overcommitted Exit Voice Loyalty(toUniversity) Decides not to achieve Contends or evades the Complies with the their value functioning constraints constraints Faculty Advisor either The Faculty Advisor may The Faculty Advisor negotiates a change to avoid visiting certain schools makes an effort to job role to avoid or accepting certain PSTs. improve the operation involvement with Failing this option, they may of the practicum. practicum or retires or make fewer visits than are Provides support for moves to another expected, they may ignore the weaker PST. university emails. The Faculty Advisor is not focussed upon supporting the PST but seeks to be more selective in recruitment in order to maintain the perceived status of the faculty and university.

Fig. 9.5  Old Possum University: Value Functioning

the others. In universities that are competing heavily with their competitors to recruit students, it is not unusual for academic staff to be critical of the calibre of students recruited. An outsider might pose the question: why do the academics select applicants whom they deem to be poorly equipped to succeed? In practice, individual academics are expected to recruit to target, and those targets are set at a more senior level. We conclude that the faculty advisor seeks to be more selective in recruitment of PSTs in order to maintain the perceived status of the faculty and university.

Modelling at University of Wallaby Creek, NSW: Activity 2 The University of Wallaby Creek, established in the mid twentieth century, is housed in an urban campus of modern, mainly high-rise buildings with some smaller campuses dispersed within the urban area. Like Old Possum University, it is a research-­ intensive institution; it also prides itself on its innovation and scholarship in technical areas. The focus group comprised 80% female respondents students and 80% had been secondary teachers. One member had been in the role for 12 years and another 6 years; the remainder had occupied the role for less than a year, indicating recent recruitment of staff. The professional experience coordinator was in attendance and the members held a polite, calm and collaborative discussion. Despite a lengthy discussion about how to represent their debate in a diagram, the final picture was the interpretation of the person ‘in possession of the pencil’. In many groups, the ‘artist’

Modelling at University of Wallaby Creek, NSW: Activity 2

241

Derivation of the metaphor The Domestiques metaphor relates to the role of mentors. In the rich picture, however, the PST is centre stage, the mentor to the right and the university to the left. Resources are illustrated by a swag bag and the heart illustrates the faculty of education. The school and its pupils are top centre.

Fig. 9.6  Wallaby Creek University Emergent Metaphor

was inclined and able to impose their interpretation. One can see in Fig. 9.6 that the PST was central to the discussion. The variety of PSTs discussed ranged from the arrogant 40-year-old generation X student, wishing to change career, to the habitually ill-prepared millennial generation student. Some of the latter were seen as vulnerable. A wide range of essential skills and characteristics were advocated including subject knowledge; English language mastery; confidence; passion for teaching; and the prerequisite of health and good attendance. Despite the intention to put the PST at the core of their effort, the faculty advisors thought they were often pushed aside due to resource constraints. The main external policy directive discussed was the Australian Professional Standards for Teachers, generally termed the Teachers’ Standards. The observation forms, produced by the faculty, reflect these standards and are written in what the group term ‘standardeze’. For those unaccustomed to the standards, as are many teachers, they are difficult to apply. Training and induction for mentors is reported to be the responsibility of the school and not all schools have a mentoring policy. Therefore, not all mentors are trained and, even where training is offered by the university, the mentors do not necessarily have the time to engage. In Australia, payment is made for mentoring and the term ‘guns for hire’ was used to refer to mentors implying that the financial incentive is the main reason for them agreeing to undertake the role. The group identify a conflict of role for the mentor, who is expected to be supportive and non-judgemental, alongside being the assessor of the PST. The mentor generally receives no feedback on their role from the PST because, due to this power imbalance, the PST cannot afford ‘to bite the hand that feeds them’. The University of Wallaby Creek, however, has a system for PSTs to nominate a mentor for an award. The group mentioned the influence, over many years, of government policy on the initial teacher education curriculum, including the removal of the history and philosophy of teaching in the 1980s. The group perceive this change as part of a move away from teaching as a craft or profession, to teaching as a mass production activity. Figure 9.6 captures the components of the system and indicates a flow between the parts. The group perceive the faculty of education as a separate entity from the

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Table 9.5  University of Wallaby Creek CATWOE Analysis Customer: Actor: Transformation:

Pre-service teacher Faculty/school PST: From an arrogant mature entrant or a vulnerable young entrant to a professional, fulfilled and qualified teacher. World view: The belief that teacher education demands that mentors, faculty advisors and schools act like a domestique to ensure that their PST achieves the standards demanded. Owner: Faculty Environment: DEC standards, University resource constraints, limited mentor training Root Definition: Domestique A Faculty responsibility to work with a school to convert a PST from an arrogant or vulnerable entrant to a qualified teacher by providing the support of mentors and faculty advisors, in an environment of resource constraints and demanding standards.

university as a whole and many staff owe their prime allegiance to this entity. At Wallaby Creek the group see the university as the bank holding its resources in a ‘swag bag’. The faculty defines the policies and procedures for operating the initial teacher education programme and has the passion, as represented by the heart. Towards the end of the discussion, one member put forward the proposition that the school of education cares for its students, but the university does not value teacher education. They argued that teacher education is seen as akin to ‘housework’, it needs to be completed but is not intrinsically valuable. This comment prompted the researcher to adopt the metaphor the ‘domestique’. A ‘domestique’ is a rider in a cycle road race whose job it is to support the designated leader of the team, enabling him to perform and, ideally, win. To provide support, the domestiques must forego their own success. The connotations are similar to the term ‘guns for hire’ where the mentor is just ‘one of the posse’ or in the case of the cycle race, the peloton. The CATWOE and the resultant transformation derived from the metaphor are presented in Table 9.5.

Conceptualising at Wallaby Creek University, NSW: Activity 3 Table 9.6 utilises the concepts of Social Structures as devised by Elder-Vass (2010). Table 9.7 is based on Scott’s (2010) Social Objects. The reader is reminded that in forming the second table of social objects the researcher returned to the paper-based data, considered the notes of individuals, group notes and the researcher’s contemporaneous mind-maps. This reveals terms that capture discourse and identify regulatory elements.

Explaining at Wallaby Creek University, NSW: Activity 4

243

Table 9.6  Wallaby Creek University, Entities and Powers Wallaby Creek University, New South Wales Domestiques Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL MENTOR Not trained Good quality 80% female OUTCOME Not familiar with feedback 80% secondary To convert standards Can assess 20% primary the PST No-one feeds back on Can support Experience from an their mentoring 20% 12 years arrogant Conflict between 20% 6 years and assessing and supporting mature or 60% for less than vulnerable ‘Guns for hire’ a year young Professional Vulnerable PRE-­ Brings Passion entrant to a Experience Don’t accept criticism SERVICE Commitment professional, Coordinator Mature and arrogant TEACHER Work ethic fulfilled, attended Young and unprepared Self-efficacy qualified Associate and confidence teacher proximal norm FACULTY Perceived as form Liaison Metaphor group Tripartite discussion ADVISOR checker identified by Large group Rarely train mentors Provide wide range School researcher Leadership crucial of teachers to observe Some schools have HAT (Highly Accomplished Teacher) as a mentor coordinator Faculty Defines policy and procedures Cares about PST Practicum Difficult to interpret Detailed handbook forms relating to Policy documents standards PST can nominate mentor for award Teacher standards Department provided of Education (NSW) Provides Resource University Sees Teacher Education as housework Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table

Explaining at Wallaby Creek University, NSW: Activity 4 Most of this faculty advisor group have worked in the University for less than a year and are likely to feel an allegiance to being a teacher, rather than a higher education academic. They spent some time discussing the range of entities in this situation, the

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Table 9.7  Wallaby Creek University, Social Objects Wallaby Creek University, New South Wales Discourse

Agential (self) Agential (PST) Regulatory Embedded Social markers

Scott’s Social Objects Lambs to slaughter (PST), guns for hire (mentor), avoid biting the hand that feeds you, standardeze, faculty as doing housework, dress code Allegiance to faculty, Availability to school and PST, Feel undervalued by University Assumptions, passion, arrogant, ill-prepared, vulnerable, health Department of Education, Teachers’ standards, University/Faculty policies and procedures Mentor, faculty advisor, PST, school, practicum, University, Faculty 80% female, 80% secondary, 20% primary. Experience 20% 12 years, 20% 6 years and 60% for less than a year, Professional Experience Coordinator attended Associate and proximal norm group, large group

quality of the faculty, the curriculum, the characteristics, skills and weaknesses of the PSTs. PSTs join with prior experience and family responsibilities that colour their assumptions. Many are passionate but a number are ill-prepared and have health and attendance problems. The tenor of the discussion suggests that this group of PSTs are more likely to arrive encumbered with problems, than are the Old Possum students. This group had a lengthy discussion about the role and ability of the mentors and the situation within schools. Table 9.6 records the information that mentors are not well supported, they are not trained and are expected to complete forms reporting on the PST’s achieved standards when they are unfamiliar with these standards. The faculty advisors imply that the schools should be training mentors, there is no suggestion that this training is a faculty responsibility. The discussion regarding the nature of the schools and problems with behaviour management suggest that the University might be using a broader range of schools than does Old Possum University. Reference to the very detailed handbook and the volume of paperwork suggest PSTs may be overloaded with information. There was an interesting discussion about the relationship between the university and the Faculty of Education. It is not uncommon to see this dichotomy referred to in an institute of higher education. ‘The University’ is spoken of as an independent entity that in most cases instructs academic faculty. In one UK university a newly appointed vice chancellor instructed all staff to cease to use the term ‘the University’ and to replace it with ‘our University’ to try to breakdown the perception that it was an entity separate from the people who work in it. The Wallaby Creek faculty advisors state that their faculty is ‘doing the housework’. In some institutions the Faculty of Education is seen as the cash cow, but in the UK teacher education courses have become very expensive to run. They are often subsidised by other faculties and, as Burton (2000) reported some time ago, faculties of education recognized the benefits of accurate costing to enable control. Regardless of the financial situation, education faculties are rarely viewed as having kudos within English universities.

245

Modelling at Australian Koala University, NSW: Activity 2

Wallaby Creek Faculty Advisors wish to support both young and mature PSTs in challenging environments, where the FAs are undervalued (their value functioning) Enabling Tendency: Their desire to support both young and mature PSTs in challenging environments, where the FAs are undervalued. Achieves value functioning

Constraining counter-tendency: PSTs, do not accept criticism, mature and arrogant or young and unprepared and even vulnerable Mentors not trained, not familiar with standards, no-one feeds back on their mentoring, conflict between assessing and supporting Challenging schools with behaviour problems Faculty has overload of documents, standardeze, ill-resourced University sees faculty as the ‘housework’ Exit Decides not to achieve their value functioning Faculty Advisor decides to consider returning to teach in school or move to another university.

Voice Contends or evades the constraints The Faculty Advisor may avoid being allocated certain difficult schools or problematic PSTs. In the main they allow the situation to wash over them.

Loyalty to PSTs Complies with the constraints The Faculty Advisor maintains links with their partner schools and focuses on supporting their allotted PSTs. May press for changes in operation.

The Faculty Advisor is focussed upon supporting the PST. Some may attempt to improve the system

Fig. 9.7  Wallaby Creek University: Value Functioning

Interesting discourses run through this group’s discussion providing insight into their feelings. They refer to PSTs as ‘lambs to the slaughter’, it is unclear whether this statement relates to a student entering a particularly challenging school or relates to their initial naivety. Another issue that arose in relation to PSTs was professionalism, with regard to the appropriate form of dress. One respondent made a statement that when she was training as a teacher, she was told: “If you can see up it, down it or through it, it’s not appropriate”. Another phrase that was used was “to avoid biting the hand that feeds you”. This statement refers to the power differential between the mentor and the PST as the mentor has to provide support and feedback but also assess the student. There is no indication in this group that the faculty advisers have any role in assessing students. Figure 9.7 presents the value functioning for this group. We conclude that the faculty advisor recognises the challenging situation for PSTs, feels undervalued but attempts to support the PST.

Modelling at Australian Koala University, NSW: Activity 2 The Australian Koala University is a Christian university that has campuses in a number of states. On the campus visited by the researcher, the faculty of education has to comply with the regulations and standards required for teacher education in

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New South Wales. This campus is located in a leafy suburb in an old collegiate building. Liaison to arrange the focus groups proved problematic due to a change in the gatekeeper providing access to the institution. As a result, although numerous people attended the focus group, some arrived late and others left early, leading to a slightly chaotic meeting. Members of the group were passionate and noisy, but not argumentative. The person who volunteered to produce the drawing left early and was replaced by another volunteer. The group comprised 60% female; and 60% of the total had between 10 and 23 year’s-experience while the remainder had less than 6 years’ experience. The professional experience coordinator was in the group. A number of external factors are alluded to by the group. These include societal expectations; the unworkable expectations of politicians for the teaching profession; and government requirements and policies. Teachers’ Standards were discussed, the fact that self-reflection had been removed from the standards and that graduate standards aim to improve the quality of the teaching profession. There was limited discussion of internal faculty policies; both external and internal policies were effectively taken for granted. The main theme of discussion related to the PST, with a lengthy debate about the characteristics needed: self-efficacy; self-belief; socio-emotional skills; ability to build relationships with others; persistence; resilience; commitment, passion for working with children; subject knowledge; and subject teaching knowledge. The practicum school, its context and culture, the relationship of the PST with the supervising mentor, the classroom teacher and the wider school team also provided a focus for discussion. Finally, the group agreed on the need for the PST to understand the nature of teaching, to be part of the school community not only in the classroom, but when interacting in the staffroom. There was also discussion about structural and practical issues: the fragmentation of the practicum with PSTs in school for only 2 or 3 days a week; internships absorbing placements in schools; and the use of paraprofessionals. Internships are a form of practicum introduced into the MTeach programme in New South Wales. The MTeach is a two-year postgraduate qualification with a 10-week internship practicum at the end of the programme, after the PST has attained the Teachers’ Standards. This internship allows PSTs to teach in a school unsupervised. Having achieved the standards, they are deemed qualified. For the school this opportunity provides an additional unsupervised and unpaid teacher and allows the classroom teacher to focus elsewhere. Schools are therefore keen to take an intern, rather than a PST, making it more difficult to find practicum placements for other initial teacher education programmes or earlier stages of the MTeach programme. Following dialogue about teaching preparation, teachers’ professional identity and work, and the messiness of teaching, one of the respondents introduced the concept of the frontstage/backstage teacher. She mentioned the seminal work of Dan Lortie (1975) ‘Schoolteacher: A sociological study’; that introduces the concept of the ‘apprenticeship of observation’. A pupil attending primary and secondary school will observe many teachers, in much the same manner that one would watch actors on stage. This observation leads pupils to develop many intuitive and taken-for-granted beliefs about the nature of teaching. “The apprenticeship of observation describes the phenomenon whereby student teachers arrive for their

Modelling at Australian Koala University, NSW: Activity 2

247

training courses having spent thousands of hours as schoolchildren observing and evaluating professionals in action.” (Borg, 2004, p. 274). While the PST understands the frontstage performance of a teacher, they have no perception of a backstage teacher. They have no comprehension of the plans, preparation, aims and self-reflection of the backstage teacher. Their recollection of the performances seen leads them, when they are under pressure, to revert to the ways of teaching that they have observed. This exerts a traditional influence on their teaching style. Buchanan and Boddy (1992) propose a similar model entitled frontstage/backstage performance in the management field. They posit a framework of public performance complemented by backstage activity. The frontstage activity represents the rational/technical description, used to present and justify action. It contrasts with the backstage approach where negotiation and persuasion are harnessed. This model provides a suitable metaphor which concentrates on the PST’s transformation into a teacher, see Fig. 9.8. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.8. Derivation of the metaphor The frontstage to backstage metaphor relates to the need for the PST to identify that their role has multiple dimensions. Initially the PST recognises the actor on stage but later realises they need to interact with colleagues and plan and reflect on their performance.

Fig. 9.8  Australian Koala University Emergent Metaphor Table 9.8  Australian Koala University CATWOE Analysis Customer: Actor: Transformation:

Pre-service teacher University/school PST: From an observer of teachers to someone who has internalised the process and can perform backstage and front stage. World view: The belief that the PST having observed many teachers performing front-stage actions must now seek to become teachers backstage and frontstage Owner: University Environment: Society expectations, standards Root Definition: From Frontstage to Backstage teacher A University responsibility to work with a school to convert a PST from someone who holds a frontstage view of teachers to someone who has internalised the process can perform backstage and frontstage, in an environment of society’s expectations and demanding standards.

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 onceptualising at Australian Koala University, NSW: C Activity 3 Table 9.9 utilises the concepts of Social Structures (Elder-Vass, 2010) and Table 9.10 is based on Social Objects (Scott’s, 2010).

Table 9.9  Australian Koala University, Entities and Powers Australian Koala University, New South Wales Frontstage/Backstage Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL MENTOR Not trained Gives 60% female OUTCOME Conflict between constructive Experience being assessor and Convert a pre-service feedback 60% had teacher from someone mentor Relationship between 10 who holds a view of provides student and 23 years the frontstage teacher with confidence 40% had less to someone who has than 6 Apprenticeship of PRE-­ Self-efficacy Professional observation: what is internalised the SERVICE Self-belief process and can Experience good teaching? TEACHER motivation perform backstage Coordinator Risk averse persistence and frontstage present Lack of features resilience Metaphor identified Association listed under by researcher and proximal powers?? norm group Practicum Internships soak up Large group placements Lack of time Structure of practicum Allocate inexperienced mentors Other pressures Financial limits

School Community of learning Leadership PSTs become part of community ITE Theory/practice Quality of Programme integration is taught challenging programme Modelling professional expectations and good practice Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table

Explaining at Australian Koala University, NSW: Activity 4

249

Explaining at Australian Koala University, NSW: Activity 4 This group of faculty advisors have a much softer, interpersonal, and emotional view of the experience than do the previous two groups. The terms categorised under discourse in Table 9.10 include collaborative, empathy with pupils, modelling of good teaching and love of working with children. The group also discuss concrete issues, ensuring that PSTs are prepared to go into school, the length of the practicum, the benefits of amending its structure, and the fact that internships reduce the number of practicum places. Brief mention was made of external factors like societal and political expectations. They argue that the model of a good teacher should be demonstrated during the university course and by the mentor to the PST. The course should also provide an opportunity to debrief PSTs and encourage them to unpack their experience in the classroom. There is also reference to the lack of training for mentors in this group. The faculty advisors have a clear view of the agency needed for the successful student. Many of these characteristics are soft skills: self-efficacy, self-belief, persistence and resilience. The impact of health problems and external factors such as work and family commitments were raised. The group paint a broad picture of the PST, not someone solely teaching in the classroom. Unusually, this group recognise that a good teacher is not necessarily a good mentor. Acknowledging PST anxiety, they rely mainly upon the relationships between the PST and the mentor, with the faculty advisor providing support as needed. This group also refers to the pupils in the classroom, indicating the importance of the PST knowing the children and having to hand a repertoire of strategies to manage the classroom. These faculty advisors focus on the teaching of children and what the PST needs to succeed, together with the need for the PSTs to be familiar with the expectations of their mentors and other supervisors. There is no discussion of the faculty advisor’s position, in fact there is no mention of themselves as an entity. The value functioning of the group is presented in Fig. 9.9. We conclude that Table 9.10  Australian Koala University, Social Objects Australian Koala University, New South Wales Discourse

Agential (self) Agential (PST) Regulatory Embedded Social markers

Scott’s Social Objects Part of school community, love working with children, apprenticeship of observation, reflective practice, collaborative, empathy with pupils. Born a teacher versus growing into one Passionate, Provide support structures Levels of self-efficacy, self-belief, motivation, persistence, and resilience. Risk averse Government policies, Teachers’ Standards Mentor, PST, school, practicum, ITE programme 60% female, Experience 60% had between 10 and 23 years, 40% had less than 6 Professional Experience Coordinator present. Association and proximal norm group, large group

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Australian Koala University Faculty Advisors wish to support and nurture PSTs to gain the necessary self-belief and resilience to join a school community (their value functioning) Enabling Tendency: Their wish to support and nurture PSTs to gain the necessary selfbelieve and resilience to join a school community

Constraining counter-tendency:

Achieves value functioning

Exit Voice Loyalty to PST Decides not to Contends or evades the Complies with the constraints achieve their value constraints functioning Faculty Advisor may The Faculty Advisor The Faculty Advisor supports decide to return to may use voice to urge the PST to develop teach in a school, improvement in training confidence and liaises with tempted by their of mentor and work on the mentor to help their experience when they improving the course. development visit PSTs. The Faculty Advisor is focussed upon supporting and nurturing the PST and seeks to support and develop mentors. Strong emphasis on being part of community

PSTs lack self-efficacy, resilience, self-belief, motivation, persistence,. Can be risk averse. Mentors not trained, conflict between being assessor and mentor. Schools allocate inexperienced mentors to PSTs. Theory/practice integration is challenging

Fig. 9.9  Australian Koala University: Value Functioning

the faculty advisor wishes to nurture PSTs to support them in joining a school community.

 odelling at University of Grey Seal Province, Ontario: M Activity 2 The first Canadian university under consideration is the University of Grey Seal Province, a sandstone built, élite, research intensive university similar to Old Possum University in Australia. The focus group was small, comprising 50% secondary and 50% primary teachers, all female, all having spent 5–6  years in the faculty. One member of the group was the practicum coordinator (manager of field experience). At the point of data collection there was an oversupply of teachers in Ontario, as discussed in Chap. 5. This ‘glut’ of ‘teacher candidates’ led to the group discussing the procedure for a graduating teacher gaining employment. The candidate must first register on the ‘Occasional Teacher’ list and, after having completed a specified period teaching in short-term supply posts, they are then permitted to register on the ‘Long Term Teacher’ list. This list covers longer term vacancies such as maternity cover. Once the candidate has completed the specified period teaching on this list they are permitted to apply for a permanent post. Even then, they are not guaranteed a permanent post as more experienced teachers must be prioritised for shortlisting for interview. Due to the paucity of teaching jobs for graduating teachers, described above, the Ontario Ministry of Education decreed that the consecutive programme, the course designed for students who have completed an undergraduate degree,  was to be

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Modelling at University of Grey Seal Province, Ontario: Activity 2

extended from a duration of 1 year to 2 years. Student intake would be reduced to half its current number; the practicum extended from the existing minimum requirement of 40 days, with a reduction in the unit of resource. The proposed new programme at Grey Seal Province was to include 100 days in practicum plus 35 days ‘alternative field experience’. While the PSTs and school mentors were generally unaware of this proposed change, most of the faculty members were involved in redesigning the programme to comply with the new regulations. The group described their current model as the ‘Cadillac’, with each faculty advisor allocated 30 PSTs to support. Cadillac normally refers to something that is an outstanding model of its kind, the members of the group were worried that the new model might dispense with the role of faculty advisor. Halving student numbers for a year, coupled with a pro rata reduction in funding, would lower the faculty’s income and probably lead to a reduction in staffing. Although, the extension of the programme to 2  years means the largest drop in funding would be for 1 year only, in such a situation, staff feel nervous about the future. In Fig. 9.10 the central circle represents the relationship between the three stakeholders: the PST, the mentor and the faculty advisor. This circle is surrounded by the characteristics that each person brings: confidence, trust, likeability, flexibility, respect. As in the Old Possum metaphor, the Sandstone Express, this group raised the issue that one adverse encounter with a PST can deter a school from accepting further students from that university. The other external factors discussed were the role of the School Board in placing the PSTs in schools and the role of the teachers’ union and its impact on mentors. Alongside the backpack to briefcase metaphor, identified by the group, were terms such as maturation and transition. Another theme was the rapid change in technology, social media, instantaneous communication, leading to pressure for immediate gratification and a sense of entitlement. While most of the debate was optimistic, referring to growth and leadership, including a title quote from Seuss (1990) “Oh the places you’ll go”, the issue of

Derivation of the metaphor From backpack to briefcase is an image of growth and maturity. We see the interaction of the three stakeholders at the centre and their characteristics. The image depicts a slowflowing river which is at odds with the description in the meeting of a rapidly changing technological environment.

Fig. 9.10  University of Grey Seal Province Emergent Metaphor

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Table 9.11  University of Grey Seal Province CATWOE Analysis Customer: Actor: Transformation: World view:

Pre-service teacher University/school PST: From a student to a qualified teacher The belief that the PST must mature from ‘backpack to briefcase’ and the perception that the PST thinks it can and should happen overnight. Owner: University/Faculty Environment: A world of fast-moving technology, immediate gratification and sense of entitlement in a situation where there are no immediate posts and the programme of teacher education is about to change substantially. Root Definition: Backpack to briefcase A University responsibility to work with the school to convert a PST from student to qualified teacher overnight, in an environment of rapid technological advances, changing expectations and lack of permanent jobs.

PSTs experiencing mental health problems provided a pessimistic tone. Faculty advisors discussed their contribution, bringing 30 years’ teaching experience, hope and perspective to support the growth of the PST. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.11.

 onceptualising at University of Grey Seal Province, Ontario: C Activity 3 Table 9.12 utilises the concepts of Social Structures  (Elder-Vass, 2010) and Table 9.13 is based on Social Objects (Scott, 2010).

 xplaining at University of Grey Seal Province, Ontario: E Activity 4 The reader may note from Chap. 8 that Grey Seal Province is an élite university in Ontario. The response of this group, however, is very different from the faculty advisor (FA) group of Old Possum, the Australian élite university. The respondents are not unduly critical of the PSTs or the mentors. Like other focus groups in Ontario, they talk of the lack of jobs for newly qualified teachers. Their main concern arises from the process of adapting the course. For at least one year, there will be a reduction in student numbers leading faculty to be concerned about the future of their jobs. Assuming that they continue in role, they are still concerned that the workload might increase considerably. Alternatively, they will have to reduce the amount of time they spend visiting students and thus diminish the quality of the course. The emphasis of the group is on relationships and three-way communication between the PST, the mentor and themselves. They refer to the fact that mentors

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Table 9.12  University of Grey Seal Province, Entities and Powers University of Grey Seal Province, Ontario Backpack to briefcase Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events MENTOR Feel threatened if OVERALL confidence, trust, 100% female OUTCOME PST is good 50% secondary likeability, PSTs convert from flexibility, respect 50% primary a student to Provide support, Small group qualified teacher scaffolding, Experience Metaphor feedback 5–6 years mentioned by Association and May bring maturity PRE-­ May lack group proximal norm Hits ground maturity SERVICE group Expect immediate TEACHER running results Open to feedback Sense of entitlement FACULTY Ratio of 1 FA to Honest ADVISOR 30 PSTs conversation and Poorly paid perspective Too vague Weekly visits to school Safety net Provide experience and resources Welcomes PST School Expects PST to do too much extra-curricular work Provides support PEER School Board Allocates PSTs to school Lack of jobs Ministry of Occasional Education, Teaching List to Ontario Long Term Teaching list Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table

have been trained by the faculty. They also discuss whether there is a good match between the PST and the mentor and whether the PST is prepared to speak up and request feedback. The mentor can feel threatened if they have a particularly good PST. The group also mention that the school administrative service provides support. The value functioning of the group is presented in Fig. 9.11. We conclude that the faculty advisors are worried about the anticipated change to the course and any consequent changes to their roles and their ability to maintain the quality of the practicum.

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Table 9.13  University of Grey Seal Province, Social Objects University of Grey Seal Province, Ontario Discourse Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s Social Objects Trust, respect, diversity, practicum is currently ‘Cadillac’ provision i.e. High quality Entitlement, immediate gratification, some ‘hit the ground running’ Their future is uncertain, want to maintain standards School Board, Ministry of Education, Ontario, Teachers’ Union Mentor, PST, Faculty Advisor, Peer, School 100% female, 50% secondary, 50% primary, small group, experience 5–6 years, Association and proximal norm group

Grey Seal Faculty Advisors wish to retain their roles and preserve the quality of practicum (their value functioning) Enabling Tendency: wish to retain their roles and preserve the quality of practicum Achieves value functioning

Constraining counter-tendency: PST may lack maturity, expect immediate results, have sense of entitlement Mentor feels threatened if PST is good. School Board, rather than University, allocates PSTs to schools Surplus of teachers, consequent redesign of course and possible impact on FA Exit Decides not to achieve their value functioning Faculty Advisor wants to retain post so is highly unlikely to exit.

Voice Contends or evades the constraints The FA spends time complaining about redesign of course.

Loyalty to University Complies with the constraints FA makes efforts to redesign the course in manner that maintains standards.

Faculty Advisor has few options other than to carp and then make the best of the situation.

Fig. 9.11  University of Grey Seal Province, Value Functioning

 odelling at Caribou Metropolitan University, Ontario: M Activity 2 Caribou Metropolitan University is a large multi-disciplinary research and teaching university founded in the late 1950s, similar to the British campus universities built in the 1960s. The main campus comprises a number of high-rise buildings represented in the group’s drawing. The respondents were all course directors as well as being practicum supervisors, so formed an association and a proximal norm circle, a group who have worked together for some time and share a set of norms, see Table  9.15. All group members had been teacher educators for a relatively short time, 2.5 years or less; 66% were female, 33% primary only and 66% primary/secondary. The group discussed the role of the Ministry of Education and the School Board and their responsibility to fund the school and support PSTs and teachers. The group focussed on the attitude and characteristics demanded of PSTs; their willingness to take risks; their ability to acknowledge feedback; their subject

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knowledge and prior experience; their engagement with the programme; and their ability to integrate theory and practice. The pressures on the PST were also discussed; their reasons for wanting to teach; their family obligations; the job prospects and long-­term goals. Time was reported to be an important factor; PSTs need time in school and time to observe, reflect and discuss their progress with their mentor. The factors that lead to a mentor being effective were discussed; the mentor’s welcome and commitment to giving time and support to the PST; their flexibility; and their willingness to encourage and permit the PST to be creative. The metaphor arising from the group was informed by their use of the term ‘cookie cutter’. This term was used in a number of the Canadian focus groups and is a common north American term describing a metal or plastic shape that cuts cookies or biscuits. Used as a metaphor, it indicates the production of similar outputs, lacking originality. There was also reference to the PST being pulled in many directions and feeling like a puppet. One can see, in Fig.  9.12, images of ‘backpack and briefcase’, as discussed in the Grey Seal University focus group. The image drawn by the Caribou Metropolitan group illustrator resembles a gingerbread biscuit shaped as a person. This fact, together with the discussion of the PST as a puppet who later turns into a professional teacher with briefcase, gave rise to the ‘Gingerbread Man’ metaphor. For those unfamiliar with the folk tale of the ‘Gingerbread Man’, here is a précis. A childless old woman bakes a gingerbread man. Once removed from the oven, the gingerbread man comes to life and runs away. The old couple give chase. In turn, a number of animals take up the pursuit and the gingerbread man evades them, repeating frequently “Run, run as fast as you can, you can’t catch me I’m the gingerbread man”. Eventually he reaches a river where a fox offers to help him cross. He leaps onto the fox’s tail as the fox starts to swim. The fox encourages him to move to other parts of his body to avoid drowning. Eventually, when the gingerbread man has reached the fox’s nose, the fox tosses him into the air and devours him. This folk character represents the newly made object coming to life and having the fortitude and initiative to escape to demonstrate its agency. In the story, of course, the gingerbread man suffers an unpleasant demise, one might say he ‘comes to a sticky end’, reflecting the group’s comment that many schools discourage the PST in their aim Derivation of the metaphor The Gingerbread Man is the ‘cookie cutter’ image of the Teacher Candidate at the centre of the illustration. The university is on the right and the school community is on the left. There are arrows indicating many flows of information within the system. We see the student backpack being replaced by the professional briefcase as the Gingerbread man gains a sense of agency. We have chosen the term Gingerbread Man for the metaphor to reflect the folk tale. The illustrator may have intended the character in the centre to be female.

Fig. 9.12  Caribou Metropolitan University Emergent Metaphor

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Table 9.14  Caribou Metropolitan University CATWOE Analysis Customer: Actor: Transformation: World view:

Pre-service teacher University/school PST: From a controlled puppet to a gingerbread man with agency The belief that the PST develops into a gingerbread man with agency and can make decisions, although at times are pulled in different directions by various demands Owner: University/Faculty Environment: Expectations and demands of Ontario College of Teaching and student’s family, paucity of employment Root Definition: Gingerbread man versus puppet A University responsibility to work with the school to convert a PST from a controlled puppet to a gingerbread man with agency, in a demanding environment with an uncertain employment future.

to be a qualified teacher. Teachers in schools ask why they are seeking to enter a profession where jobs are scarce and the path to a permanent post is protracted and tortuous. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.14.

 onceptualising at Caribou Metropolitan University, Ontario: C Activity 3 Table 9.15 utilises the concepts of Social Structures (Elder-Vass, 2010)  and Table 9.16 is based on Social Objects (Scott, 2010).

 xplaining at Caribou Metropolitan University, Ontario: E Activity 4 The faculty advisors (FA) at Caribou Metropolitan University focus on their interaction with the PST and the mentor. The group recognises the importance of communication, in order to identify difficulties as they arise. Each PST has a slightly different reason for being on the course and their motivation is important. Some are prepared to take risks, to ‘jump right in’ and demonstrate resilience. Nevertheless, it is easy for a PST to default to their mentor’s style of teaching. The mentor also learns through experience of the practicum and contributes different levels of experience and professionalism. Some mentors simply want to discard unwelcome tasks, for example the photocopying. The faculty advisors expect certain foci of the course, social justice, equality and diversity to be supported by the school and not derided or disregarded. The school might say that it is not a priority, or not on their radar,

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Table 9.15  Caribou Metropolitan University, Entities and Powers Caribou Metropolitan University, Ontario Gingerbread man Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events MENTOR Try to be nice, do OVERALL Relationship 66% female OUTCOME not notice PST building 33% primary To convert a struggling Allows PST 66% primary/ PST from a freedom to secondary controlled develop Experience puppet to a Hosts PST in all 2.5 years or less gingerbread as teacher educators. order to learn Associate and PRE-SERVICE Family and work man with Willing to take agency proximal norm group feedback TEACHER commitments Travel distance to Metaphor Can connect identified by school theory to researcher practice Work ethic FACULTY Communicates ADVISOR expectations with PST Communicates with mentor Faculty Save money Administration School Discourages -why welcomes want to be teacher in this climate? Busy classroom Practicum Lack of clarity – how much teaching Too short Little time to reflect No jobs. Ministry/ Provides funding Ministry of school should Education Changing release mentor Ontario/College programme time, of Teaching Changing programme length and recruitment Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table

and attempt to focus the PST on covering the curriculum and producing pupils’ report cards. The group recognise that the role of the mentor is not easy and not all mentors are well equipped; at times they try to be too ‘nice’ and at other times offer late support. Mentors can be too helpful in providing all the curriculum material whereas

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Table 9.16  Caribou Metropolitan University, Social Objects Caribou Metropolitan University, Ontario Discourse

Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s Social Objects Backpack to briefcase, Work ethic, equality, diversity, social justice, relationship building, life happens. Not on our radar, cookie cutter, puppet Take risks, resilient, motivation, reason to be on course, financial problems Communicates with mentor and PST, Ministry of Education, Job prospects poor Mentor, PST, Faculty Advisor, school, faculty, practicum, lack of time for practicum, financial resources (PST) 66% female, 33% primary, 66% primary & secondary, experience all 2.5 years or less Associate and proximal norm group

Caribou Faculty Advisors wish to improve support for PSTs to enable them to become professionals and contribute to social justice. (their value functioning) Enabling Tendency: wish to improve support for PSTs to enable them to become professionals and contribute to social justice. Achieves value functioning

Constraining counter-tendency: Mentor tries to be nice or does not notice PST struggling, too much or too little help. PST family and work commitments, financial issues Practicum too short, lack of clarity and lack of reflection time School- social justice equality and diversity not on their radar, discourage PST by reminding no jobs Lack of jobs, change to course length and recruitment Ministry should release mentor time

Exit Decides not to achieve their value functioning FA returns to teaching in school or explores jobs elsewhere

Voice Contends or evades the constraints FA satisfices and becomes demoralised or gets involved in developing new course to extend practicum and perseveres with communication

Loyalty to PST Complies with the constraints FA continues to focus on working with the PST and mentor to intervene when necessary and support and develop both parties The faculty advisor faces a range of different types of challenge. While some of these challenges are ‘all in a day's work’, others will be irritating issues that the faculty advisor will try to address by voice or by loyalty

Fig. 9.13  Caribou Metropolitan University, Value Functioning

others say, ‘teach math’, without indicating how. Professional development for the mentor is funded by the Ministry or the School Board, should they choose to take it up. Like the Grey Seal Province faculty advisors, this group discuss the introduction of a two-year course and what the change means for students’ financial costs. At the time of this research, many students work their way through the course to finance themselves. This comment is not the only mention of employment uncertainty for

Modelling at Raccoon Technical University, Ontario: Activity 2

259

newly qualified teachers. This group is more sympathetic to the PST than some other groups, they state that ‘life happens’ and they make references to the PST’s family and friends. They are aware that both PSTs and mentors can suffer from burnout. The group also refer to the supportiveness of the university administrative team. These faculty advisors (FA) are facing a range of different challenges, listed under liabilities in Table 9.15, they may find that they cannot address all of them with the same value functioning choice. For example, the concern about the pattern of the practicum might be addressed by using voice, trying to persuade colleagues, whereas supporting the mentor might be an action under loyalty. The value functioning of the group is presented in Fig. 9.13. We conclude that the faculty advisor aims to convert PSTs to professional teachers who can contribute to social justice, in a challenging environment.

 odelling at Raccoon Technical University, Ontario: M Activity 2 Raccoon Technical University is unusual in having been established at the beginning of the twenty-first century; it delivers technical, science and professional practice courses in a small industrial town. It prides itself on promoting economic development and contributing to the region’s development. The focus group respondents were as follows: 50% had primary teaching experience and 50% had primary/ secondary experience; 75% were male; 75% had been teacher educators for just over 8  years and 25% for 4  years. 75% were also hourly paid instructors on the taught course while the remainder were members of the teaching faculty. There was considerable laughter and joking in this group, with a lot of references to how things worked or, as they suggested, did not work in the faculty. One member arrived 5 min late and apologised profusely, saying that she had just attended a meeting with senior management and there were references back to this meeting several times during the focus group. Many of the individual comments made were much like those heard in other groups. The top right-hand quadrant of Fig. 9.14 represents the PST (labelled TC) perceiving ‘learning as fun’ and ‘learning by failing’, illustrated by shooting for the basketball goal. The heart symbol nearby represents the conflict between a PST’s family commitments and the professional demands upon them. There is also a reference to the PST as a ‘cookie cutter’ or clone, the metaphor adopted by the Caribou Metropolitan faculty advisors. The right-hand, lower quadrant represents the faculty advisor with the image of the see-saw denoting the balance demanded from them; the image of the tunnel representing the rigidity of the system in which they work. The faculty advisors are seen to be from different ‘camps’, represented by the tents, indicating a lack of consistency between different advisors. The central image of the disconnected wall socket represents their reluctance to take risks when looking over the shoulder of the PST and leads to them judging all candidates a C+.

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9  Faculty Advisors’ Perspectives on Becoming a Teacher Derivation of the metaphor Dissonance presents a dark and initially baffling image, due to the symbols chosen to represent some of the elements. Although each image represents an entity the overall impression of the illustration captures the chaos and lack of leadership that the group discuss.

Fig. 9.14  Raccoon Technical University Emergent Metaphor Table 9.17  Raccoon Technical University CATWOE Analysis Customer: Actor: Transformation:

Pre-service teacher Faculty/school/faculty advisors Practicum/Faculty: From a dissonant situation to an ordered scenario where risk-taking and creativity are welcomed. World view: The belief that PSTs, mentors and FAs are all operating within a dissonant situation, a lack of harmony Owner: Faculty Environment: Financial and time constraints, top heavy administration, lack of leadership Root Definition: Dissonance A Faculty responsibility to work with schools to transform the practicum/faculty from a dissonant situation to an ordered scenario, in an environment of financial and timing constraints, top heavy administration and lack of leadership.

The top, left-hand quadrant characterises the mentor, illustrated as a robot, with the PST aspiring to replicate the mentor. The axes indicate time being continually ‘axed’ from the practicum and the programme. The dim light bulb indicates the mentor being unwilling or unable, given time constraints, to read the large handbook distributed. The illustration, while confusing, reflects the discussion well. Overall it is a sweeping, baffling and, in places, dark image. The figure of the robot and the two axes in the top, left-hand quadrant furnish this impression of darkness. It proved extremely difficult to identify any overall coherence that could be reflected in a metaphor and eventually the term Dissonance was chosen to capture the image. In their final comments, the participants spoke of chaos and said that the focus group exercise had functioned as ‘therapy’. The metaphor of Dissonance, a lack of agreement or harmony amongst people, sounds or things, attempts to capture the discord described. The group summarised their frequent critical references to the operation of the faculty as the conflict between a top-heavy administration and an observed lack of leadership. It is not unusual for a group of academic staff to critique the administration, normally termed management in the UK. This critique was

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Table 9.18  Raccoon Technical University, Entities and Powers Raccoon Technical University, Ontario Dissonance Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events MENTOR No consistency OVERALL Role model 75% male, Not adhering to OUTCOME (be like 50% primary only To transform the guidelines me-robot) 50% primary/ practicum/faculty from Do not read Skilled secondary handbook, Lack a dissonant situation to Make learning Experience an ordered scenario of time, fun 75% 8 years Metaphor identified by willingness 25% 1 year researcher Do things my 75% on hourly way contracts Probably a norm Family PRE-­ Flexible, group commitments SERVICE creative, problem solver, TEACHER reflective Learn by failing Commitment FACULTY Balance rarely Availability ADVISOR achieved Turn out cookie cutters Faculty Top heavy Claims to be collaborative but is not Practicum Time axed Disconnect between parties Rigidity Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table

seen in other groups, such as the University of Wallaby Creek, but Raccoon Technical faculty advisors’ group was the only focus group in the Practicum Study where it became an emergent feature of the discussion. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.17.

 onceptualising at Raccoon Technical University, Ontario: C Activity 3 In the final Canadian focus group for Raccoon Technical faculty advisors Activity 3: Conceptualising is applied. This action generates Table 9.18 for the concepts of social structures  (Elder-Vass, 2010) and Table  9.19 for the concept of social objects (Scott, 2010).

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Table 9.19  Raccoon Technical University, Social Objects Raccoon Technical University, Ontario Scott’s Social Objects Discourse Learning by failing, FAs from different camps, cookie cutters, time axed, focus group therapy, chaos Agential (PST) Flexible, creative, problem solver, reflective, learn by failing Agential (self) Commitment, availability, rarely achieve balance, lack of consistency Regulatory Faculty top heavy, not collaborative, no leadership Embedded Mentor, Faculty Advisor, PST, Faculty, Practicum, financial restrictions Social markers 75% male and on hourly paid contracts, wish to improve support for PSTs to enable them to become professionals and contribute to social justice, 50% primary only, 50% primary/secondary. Experience. 75% 8 years, 25% 1 year, a norm group

 xplaining at Raccoon Technical University, Ontario: E Activity 4 This group was unusual for several reasons. Firstly, Raccoon Technical is a new university that has probably not fully developed its confidence as an institution. Secondly, most of the faculty advisors in the group were hourly-paid, retired teachers. Most of them were also sessional instructors, a north American term indicating hourly-paid teaching on the course. One of the major concerns that the group raise is that while PSTs strive to be creative and innovative, compliance with the education system affords a deterrence. They refer to educational policy, testing and the pressure within schools all constraining the PST. This group were supportive of, and positive about, PSTs, noting external pressures like the distance of travel to work, their lack of status, their concern about jobs and their personal and family pressures. They were critical of mentors, deliberating on how they are selected or appointed, commenting that they do not adhere to the university guidelines and often expect PSTs to copy them. In addition to learning from their mistakes, PSTs should experience learning as fun and the faculty advisors in this group thought this was rarely the case. This group of faculty advisers (FA) were probably typical of hourly-paid faculty advisors but not representative of permanent faculty at the university. They were critical of other faculty advisors. In addition to contending that the faculty advisors fall into different camps, they feel that many are risk averse and, therefore, award every student a C+. This statement confirms that faculty advisors assess the PST. There were criticisms of the course, students are expected to reflect, yet do not know how to and there is a gap between theory and practice. The group also spoke of inconsistencies, the university expected completion of lesson plans and the schools do not use them. The group were critical of the faculty administration. They considered it top heavy yet providing inadequate leadership. Despite this very negative description of the organisation and operation of the practicum, the group was in a very jovial mood. From the discussion, it appears that they had met before but not with any regularity and therefore could not be considered to be an association but

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Raccoon Technical PSTs wish to develop creative PSTs despite the situation constraining them. (their value functioning) Enabling Tendency: wish to develop creative PSTs despite the situation constraining them. Achieves value functioning

Constraining counter-tendency: Mentor - no consistency, not adhering to guidelines, don’t read handbook, lack of time, unwilling, do things ‘my way’ PST family commitments, creativity curbed FAs rarely achieve balance, turns out cookie cutters (clones), lack of consistency Practicum insufficient time and rigid Faculty top-heavy, no leadership Exit Voice Loyalty to PST Decides not to achieve their Contends or evades the Complies with the value functioning constraints constraints In this situation one may The FA ignores the wider Encourages mentor to wonder why the FA has not issues and focuses on conform to Faculty exited already. They enjoy supporting each PST requirements. Ensures being in classroom, need visited. Moans to that PST complies with interaction, feel valued, colleagues about situation all school and appreciate the financial University reward expectations. The FAs used the focus group as an opportunity to ‘let off steam’, have a ‘therapy’ session’. Their position leaves them powerless to change the system, they can, however, support the PST

Fig. 9.15  Raccoon Technical University, Value Functioning

were probably a norm group. This opportunity to meet in the focus group gave them the chance to express their feelings. Given their outsider status, they felt powerless in relation to the overall organisation of the practicum. Many universities in England contract retired teachers to fulfil this role, partly because they have more flexibility to undertake visits than do teaching faculty but also because it may be less expensive. The disadvantage of this approach is that the faculty advisors  (FA) are less likely to be familiar with the nature of the course and are therefore not in a position to help PSTs align theory and practice. This group did not discuss the upcoming changes to the length of the course and the length of the practicum, indicating that their outsider status limited their awareness. The value functioning of the group is presented in Fig. 9.15. We conclude that the faculty advisors are a group of outsiders who wish to develop creative teachers but face many obstacles.

Modelling at Badgerford University, England: Activity 2 Badgerford University gained university status when polytechnics became universities in 1992. The university was the result of mergers of several colleges, some of which were formed in the nineteenth century. It has several campuses and a long history of delivering teacher training courses in the town where the focus group was convened. The group comprised 75% female participants and 75% had a secondary background. 50% had experience of less than 2  years in the faculty while the

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remainder had been in post between 8 and 18 years. The discussion was subdued, lacking the energy that was exhibited in most of the focus groups. The group explored the role of the mentor. They asked whether mentors have attended mentor training; whether they understand university procedure and assessment criteria; whether they expect the PST to emulate their behaviour; whether they provide constructive criticism and targeted feedback; and whether they are empathetic and sensitive. In the same manner, the group discussed the PSTs and asked whether they want to stay in their ‘comfort zone’; whether they are prepared to take risks and experiment; what have been their previous influences; and are they reflective practitioners. They also talked of the occupational culture within certain subjects, they mentioned the ‘jock culture’ in the group of physical education PSTs several times. The ethos and structure of the school was discussed at length; the range of pupils, the strength of the department within a secondary school, the difficulty in permitting a PST to experiment on an examination group, and whether the school welcomes PSTs. The group experienced some difficulty in identifying an image, but decided to develop a wheel or spiral. The PST is at the centre, surrounded by the school, the university and various role holders, mentor, cluster co-ordinator, tutor and subject teacher. There was lengthy discussion about whether the mentor should also be at the centre with the PST. The term ‘partnership’ was used frequently, stressing the equality of the school and the university and the need to avoid the development of a ‘silo mentality’. Once the image was committed to paper, see Fig. 9.16, there was debate about whether it might represent the wheel of a vehicle, with the rotation of the wheel providing the motion of the vehicle. The term ‘dynamic relationships’ is posted next to the image. Towards the end of the session, this concept of rotation prompted one member of the group to say: You know when you’ve got the penguins in the pond, and they’re all in their little huddle, and sometimes some of them are on the outside and others in the middle, in order that the whole will survive, they keep moving around and circulating. The penguins keep moving so it isn’t the same ones on the outside, so they don’t die. Faculty Advisor, Badgerford University Derivation of the metaphor Penguin Huddle This image is the most unhelpful of all those drawn. The PST (trainee) is at the centre of the spiral. At the end of the focus group one respondent likened it to a ‘penguin huddle’. A metaphor emerges in the dialogue but the illustration does not capture this metaphor. Had we used the illustrator at this point, the penguin huddle metaphor would have lent itself to a striking image.

Fig. 9.16  Badgerford University Emergent Metaphor

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Table 9.20  Badgerford University CATWOE Analysis Customer: Actor: Transformation: World view:

Pre-service teacher University/school/ mentor PST: From a vulnerable chick (PST) to a mature adult/teacher. The belief that the practicum is like a penguin huddle, a dynamic system created by the action of the individuals to keep the penguins and their chicks alive in sub-zero temperatures Owner: University/School Environment: Variable schools, variable mentors, schools with different ethos Root Definition: Penguin huddle A University responsibility to work with schools and mentors in order to convert a vulnerable PST penguin chick into a mature teacher, in an environment where the situation can be treacherous.

This insight was provided by the one member of the group who had been quiet, during this final stage of capturing the discussion in an image. Absorbing the ideas being discussed by the others, she suddenly envisaged a tangible situation that captured the key elements. A penguin huddle is a mobile crowd where penguins take turns to be on the outside, the aim being to protect the chicks, and themselves, by exercising a dynamic, collaborative approach. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.20.

Conceptualising at Badgerford University, England: Activity 3 Table 9.21 presents the social structures  (Elder-Vass, 2010) derived for the Badgerford faculty advisors and Table 9.22 shows the social objects (Scott, 2010).

Explaining at Badgerford University, England: Activity 4 This focus group took place in the early summer when teaching and the practicum had ceased. The timing may be one of the reasons why the respondents were relaxed. The group focused to a large extent on the nature of the mentor, indicating that they need to provide the right level of support, not have unrealistic expectations of the PST, provide constructive feedback and understand the university procedures. There was an expectation that all mentors would be trained, although they recognised that this is difficult to ensure. The mentor should also set progressive targets. The issue of targets was not discussed in any of the Australian or Canadian groups. The term ‘partnership’ was mentioned many times and this term relates to the change in responsibilities, and thus the relationship, between the school and the university. This university was adapting to one of the School-Direct models. The school’s responsibility has recently changed. The school must now make a bid to a government agency for student places, organise marketing, recruitment, interviewing and selecting of students and organising placement of students within a cluster of

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Table 9.21  Badgerford University, Entities and Powers Badgerford University, England Penguin Huddle Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events To convert MENTOR Not empathetic Expects mini-me 75% female vulnerable penguin and sensitive 75% secondary Consistent practice chick (PST) to a Not enough Constructive Experience targeted feedback mature adult/ criticism 25% 8 years teacher. Not attending 25% 18 years Understands Metaphor identified mentor training 50% less than university uni by group procedure and uses 2 years. criteria Association and proximal Occupational PRE-­ Reflective norm group culture within SERVICE practitioner subjects e.g. ‘Jock TEACHER Previous influences culture’ in PE Stay in comfort zone University How trainees Presents range of models perceive cluster coordinator School Exam classes do Told they are not permit member of staff experiment Ethos of school Not allowed in Range of pupils staff room Strong department Not teaching allows preferred subject experimentation Progressive targets Practicum Volume of info sent by email thrown at students Time pressures Entities in capitals are INDIVIDUALS, entities in lower case are social group’or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table Table 9.22  Badgerford University, Social Objects Badgerford University, England Discourse Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s Social Objects ‘Jock culture’, protect the penguin chicks Reflective, risk taker versus stay in comfort zone Empathetic, partnership, protective Exam classes in school do not allow PST to experiment Mentor, PST, School, University, Practicum, Time pressures and Information overload 75% female, 75% secondary, Experience 25% 8 years, 25% 18 years, 50% less than 2 years. Association and proximal norm group

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267

schools. A term discussed in this focus groups but not used elsewhere is the ‘cluster coordinator’. This is a person who is responsible for overseeing a cluster of schools, ensuring mentors are trained and providing some additional training for PSTs. The addition of this role has led to the demand for a more complex organisational structure. The range of subjects taught within a school is important in order for students to be able to teach their preferred subject. This issue was raised in other groups, where students wish to teach at secondary level. The group was concerned that occupational socialisation did not result in PSTs following outdated practices. The faculty advisers (FA) were empathetic to the PSTs; they note that sometimes the PSTs lack confidence and prefer to stay in their comfort zone. The group discussed the culture of the school, the social and ethnic mix and the general level of support provided, together with the quality of the subject department in which secondary PSTs are placed. Another aspect of culture was that related to the undergraduate Physical Education course where many students subscribe to a ‘Jock Culture’. Studying the entities in Table 9.21, one notes that the faculty advisor is not listed as they do not discuss their own role. The group are protective of their PSTs as indicated by the empathy that they show and the lack of criticism. The final metaphor of the Penguin Huddle reinforces this desire to keep the PSTs safe. While much of the discussion in this group was similar to that in other groups, it is the first group where responsibilities are being passed to schools. The faculty advisors (FA) appear to have accepted this change and are trying to take on board this new meaning of ‘partnership’. The value functioning of the group is presented in Fig. 9.17. We Badgerford Faculty Advisor wishes to protect the PSTs while working in partnership with schools that are taking over some of their role. (their value functioning) Enabling Tendency:. wishes to protect the PSTs while working in partnership with schools that are taking on some of their role. Achieves value functioning

Constraining counter-tendency: Mentor: Not empathetic and sensitive, not enough targeted feedback, not attending mentor training PST: Occupational culture within subjects, stay in their comfort zone School: Exam classes don’t permit experimentation, not allowed in staff room, not teaching preferred subject Practicum: Move to partnership where school takes over responsibilities. High volume of information distributed to PSTs, time pressures Exit Decides not to achieve their value functioning FA decides nature of their role is changing and they should consider retiring or going back to teaching in a school.

Voice Contends or evades the constraints FA may suffer cognitive dissonance, not recognise ‘partnership’ and focus on own teaching and PSTs.

Loyalty to PST Complies with the constraints FA continues to support PSTs that they are allocated and contributes to mentor training. Accepts and uses new concept of partnership.

Faculty Advisors report mainly on the situation that has applied to the practicum for many years. Regarding the recent change to the school role in the partnership, they appear to fit in the loyalty category. They are caring but subdued

Fig. 9.17  Badgerford University, Value Functioning

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conclude that the faculty advisors are very protective of the PSTs and are worried about the responsibility handed to schools under the mantra of ‘partnership’, albeit they do not articulate this.

Modelling at Roe Deer Valley University, England: Activity 2 Roe Deer Valley University is a small university with a Christian foundation based in a large conurbation. It was selected due to its similarity with the Australian Koala University and has a long history of teacher education, dating back to the mid nineteenth century. This was a small group of faculty advisors, all members were female, with  primary teaching experience and  mentoring experience of  between 1 and 5 years. The team had worked together over the last year. The members had recently held a meeting with the larger teacher education team to discuss actions to improve PSTs’ performance in schools and the outcome of this meeting was summarised on a large poster, affixed to the wall. The group was enthusiastic about adopting this focus group approach with the wider team and illustrating their discussion with a suitable metaphor. Following the discussion, the group immediately identified the concept ‘the growth of a tree’ and they annotated the components of the nurturing image as it was drawn. This group was unusual in unambiguously articulating the aims of the placement; they claimed that there was whole staff agreement on the common goal ‘to produce the next generation of outstanding teachers’. In 2010, the recently elected Conservative/Liberal Democrat Coalition government published a White Paper entitled ‘The Importance of Teaching’ (DfE, 2010); this white paper was followed up in 2011 by an implementation plan entitled ‘Training our Next Generation of Outstanding Teachers’ (DfE, 2011). It is not surprising, therefore, to find this terminology applied in practice. One must remember that English schools and teacher education providers are inspected by the Office for Standards in Education, Children’s Services and Skills (Ofsted). Ofsted requires that PSTs are graded, with the highest grade being outstanding. Other terminology employed in Ofsted’s documented expectations and in Ofsted reports of institutional inspections is often mirrored in faculty documentation and, consequently, enters into the vocabulary of the faculty. The group referred to partnership, to quality assurance and to the faculty advisor’s role in checking the mentor’s grading of the PST. There is a requirement for PSTs to undertake self-audits and to document their reflection in a training log. The group talked of ‘fire-proof procedures’ with the example of a flowchart describing what should happen if a student fails a classroom observation. This appeared to mean that there should be safety measures in place for failing students and a written procedure for every eventuality. They also discussed the training of faculty advisors and of school mentors. This discussion indicates a far more procedural approach to the practicum than seen elsewhere in this data. The processes to be complied with by all three stakeholders should be documented in the handbook,

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with checks to ensure conformance with these processes. External factors that were not mentioned in other groups include teachers’ performance-based pay. Mentors are sometimes concerned that the performance of the PST that they mentor in their classroom might impact on the performance-based aspect of their own pay. If their performance is judged by their pupils’ outcomes in SATs, for example, they worry that the obligation to host a PST to teach their pupils can impact on the pupils’ performance. Other external factors referred to included: the pressure on students to pay course fees, and the time faculty staff spend dealing with Ofsted related issues. One member of the group said “I waste a day a week faffing around with (expletive deleted) Ofsted”. Much of the discussion covered topics revealed in other focus groups. These were the pressures on PSTs from their external commitments, their resilience, the opportunity for them to show initiative and learn from their mistakes, and the chance to cope with the diversity of placements. A common issue raised was the demand for PSTs to act professionally; an example given was the PST with a tongue piercing. The image generated in Fig. 9.18 was annotated more extensively than other images. It is entitled the cycle of initial teacher education. The tree is the student body; the wind disperses the effects to other schools. The tree roots symbolise the PST’s embedding in the school, allowing them to flourish. The tree also indicates the development of the PST’s character, enabling them to thrive upon their graduation to a newly qualified teacher. The watering-can represents nurturing by the faculty advisor and the fertilizer, bottom left, additional support from the mentor, school, or university. The flying bird, overseeing all the trees, is the quality assurance bird. The bees gathering pollen are akin to students gathering information. If Derivation of the metaphor Life Cycle of Trees The tree in the centre represents the PST and the faculty advisor (entitled link tutor) is drawn as a watering can. The school and mentor are represented by the earth from which the roots of the tree gain their sustenance.

Fig. 9.18  Roe Deer Valley University Emergent Metaphor

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Table 9.23  Roe Deer Valley University CATWOE Analysis Customer: Actor: Transformation: World view:

Pre-service teacher Faculty/school PST: from novice to flourishing Newly Qualified Teacher (NQT) The Faculty belief that PSTs are nurtured within the practicum and can develop deeper roots to flourish as an NQT Owner: University/Faculty Environment: Student fees, Ofsted and SATs Root Definition: Life Cycle of Trees A Faculty responsibility to work with the school in order to nurture a PST to convert them into a flourishing newly qualified teacher, in an environment of student fees, Ofsted inspection and SATs.

one of the entities (mentor, faculty advisor) is not working effectively the support provided by the others should allow the PST to thrive. In other words, there are safety mechanisms in place. The CATWOE derived from the metaphor and the resultant transformation is presented in Table 9.23.

 onceptualising at Roe Deer Valley University, England: C Activity 3 In this final focus group of Roe Deer Valley faculty advisors, the social structures derived by Elder-Vass (2010) are presented in Table  9.24. Table  9.25 shows the social objects as categorised by Scott (2010). As one explores the data from these different perspectives and immerses oneself in the data by studying the paper-based data resources, one is able to move on to Activity 4, the stage of explaining. At this point one begins to see more clearly how the stakeholders see the issues and what is driving them emotionally.

Explaining at Roe Deer Valley University, England: Activity 4 This group was interviewed towards the end of the academic year. It is a very small group and includes the Academic Director for Primary Partnerships and the Partnership Coordinator. It is therefore to be expected that they talk confidently about the protocols and procedures of the placement. We notice that the term ‘partnership’ is included in both their titles. This factor reflects the finding in the Badgerford faculty advisor group, that the term ‘partnership’ is being adopted by universities in England. While much of the discussion reflects aspects that have been mentioned by other focus groups of faculty advisors, there were some unusual factors found in this group. They mention a weakness that was found in PSTs, resulting they surmised from poor

Explaining at Roe Deer Valley University, England: Activity 4

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Table 9.24  Roe Deer Valley University, Entities and Powers Roe Deer Valley University, England Life Cycle of Trees Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events MENTOR Their performance OVERALL 100% female, Common OUTCOME review, and hence 100% primary understanding of To convert a naïve their pay, can be goals, trained Experience impacted by PSTs pre-service teacher share best practice 50% 5 years to a flourishing 50% 1 year External PRE-­ Resilience newly qualified association and Ability to reflect commitment SERVICE teacher proximal norm Learn from Paying fees TEACHER group Unrealistic ideas of Metaphor identified mistakes by group being primary Collect knowledge teacher Poor recruitment FACULTY Waste time faffing Quality assure ADVISOR around with Ofsted grades Modelling, microteaching Safety valve School SATs take time Diversity of placement Ofsted Takes time Best practice days Practicum Too much paperwork Entities in capitals are INDIVIDUALS, entities in lower case are social group or organisations and entities in italic are objects or conceptual entities. Figure 8.2 is a guide to completion of this table Table 9.25  Roe Deer Valley University, Social Objects Roe Deer University, England Discourse Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s Social Objects Waste time faffing around with Ofsted, outstanding teachers, fire-proof procedures, quality assurance Resilience, Ability to reflect, learn from mistakes, Collect knowledge, unrealistic ideas, act professionally (e.g. tongue piercing) Quality assure grades, Modelling, microteaching as a safety valve Ofsted Mentor, PST, Faculty Advisor, School, practicum, time 100% female, 100% primary, Experience 50% 5 years, 50% 1 year, association and proximal norm group

recruitment practices and their lack of resilience. They did not discuss how resilience might be judged at the recruitment stage. Given that they were discussing undergraduate courses for primary teaching, they were concerned that so many of their applicants were recruited directly from school. They have little experience outside of school and

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Roe Deer PSTs wish to support PSTs by retaining and enhancing quality assurance of the practicum (their value functioning). Enabling Tendency: wish to support PSTs by retaining and enhancing quality assurance of the practicum. Achieves value functioning

Constraining counter-tendency: Mentor: Performance-based pay, their performance review, and hence pay, can be impacted by PSTs PST: External commitment, Paying fees, Unrealistic ideas of being primary teacher poor recruitment School: Ofsted and SATs take time Practicum: too much paperwork Exit

Voice

Loyalty PST & colleagues Complies with the constraints Addresses weaknesses in recruitment, focuses on developing realistic expectations in PSTs.

Decides not to achieve their Contends or evades the value functioning constraints Although this group identify Hope for reduction in some issues, they appear paperwork. Starts to to be on top of the job and satisfice once systems are would therefore be unlikely in place, rather than look to exit. Possible that the for continuing improvement bureaucracy could lead to them stepping down from coordinating role FAs have put in place an effective quality assurance system that they wish to maintain and enhance. Includes commitment to partnership

Fig. 9.19  Roe Deer Valley University, Value Functioning

are making a vocational choice at 18. Another comment about PSTs was that a number of them did not accept that they were failing, the respondents reported that they ‘bottled it up’ rather than raising it with their visiting faculty advisor. Reference was made to the training of mentors and also to the training of faculty advisors (FA) so that ‘all partners were prepared, trained and quality assured’. The term quality assurance arose on a number of occasions. While mentors allocate PSTs’ grades for teaching, the faculty advisor’s role is to quality assure and moderate these grades. The group also talked about placing their PSTs in good schools. The value functioning of the group is presented in Fig. 9.19. We conclude that the faculty advisor has fully adopted a partnership model and is committed to enhancing the quality assurance role of the university.

Conclusion In this chapter we have applied the Womposo, strategy as we did in the previous chapter. For each focus group we presented Activity 1 Finding out, Activity 2 Modelling, Activity 3 Conceptualising and Activity 4 Explaining. We collected the data from the second set of stakeholders who were the faculty advisors. In each case a metaphor and associated transformation was revealed by using the CATWOE method. In this chapter all the drawings were produced by the focus group, whereas in the previous chapter each metaphor was illustrated by a professional illustrator.

References

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Thus, in Chap. 8, the reader is assisted in comprehending the holistic image of the metaphor and, in this chapter, the reader is faced with interpreting examples of the respondents’ rich pictures. This approach is intended to help the reader begin to perceive the derivation of a suitable metaphor. There may well be occasions where an alternative metaphor could be envisaged. As with the PST data in Chap. 8, Activity 2: modelling for faculty advisors yields two transformations. These are firstly, transformations of the PST and secondly transformations of the practicum. With this set of stakeholders, the faculty advisors, there are fewer examples of the transformation of the practicum than there were with the set of PSTs. There is one example where the transformation is unclear. Raccoon Technical University’s metaphor of dissonance may refer to the transformation of the faculty rather than to the transformation of the practicum. Another group, Roe Deer Valley University, perceives the transformation as that of the PST to a newly qualified teacher. However, the group extend this transformation to include that of the newly qualified teacher being transformed into a more experienced teacher. This example is similar to the Grey Seal University focus group in Chap. 8, where the transformation bordered on being that of the education system. Once the data presentation for the final mentor set of stakeholders has been completed, we can consider the range of transformations more fully. In Activity 3: Conceptualising, the data was explored and categorised using social entities (Elder-Vass, 2010) and social objects (Scott, 2010). Once immersed in the data, the researcher can imagine the perspective of the faculty advisor. As in Chap. 8, the modal respondent for the focus group is taken to generate the value functioning for the group. In many respects, this analysis was a slightly easier activity for the researcher than attempting to interpret the PSTs’ discussions as the researcher has experienced some of the faculty advisors’ feelings or worked with others who espoused similar perspectives. Several focus groups wish to support, nurture and, at the extreme, protect the PST. Applying Activity 4 and completing the value functioning figure, in order to explain the situation, exposes the caring nature of the faculty advisor role. This result compares with the metaphors and transformations revealed in Activity 2, which focus on the conversion of the PST from student into professional teacher. Using the value functioning technique, one can see that some faculty advisors confer their loyalty on the university or faculty rather than the PST. As in Chap. 8, we are not attempting to determine cause and effect here, it will be addressed later. In Chap. 11, the outcomes from this chapter, together with the outcomes from Chaps. 8 and 10, will be considered.

References Borg, M. (2004). Key concepts in ELT: The apprenticeship of observation. ELT Journal, 58(3), 274–276. Buchanan, D., & Boddy, D. (1992). The expertise of the change agent: Public performance and backstage activity. Prentice Hall.

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Burton, N. (2000). Costing initial teacher education: Do institutions cost their primary provision? Higher Education Quarterly, 54(3), 259–273. Call, K. (2018). Professional teaching standards: A comparative analysis of their history, implementation and efficacy. Australian Journal of Teacher Education, 43(3). https://doi.org/10.14221/ ajte.2018v43n3.6 Department for Education (DfE). (2010). The importance of teaching: Schools White Paper (Cm7980). The Stationery Office. Retrieved from www.education.gov.u/publications Department for Education (DfE). (2011). Training our next generation of outstanding teachers: Implementation plan. The Stationery Office. Retrieved from www.education.gov.u/publications Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Hirschman, A. O. (1970). Exit, voice and loyalty: Responses to decline in firms, organizations and states. Harvard University Press. Lortie, D. C. (1975). Schoolteacher: A sociological study. University of Chicago Press. Scott, P. (1995). The meanings of mass higher education. The Society for Research into Higher Education and Open University Press. Scott, D. (2010). Education, epistemology and critical realism. Routledge. Sen, A. (1999). Development as freedom. Oxford University Press. Seuss, D. (1990). Oh the places you’ll go. Random House. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan.

Chapter 10

Mentors’ Expectations and Perspectives

Abstract  The aims of the Practicum Study are to identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. In the Modelling stage of Womposo, the metaphors emerge. The Australian mentors produced the diverse metaphors: the Hothouse, Mother Nurture and Battery Hens. All three images are interpreted by the professional illustrator. The Canadian mentors reveal, in images drawn by a member of the focus group, Gateways to different Worlds and Cookie Cutter versus Ski Jumper. In other group-drawn images, the English mentors generate the concepts Welcome to the Circus and the Growth of Trainees. The derivation of the metaphor leads to a CATWOE and a root definition utilising the early stages of Soft Systems Methodology (SSM). All the mentor groups seek the transformation of the learner into a professional teacher. In the third activity of Womposo the data is categorised in two different ways, as social entities and social objects. This classification leads to the final activity, generating the value functioning figure for each focus group. This results in deductions such as the following: mentors from Possum Primary School in New South Wales seek to challenge and develop themselves professionally in a busy, hothouse environment. Keywords  CATWOE · Metaphor · Powers and liabilities · Practicum · Mentors · Root definition · Soft Systems Methodology (SSM) · Stakeholder · Transformation · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction The previous two chapters present the data from the pre-service teachers’ (PSTs) focus groups and the faculty advisors’ focus groups and apply the Womposo method to interpret the data. This chapter considers the final set of data, that from the mentors supervising PSTs in schools. We address activities 1, 2, 3 and 4 of the Womposo model, see Fig. 10.1.

© The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_10

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10  Mentors’ Expectations and Perspectives • Problem situation • Planning • Data collection

• Functioning value • Tendences and counter-tendencies • Exit, voice and loyalty

Activity 4:

Activity 1:

Activity 3:

Activity 2:

Explaining

Conceptualising

Finding out

Modelling

• List entities, causal powers and liabilities • Norm groups • Social objects

• Metaphor • CATWOE • Root definition

Fig. 10.1  Worldview, metaphor and power of social objects (Womposo)

There are seven mentor focus groups from the three jurisdictions. In Activity 1: Finding Out, the problems that arose in Ontario when collecting this data are discussed, together with the decision reached to deal with the problem. Activity 2: Modelling describes for each school in turn, the nature of the school, the focus group membership and the themes arising in each discussion. Once again as in Chaps. 8 and 9, using parts of Soft Systems Methodology (SSM), we derive a root definition and identify a metaphor. A professional illustrator drew the images for the first three focus groups from New South Wales. The remaining four focus groups include the hand-drawn rich pictures from each group. Under Activity 3: Conceptualising, the data for each focus group is presented in a separate conceptualization table (for example, Table 10.2) and the CATWOE (for example Table 10.1) for each group yields the same transformation, that of the PST to a qualified teacher. For a more detailed description of Activity 3: Conceptualising, the reader should refer to Chap. 8. Using Womposo, we progress to Activity 4: Explaining. This final activity aims to yield insight into the discourse, behaviour and attitudes of the stakeholder group. A value functioning approach is combined with the ‘exit, voice and loyalty’ model to form, the Value Functioning figure, see for example Fig.  10.4 (Tao, 2016; Sen, 1999; Hirschman, 1970). Chapter 4 discusses the source of the models and generates the concept of the ‘enabling tendency’, that is the desire of the stakeholder and the ‘constraining counter-tendencies’ with which the stakeholder has to contend.

Activity 1: Finding Out

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Aims of the Practicum Study To identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. To relate these mechanisms to the policies within each jurisdiction the culture of each jurisdiction the stakeholder’s position within the practicum. Fig. 10.2  Aims of the practicum study

In this final data chapter, we take each university in turn and progress through Activities 2, 3 and 4 for the mentor groups. The aims of the Practicum Study, first presented in Chap. 7, are listed in Fig. 10.2. The outcomes from the three sets of stakeholders are collated to address the aims in Chap. 11. A pseudonym is allocated to each university and used throughout the data collection and interpretation stages. Where relevant, the schools visited are also assigned a suitable similar pseudonym. In each case animals found in the jurisdiction form part of the name to aid the reader with locating the institution and the focus group. This chapter makes many references to the children in the school. Although mentors frequently call them students, we have chosen to term them pupils to distinguish them from the university students. The latter are mainly entitled PSTs but occasionally the term student is used. In the value functioning table, such as Fig.  10.4 the term exit means ‘exit from mentoring’ and not ‘exit from teaching’. This usage contrasts with its interpretation in Chaps. 8 and 9 where faculty advisors would exit the job and PSTs would exit the course.

Activity 1: Finding Out In this chapter, data from seven focus groups is presented, unlike the previous two chapters where there were eight sets of data. This difference was due to a problem with convening one of the mentor groups in Ontario. The data collection in Ontario was organised through a key contact in each of the three universities. The researcher met each key contact and discussed the Practicum Study during a summer visit to Toronto. Following this meeting, all necessary documentation was dispatched to the three gatekeepers, and through their endeavours, university ethics approval was acquired. The researcher then made a one-week visit to Toronto in the snowy mid-­ winter, to meet the three different stakeholder focus groups. Convening a group relied upon the key contact in each university being able to organise an event within that timescale. While two of the universities were within easy travelling distance of Toronto, where the researcher was staying, one of them was a lengthy rail journey

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and the plan was to undertake all three focus groups within 1  day. Although the university gatekeeper managed to arrange the faculty advisor group and the PST group, she was unable to assemble a group of mentors during that day. As it was not feasible to arrange an alternative, the number of mentor focus groups was reduced to seven. Complications of this sort frequently arise within research projects, and it was not practical to find a substitute for the lost group within the timescale. We judged that no-shows could be accommodated due to the qualitative nature of the research, and the fact that there was sufficient data representing the three jurisdictions, and sufficient data representing the three sets of stakeholders. Each gatekeeper was provided with various parameters to apply when convening a suitable group of mentors. The researcher requested groups of 4–6 respondents, from primary or secondary schools with experience of mentoring. Each participant in a focus group was provided with an information form, a summary of the research and a participation consent form. In addition to an oral briefing from the researcher, each participant was supplied with an instruction sheet. Before each group discussion, the participants spent 10 minutes individually considering three questions: (1) What are the factors that impact the PSTs’ experience during the practicum? (2) Which factors help them to become a better teacher? (3) Which factors hinder or slow their development? At the start of each focus group, respondents were also asked to complete a data sheet indicating; their gender; the length of time they had been teaching; the length of time mentoring; any specific role that they held; the age group taught; and, where applicable, the subject taught. One group comprised fewer than four respondents and one group included more than six. The gatekeeper was permitted to form a group of members who all work in the same school or to invite mentors from different schools. These factors are noted in the contingent conditions in the conceptualisation tables such as Table  10.2. ‘Norm circles’ and ‘interaction groups’, as defined by Elder-Vass (2010), are part of his application of critical realism within the social sciences. A set of definitions of the social structures formed by human groups is presented in Table 8.3 in Chap. 8. In six of the seven focus groups, the researcher visited a school where all the members of the focus group worked, hence six focus groups were associations and proximal norm circles. However, the remaining Canadian focus group was held on the premises of the associated university and includes teachers from different schools. It is likely to be an interaction group.

Modelling at Old Possum University, NSW: Activity 2 The focus group meeting for the Old Possum University mentors was held in Possum Primary, a mixed primary school where all the respondents worked. 80% of the group were female and 40% of the group had been teaching for 3–6 years, with the remainder teaching for 12–33 years. 20% of the respondents had mentored for

Modelling at Old Possum University, NSW: Activity 2

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17 years and 80% had mentored for 1–8 years. All respondents were class teachers. They did not self-identify as managers or administrators. The school was a ‘demonstration school’, situated in a high-density metropolitan suburb with children from 58 different language backgrounds. A demonstration school is a school that is in partnership with a university to foster and support the use of evidence-based and innovative teaching practices. Possum Primary has had a long-standing relationship with the education faculty of Old Possum University through its demonstration school status. The metaphor that emerged to represent this discussion was expounded by the group, in the final stage of the discussion.

Fig. 10.3  Old Possum University emergent metaphor

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Table 10.1  Old Possum University CATWOE analysis Customer: Actor: Transformation:

Pre-service teacher University/school PST: To convert a neophyte into an independent, self-motivated, flexible teacher with the ability to plan World view: A belief that the school is a hothouse environment where some PSTs flourish and others are ill- prepared and overloaded Owner: University Environment: a busy, well run school with a professional learning culture Root definition: The hothouse A university responsibility to work with schools to convert the PST from a neophyte to an independent, self-motivated, flexible teacher able to plan in order to benefit pre-service teachers developing in the hothouse environment of a busy, well run school with a professional learning culture.

The metaphor of the ‘hothouse’ reflects the image of PSTs as plants protected from some of the extremes of the weather; they are also expected to grow and develop quickly. We are comparing the PSTs with forcing seedlings, stimulating them to develop more rapidly than they would in natural circumstances and preparing them to thrive in an alien or hostile environment. Figure 10.4 selects certain aspects of the metaphor. The hothouse represents the school. The ‘wise old bird’ perching on the roof of the hothouse symbolises the faculty advisor who observes and monitors the development of the PSTs and then flies away. The mentor is characterised as a competent, professional gardener, with considerable experience to share. Part of the mentor’s role is to measure the progress of each plant. The PSTs are represented by the plants, some flourish, some outperform the majority, and a small proportion wilt. There were a number of discrete discussions within this group that reflect the metaphor. One of the mentors posed a rhetorical question - ‘Why is the job so stressful?’. She talked at length about the pressure on the teachers and on the pupils and the need to follow the priorities of ‘whoever was in government at the time’. She stressed the conflicting demands upon her and the responsibility she has to prepare the PSTs to satisfy these same demands. The group perceived the entire education system as a ‘hothouse’ for teachers, PSTs and pupils alike. In Fig. 10.3, you will find the metaphor illustration followed by the CATWOE analysis for this focus group in Table 10.1.

Conceptualising at Old Possum University, NSW: Activity 3 Activity 3 is now applied for Old Possum Mentors. Table 10.2 utilises the concepts of Social Structures as devised by Elder-Vass (2010). Table 10.3 is based on Scott’s (2010) Social Objects. In addition to using the data recorded in Table  10.2, the researcher consulted the individual respondents’ notes, the group notes and the researcher’s contemporaneous mind-maps to form Table 10.3 and inform Activity 4.

Department of Priorities keep changing, constant Education (DEC) increase in expectations

School

Need improved coordination and Better communication Does not inform school of language weaknesses of PSTs Job is hard and stressful Busy environment

Subject to conflicting demands Poor language skills Some will wilt under pressure

Liabilities Why is this job so stressful on PSTs, teachers and pupils?

The Hothouse

Events OVERALL OUTCOME To convert the PST from a neophyte to an independent selfmotivated flexible teacher [metaphor identified by group]

Table 8.2 is guide to completion of table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities

Well run school Professional learning culture Provides access to resources Supportive behaviour management system

Old Possum University, New South Wales Motivating question: What factors help/hinder a PST’s development as a teacher? Contingent conditions Powers Entity MENTOR Like a gardener, professional, shares 80% female experience, measures progress of PST, 40% teaching prepares for demanding job. Provide 3–6 years support and flexible 60% teaching 12–33 years PRE-­SERVICE Ability to self-reflect over short and long Primary TEACHER term, learns to plan lessons and manage All class teachers time, some able to gauge their performance Demonstration from pupils’ work school, children Like wise old bird, keeps an eye on PSTs FACULTY from 58 different but flies away ADVISOR language groups Norm group

Table 10.2  Old Possum University, entities and powers

Conceptualising at Old Possum University, NSW: Activity 3 281

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Table 10.3  Old Possum University, social objects Old Possum University, New South Wales Scott’s social objects Discourse Hothouse. Conflicting demands, wise old bird, professional learning culture Agential (self) Demonstration school, like a gardener, keen on self-development Agential (PST) Can self-reflect, lesson plan, manage time, gauge own progress from pupils’ work Poor language skills, wilt under pressure, conflicting demands Initiative and self-motivation Regulatory Department of Education changes priorities, strong school behaviour management system Embedded Mentor, faculty advisor, PST, school, Department of Education Social markers 80% female, 40% teaching 3–6 years, 60% teaching 12–33 years, primary, all class teachers, demonstration school, children from 58 different language groups Association and proximal norm group, large group

Explaining at Old Possum University, NSW: Activity 4 The mentors at Possum Primary are supportive of their PSTs and are aware that they must be alert to any students suffering from a personal crisis. They note that some PSTs are better able to connect the University course to their school experience. PSTs also vary in their willingness to accept feedback, the quality of their relationship with pupils, their understanding of the school environment and commitment to the school. Finally, the clarity of a PST’s language is important to their success, and the University is not diligent in informing the school when use of English is an issue. This school has a number of students who attend in pairs and these buddies share classes. There are pros and cons to this system, while buddying often grants struggling students more confidence, it reduces the amount of teaching time for each member of the pair. The focus group feels that there are some constraints on what can be achieved in school. The first constraint is that the demand to grade the PST’s teaching limits the spontaneity of students’ work. The established school programmes also limit the opportunities for students to plan or to determine what to teach. Pre-planned units of work and the use of textbooks confine a PST’s activities. It is important that the school understands the requirements and expectations of students at each level of their training. This school accepts both undergraduates and postgraduates at different phases within their training. The school is busy with many activities outside the classroom, including a range of extracurricular activities, making it difficult for the mentor to find time to feedback to the PST. A final, important feature raised by a number of these teachers, that was not mentioned by other mentor groups, was that they, the mentors, are not offered sufficient opportunity to become engaged in the taught elements of the course. The value functioning model is shown in Fig. 10.4. As a demonstration school, Possum Primary has been linked to Old Possum University for many years and sees itself in a privileged position. It hosts events for other local schools to share experience of enhancement projects that are being undertaken in the schools. As such it perceives itself as distinctive and the teachers are keen on

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Old Possum Faculty Advisors wish to professionally develop themselves and the PSTs in a busy, stressful environment (their value functioning). Enabling Tendency: Wish to professionally develop themselves and the PSTs in a busy, stressful environment Achieves value functioning

Constraining counter-tendency: Self: Why is this job so stressful on PSTs, teachers and pupils? Job is hard and stressful, busy environment, changes in requirements of Dept. of Education. Dealing with PSTs’ crises. PST: Subject to conflicting demands, poor language skills, some will wilt under pressure, Faculty Advisor: Need improved coordination and better communication, doesn’t inform school of language weaknesses of PSTs. Exit Decides not to achieve their value functioning The mentor may refuse to supervise a PST, decide to retire or move to another school.

Voice Loyalty (to school) Contends or evades the Complies with the constraints constraints The mentor might exercise The mentor makes an voice and try to negotiate effort to handle their having some input onto the stress and the PSTs, University course as a quid and to be pro-active pro quo for mentoring a with the faculty PST. advisor. The Mentor is keen on their own professional development and sees mentoring as part of this. Wants to mentor well.

Fig. 10.4  Old Possum University: value functioning

self-development. While Possum Primary provides a hothouse environment for its mentors, as well as its PSTs, it also motivates them to develop. We conclude that the mentors seek to challenge and develop themselves professionally in a busy, hothouse environment.

Modelling at University of Wallaby Creek, NSW: Activity 2 The Wallaby Creek mentors worked at Marsupial Girls’ High; a secondary girls’ high school located in a residential, outer suburb recruiting pupils from a wide geographical area. The demographic profile of the school is multi-cultural, it has become popular with Muslim students leading to two versions of the school uniform. The focus group was convened on school premises. 83% of the group were female, 33% had been teaching for 7 years, the remainder from 17 to 33 years. All had mentored for many years. The range of subject specialisms amongst respondents was broad. The Professional Experience Co-ordinator, responsible for organising the practicum for PSTs from seven local universities, attended the focus group. It is unusual for a school to work with so many universities; the group referred to the differences between these universities. The metaphor ‘Mother Nurture’, devised by the researcher, highlights the role of the Professional Experience Co-ordinator in this school; in Fig. 10.5 she is portrayed as Mother Duck. The PSTs are portrayed as ducklings, the duck observing from the edge of the pond, represents the faculty advisor. The ducklings are swimming in the pond’s safe environment, overseen by these characters. In the Possum Primary illustration, we saw three plants at different stages of development. Here we perceive three grades of duckling. The first is swimming confidently; the other two remain near mother duck. The smallest duck is the least confident, poorly prepared for

Fig. 10.5  Wallaby Creek emergent metaphor Table 10.4  University of Wallaby Creek CATWOE analysis Customer: Actor: Transformation:

Pre-service teacher University/ professional experience co-ordinator/school PST: From naïve PST with ideas, good literacy skills and subject knowledge to a qualified teacher World view: A belief that the school provides a safe, nurturing setting for PSTs who bring up-to date knowledge and new ideas with them Owner: University Environment: Demands of the Australian professional teaching standards and NSW Department of Education Root definition: Mother nurture A university responsibility to work with the school and the professional experience co-ordinator to convert the PST from a naïve student with ideas, good literacy skills and up-to-date subject knowledge to a qualified teacher, supported within a safe, nurturing setting in an environment where the Australian professional teaching standards have to be achieved.

this new world. The discussion in the focus group includes a recommendation that students should not be permitted to enter the programme unless they meet the mentors’ expectation of minimum standards. The standards that they specified include subject knowledge; English language ability; literacy; and generation of ideas. The implication from the mentors’ discussion was that a group of PSTs, here represented

Conceptualising at Wallaby Creek University, NSW: Activity 3

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by the smallest duckling, should not have been admitted to the programme. Despite this pessimistic view of some of the PSTs, the mentors felt that the PSTs bring a range of intellectual and practical resources that benefit the school. Figure 10.5 is the researcher’s and illustrator’s interpretation of the metaphor and Table 10.4 is the CATWOE analysis for the Marsupial Girls’ High School focus group.

Conceptualising at Wallaby Creek University, NSW: Activity 3 Table 10.5 utilises the concepts of Social Structures as devised by Elder-Vass (2010). Table 10.6 is based on Scott’s (2010) Social Objects.

Table 10.5  Wallaby Creek University, entities and powers Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities MENTOR Not always aware of Enthusiastic 83% female PST’s first subject Open minded 38% teaching Welcomed PSTs 7 years 62% teaching PRE-SERVICE Not all hit minimum Confident and 17–33 years TEACHER standard especially independent Wide range of Contributes new subject knowledge subjects taught subject knowledge, and literacy, Girls secondary literacy and confidence with high school English language teaching ideas to with large the school proportion of Muslim PROFESSIONAL Helps to provide students EXPERIENCE safe environment Professional Supports PSTs who COORDINATOR experience need extra help coordinator School Cannot always Proud of multipresent, works match PST to cultural ethos with 7 preferred teaching Supportive set of universities subject values Association and Sees itself as a proximal norm training school, group values practicum Works with 7 universities Values as a recruitment tool

Practicum

Set teaching standards for PSTs

Department of Education (NSW)

Events OVERALL OUTCOME To convert the naïve PST with ideas, good literacy skills and subject knowledge to a qualified teacher [Metaphor identified by researcher]

Working with many universities with different systems and demands is challenging

Table 8.2 is guide to completion of table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities

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Table 10.6  Wallaby Creek University, social objects Wallaby Creek University, New South Wales Discourse Agential (self) Agential (PST) Regulatory Embedded Social markers

Scott’s social objects Multi-cultural ethos, training school, recruitment tool Enthusiastic and open, not always trained, unfamiliar with documentation Competence English language, bring new resources e.g. IT, subject knowledge Department of Education, teachers standards Mentor, PST, school, practicum, professional experience coordinator 83% female, 38% teaching 7 years, 62% teaching 17–33 years, wide range of subjects taught, girls secondary high school with large proportion of Muslim students Professional experience coordinator present, works with 7 universities, association and proximal norm group, large group

Explaining at Wallaby Creek University, NSW: Activity 4 Marsupial Girls’ High is a large secondary girls’ school. It is unusual in taking practicum placements from seven universities in total. In the light of this factor, it has a Professional Experience Coordinator to coordinate links with the universities. Understandably, one of the requests from the mentors was that all universities should have the same procedures and documentation. There would, of course, be no way to enforce this consistency. Working with so many institutions leads to timing clashes with the PSTs allocated to the school. Another request from mentors is that the universities should provide them with the University course syllabus and the curriculum contents. The group welcomes the PSTs who bring new ideas and up-to-­ date knowledge but, nevertheless, would like to preselect the PSTs to host. PSTs are expected to arrive with a clear idea regarding why they want to teach, they should know their subject content and be prepared to consider the time-management of their classes. The illustration that the mentors drew during the meeting includes a request for a third stage between the university ‘learning and knowledge’ stage and the school experience, where pre-service opportunities should be scheduled. During this period, the student could drop into the school to observe and become better prepared. Although the university was mentioned on many occasions, there was no direct reference to the faculty advisor. The value functioning model is shown in Fig. 10.6. As with a number of other focus groups, there was reference to the PSTs’ English standards. In this instance the group call them personal literacy skills. Although it is clear that, in all three jurisdictions, PSTs are often placed in a school with pupils from multiple language backgrounds, there is no suggestion that it is common for the PSTs to have English as a second language. The poor literacy skills referred to mainly relate to students whose primary language is English. PSTs’ subject knowledge may also be limited, often because they have been allocated to their second

Modelling at Australian Koala University, NSW: Activity 2

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Wallaby Creek Faculty Advisors wish to be better trained in order to supervise PSTs and use Teachers’ Standards effectively (their value functioning) Enabling Tendency: Their desire to be better trained in order to supervise PSTs and use Teachers’ Standards effectively. Achieves value functioning

Constraining counter-tendency: Working with many universities with different systems and demands is challenging PST: Not all achieve minimum standard especially subject knowledge and literacy, confidence with English language, cannot always match PST to preferred teaching subject Mentors need training including re Teachers’ Standards.

Exit Decides not to achieve their value functioning May be feasible for mentor to refuse to supervise a PST by persuading colleague to take responsibility.

Voice Contends or evades the constraints The mentor complains to Professional Experience Coordinator and muddles through.

Loyalty to PSTs Complies with the constraints The mentor makes an effort to be familiar with Teachers’ Standards and to check relevant university documentation.

The mentors seem enthusiastic and often benefit from the PST that they supervise. They would like to be trained and wish that the many partner universities would coordinate and align their systems.

Fig. 10.6  Wallaby Creek University: value functioning

subject, where they are less confident. The mentors accept that it is their responsibility to be a good teacher and an effective role model. They wish to understand the Teachers’ Standards better, recognising that the Professional Experience Coordinator can, to some extent, address this shortfall. Marsupial Girls’ High clearly sees itself as a training school for novice teachers. The role of the Professional Experience Coordinator is threefold: to administer the relationship with seven universities, including Wallaby Creek and Old Possum; to support and partially train mentors; and to support PSTs by providing a second level of assistance when needed. The nurturing metaphor illustrates the unusual case where the Professional Experience Coordinator in the school assumes this role. We conclude that mentors are enthusiastic and would like to be trained, often benefitting from the PST they supervise.

Modelling at Australian Koala University, NSW: Activity 2 The final mentor focus group in New South Wales was convened in Koala Boys’ Secondary, a Catholic school for boys in an inner suburb of the city. This independent school was founded in the 1890s and educates boys from year 5 upwards, its website stresses the benefits of educating boys separately from girls and lists the school’s values as commitment to the poor, to family and to Jesus. 75% of the group members were female and had taught for between 9 and 30 years and mentored for between 5 and 25 years. They taught subjects covering a range of humanities disciplines. Communication between the school, the university gatekeeper and the

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researcher proved problematic, and the focus group had been scheduled and rescheduled. Due to this communication problem, the participants did not all receive the pre-event information, and some had to leave early. They appeared reluctant to spend time on this activity and were less constructive than other groups. The focus group took place in a traditional wood-panelled room with photographs of past principals, Catholic Brothers, lining the walls. This location contributed an imposing atmosphere to the meeting. This group discussed the informal conduct of PSTs and how their behaviour impacts on the judgment made by the mentor. PSTs are judged to be behaving professionally if they contribute to the team; attend afterschool activities; volunteer to do extra tasks; and dress appropriately. They may demonstrate weaknesses in their classroom teaching but, if they are seen to be contributing to the life of the school and conforming to the school’s habits and customs, mentors appear to excuse their failings. The expectation that PSTs will act as professionals and contribute fully to school activities was raised in many focus groups. Occasionally, mentors acknowledged long journeys to school; family commitments; and pressure of lesson preparation and were more forgiving. However, this group focussed on the ‘professional behaviour’ issue and were less tolerant of transgressions. The school clearly has rigid expectations and expects conformance. One male teacher in the focus group described, at length, his experience with a

Fig. 10.7  Australian Koala University emergent metaphor

Conceptualising at Australian Koala University, NSW: Activity 3

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Table 10.7  Australian Koala University CATWOE analysis Customer: Actor: Transformation: World view: Owner: Environment:

Root definition:

Pre-service teacher University/ school PST: From an inexperienced novice with limited energy and insight to a professional who can operate under pressure. A belief that teachers and PSTs are battery hens, under pressure to conform in a constrained and repetitive environment. University University places students for short periods at inappropriate times. School environment puts teachers under pressure to many tasks and to be accountable. Battery hens

A university responsibility to work with the school to convert the PST from an inexperienced novice, with limited energy and insight, to a professional who can operate under pressure in a demanding and constraining environment

male PST who refused to wear a tie in school. Despite numerous requests, the PST continued to refuse, and the issue remained unresolved much to the chagrin of the mentor. Another prevailing concern returned to frequently, was that PSTs do not have enough ‘battery power’ to energise them throughout an extended school day and a long school week. This factor, together with mentors’ disparaging remarks about PSTs, reflects the mentors’ heavy workloads, and precipitates the metaphor of battery farming, see Fig. 10.7 and Table 10.7. There were few comments made to indicate supportive or accommodating relationships between mentor and PST.  The group had a critical view of the practicum process, very short practicum and its timing coinciding with external examinations. The metaphor derived is a play on words, based on the reference to the daily energy required by a PST, and the factory farming analogy. The school culture, developed over more than a century from the norms and mores of a traditional faith base and its morally binding customs, appears more rigid than the other schools visited.

 onceptualising at Australian Koala University, NSW: C Activity 3 Table 10.8 utilises the concepts of Social Structures  (Elder-Vass, 2010) and Table 10.9 is based on Social Objects (Scott, 2010).

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Table 10.8  Australian Koala University, entities and powers Australian Koala University, New South Wales Battery Hens Motivating question: What factors help/hinder your development as a teacher? Contingent conditions Powers Entity Liabilities Events 75% female OVERALL Have to spoon MENTOR Always very busy Taught between 9 feed PST Do not have time for OUTCOME and 30 years Convert an PST or motivation All taught inexperienced novice or experience to humanities with limited energy mentor Secondary faith and insight into a Don’t have the PRE-­ Should school for boys energy to last a day professional who can contribute to all SERVICE May be norm operate under school activities TEACHER Shocked and group but with pressure surprised by If contribute large staff and intensity and nature judged to be part-time may of the work professional not have known If ‘liked’ will be Not motivated each other well Lesson planning forgiven Some of group poor weaknesses left early Lack subject knowledge Non-conformance with dress code [Metaphor identified School PST unprepared to Rigid join school activities by researcher] expectations and culture Expects conformance Practicum Timing often wrong, clash with exams Lack of visits by university Table 8.2 is guide to completion of table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities Table 10.9  Australian Koala University, social objects Australian Koala University, New South Wales Scott’s social objects Discourse Lack of energy, non-conformance, poor communication, pressure, accountability Agential (self) Do not wish to spoon feed, very busy, do not have time for PST or motivation or experience to mentor Agential (PST) Lack energy, not motivated, suffer reality shock, lack knowledge, will not conform to professional standards, feel overwhelmed Regulatory Clash with exams, rigid expectations from school Embedded Mentor, PST, school, practicum, Social markers 75% female, taught between 9 and 30 years, all taught humanities, secondary faith school for boys, may be norm group but with large staff and part-time may not really know each other, small group

Explaining at Australian Koala University, NSW: Activity 4

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Explaining at Australian Koala University, NSW: Activity 4 The rather unusual metaphor selected for this focus group, ‘Battery hens’, reflects the core of the mentors’ discussion at St Koala Boys’ Secondary. Many PSTs are reported as experiencing ‘reality shock’ and the mentors interpret this reaction as a weakness. The focus group comments that PSTs cannot deal with the daily pressure and are shocked about the level of accountability demanded of them. They are unable to differentiate the needs of the range of pupils or build the necessary relationship with these pupils. The mentors note that PSTs often have to sustain external commitments which adds to their workload and worry. Unsurprisingly, mentors comment that many PSTs do not take the initiative. While the school claims that it welcomes PSTs, it is clear that many mentors consider them an inconvenience. The focus group also perceive the practicum as too short, yet this factor is not related by them to a PST’s inability to cope with and handle their role in the school. Many of the issues raised by the mentors take time for the PST to accommodate. Like the previous focus group in this chapter, mentors comment that PSTs are not always allocated their main subject to teach and this lack of confidence and subject knowledge is problematic. The above description of the situation that a PST finds themselves in makes it unlikely that they will have the time to commit to extra-curricular activities and get more broadly involved in school life. Mentors, however, can be forgiving if they perceive the PST as behaving professionally. Demonstrating this achievement can be tricky as their definition of professionalism includes being willing and volunteering. The Australian Koala example that was referred to earlier in the Modelling: Activity 2 refers to a student who is not willing to adapt his dress to the school expectations, that is to wear a tie. The reason for this dispute between the mentor and the PST needs considerable unpacking, and that is not possible given that we only have the mentor’s perception. It may be that the PST held a principle that was of consequence to him. Alternatively, the disagreement between PST and mentor may have reflected other differences of view. It is possible that this action was the only way that the student could exercise agency in a situation where he felt overwhelmed and was performing poorly. The diatribe of the mentors reveals that they feel overworked, stressed and too busy. They have overcome their initial reality shock and have accommodated to deal with the workload and demands of the role, but they resent the addition and responsibility of supervising a PST. Theoretically the PST offers some support to the mentor by absorbing some of their teaching, however there is an increased volume of work as a result of mentoring the PST. Although it was not mentioned, many teachers will be concerned about the PST’s teaching impact on their pupils. Communication proved to be a problem in setting up this focus group and this example might reflect a general problem with communication between the university and the school. Communication is mentioned as an issue in virtually every focus group. It could reflect teachers operating in a busy working environment and receiving lots of

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Australian Koala University Faculty Advisors wish to reduce their workload and their accountability by avoiding having to mentor ill-equipped and sometimes difficult PSTs (their value functioning) Enabling Tendency: wish to reduce their workload and their accountability by avoiding having to mentor illequipped and sometimes difficult PSTs Achieves value functioning

Constraining counter-tendency: PST: Do not have the energy to last a day, shocked and surprised by intensity and nature of the work, not motivated, lesson planning poor, lack subject knowledge, non-conformance with dress code, unprepared to join school activities and culture Timing often wrong, clash with exams Lack of visits by university. Exit Voice Loyalty to PST Decides not to achieve Contends or evades the Complies with the their value functioning constraints constraints Mentor refuses to The Mentor continues to The Mentor tries to supervise PSTs. criticise the PSTs and ensure that they are Unclear how feasible impose unrealistic allocated more this would be within the expectations. By their competent PSTs. Still school. actions the mentor expects the PST to discourages the placement conform and perform. of PSTs with them. The mentor feels pressured and over-loaded and accountable. The PST adds to their workload and provides another element that they must be accountable for.

Fig. 10.8  Australian Koala University: value functioning

daily information. Mentors may have difficulty in finding time for reading and identifying the priorities. The reference to a lack of communication between the relevant parties may well refer to a surfeit of communication and subsequent difficulty for the recipient in filtering and remembering the information. Figure 10.8 presents the value functioning analysis. We conclude that mentors feel pressured, over-loaded and accountable. Supervising a PST adds to their workload and their accountability.

 odelling at Caribou Metropolitan University, Ontario: M Activity 2 The Caribou Metropolitan University mentor focus group included six female respondents, 28% of whom had 3–7 year’s teaching experience and 1–3 years as a mentor, while the remainder had 12–20 years of teaching experience and 6–15 years as a mentor. The focus group meeting was held in the elementary school where all the respondents worked. Maple Leaf Public School is an inner-city primary/junior mixed school that opened in the late nineteenth century. It is a large school serving a densely populated area of the city with children from 50 language groups and with 74% speaking English as an alternative language. The catchment area comprises partly Victorian terraced housing and villas that have been gentrified, together with

Modelling at Caribou Metropolitan University, Ontario: Activity 2

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numerous multi-story tower blocks. The school has a strong literacy and numeracy focus, it also emphasises social justice and equity, the need to provide a safe environment and to work with the community. The focus group was held in the school library at the end of the school day. The group began by exploring the importance of setting up a classroom to respond to the challenge of class management. This opening led to a long discussion about the competence of the faculty teaching the PSTs, the length of time since they were practicing in a classroom and their familiarity with current classroom practices, such as posting evaluation criteria on walls. The group discussed the hard and soft skills needed by a teacher and the importance of screening applicants to check their subject knowledge and language ability. These suggestions were followed by a discussion of the life skills needed by the PST, including prior work experience and life experience, such as doing their own laundry. The group emphasised the soft skills needed by a teacher, such as relationship building with the pupils, parents and other teachers, developing their awareness of different ways of relating. The group began to identify animals that they felt epitomised the characteristics needed; the elephant as intelligent, empathetic and loyal; ants with the facility to work as a team under the queen’s direction with a group brain enabling them to adapt ceaselessly. An interesting rich picture emerged from the group although it had no single coherent metaphor, see Fig. 10.9. This metaphor is interpreted as a CATWOE in Table  10.10. A circle with different entry points began to conjure up different worlds; the gates represent a screening system for assessing students for entry to the

Derivation of the metaphor Gateways to Different Worlds The circle, with different entry points, conjures up different worlds. Admission to the world should be demanding as illustrated by Alice approaching a small door. Inside the circle we see images representing the supportive mentor; the need for professionalism; the caring role of the teacher; and the proficiency in English demanded of the PST.

Fig. 10.9  Caribou Metropolitan University emergent metaphor

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Table 10.10  Caribou Metropolitan University CATWOE analysis Customer: Actor: Transformation: World view:

Pre-service teacher Mentor/ university PST: To convert a PST into as risk-taking teacher The belief that the practicum provides the opportunity for the PST to develop by being submersed in different worlds. Owner: School/ university Environment: Professionalism essential, teamwork vital, university assignments overload and not always practical Root definition: Gateway to different worlds A school responsibility to work through mentors to convert PSTs into a risk-taking teacher by submerging the PSTs in different worlds in a professional environment where teamwork is vital and university assignments can overload PST.

course. The group felt that the ability to speak and write correctly in English should be key to admission. Within the circle, the kayak captures the relationship between the mentor and the PST, representing the mentor as a guide, rather than an instructor. Professionalism is represented, with reference to that of the medical profession, by the serpent and staff symbol of the Hippocratic Oath. One respondent joked that she told PSTs that ‘in loco parentis’ means acting like ‘your crazy mom’, insisting pupils wear coat, hat and gloves when playing outside, at 12 degrees below zero. The penguins represent the childcare; the spade, hammer and backpack represent the tools needed. The large Alice in Wonderland is endeavouring to enter a small door; a set of scales represents the university course with balancing of assessments. The group suggests having fewer, more practical, rather than ‘make work’, assignments. There is no specific reference to the faculty advisor.

 onceptualising at Caribou Metropolitan University, Ontario: C Activity 3 Table 10.11 utilises the concepts of Social Structures  (Elder-Vass, 2010) and Table 10.12 is based on Social Objects (Scott, 2010).

Table 10.11  Caribou Metropolitan University, entities and powers Caribou Metropolitan University, Ontario Gateway to different worlds Motivating question: What factors help/hinder a PST’s development as a teacher? Contingent conditions Powers Entity Liabilities Events All from same OVERALL Not a solitary Guiding rather than MENTOR school, primary/ OUTCOME profession direct instruction, junior school. To convert a Emphasise meaningful feedback, 100% female, 28% provide practical PST to a teacher relationship have 3–7 years’ by submerging building tools for teaching experience and them in different Once PST PRE-­ Understanding of 1–3 years as an accepted can be worlds SERVICE professional associate teacher [Metaphor TEACHER mediocre boundaries 72% had between identified by Lack of critical Soft skills: 12 and 20 years researcher] thinking Relationship teaching experience building, Lack of PST’s and 6–15 years as ability to reflect collaboration, an associate teacher instinct, Ability to on their learning (mentor). Prior life speak and write Norm group experience and correctly in English. jobs experience, High academic like doing own standards laundry Professionalism University Tutors lack of More meaningful recent teaching feedback for fewer experience assignments Lack of teaching More practical classroom assignments, not just management. ‘make work’ School Not enough Need experience of observation in different cultures and classrooms classrooms Need to work as team Table 8.2 is guide to completion of table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities Table 10.12  Caribou Metropolitan University, social objects Caribou Metropolitan University, Ontario Discourse Agential (PST)

Agential (self)

Regulatory Embedded Social markers

Scott’s social objects Gateway to different worlds Positive: soft skills, relationship building, collaboration, instinct, ability to speak and write correctly in English. High academic standards Lack of: Critical thinking and communication skills, ability to reflect on their learning, appropriate prior life experience and jobs experience Guiding rather than direct instruction, give meaningful feedback, provide practical tools for teaching, not in a solitary profession, emphasis on relationship building Professional boundaries, Hippocratic oath (equivalent) Mentor, PST, university, school All from same school, primary/junior school.100% female, 28% have 3–7 years’ experience and 1–3 years as a mentor, 72% had between 12 and 20 years teaching experience and 6–15 years as an associate teacher (mentor). Association and proximal norm group, large group

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 xplaining at Caribou Metropolitan University, Ontario: E Activity 4 This group is the first of the two Canadian mentor focus groups. It was a big group of mentors working in the same large primary school, the meeting took place in the school library. The group members compiled a long list of competences, identifying the skills and characteristics that entrant PSTs should possess. A shorter list of hindrances was also formed. Several mentors had supervised students where their oral and written English language skills were considered inadequate. These mentors were concerned that the standards should be checked more rigorously by the university, before admitting the student. This focus group commented on the fact that some students spoke English as a second language. Not all the mentors had experienced this situation, suggesting that it may not be a large-scale problem. However, when it arises, it is serious. The mentors felt that Ontario should require applicants to complete a specific language course to ensure competence, such as that carried out in Quebec (Quebéc Ministère d’Éducation, 2021). In that province, the language test can be completed in either English or French. Another limitation of PSTs was their lack of communication skills including body language. Most of the qualities demanded by mentors are character-based rather than knowledge-based qualities and are difficult to determine through qualifications and standard assessment. The characteristics include: instinct, self-­ awareness, reflective practice, dedication, stamina, adaptability, respect for diversity, creativity, sensitivity, empathy, energy, compassion, patience and commitment. Teamwork was seen as a critical requirement. A few PSTs were considered overconfident, with a sense of entitlement or privilege. This group of mentors was aware of the forthcoming adaptation to the consecutive course to extend it to 2 years and to increase the amount of time in practicum, and welcomed this change. They hoped that this increase in time would allow the course to address issues not covered adequately at the moment, such as professional boundaries and classroom management strategies. While faculty advisers were not discussed, there was considerable discussion about the nature of the university course. The focus group had reservations about the currency of the faculty tutors’ knowledge of teaching in schools. The group was also critical of the assessment workload on PSTs, from the course, combined with completing two or three-day’s practicum per week. This assessment was considered to be ‘make work’, the activity of keeping someone busy. This was the only group to speak of the impracticality of certain prescriptions that are placed on students, for example the requirement to complete 25% of the normal teaching hours regardless of quality, the requirement to undertake storytelling within a unit and the contradictory requirement for PSTs to complete mandatory volunteer hours. There was much emphasis on professionalism, to the extent that in Table 10.12, professionalism is categorised under regulation. The group made only brief reference to the lack of jobs available. This group was an alert and perceptive set of mentors who are able to evaluate critically. At the final stage of the focus group, they were creative, they perceived the practicum as an opportunity for the PST to step into a different

Modelling at Raccoon Technical University, Ontario: Activity 2

297

Caribou Mentors wish to introduce competent PSTs to the new and exciting world of teaching (their value functioning) Enabling Tendency: wish to introduce competent PSTs to the new and exciting world of teaching Achieves value functioning

Constraining counter-tendency: Course: Inadequate selection techniques, tutors lack recent teaching experience, lack of teaching classroom management; assessment overload, too much prescription. PSTs: Lack of critical thinking, ability to reflect on learning, prior life experience, Poor oral and written English, lack of communication skills including body language. Exit

Voice

Loyalty to PST and the teaching profession Decides not to achieve their Contends or evades the Complies with the value functioning constraints constraints Mentor requests that they Mentor faced with a weak Mentor continues to are not allocated a PST this PST raises concern with build a relationship year. University and supports the with the PST and PST and maintains support feedback to help them to their class of pupils. improve. The mentor is keen to work with promising PSTs in order to enhance the profession and introduce the PST to a new, exciting and challenging world.

Fig. 10.10  Caribou Metropolitan University, value functioning

world. The well-drawn image, Fig. 10.9 reflects the variety of the worlds available to the teacher in training. Figure 10.10 presents the value functioning interpretation of the group. To summarise, these mentors are perceptive and flexible and want to introduce PSTs to the new and exciting world of teaching.

 odelling at Raccoon Technical University, Ontario: M Activity 2 Two mentor focus groups were held in Ontario, the second group represented Raccoon Technical University. All members of this group were female and worked in different schools. Their backgrounds covered teaching secondary and intermediate primary/secondary level. They all had lengthy teaching experience of between 15 and 34 years, their experience as a mentor ranged widely from 3 to 30 years. One of them also acted as an instructor (lecturer) and faculty advisor for Raccoon Technical University. This group was the only mentor focus group not emanating from a single school. Therefore, it was an interaction group (Table 10.14). The focus group was convened at the university. Members raised the same issue as that discussed doggedly by the Australian Koala University mentors. The issue was the reluctance of PSTs to undertake extra-curricular activities and the shock experienced over the time demanded taken to complete tasks. As with many of the groups, there was considerable focus on the PSTs’ experience and their circumstances: family demands; previous and current jobs; and their prior

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experience working with children. In addition to their willingness to contribute beyond the classroom, they need to be organised, be able to plan lessons, be able to write quickly and possess subject knowledge at the right level. As one respondent concluded they need to progress beyond requesting ‘Where’s the binder?’. This request refers to the customary practice of mentors to provide a binder comprising a work schedule, lesson plans and worksheets. PSTs often attempt to use the binder to copy the mentor, whereas the group believe that there is much more to delivering a lesson than that documented in the binder. Other underpinning qualities needed by the PST are leadership quality and, the vaguely termed, ‘graduate-level behaviour’. Importantly they should not replicate the methods demonstrated by their teachers and, merely, ‘talk at children’. The metaphor that emerged from the group utilised a term that seems to be widely used in Canada and was not heard in the UK or Australia. The mentors wish to avoid producing ‘cookie cutters’. A cookie cutter is a tool used to cut out a cookie, or a biscuit, when baking. The respondents use the term here to indicate that each teacher should be unique. Their illustration is intended to capture their aspiration for PSTs and teachers to be prepared to take risks. The image that represents this concept is that of Derivation of the metaphor Cookie Cutter v ski jumper Cookie Cutter (PTS) at centre (labelled TC- teacher candidate) encouraged to take risks and become ski jumper. Rich picture illustrates competences that PST brings to the programme and need for communication with mentor (labelled AT- associate teacher) Key: TC- Teacher Candidate (PST); AT Associate Teacher (mentor); LRC Learning Resource Centre.

Fig. 10.11  Raccoon Technical University Emergent Metaphor Table 10.13  Raccoon Technical University CATWOE analysis Customer: Actor: Transformation:

Pre-service teacher Mentor/university PST: To transform PSTs into independent risk-takers rather than churning out ‘cookie cutters’ World view: The belief that the practicum should produce individual risk-taking teachers, who learn by making mistakes, rather than sets of identical ‘cookie cutters’ Owner: School/University Environment: Variable PSTs in terms of prior relevant experience, organisation skills, willingness to take risks and varying expectations. Root definition: Cookie cutter v ski jumper A school responsibility to work with their mentors to convert a PST into a risk-taking teacher in an environment where not all PSTs have the necessary skills, experience and attitude to succeed on entrance

Conceptualising at Raccoon Technical University, Ontario: Activity 3

299

a ski jumper. The role of the mentor is providing honest, direct and forthright formative feedback so that PSTs are permitted to make mistakes and take risks. The role of the mentor is seen as important in providing scaffolding and communicating effectively while also granting the PST some freedom (Perry et al., 2008). The university was not mentioned, the faculty advisor was barely mentioned, and the school was seen as a source of resources. The metaphor is derived from the group’s rich picture, Fig. 10.11 and this metaphor is interpreted in the CATWOE in Table 10.13.

 onceptualising at Raccoon Technical University, Ontario: C Activity 3 We now move to Activity 3: Conceptualising for the final Canadian focus group, the Raccoon Technical faculty advisors. Table  10.14 displays the concepts of social structures (Elder-Vass, 2010)  and Table  10.15 shows the concept of social objects (Scott, 2010). Table 10.14  Raccoon Technical University, entities and powers Raccoon Technical University, Ontario Cookie Cutter v ski jumper Motivating question: What factors help/hinder a PST’s development as a teacher? Contingent conditions Powers Entity Liabilities Events 100% female, MENTOR Mentor too rigid OVERALL Gives formative OUTCOME All from different and does not feedback To convert a intermediate/secondary Communicates well allow PST to PST into an schools take risks Honest feedback but individual 15–34 years teaching not blunt, knows risk-taking 3–30 years mentoring when to scaffold teacher in an Probably interaction Teaching way PRE-­ Prior experience group they were taught environment SERVICE with children where not all TEACHER Expecting to Willingness to do PSTs have the have the lesson extra-curricular necessary skills ‘binder’ and activities and experience, copy mentor. Organised on entrance, to Misconception Qualifications and succeed. of workload of prior subject (Metaphor teacher knowledge identified jointly Creative, risk taker by researcher Self -reflection and group) Leadership ability FACULTY Good communication ADVISOR Resources available School Mixture of classes available

Barely mentioned Provides mixture of academic content and applied examples

Table 8.2 is guide to completion of table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities

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Table 10.15  Raccoon Technical University, social objects Raccoon Technical University, Ontario Discourse Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s social objects Hard workers, cookie cutters, boundary between teachers and students in secondary Risk taker, sense of humour, compassion, organised Scaffold and communicate The lesson binder Mentor, faculty advisor, PST, school 100% female all from different intermediate/secondary schools, 15–34 years teaching, 3–30 years mentoring, all maths or science teachers, small group, interaction group

 xplaining at Raccoon Technical University, Ontario: E Activity 4 There was a very different ambience in this focus group. It was the only group where the mentors are from different schools. Members of the focus group teach either maths or science in intermediate and secondary schools and their deliberation relates mainly to practical considerations. This response might reflect the subjects that they teach. They report that it is important that students are hard workers. No other mentors use this particular term, although a couple of groups talked of work ethic. This group gave a practical example, saying that the pupils appreciate receiving their tests and assignments results back quickly. A similar demand of PSTs, particularly relevant to secondary schools, is that the PST is willing to undertake a hands-on activity that is interesting for the pupils, even if it is outside the PST’s comfort zone. This activity could include a demonstration or experiment for pupils to undertake in chemistry. In terms of soft skills, PSTs require compassion and a sense of humour, the latter is not referred to in other groups. The PST should of course be organised. Subject knowledge is important, and PSTs should demonstrate the ability and willingness to try new activities. Prior experience working with children is seen as crucial. Other factors not mentioned elsewhere are knowing the boundaries between pupil and teacher and choosing to teach in the same way that they were taught. Both issues may arise more often in secondary schools. There is a minor reference to students being willing to contribute to extra-curricular activities. Figure 10.12 presents the interpretation of the mentors’ value functioning. There is a lengthy discussion about what is needed from mentors. They should provide the PST with some resources, such as textbooks and curriculum documents but avoid merely handing PSTs the lesson binder. They should know when to provide scaffolding and when to recognise that others within the school can better provide support including, for example, others within the department, in particular the

Modelling at Badgerford University, England: Activity 2

301

Raccoon Technical PSTs wish to be allocated a well-organised and hard-working PST to contribute effectively to their classes (their value functioning) Enabling Tendency: wish to be allocated a well-organised and hardworking PST to contribute effectively to their classes Achieves value functioning

Constraining counter-tendency: PST: Teaching way they were taught, expecting to have the lesson ‘binder’ and copy mentor, misconception of workload of teacher , not hard working, not risktaker, lack subject knowledge, not organised. School: are resources available, can the right mix of classes be timetabled.

Exit

Voice

Loyalty to PST and their pupils Decides not to achieve their Contends or evades the Complies with the value functioning constraints constraints The mentor requests that The mentor makes a strong The mentor handles they are not allocated a case that they are too busy the mentoring task in a PST or finds a colleague to supervise or presses for practical and prepared to swap. a ‘good’ student’. supportive manner. Tries not to be rigid with PST and encourages risktaking. These mentors are very practical and focus upon subject knowledge, organisation and hard-work being the basis for a teacher in training to be in a position to take risks in the classroom and grow.

Fig. 10.12  Raccoon Technical University, Value Functioning

technician. The mentor should not expect the PST to replicate the teacher’s approach to teaching. A factor not discussed in other mentor groups is that the mentor should provide the PST with a graduated workload during the course of the practicum and be aware of the PST’s subject background. The lesson binder has been categorised in Table 10.14 as regulatory because of the way mentors speak of it. This was a practical, down-to-earth group and, when compared with a number of groups of primary teachers, illustrates the contrast between the different communities of practice. To summarise, the mentors are very practical, they focus on subject knowledge, organisation and hard work being the basis for PSTs to take risks and grow.

Modelling at Badgerford University, England: Activity 2 Brock Cub Primary School is a large, mixed, three form entry school for children of 4–11 years in a medium-sized English town. Its published values include working hard, being honest, kind, helpful and gentle, looking after property and listening to people. The majority of pupils are from minority ethnic groups, and more

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than half the pupils speak English as an additional language. The website indicates that pupils speak 27 different languages. The proportion of pupils entitled to free school meals is higher than average, indicating an associated higher level of socio-economic disadvantage. The focus group comprised 100% female mentors, all working in the same school, thus forming a norm circle (see Table 10.17). One of the respondents was the mentor coordinator in the school and another was involved in interviewing PST candidates for entry to the course. 43% of the group had fewer than 8 year’s teaching experience with 2–3 years spent as a mentor. The remainder had 13–21  year’s teaching experience, with 10–15  years spent as a mentor. This group focussed on discussing the PSTs and their characteristics. The respondents felt that many PSTs were uncertain and worried, yet during the practicum, for many ‘a switch is flicked’ rendering them happier and more confident. The features needed by the apprentice teacher include good organisational skills; resilience; a sense of humour; and the ability to relate to children. Ideally, they should be ‘a round peg in a round hole’; they need to demonstrate a work ethic and be a good listener. They also need to respond well to feedback; take criticism; set themselves targets; and grasp the opportunity to experiment. The issue of PSTs developing sufficient stamina was also raised. The focus group felt that the weekly pattern, for the post-graduate programme, of 4 days’ placement in school and 1 day at university restricts PSTs; they do not experience a full school week so cannot judge its demands. It was surprising that they were concerned about the length of time in practicum in light of the recent rise, in England, of the number of practicum days per year, from 90 to 120 days. Respondents also noted the additional demands on PSTs to complete paperwork, undertake observation, plan lessons, reflect and discuss underpinning theory. The image in Fig. 10.13 represents the simultaneous demands from the school and the university; the PST has been drawn with one foot in each institution. The question mark on the PST’s jumper represents a question; during the practicum the PST might be posing any number of questions. What skills do I bring? What sort of teacher will I become? A further concept that emerged from the discussion was that teaching requires practice. Some skills are needed at the outset, but others such as lesson planning, can be developed once the teacher is in the classroom. The PST is required to juggle activities in school, and interact with different people including children, parents and co-workers. The PSTs must act as if walking on stilts, keeping many plates spinning, in order to become a member of the ‘circus’. The group talked about the importance of learning from mistakes. They saw the mentor’s role requiring them to take responsibility for supervising ill-equipped PSTs in their classroom, recognising that they need the opportunity to practice. PSTs respond differently when making a mistake. Some simply say ‘oops’ and proceed with unpicking and learning, worrying less about being out of their ‘comfort zone’, while others find it of great consequence. The mentors realise that each individual is unique, they must respond to them individually.

Conceptualising at Badgerford University, England: Activity 3

303 Derivation of the metaphor Welcome to the Circus The PST with one foot in each institution, representing the simultaneous demands of the school and the university. The importance of learning from mistakes. The PSTs must act as if walking on stilts, spinning new plates, becoming a member of the circus. “It is a show, always a theatre.”

Fig. 10.13  Badgerford University emergent metaphor

Table 10.16  Badgerford University CATWOE analysis Customer: Actor: Transformation:

Pre-service teacher Mentor/University PST: From a motivated and talented juggler to an independent risk taking acrobat who will keep developing World view: The belief that the practicum is the opportunity for the PST to make mistakes and learn from them, and to encourage them to be independent risk takers Owner: School/University Environment: Demanding in time and effort for PST and teacher Root definition: Welcome to the circus A school responsibility to work with mentors to convert a PST into a risk-taking teacher in an environment that is always demanding in time and effort.

The metaphor, the image of the circus, is captured in the words of one mentor “It is a show, always a theatre.”, see Fig.  10.13 and CATWOE transformation in Table 10.16.

Conceptualising at Badgerford University, England: Activity 3 Table 10.17 presents the social structures  (Elder-Vass, 2010) derived for the Badgerford faculty advisors and Table 10.18 shows the social objects (Scott, 2010).

Table 10.17  Badgerford University, Entities and Powers Badgerford University: Welcome to the circus Motivating question: What factors help/hinder a PST’s development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL 100% female Teachers have a Provide feedback, MENTOR OUTCOME Interviewed in range of provide criticism, To convert a their primary accountabilities set targets, give talented PST into school Have to juggle opportunity to a risk-taking 43% teaching less experiment, different teacher who than 7 years, rest Identifies zone of stakeholders learns from the 13–21 years proximal mistakes made. Mentor development (Metaphor coordinator for Lack of stamina Resilient, organised PRE-­ the school What characteristics identified by SERVICE Confident, group) present, she TEACHER and skills do they relationship involved bring? Mistakes are builder, good work interviewing fine, learn from them ethic, Good listener candidates to be Work in progress PSTs. PSTs straddle two Quality of support University Association and provides a plinth, organisations, proximal norm university and school provides group paperwork, observation, lesson planning, underpinning theory School Learn to teach once Provides teaching (like timetables, learning to drive) curriculum, identifies children’s abilities, teaching assistant support Practicum PSTs still spend inadequate length of time in school Table 8.2 is guide to completion of table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities Table 10.18  Badgerford University, social objects Badgerford University, England Discourse Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s Social Objects Targets, circus, theatre, Need stamina, resilience, organization, confidence, good work ethic Need to be relationship builder, good listener, risk taker, Have to juggle different stakeholders, have accountabilities, needs to set targets SATs Mentor, PST, school, university, practicum 100% female, interviewed in their primary school, 43% teaching less than 7 years, rest 13–21 years, Mentor coordinator for the school present, she involved interviewing candidates to be PSTs. Association and proximal norm group, large group

305

Explaining at Badgerford University, England: Activity 4

Explaining at Badgerford University, England: Activity 4 This group is the first of the two English mentor focus groups. The meeting was held in a primary school that, by English standards, is very large. One of the mentors was a practicum coordinator for the school and another was involved in interviewing prospective students for the Badgerford University course. As with some other mentor focus groups, the faculty advisor was only briefly referred to. There was some discussion about the nature of the course, but the group focused primarily on the nature of the PST and the challenges they have to face and balance. The mentors were empathetic and recognised the strengths and the weaknesses of individual PSTs and the difficulties they experience. These mentors also acknowledged that students arrive at different ages, with different levels of maturity, from diverse home backgrounds and with varying home responsibilities. Some PSTs are organised and have a positive work ethic, some are good listeners and have the necessary IT skills. PSTs should be able to ask for help when it is needed, particularly concerning subject knowledge. The group also discussed what was required of the mentor, the need for them to spend time with the PST, to accept the PST’s mistakes and help them learn from mistakes, to observe and give honest feedback and ideally to be an experienced mentor. There was no evidence from any mentor focus group of training, help or support for novice mentors. Figure 10.14 presents the interpretation of the value functioning of these mentors.

Badgerford Mentor wishes to juggle their own responsibilities and be a good mentor by supporting their PST and setting targets (their value functioning) Enabling Tendency:. wish to juggle their own responsibilities and be a good mentor by supporting their PST and setting targets Achieves value functioning

Constraining counter-tendency: PST: Lack of stamina, identifying characteristics and skills they bring, mistakes are fine, learn from them, work in progress PSTs straddle two organisations, university and school Course: inadequate length of time in school Mentor has to find time, juggle responsibilities, feedback to PST

Exit

Voice

Decides not to achieve their value functioning Mentor declines to take a PST.

Contends or evades the constraints Mentor requests support or training before taking a PST or accepts a PST and satisfices

Loyalty to PST and own professional development Complies with the constraints Mentor makes time to determine PST’s strengths and weaknesses and works with them. Asks colleagues for support.

This mentor wants to do a good job and to behave professionally although they do not use this term. Their behaviour should deliver well qualified new teachers.

Fig. 10.14  Badgerford University, value functioning

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There was also some discussion about the nature of the school in which the PST is placed. This debate included the relationship of the school with the university, the time of year of the placement and problems of the practicum clashing with the sitting of Standardised Assessment Tests (SATs). Other issues included the curriculum being covered, the timetable for the PST and the support available to PSTs from teaching assistants. This was the only focus group that discussed teaching assistants. While they offer support to the teacher, the teacher must plan how to use them. There were a number of references to particular educational models, for example to Vygotsky’s zone of proximal development (Daniels, 2008) and Assessment for Learning (AFL) (Black et al., 2005). This group felt that contact with the university had reduced, although paperwork had not. Observation of PSTs has to align with the university’s expectations. Target setting is important, assisting the PST as they strive to reach targets and identify new targets. This group was discussing the postgraduate students who were currently in the school for 4 days a week. The metaphor of the PST working in a circus, having to learn to handle multiple circus acts, is similar to the hothouse metaphor of the mentors from Possum Primary. The Badgerford mentors were unusual in discriminating between good and bad mentoring. They did not use the word ‘professionalism’ either concerning themselves or the PST. However, the conclusion captured in Fig. 10.14 indicates that they seek to be professional. To summarise, the Badgerford mentors want to behave professionally and be good mentors, to prepare well-qualified teachers.

Modelling at Roe Deer Valley University, England: Activity 2 Linked with Roe Deer University, Fawn Park Catholic School is a two-form entry primary school in a large conurbation; the borough is an economic hub with a wide range of transport links including a major airport. The school has an above average proportion of children from ethnic minority backgrounds with English as an additional language and, as a Catholic school, it has a strong religious mission. The school aims to promote children’s curiosity, make them confident, responsible, independent and persevering members of society, in a stimulating and challenging environment. The focus group comprised 100% female respondents, 80% with less than 11 years’ experience and 20% with almost 30 years’ experience; one member was the link tutor, the coordinating teacher who works closely with the university. This mentor group was interviewed on the same day as the Roe Deer Valley PSTs, who were all on practicum in Fawn Park Catholic School. The mentor respondents began by describing Fawn Park’s ethos to mentoring as a whole school approach, such that a PST is not defined as ‘your’ student. The initiation period involves identifying each PST’s strengths so that they can be encouraged to take part in relevant extra-curricular activities, such as science club. On a similar note, the group talked about using the PSTs

Modelling at Roe Deer Valley University, England: Activity 2

307

creatively, seeing them as a resource, based on their abilities. The mentors also discussed the importance of relationships, being welcoming and encouraging the development of friendships. This concept led to the idea of illustrating these elements through a linking hands image. However, the group dismissed this image, seeking a metaphor that captured the situation holistically, that is as one concept. The mentors selected the image of a tree as the metaphor, it represents the whole school, growing and nurturing. The small plants or saplings represent the PSTs (entitled trainees on Fig. 10.15) growing beneath the tree and in its branches are different staff members, the class teacher, other teachers and teaching assistants. The senior leadership team (SLT) form an upper branch of the tree, providing structure to the school. The class is represented by the nest, housing fledgling pupils supported by the school in learning to fly. The fruits of the tree represent learning, knowledge and skills; the grapes, mangoes, apples and bananas indicate exotic multicultural sources. The watering-can symbolises the university, it scoops up water and nutrients and pours it onto the PSTs. The PSTs, like leaves growing on a sapling, are at different stages of development. The respondents deliberated on how they could illustrate PSTs’ commitment and aspirations, as they climb towards the sun. They also indicated that some PSTs can wither, however they reached the conclusion that they do not normally generate any PSTs who fade or shrink, ones that they described as ‘withery’. The parasite, or fungus, near the base of the tree signifies negative factors or inhibitors sucking the goodness out of the tree. One respondent claimed that this could represent a PST’s negativity. Any negative attitudes they felt should be contested by the mentor. Ofsted and the Department for Education are illustrated by lightning hitting the tree; although this strike is generally damaging, occasionally it allows further growth. The metaphor is presented in Fig. 10.15.

Derivation of the metaphor Growth of Trainees (PSTs) The image of a tree represents the whole school, growing and nurturing. The PSTs, like leaves growing on a sapling, are at different stages of development. The watering-can symbolises the University scooping up water and nutrients and pouring it onto the PSTs. Finally, the mentors are the nutrients in the soil, the CO 2 in the atmosphere and the sunlight shining down

Fig. 10.15  Roe Deer Valley University emergent metaphor

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Table 10.19  Roe Deer University CATWOE Analysis Customer: Actor: Transformation: World view: Owner: Environment:

Pre-service teacher Mentor/ university PST: From a sapling PST to a strongly growing tree as a teacher A whole school approach to growing a sapling School/university A whole school approach to successful learning and development in a multicultural setting Root definition: Growth of trainees (PSTs). A school responsibility to work with mentors and the university to convert a sapling PST into a strong teacher in an environment where the school works as a whole to support a multi-ethnic group of pupils in a multicultural conurbation.

The members of the group reached a point in using the metaphor, where they felt it became confusing. They had introduced contradictions between the elements of the metaphor. The mentors then wondered whether they had adequately represented themselves in the diagram. They posed the following questions. Were they the nutrients in the soil? Or were they the CO2 in the atmosphere? Or were they the sunlight shining down? While these ideas captured their perceived power, they became perplexing in terms of the metaphor. They asked further questions. What about the moderator from the university? Should we stop while we’re ahead? It is unusual to see a group generate and explain a metaphor so effectively and recognise that they need to stop. This meeting was one of the last focus groups and it is possible that the briefing given to the group by the researcher had improved, helping them to understand and apply the metaphor concept more easily. Alternatively, this was a norm group working in a school with a strong common ethos. They have developed robust norms, that are accepted and articulated by members of the group. This makes it easier for them to reach agreement and generate a joint concept quickly. The transformation derived from the metaphor of the Roe Deer mentors is presented in the CATWOE analysis in Table 10.19.

 onceptualising at Roe Deer Valley University, England: C Activity 3 In this final focus group of Roe Deer mentors, Table 10.20 presents the social structures derived (Elder-Vass, 2010) and Table 10.21 shows the social objects categorised (Scott, 2010).

Conceptualising at Roe Deer Valley University, England: Activity 3

309

Table 10.20  Roe Deer Valley University, entities and powers Roe Deer Valley University, mentors Growth of PSTs Motivating question: What factors help/hinder a PST’s development as a teacher? Contingent conditions Powers Entity Liabilities Events OVERALL MENTOR Not always Advice and 100% female choice to take a OUTCOME respondents all in feedback To convert a PST trainee Need to set same faith sapling into a strong Avoid spoon targets primary school teacher in an feeding Modelling by (same school as environment where the PSTs interviewed) CTM school works as a Can use PST 20% with whole to support a creatively 29 years’ multi-ethnic group of They may experience and pupils in a multi-­ re-evaluate the 80% with less cultural conurbation way they teach than 11 years’ (Metaphor identified by Nurture PST experience group) 1 was link tutor Dealing with PRE-­ Willingness to with university unforeseen SERVICE accept advice Association and TEACHER pressures Involvement proximal norm with group extra-curricula Commitment, aspirations Willingness to research topi Tell us what good at University Provides some support (nutrients) School Pressures of Whole school workload approach, PTS Negative belongs to all attitudes inhibit Encourage development relationships, friendships, nurturing Practicum Time of year Disparity Length of between schools placement Time to grow into role Ofsted Like lightning hitting a tree Table 8.2 is a guide to completion of this table Entities in capitals are INDIVIDUALS, entities in lower case are social group’ or organisations and entities in italic are objects or conceptual entities

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Table 10.21  Roe Deer Valley University, social objects Roe Deer University, England Discourse Agential (PST) Agential (self) Regulatory Embedded Social markers

Scott’s social objects Whole school approach, nurturing Willingness to accept advice, involvement with extra-curricula, commitment, aspirations, willingness to research topics, willing to share strengths Willing to act flexibly, can use PST creatively, re-evaluate the way they teach, nurture PST Ofsted, Department of Education, senior leadership team Mentor, PST, university, school, practicum 100% female respondents all in same faith primary school (same school as PSTs interviewed), 1 member with 29 years’ experience, rest with less than 11 years’ experience. One was link tutor with university, association and proximal norm group

Explaining at Roe Deer Valley University, England: Activity 4 Fawn Park Catholic School appears to be a very well-coordinated and structured organisation, in terms of integrating and supporting its PSTs, by comparison with the other schools discussed in this chapter. Their value functioning model is shown in Fig.  10.16. The school has high expectations of its mentors, yet its structured nature does not lead to a rigid approach. Mentors are expected to be flexible, and not overly prescriptive, thus enabling the PST to exercise their agency and feel self-­ sufficient. There was reference to the audit to be completed by the PST, a course requirement common in England. The focus group stresses that the mentor should be flexible in ticking off the completed elements of the audit. The mentor in this school is entitled the class teacher mentor (CMT) and their role is very important (see Fig.  10.15). Whether the PST is allocated a strong or weak mentor makes a difference to the PST, and the mentor should be a good role model. The role demands empathy, but this principle does not imply ‘just being nice’ to the PST. The mentor should be setting smart targets and measuring the students by them. Mentors recognise that there are external factors that impact PSTs, such as the distance to travel to the school. Like many other focus groups, this group were critical of the course assessments coinciding with the practicum and putting additional pressure on PSTs. The group talked of the importance of the development of rapport between the mentor and the PST.  Given the short time-scale of some practicum visits, this can be challenging. There was a suggestion that should a mentor wish to refuse to supervise a particular student, then the mentor should be given a choice. This indicates that school management usually allocate mentors to PSTs. Only

311

Conclusion

Roe Deer mentors wish to contribute to the school’s effectiveness in supporting and challenging PSTs and utilise their strengths (their value functioning). Mentors wish to contribute to the school’s effectiveness in supporting and challenging PSTs and utilise their strengths Achieves value functioning

Constraining counter-tendency: PST: Dealing with unforeseen pressures, are they willing and committed? unrealistic ideas, is their behaviour professional? Mentor: Not always choice to take a trainee, avoid spoon feeding School: Pressures of workload, negative attitudes inhibit development, time of year Ofsted demands and visits.

Exit

Voice

Loyalty PST and the school Complies with the constraints Identifies ways that PST can contribute and makes best effort to mentor the PST.

Decides not to achieve their Contends or evades the value functioning constraints as only newly qualified Could be occasions where teachers are not allocated mentor under pressure and PSTs it is unlikely that a decides to ask colleagues mentor can refuse to to assist with PST. mentor. Mentors are operating in a supportive school that has high expectations of them. PSTs’ contributions are welcomed, and they are given support to also aim high.

Fig. 10.16  Roe Deer Valley University, value functioning

newly qualified teachers are not allocated a PST. Often a mentor has to re-evaluate the way they teach, when faced with being a model for the PST. The mentor also realises that they often learn from the PST.  Another interesting topic, not raised elsewhere, is that PSTs should be willing to research the topics they are going to teach. Due to their lack of teaching experience, PSTs often panic in unforeseen situations, such as if the smart board is not working or pupils finish the set work early . Mentors have sufficient experience to have contingencies in place while the PST has to learn to respond quickly and, if possible, have an alternative plan. To summarise, Fawn Park is a well-organised school with an effective system in place, enabling mentors and PSTs to be clear about expectations, with a realistic approach to the target-setting and achievements of PSTs.

Conclusion In this final chapter, the Womposo research strategy has been applied to the mentors, the last set of stakeholders. Activity 1 discussed each group’s selection and described the way that the focus groups operated. Activities 2, 3 and 4 were then carried out for each focus group. As in Chaps. 8 and 9 all the information presented in the text,

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illustration and tables was reconsidered and the researcher returned to the written notes, recorded during the focus group. Activity 2 yields the CATWOE, the metaphor and the transformation. Activity 3 explores and categorises the data in two different ways, as social entities and social objects. This classification leads into Activity 4, generating the value functioning figure for each focus group. This activity requires one to formally discard all the positive elements reported and focus on only the counter-tendencies. Finally, one adopts the stakeholder’s state of mind and judges their wishes and desires, and applies this to the ‘exit, voice and loyalty’ section of value functioning. A large number of the schools sampled in this project had a multi-ethnic mix of pupils with a large number speaking English as an additional language. Five out of six schools visited recruited pupils speaking between 27 and 50 different languages. This feature was not the intentional result of the sampling process. It may reflect the location of many of the universities in large urban conurbations. When discussing the nature of PSTs, the responses from the focus groups varied. At one extreme was the Australian Koala University (Battery Hens), where mentors were very critical of PSTs and at the other extreme was Roe Deer Valley (Growth of PSTs), where mentors appeared to seek out and utilise the strengths of their PSTs. Two key issues emerged from the seven groups. The first issue is the importance that mentors ascribe to the recruitment of PSTs with the necessary skills and abilities, especially their ability to speak and write well in English. In approximately half of the groups, the respondents felt that admissions standards and procedures for PSTs need to be strengthened. The second issue is the recognition of how mentally and physically demanding PSTs find the practicum, and how many of them do not appear to have the stamina needed. All the focus groups identified the transformation of PST into a teacher. Nevertheless, the atmosphere of the groups varied, with some focus groups exhibiting a more nurturing attitude than others, and some groups expounding a more holistic view of the practicum. Conclusions from the comparison of these mentor groups, alongside the two other stakeholder groups will be considered in Chap. 11.

References Black, P., Harrison, C., Lee, C., Marshall, B., & Wiliam, D. (2005). Assessment for learning: putting it into practice. Open University Press. Daniels, H. (2008). Vygotsky and research. Routledge. Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Hirschman, A.O. (1970). Exit, voice and loyalty: Responses to decline in firms, organizations and states. Harvard University Press. Perry, N. E., Hutchinson, C., & Thauberger, C. (2008). Talking about teaching self-regulated learning: Scaffolding student teachers’ development and use of practices that promote self-regulated learning. International Journal of Educational Research, 47(2), 97–108.

References

313

Quebéc Ministère d’Éducation. (2021, July 28). Retrieved from http://www.education.gouv.qc.ca/ en/teachers/teaching-­in-­quebec/teaching-­authorizations/application-­for-­a-­teaching-­licence/ language-­examination/ Scott, D. (2010). Education, epistemology and critical realism. Routledge. Sen, A. (1999). Development as freedom. Oxford University Press. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan.

Chapter 11

Findings from the Practicum Study

Abstract  The final chapter of the Practicum Study commences by categorising the value functioning statement for each focus group and presenting a continuum for each stakeholder set, the pre-service teachers (PSTs), the faculty advisors and the mentors. As the final activity of the Worldview, Metaphor and Power of Social Objects (Womposo) research strategy, the value functions derived in earlier chapters are collated and analysed. Using the terminology of critical realism, the intention is to identify the causal mechanisms or powers that generate the behaviours and discourse of stakeholders. The first finding is that stakeholder position is the prime causal factor influencing behaviour and discourse. The second finding is that PSTs occupy a three-fold context comprising their prior experience, the school context, and the initial teacher education course. This combined context impacts their agency and influences their discourse. The third finding is that faculty advisors are influenced by policy and status. The final finding is that school culture is the main influence on the discourse and behaviour of the mentors. Additionally, several themes that emerge from the data correspond with concepts from the literature search, including communities of practice, codes of practice, identity, rescaling of political authority and reality shock. Keywords  Agency · Causal factor · Codes of practice · Critical realism · Faculty advisors · Mentors · Pre-service teachers (PSTs) · Reality shock · Value functioning · Womposo (Worldview, Metaphor and Power of Social Objects)

Introduction In the last three chapters we applied the stages of the Womposo strategy. In Womposo Activity 1 (Finding Out) a set of data was collected from three stakeholder sets: pre-­ service teachers (PSTs), faculty advisors and mentors. In undertaking Womposo Activity 2 (Modelling) the data from seven or eight focus groups was illustrated, each by a different metaphor, while an associated transformation was revealed for each group by using the CATWOE method (Checkland, 1981). In Womposo Activity © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_11

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3 (Conceptualising) the data was studied and categorised using social entities (Elder-Vass, 2010) and social objects (Scott, 2010). Finally, to form Womposo Activity 4 (Explaining), the ‘value functioning’ approach (Sen, 1999; Tao, 2016) was combined with the ‘exit, voice and loyalty’ model of Hirschman (1970). In each case this approach yielded a Value Functioning figure and, with it, a statement capturing the value functioning of the group. Value functioning is the underlying composite aim or agenda of the group in question. It could be described as the self-interest of the group members. It tends to be implicit, therefore it will not be identified by asking the group what they are aiming to achieve. The derivation of Womposo and the explanation of value functioning can be found in Chap. 4. This chapter forms the final chapter of Part III, Practicum Study: Data Collection and Interpretation. It commences with listing and categorising the value functioning statement for each focus group and presenting a continuum for each stakeholder set. This stage is the final step of Womposo Activity 4 (Explaining), collating the set of value functions derived in Chaps. 8, 9 and 10. We scrutinise the continuum for each stakeholder set for two purposes. Firstly, we explore the concepts from the literature search that arise in the data, by presenting several examples across each continuum. Secondly, we aim to fulfil the aims of the Practicum Study and derive the findings. This is based on the interpretation of the three sets of stakeholder data: PSTs in Chap. 8; faculty advisors in Chap. 9; and mentors in Chap. 10. The literature search in Chap. 6 frames the Practicum Study. It permits the matching of concepts from the literature with those that surface in the Practicum Study data, thus establishing whether our data reinforces or contradicts previous research findings. Additionally, it enables us to adopt several terms emerging from the literature, to assist in the interpretation of the data within the Practicum Study. Many terms that have become important concepts within the literature have not entered common parlance within the education practitioner community. It often takes many years for this absorption to occur. A counter illustration will help to illustrate this point. We quote a term that has entered teachers’ vocabulary over the last 25 years. The term ‘reflective practitioner’, introduced by Schön in 1995, is now widely used and was referred to in several of the focus groups. However, other concepts from the literature search have surfaced in the focus groups but using different terminology. Examples of such concepts discussed using different terms include agency, code of practice, reality shock and identity. Although the respondents do not employ these terms, they appear to be describing the same construct. These concepts are then utilised to create a continuum on which to place the value functioning for each stakeholder within the set. This allows us draw together the findings as in Table 11.1, presented in the first Value Functioning section, for example. This continuum serves the second purpose to be achieved in this chapter. It seeks to fulfil the aims of the Practicum Study and derive the findings, based on the interpretation of the three sets of stakeholder data. Finally, we identify aspects that are raised by respondents, yet are not discussed in the literature that we utilised.

The Value Functioning Continuum: PST Stakeholders

317

The Stakeholders The literature search in Chap. 6 yielded many research articles that explore the PSTs’ perspective of the practicum, with a smaller number of studies adopting the mentors’ perspective. PSTs are the focal point of the practicum; they are the main beneficiaries or victims of the practicum, as described in Soft Systems Methodology (SSM) (Checkland, 1981). PSTs are the individuals who enter the teacher education course with the intention of qualifying as teachers and finding a teaching post. Collecting data from mentors is necessary, given the closeness of the relationship between mentor and PST in the classroom. The Practicum Study is unusual in also collecting the views and discourse of the faculty advisors, and thus providing a third perspective on the practicum.

The Value Functioning Continuum: PST Stakeholders We create a continuum presented in Table  11.1 by taking the value functioning derived in Chap. 8 for the eight PST groups. The groups display different levels of agency. Grey Seal PSTs and Old Possum PSTs both display confidence, a high level of agency. Roe Deer and Australian Koala PSTs are keen but less confident, Badgerford and Raccoon Technical PSTs are keen but anxious. The final two groups, Wallaby Creek and Caribou Metropolitan lack power and agency and exhibit high levels of stress. Table 11.1  Value functioning: Pre-service teachers University Grey Seal Old Possum

PSTs’ aim/. value functioning Wish to learn and become a professional teacher Wish to gain control of a situation that they perceive as disorganised and become a ‘good teacher’ Roe Deer Wish to become established in, and contribute fully to, a welcoming school. Australian Koala Wish to ‘nail the craft ‘of teaching, be immersed in the practicum and learn to fly. Badgerford Wish to complete the course, get a job and become a ‘good teacher’. Raccoon Wish to find own voice and become a professional teacher but Technical need support. Wallaby Creek Wish to gain support from others and a sense of power (in an environment where they are overloaded and sometimes bullied) Caribou Are stressed, overloaded and powerless and wish to complete Metropolitan the course and get a job Derived from Chap. 8

Category: Agency Confident Confident Keen Keen Keen (but anxious) Keen (but anxious) Stressed

Stressed

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11  Findings from the Practicum Study

The PSTs’ responses form a continuum based on their agency, as shown in Table 11.1. At one extreme there are confident students and at the other extreme students suffering from intense stress. Those PSTs in between are labelled as keen, or keen and anxious. Individual students are likely to relocate in both directions along this continuum during the practicum, according to context. There are two main factors affecting their state of mind. One factor is their initial agency at the outset of the course and the second factor is the practicum context. Our findings suggest that those students recruited to élite universities are more confident, possibly because higher status universities are able to select more self-assured students. Their position on the continuum may also reflect their increase in status, and related gain in confidence, as a result of being offered a place at an élite university. The stressed group of PSTs report being overloaded and feeling powerless. These students talk of external commitments and financial problems. These are factors that apply from the outset of the course. These social structures exert power, these powers can be possessed, exercised and actualised (Archer, 1995; Elder-Vass, 2010; Scott, 2010). The students in the intermediate groups display an element of confidence, when they feel safe and supported, indicating the link between agency and context. In the following paragraphs, concepts that have been discussed in the literature search in Chap. 6 are placed in italic as they arise in focus group discussion. This reference does not necessarily indicate that a group is adopting the terminology, but the discourse indicates designation of the same concept.

Relationship Between the Literature and Confident PSTs The Old Possum focus group of PSTs comprises first and second-year postgraduate students. They are studying at a high-status, selective university in Australia. While they do not discuss the nature of the university, their discussion reflects their ability and self-image. The group is highly analytical, as captured by the initial rich picture that they devise. The members recognise differences in context, phrasing them as “lack of parity between schools”, acknowledging that some schools are more welcoming (Biesta & Tedder, 2006). The group members recognise their own agency, even though they acknowledge that there are numerous factors beyond their control. They articulate a strong image of reflective practice and the self-monitoring teacher (Ehrlandson, 2005) and welcome being ‘thrown in the deep end’, confirming that many of them share the desire to experiment. They indicate that the course tends to paint the ideal position of teaching rather than reflect reality, thus alluding to the two worlds issue described by Smagorinsky et al. (2004). A minor reference to regulatory issues is made as a respondent reports that their teaching was rescheduled due to clashing with National Assessment Programme  – Literacy and Numeracy (NAPLAN) timing. The group outline the teething problems experienced within placement, such as the time that it takes for a new PST to be allocated passwords and rights to access the school computer system. The respondents are highly critical of the organisation

319

Relationship Between the Literature and Keen PSTs Old Possum PSTs: Luck of the Draw

Grey Seal PSTs: The Beehive

High status, élite university Competent and analytical students Recognise own agency and importance of context Comprehend reflective practice and two-worlds of teacher education Acknowledge Codes of Practice and can ‘play the game’

High status, élite university: articulate students Context is important Recognise regulatory context Acknowledge school politics Bring extra-curricular skills and recognise them as implicit Codes of Practice

Fig. 11.1  PSTs with confidence

of the practicum and of communication between the school, the university and the PST. Nevertheless, they appreciate the complexity of reality and can ‘play the game’ when necessary, in order to operate within the mentor’s territory, thus sometimes overriding the University’s regulations for the practicum. Accordingly, they acknowledge a compelling and implicit Code of Practice, that requires them to identify who has the power in a particular situation and act accordingly. Figure 11.1 summarises these references to concepts, together with the summary of another confident group of PSTs, those from Grey Seal University, a Canadian high-status university.

Relationship Between the Literature and Keen PSTs The discussion of the Roe Deer group of PSTs includes the theme of Learner Identity (Mutton et al., 2010). The members of the group identify the practicum as a learning journey and place particular emphasis on the context of the practicum (Biesta & Tedder, 2006). The members of this group are close to completion of the three-year undergraduate course. They, along with the Badgerford PSTs, have completed the longest period in school of all the PST groups, having attended several practicums over the period of the course. They provide examples of the nature of a welcoming school and, additionally, they provide counter illustrations. It is often the unpleasant experiences that are retained in memory. One PST recollects having to eat her lunch in a corridor. The members of the group also recognise that their agency is transactional and that they need to be part of the wider school, not just operate within their assigned classroom (Biesta & Tedder, 2006). This comprehension indicates that they have grasped the Codes of Practice within the school, one of the expectations regarding their behaviour (Cobb et al., 2018). This PST group is unusual in having recognised the regulatory aspects of the placement, the auditing requirement demanded of the university, with the related bureaucracy and associated workload. In England, the university is required to audit both the school’s performance during mentoring and a PST’s performance within the school. The completion of this task will be checked by Ofsted during their next visit to inspect the University’s teacher education provision. An Ofsted inspection of the school may also check certain aspects of teacher education. The interpretation of the Ofsted stipulations by the university or school is an example of the rescaling

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Roe Deer PSTs: Turbulence en route to Destination

Badgerford PSTs: Learner Driver

All PSTs placed in same faith school Recognise learner identity and importance of context Realise agency is transactional Articulate regulatory requirements (Ofsted) Understand Codes of Practice and contribute widely

At end of 3-year course Draw context widely Regulatory aspects provide them with confidence and determine structure and length of practicum

Fig. 11.2  Keen PSTs

of political authority (Lingard & Rawolle, 2011). While Ofsted has the responsibility for audit, the Ofsted regulations cascade to the faculties of education in universities, and to schools, and promote a consistency of practice. Ofsted regulations are rescaled and adopted as formal mechanisms for accountability. Meanwhile Codes of Practice relate to behavioural expectations that are informal and implicit. Related aspects raised by the keen PSTs are the importance of clear expectations, including targets from the school and university. These PSTs report having greater confidence in the advice a school offers if the school has a high Ofsted grade. Figure 11.2 summarises the perception of keen PSTs.

 elationship Between the Literature and PSTs Suffering R Reality Shock The PST group from Caribou Metropolitan University comprises a large group of female PSTs teaching from early years through to secondary. The major message from this group is that they feel a lack of agency, to the extent that some of them feel powerless (Biesta & Tedder, 2006). This group provides a typical example of Kim and Cho’s (2013) concept of reality shock, struggling with powerlessness and work overload. Some members of the group demonstrate resilience, and comment on the need to ‘pick one’s battles’. The difficulty obtaining an initial job in the province of Ontario is a factor hanging heavy over members of the group and is referred to late in the focus group discussion. These PSTs talk about their family, referring to the help and support received from them, as well as the demands place upon them by family members. Due to their external responsibilities, the PSTs consider the pressure upon them to contribute to extra-curricular activities, to be unwarranted. The expectation regarding contributions beyond the classroom is one of the Codes of Practice existing within most schools, but it seems that PSTs are not briefed by the university of this normally unwritten assumption (Cobb et  al., 2018). The two-­ worlds element that contrasts the university course with the school experience is raised by this group, with the comment that the theory taught at university is not modelled in practice (Smagorinsky et al., 2004). This group also raised an unusual aspect, namely the cost of the course and of the practicum, implying that some students experience financial problems. This discussion point instantiates the resentment felt by this PST group. The early years students voiced another source of

The Value Functioning Continuum: Faculty Advisor Stakeholders

321

Caribou Metropolitan University PSTs: Scaling the Volcano

Wallaby Creek University PSTs: Pawns in the Game

Lack of agency, suffer reality shock Feel powerless but some PSTs ‘pick their battles’ Expected to contribute outside school hours: Codes of Practice Theory not modelled in practice two worlds

Lack of agency, Feel powerless Suffer reality shock, feel bullied Overload of assessment and documentation (two worlds)

Fig. 11.3  PSTs suffering from reality shock

discontent, that much of the course content replicated their undergraduate course. Figure 11.3 summarises the perception of the stressed PSTs.

 he Value Functioning Continuum: Faculty T Advisor Stakeholders Exploring the value functioning continuum continues with the eight Faculty Advisor groups. Table 11.2 categorises the value functioning of faculty advisors. Those from Grey Seal, Old Possum and Roe Deer universities all wish to maintain their status. Those faculty advisors from Australia Koala and Caribou Metropolitan universities nurture their PSTs, and Wallaby Creek, Badgerford and Raccoon Technical University faculty advisors are worried about their loss of status. The three groups at the top of Table 11.2 have the self-perception that they are high status institutions, they are concerned about maintaining that status. To some extent this self-­perception relates to the status of the university, but it also relates to the status of the faculty and the course. Two of the eight groups wish to nurture the PSTs to convert them into professionals. These groups perceive themselves in a more stable situation. The final three groups are less assured about their existing status, but nevertheless do not want their status to slip. The Wallaby Creek faculty advisors feel that the faculty and its teacher education courses are not valued by the university and worry that over time the permanency of their jobs could be affected. Badgerford University faculty advisors are concerned that their work is being gradually transferred to schools, they are concerned that they will lose control and power. They also worry that over a period this transfer of responsibilities to schools could threaten their jobs. The perception of the faculty advisors is heavily influenced by the environment at the time of data collection.

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Table 11.2  Value functioning: Faculty advisors University Old Possum Grey Seal Roe Deer Australian Koala Caribou Metropolitan Wallaby Creek

Badgerford

Raccoon Technical

Faculty advisors’ aim Wish to recruit A grade PSTs who are permitted to spend longer in the practicum. Wish to retain their roles and preserve the quality of practicum Wish to support PSTs by retaining and enhancing quality assurance of the practicum Wish to support and nurture PSTs to gain the necessary self-belief and resilience to join a school community Wish to improve support for PSTs to enable them to become professionals and contribute to social justice. Wish to support both young and mature PSTs in challenging environments, where the FAs are undervalued Wishes to protect the PSTs while working in partnership with schools that are taking over some of their role Wish to develop creative PSTs despite the situation constraining them

Category: Status Maintain status Maintain status Maintain status Nurture/ professionalise Nurture/ professionalise Concerned about losing status Concerned about losing status As part-time staff they lack status

Derived from Chap. 9

 elationship Between the Literature and Status Aware R Faculty Advisors The Old Possum focus group of faculty advisors spend much of the time discussing the nature of the mentors and their effectiveness, the ways in which the practicum could be better organised, and the characteristics of their recruits. The group capture the complexity of the situation, the number of different entities involved, and discuss at length the regulatory aspects related to the Australian Teachers’ Standards. The discussion about PSTs leads to consideration of the status of the faculty and the university, and the related expectations that the faculty advisors have of their PSTs. This protracted discussion of the ‘value of the credential’ led the researcher to conclude that the faculty advisors are concerned about maintaining the status of the course and university. This concern with retaining status appeared to be the underlying agenda of the group, in their drive to recruit students whom they feel are more able and, accordingly, more likely to succeed. The faculty advisors’ concern that placement schools will be lost, if the calibre of PSTs is not maintained, warrants the recruitment of competent students. Finding sufficient placements for all students is problematic, due to the number of universities seeking placements in the urban area. Universities are under pressure to retain the schools where students are already placed, in order to continue to work with schools that they perceive to be good. Faculty advisors talked of the PSTs, ranging from very confident students, with extensive prior knowledge, to those whom they deem to come from the ‘wrong side

Relationship Between the Literature and Nurturing Faculty Advisors Old Possum Faculty Advisors: Sandstone Express

Grey Seal Faculty Advisors: Backpack to Briefcase

Status aware and wish to ‘protect the value of the credential’ Agency of PSTs including those from ‘wrong side of track’ Implicit Codes of Practice Australian Teachers’ Standards, the regulatory (rescaling of political authority)

Maintain quality of course Agency of PSTs alluded to Learner identity to professional identity captured in metaphor Refer to regulatory issues, course change

323

Fig. 11.4  Faculty advisors and their status

of the track’, as can be seen in Chap. 9, illustration 9.1. Thus, they allude to student agency. However, the term agency is not used in the group. The respondents make no attempt to relate the characteristics or behaviour of the individual to the school in which they are placed. There were two issues discussed that are not in the literature search. These issues are the standard of English of many of the PSTs and the fact that teacher education is not the core business of schools, as it is of the faculties of education. Much of the discussion within the Grey Seal faculty advisor focus group concentrated on the upcoming changes to the teacher education course in Ontario. Their discussion displayed an underlying concern about the future of the course and their own prospects. We have pointed out in Chap. 9 that this group is far less critical of the students than is the other élite group in this data set, Old Possum. Nevertheless, the faculty advisors speak of the students having a sense of entitlement and an expectation of immediate gratification. This belief may reflect what they perceive to be generational differences, or it may relate to the type of students recruited to Grey Seal. This group of faculty advisors are concerned about maintaining the quality of the course and, concomitantly, their own status. A good quality product also raises their self-esteem. Figure 11.4 summarises the perception of the status aware faculty advisors.

 elationship Between the Literature and Nurturing R Faculty Advisors The Caribou Metropolitan University faculty advisors identify the skills and knowledge that PSTs bring with them, as part of their agency. They recognise the external pressures that they are subject to, such as family commitments, as part of the context (Biesta & Tedder, 2006). The adoption of the Gingerbread Man folk tale provides a metaphor that captures the challenge that these PSTs are facing, the risks they are prepared to take, and the dangers they may meet. This group use the word risk-taker, rather than the word agency, to describe aspects of the PSTs. The members of the group talk of several contextual factors, mainly related to the future job prospects of the PSTs and the pressures of the taught course. They do not focus specifically on the school context. Studying the image in Chap. 9, Fig. 9.12,  9.6 one can see that

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11  Findings from the Practicum Study

Caribou Metropolitan Faculty Advisors: Gingerbread versus Puppet

Australian Koala University Faculty Advisors: Frontstage Backstage Teacher

Recognise agency and context of PSTs Identify some PSTs as risk-takers Regulatory aspects discussed Infer learner identity to a professional identity

Main discussion around agency and implicit Codes of Practice Communities of Practice Regulatory aspects discussed Infer learner identity to a professional identity

Fig. 11.5  Faculty advisors and nurturing

the PST is pulled in multiple directions and that the context within the school is perceived as a separate environment. Regulatory issues are discussed in relation to the School Board, the Ministry of Education and the Ontario College of Teaching. This group is one of several faculty advisor focus groups that do not refer to their status. This group focuses upon nurturing the PSTs and helping them to move from a learner identity to a professional identity. The group does not discuss Codes of Practice, although there is some reference to what might be demanded by individual mentors, such as expecting their PST to do the photocopying. The Australian Koala University focus group of faculty advisors concentrate on the agency of the PSTs, the characteristics and behaviours of PSTs that might be expected under an implicit Code of Practice. They illustrate a strong nurturing role and perceive schools as exemplars of integrated communities. Figure 11.5 summarises the perception of the nurturing faculty advisors.

 elationship Between the Literature and Faculty Advisors R Worried About Losing Status The Wallaby Creek University faculty adviser focus group spend considerable time discussing the role of mentors. In this university, it appears that mentors assess the PSTs, the group perceive that this decision places the PST in a tricky situation. It is apparent that mentors are not trained by the University faculty but may be trained within the school. The group also talk about the importance of the regulatory aspect of the Australian Teachers’ Standards. Members of the group feel that the faculty of education is seen as the poor relation, compared with the other faculties within their university. Essentially, there is a power differential across the university schools/ departments. Experience working in universities reveals that this difference in influence is not an uncommon phenomenon (Becher & Trowler, 2001). This perceived power differential leads the group to feel that they have a status deficit. The members of this faculty advisor group discuss the agency of the students, once again without using the term agency. They refer to the broad range of students from mature students through to younger, and often disorganised, students. These faculty advisors are more aware and empathetic than some other groups, in relation to the external demands upon PSTs, and the vulnerability of some of their students. They are aware of the external context that the student has to contend with, and the

The Value Functioning Continuum: Mentor Stakeholders Fig. 11.6  Faculty advisors and loosing status

325

Wallaby Creek Faculty Advisors: Domestiques Recognise importance of agency and context for PSTs Regulatory framework discussed Codes of Practice related to clothing Empathetic to vulnerable PSTs

skills and knowledge that they bring with them (Biesta & Tedder, 2006). They are also familiar with the challenging issues that a PST can face in a placement school, referring to the behaviour problems they meet and the work overload. The PSTs contend with a heavy workload, because of the practicum being scheduled alongside coursework. There is also an excessive amount of course documentation requiring completion by the PSTs. Thus, the faculty advisors recognise the school and course context that the student must accommodate. They raise the issue of the implicit Codes of Practice that apply within schools and discuss the codes in relation to the expected clothing for a student to wear (Cobb et al., 2018). They find it easier to describe the type of clothing that is not acceptable, rather than the clothing that is permitted, as is often the case when discussing behavioural issues. In Fig. 11.6 the perception of this group of faculty advisors is summarised.

The Value Functioning Continuum: Mentor Stakeholders We continue to explore the value functioning continuum by studying the seven mentor groups. In Table  11.3 the Old Possum and Wallaby Creek mentors, at one extreme of the continuum, wish to develop their professional identity as teacher educators. At the other extreme of the continuum is single group linked to Australian Koala University (Koala Boys’ Secondary). This group is concerned about accountability and workload. The four mentor groups in the centre of the continuum, such as the Roe Deer mentors, are categorised in the middle category, ‘professionalise’. Fawn Park Catholic School mentors, linked to Roe Deer University, believe that PSTs belong to the whole school, the mentors proactively attempt to use the strengths of PSTs. Mentors related to Caribou Metropolitan (Maple Leaf Public School), Badgerford University (Brock Cub Primary School), and Raccoon Technical University (mentors from multiple schools) also fit into this central category. This categorisation illustrates the sense of agency of the mentor stakeholders. Those wishing to develop themselves have a strong sense of personal agency, those in the accountability group clearly feel an element of powerlessness and work overload.

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Table 11.3  Value functioning: Mentors University Old Possum Wallaby Creek Caribou Metropolitan Badgerford Roe Deer Raccoon Technical Australian Koala

Mentors’ aim Wish to professionally develop themselves and the PSTs in a busy, stressful environment Wish to be better trained in order to supervise PSTs and use teachers’ standards effectively Wish to introduce competent PSTs to the new and exciting world of teaching Wish to juggle their own responsibilities and be a good by supporting their PST and setting targets Wish to contribute to the school’s effectiveness in supporting and challenging PSTs and utilise their strengths Wish to be allocated a well-organised and hard-working PST to contribute effectively to their classes Wish to reduce their workload and their accountability by avoiding having to mentor ill-equipped and sometimes difficult PSTs

Category Personal development Personal development Professionalise Professionalise Professionalise Professionalise Accountability

Derived from Chap. 10

 elationship Between the Literature and Mentors Seeking R Personal Development The two mentor groups from Old Possum (Possum Primary) and Wallaby Creek (Marsupial Girls’ High) are supportive of their PSTs, but they also wish to use the mentoring opportunity as part of their own self development. Possum Primary is unusual in being a demonstration school in a long-term relationship with Old Possum University. It is likely that the mentors are operating within a school norm of self-development. This focus group perceive the teaching role as stressful and demanding but, nevertheless, have a more positive view than many other groups, of the contribution of PSTs. The group discuss the reflective practice of the PSTs (Ehrlandson, 2005) and the professional learning culture of their school. During their discussion a professional learning culture is interpreted as the development of the mentors and the opportunity for them to be more involved in the delivery of the taught course. The group analyse the agency of the PSTs and discuss the levels of agency exhibited by different PSTs. The members of the group also recognise the two worlds of the course and the practicum experience; they judge that some PSTs are better able to link the two worlds (Smagorinsky et al., 2004). This group seek opportunities to be involved in delivering parts of the teacher education course, beyond the practicum, in order to support their own professional identity. Marsupial Girls’ High, the school linked to Wallaby Creek University is also unusual as it hosts PSTs from many universities. This school has appointed a highly accomplished teacher (HAT) to coordinate the practicum, in order to cope with the high number of PSTs and the complexity of working with multiple universities. Once again, there is a general school norm that mentoring PSTs is a key aspect of mentors’ self-development. In Fig. 11.7 the perception of these mentors is summarised.

Relationship Between the Literature and Mentors and Accountability

327

Old Possum Mentors: The Hothouse

Wallaby Creek Mentors: Mother Nurture

Discuss reflective practice of the PSTs Talk of professional learning culture of their school Recognise PST agency and two worlds situation Wish to enhance their professional identity

Professional identity captured in Professional Experience Coordinator (HAT) Lack of subject knowledge

Fig. 11.7  Mentors and professional development

 elationship Between the Literature and Mentors R Supporting PSTs Fawn Park Catholic School in England is rather like Possum Primary in having a strong ethos around developing PSTs. The contribution of PSTs to extracurricular activities in the school is seen as critical, an example of a strong Code of Practice. Regulatory aspects are raised by reference to Ofsted and the Department of Education thus relating to the rescaling of political authority. For this group, context is important (Biesta & Tedder, 2006). The group refer to the value of relationships and the need to welcome PSTs. The ways in which the mentors talk about the students indicates that they can identify the levels of agency that the students display, although they do not use the term agency. The Raccoon Technical mentors were an unusual group because all the mentors were from different schools. This group was one of the four mentor focus groups that stressed the professional development of the PSTs. The Raccoon Technical mentors share some similarities with the Koala Boys’ Secondary (Australian Koala University) focus group. They both identify PSTs’ reluctance to take part in extracurricular activities (Codes of Practice) and note elements of reality shock in PSTs’ behaviour. Raccoon Technical mentors, however, recognise the demands on PSTs, due to family commitments and other external responsibilities, and are more forgiving. They recognise the positive contribution that PSTs can make. Context is seen as important, although in this instance the mentors refer to the context from which the PSTs emanate, rather than the school context (Biesta & Tedder, 2006). The mentors also refer to various aspects of situated knowledge such as lesson planning and subject knowledge that they expect PSTs to possess on arrival. Like the Caribou Metropolitan faculty advisors, this group refer to risk-­ taking PSTs, an alternative way of describing agency. Figure 11.8 presents a summary of the perceptions of the supportive mentors.

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Roe Deer Mentors: Growth of trainees

Raccoon Technical mentors: Cookie Cutters

Codes of Practice expected Regulatory issues raised Agency and context recognised

Noted reality shock Discussed Codes of Practice Situated knowledge required Some PSTs risk-takers

Fig. 11.8  Mentors and development of PSTs

 elationship Between the Literature and Mentors R and Accountability The Koala Boys’ Secondary (Australian Koala University) mentor group is highly critical of the PSTs placed in their school. The strongest message to emanate from the group is the significance of Codes of Practice as related to extra-curricular activity. The PSTs are expected to contribute outside the classroom, but many of them do not wish to attend after-school events and do not consider this activity to be part of the practicum (Cobb et  al., 2018). The mentors also report that numerous PSTs show evidence of reality shock (Kim & Cho, 2013). They do not use this term, they discuss PSTs’ lack of resilience and physical energy to enable them to last through the day. Most PSTs indicate surprise at the heavy workload. This group of mentors also refer to examples of the situated knowledge that they expect PSTs to demonstrate (Cobb et al., 2018). This knowledge includes lesson planning and displaying subject knowledge. One member of the group is particularly agitated about the behaviour of a PST who refuses to wear a tie, despite constant reminders. This situation has turned into a power struggle between mentor and PST, perhaps indicating that the power relationship is not as straightforward as most PSTs believe. The mentors also refer to the fact that PSTs are surprised at the level of accountability required of them. No other group raised accountability as an issue. The mentors’ dialogue about the nature of a busy school, and the role and place of the PSTs, steers us to their own experience regarding work overload and accountability. They are reluctant mentors, not motivated to support and develop their PSTs, and annoyed at having to take on extra work and responsibility. This might be a rogue cluster of mentors, or it might indicate that the school does not place importance on the hosting of PSTs. The metaphor adopted to represent this focus group reflects the mentors and the PSTs, situated in a confined and highly controlled environment and expected to undertake repetitive, demanding work. Figure  11.9 summarises the views of the Koala Boys’ Secondary School mentors.

Agency Fig. 11.9  Mentors and accountability

329

Australian Koala Mentors: Battery Hens Significance of Codes of Practice, Evidence of reality shock Lack of situated knowledge and subject knowledge

Literature Themes Emerging We move on to discuss the themes identified in the literature review and confirmed by our focus group data. Most of the research studies described in Chap. 6 collected data through individual interviews or from questionnaires. As we collected data entirely from focus groups, it is necessary to consider how that influences the feedback. A focus group’s discourse operates within the norms of the group or the institution in which the members of the group work or study. This jointly created discourse is likely to generate different information from that generated by interviewing individuals separately. One cannot say that either affords the truth. But one can say that the group feedback is more likely to coalesce around the norms under which members of the group operate. The reader is reminded that distinguishing a theme, such as agency, does not require the participants to have used this word to describe the concept. The themes that we will be exploring in more detail in this section include agency, Communities of Practice, Codes of Practice, reality shock, reflective practice, context, and the Rescaling of Political Authority.

Agency Focus groups, from all three sets of stakeholders, discuss the concept of the agency of the PSTs. Agency is not merely the power to behave autonomously but is behaviour in a certain context (Biesta & Tedder, 2006). A person may demonstrate agency in the family but lack agency within the student body. The PST may demonstrate agency within the student group but not within the practicum in school. A starting point to consider someone’s motivations is to identify their perceived agency in the context in which they are operating. Then we need to consider this context in more detail, to identify factors that could be destabilising. The context will impact their agency and affect their value functioning. It is valuable to determine the agenda of an individual and consider how this agenda is influenced by changes in the context. For example, the PSTs at Badgerford and Roe Deer universities, who are very close to the completion of their course, demonstrate agency that has been modified during the period of the teacher education course. The current context for these English PSTs demands that they gain a job, although some of those interviewed, will already have obtained a post. This imperative impacts their value functioning. Similarly, the faculty advisor working in the high-status university of Grey Seal may be confident in their role; nevertheless, the requirement for the faculty to adjust and revalidate the course will unsettle them. Therefore, context affects their agency, due to the level of uncertainty and the reduction in their level of control. Similarly, the Australian Koala mentor who perceives himself to be working in a stressful environment with

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a high level of accountability has difficulty adjusting to the role of being a supportive mentor. His concerns are exacerbated if his allocated PST experiences problems, needs to be supported, or is refusing to comply with his requests.

Communities of Practice and Codes of Practice Another link with the literature search is the work on Legitimate Peripheral Participation and Communities of Practice (Lave & Wenger, 1991). While none of the respondents use either of these terms, their dialogue acknowledges the concepts. Groups, from all three stakeholder sets envisage the PST joining a Community of Practice. All but one of the PST groups suggests that the Community of Practice the PSTs join is a single school at a distinct point in time. Grey Seal PSTs are the exception, they perceive a systemic metaphor for the transformation required and consider the teaching profession to be the Community of Practice. Although the main entity impacting the PST during the practicum is their mentor, the Community of Practice within the school is critical, and the PST groups refer to the ways in which the school can help or hinder their development. PSTs who are stressed feel more peripheral to the Community of Practice. Caribou Metropolitan PSTs feel powerless in school, their external responsibilities limit their ability to devote time to the school community. The Wallaby Creek PSTs also refer to being powerless in the practicum, and in relation to the course. This last factor is a reminder that during the practicum period PSTs are part of two Communities of Practice, the school and the university course. In the literature, these two worlds are entitled the ‘two worlds of teacher education’ (Smagorinsky et al., 2004). In contrast to the PSTs’ responses, all mentor groups assume that the PSTs are joining a school community and Australian Koala University and Caribou Metropolitan faculty advisors refer specifically to the school community. Codes of Practice are discussed within the same literature as Communities of Practice (Cobb et  al., 2018). They are implicit expectations of members of a Community of Practice. Teachers commonly assume that PSTs will comply with these codes, without thinking to brief the new arrival about this expectation. These undocumented Codes of Practice include punctuality, initiative, organisation, and willingness to contribute to the whole school. While these codes are apparent to existing teachers, they are invisible to many newcomers. The Codes of Practice concept is relevant to many of the discussions about the importance of the PSTs’ behaviour outside of the standard classroom, for example their contribution to extra-­curricular activities. Some mentors are positive about the contribution made by PSTs beyond the classroom. Others are critical of PSTs who do not contribute. The PSTs from Old Possum realise that these codes are the unwritten and tacit ‘rules of the game’. Many other PSTs, however, are unaware of these codes. Those PSTs struggling to manage personal demands, such as family responsibility or part-time work, resent the need to contribute after school. Another aspect that arises under Codes of Practice is the issue of a PST’s clothing, jewellery and piercings. These may seem to be trivial issues, but mentors have to enforce school uniform for their

Rescaling of Political Authority

331

pupils and therefore feel it is necessary that the teachers within the school are professional and comply with the tacit expectations of what it means to be a professional.

From Identity to Reality Shock Three quarters of the faculty advisor groups, and all the mentor groups, seek the transformation of the learner into a professional teacher. This proportion is determined by studying the metaphors in Womposo Activity 2 (Modelling) rather than by perusing the value functioning. Mutton et  al. (2010) in the discussion of learner identity talk about the importance of context specific issues and the need to make use of the context. We notice that some of the PSTs, including those at Grey Seal University, suggest exploiting the context. Other groups, such as the Badgerford and Roe Deer PSTs, are aware that context is important and feel that their future depends upon them selecting an appropriate school in which to work. The issue of the importance of subject knowledge for PSTs was raised by mentors and by PSTs, but not by faculty advisors. As mentioned earlier in this chapter, reflective practice is referred to by several groups of PSTs and faculty advisors. Such references do not necessarily mean that reflective practice is applied, but the term has entered the course vocabulary. Meanwhile the term reality shock is not referred to by anyone. However, evidence of the concept can be seen in the discourse of the two PST groups, Wallaby Creek and Caribou Metropolitan. Some of the mentor groups also describe PSTs’ behaviour in a manner that suggests they are suffering from reality shock.

Rescaling of Political Authority The issue of the rescaling of political authority is described in detail in Chap. 6 (Lingard & Rawolle, 2011). This term refers to the adoption and legitimization of a policy and how this rescaling operates at various levels from a supranational level down to nation states and beyond, including the role of surveillance and accountability. In this research, the focus is predominantly on how policies apply at various levels, from the state or province down to institutions. A policy that has become embedded in a society is legitimised, and most of the population will comply with it. Let us take the instance of wearing a seat belt. When seat belts were introduced into the UK in 1983, police would have reminded drivers and passengers that they must be worn. Now seatbelts are an accepted part of the culture, many drivers and passengers will feel unsafe if they do not wear one. Seat belt wearing is one of the many policies that the population is highly unlikely to discuss. While some long-­standing policies are taken for granted and accepted, they may well cause irritation due to the time and effort needed to comply. Completing a tax return form would fit into this category. The earlier discussion about the need to comply with Ofsted requirements in England illustrates this irritation, as we see in the Roe Deer faculty advisor case. Most Ofsted regulations are now pervasive and certain elements impact all three stakeholders.

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In Australia, the state Department of Education is mentioned by several respondents, but the only specific policy referred to by stakeholders relates to the Australian Teachers’ Standards. These are mentioned by all three faculty advisor groups in Australia. These Standards are designated at four levels. While some have been in use for some time, others are being introduced gradually. The lowest level is the Standard for PSTs, it is in operation and is used to judge their performance by the end of the final practicum. This Standard provides a target for PSTs to achieve. The second level that applies to classroom teachers was about to be enforced at the time of data collection. Faculty advisers believe that this introduction will provide them with leverage, by ensuring that mentors need to be trained to achieve the standards. It is therefore the implementation of the standards that generates discussion with the faculty advisors. Once policies are implemented and embedded, they become less visible. At the point of implementation, a policy can impact practice, and the actors in the situation will begin to take it seriously. In the context of this research the rescaling of political authority describes the situation where a regulatory body implements a new policy, and other institutions or agencies, see the potential to apply it in a certain manner to gain leverage over actors in the situation. It is possible, therefore, to apply a new policy to the advantage of a stakeholder group.

Aspects Raised Yet Not Identified in the Literature A few general topics were raised across all three jurisdictions and across certain stakeholders. None relate directly to the transaction or the value functioning, although they may contribute indirectly to them. They are summarised in Table 11.4. The summary Table 11.4 indicates that several stakeholders perceive elements of overload in the course. The PST and the mentors both identify assessment overload, in particular with assessment due to be submitted during the practicum. Meanwhile, the faculty advisers did not identify any assessment overload. The other source of overload is course documentation. In this case, the mentors do not identify this Table 11.4  Other topics raised in focus groups Topic Overload assessment

Pre-service teachers Faculty advisors Wallaby Creek Caribou Metropolitan Roe Deer

Overload course documents Old Possum Wallaby Creek Roe Deer

Wallaby Creek Roe Deer Badgerford Raccoon Technical

Competence in oral and written English

Old Possum

Mentors Old Possum Caribou Metropolitan Roe Deer

Wallaby Creek Old Possum Caribou Metropolitan

Findings of the Practicum Study

333

overload at all, probably because the documentation that they are required to sign is brought to their attention by either the PST or the faculty advisor. They are not required to interface directly with the course documentation. Both sources of overload are referred to by stakeholders in all three jurisdictions. Neither of these overload issues surprises the authors, given their knowledge of the English initial teacher education system. The necessity for compliance with Ofsted’s requirements and the expectation of Ofsted inspection encourages English providers to generate an abundance of documentation to evidence compliance with standards. The more concerned an institution is about compliance, the more documentation it tends to create. The subject of the standard of the PSTs’ English language was raised by a relatively small number of stakeholders, one faculty advisor stakeholder group and three mentor groups. As one might expect, no PSTs commented on this issue of language. The four groups that raised the issue of the standard of PSTs’ English language were, however, vociferous about their concerns. In some cases, they felt that some students should not have been recruited. In other cases, their concern was that the university did not flag these students to a school. One of the cases referred to students for whom English was a second language, but the other three groups appeared to be referring to students whose first language was English.

Findings of the Practicum Study We remind the reader that the aims of the Practicum Study are as listed in Fig. 11.10. Within the Practicum Study we set out to identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. In particular, we explore the impact of the following mechanisms: policy, culture and stakeholder position. One might ask in what way have the focus group discussions enabled us to perceive the behaviours and discourse of the stakeholders. While the discourse has been collected directly through conversations between the members of the group, the behaviour is inferred by the group’s reference to themselves and their peers, and their comments about the other stakeholders. There is limited discussion by each set of stakeholders regarding their own behaviour. There is, Aims of the Practicum Study To identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. To relate these mechanisms to the policies within each jurisdiction the culture of each jurisdiction the stakeholder’s position within the practicum. Fig. 11.10  Aims of the practicum study

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11  Findings from the Practicum Study

however, commentary on other  stakeholders’ behaviour. These comments often include disparaging remarks about peers. Examples of this are the Old Possum faculty advisors’ comments on PSTs and the Raccoon Technical faculty advisors’ remarks about mentors. In relation to the aim of the Practicum Study we seek to understand three mechanisms, the impact of: stakeholder position, policy, and culture. There is much more commonality of response from within a set of stakeholders than between sets of stakeholders. For example, presenting all the data from the PST groups in one table led us to distinguish a continuum linked to the agency of PSTs. The selection of stakeholders as the category used to present the data may have influenced our interpretation. This choice is examined further in Chap. 12. We have discussed policy in the section ‘Rescaling of Political Authority’, earlier in this chapter. Now we take the term culture, a term introduced in Chap. 7. We are adopting the following definition of culture: “sets of taken for granted values, attitudes and ways of behaving, which are articulated through and reinforced by recurrent practices among a group of people in a given context.” (Becher & Trowler, 2001, p. 23).

Causal Factor 1: Stakeholder Position Our first finding is that stakeholder position is the prime causal factor influencing the behaviour and discourse of the respondents. This factor can be seen by the similarity in the value functioning of the groups within a stakeholder set. This result should not be a surprise to any of us, as we will all have had the experience of taking different stakeholder positions. For example, many of us will have been a student, a teacher, a work colleague, a partner, a parent. We know how our persona and our aims change depending upon which stakeholder is demanded by our context. Commencing with the PSTs’ value functioning, as presented in Table  11.1, the groups each occupy a continuum describing the level of agency of the PSTs within the context of the practicum. At one limit are the confident PSTs who have learned how to ‘play the game’, while recognising the difficulties faced during the practicum. At the other limit the PSTs are suffering from reality shock. In this latter situation, the PSTs feel powerless during their practicum experience. In the middle of the continuum, the PSTs recognise that they are in a learning situation and are undergoing a transitional experience from student identity to teacher identity. Most of the PST focus groups recognise the importance of the school context in which they find themselves. The PSTs who are in a state of reality shock are confused. They rarely have the cognitive space to reflect upon the context in a meaningful way, due to the level of stress and emotion that they are experiencing. This PST continuum has been derived from the value functioning of the PSTs. The descriptions advanced by the mentors and the faculty advisors depict students who fall into these categories and exhibit these states of mind. The value functioning continuum for faculty advisors and for mentors has been discussed earlier in this chapter illustrating their stakeholder positions.

Causal Factor 3: Influence on Faculty Advisors

335

Causal Factor 2: Context for PSTs Our second finding is that PSTs occupy a three-fold context that impacts their agency and influences their behaviour and discourse. The mechanisms that cause PSTs to position along this agency continuum and generate the behaviour and discourse, derive from the context in which they find themself. The context that an individual student inhabits results from three contingent factors. The first factor is formed before the PST arrives on the course. The PST arrives with prior experience: their personal characteristics and skills, their subject knowledge, their home support, and any responsibilities. The second context is that of the school in which they are placed. The schools may be welcoming and nurturing or unsupportive and challenging. The behaviour of the individual staff within the school, especially the mentor, will colour the student’s view of this aspect. PSTs will also be influenced by the attitude of the head teacher and by their integration into the school. Longer practicums can give PSTs the opportunity to become embedded in the school. The third factor is that provided by the course. There is agreement across the board, from all three sets of stakeholder, that the faculty advisors do not impinge greatly on the PST’s experience during the practicum and that the two worlds of school and university are distinct. Nevertheless, there are several instances where the course content is mentioned and where the backup and safety role of the faculty advisor is appreciated. There are also critical references to the course, including reference to over-assessment and the burden of bureaucratic documentation. Thus, the university course does contribute to the context and agency of the PST.

Causal Factor 3: Influence on Faculty Advisors Our third finding is that faculty advisors are influenced by policy and status. Policy is referred to much more frequently by Faculty Advisors than by PSTs and mentors. When they mention policy, they refer to policy in their jurisdiction. The second influential factor, status, is unforeseen. The faculty advisors’ value functioning, in Table 11.2, indicates that they are influenced by the status of the university, or the education faculty. The faculty advisors sit along a continuum. At one limit are those who wish to maintain the status of their élite institution. At the other limit are faculty advisors who feel that they have lost status, are unsure about their current position and worried about their future. Their status is a specific aspect of the context in which the faculty advisers find themselves within their institution. In some instances, the status is the result of policy decisions. In England the move to school-based teacher education is impacting and altering the status of English faculty advisors. In the Ontario context, the policy decision to adapt the teacher education course in order to adjust the number of graduates and reduce costs has an impact upon the faculty.

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Causal Factor 4: Influences on Mentors Our fourth finding is that school culture influences mentors’ discourse and behaviour. Culture can be described as an implicit or taken for granted set of ‘values, attitudes and ways of behaving’ (Becher & Trowler, 2001, p.  23), exhibited and reinforced by Communities of Practice. Most mentors can be positioned along a value functioning continuum with the aim to professionalise a PST and convert them from a student into a teacher. At one limit of the continuum, mentors’ value functioning revolves around their own identity and their wish to develop their professional identity. At the other continuum limit, there is one focus group that interprets their experience negatively. Australia Koala mentors are operating in a state of stress, with a high level of accountability. They perceive the additional responsibility of mentoring PSTs as increasing their accountability. The culture of the school is the causal factor influencing their value functioning. The metaphors devised by the mentor groups are helpful in painting a picture of the culture of the school. Two aspects of culture can be considered. The dominant aspect is the culture of an individual school, the other aspect is the general culture in that jurisdiction’s schools. Two examples will demonstrate the dominant factor. In New South Wales, the Hothouse image of the Old Possum mentors illustrates a challenging school where there is an expectation that teachers will improve themselves. In contrast, the nature/nurture metaphor of the Wallaby Creek school illustrates the image of a nurturing school.

Conclusion This final chapter of the Practicum Study starts by combining the data presented at the end of Chaps. 8, 9 and 10, the value functioning data from Womposo. Activity 4 (Explaining). Taking each stakeholder set in turn, a value functioning continuum that includes the seven or eight focus groups, is drawn. The first continuum portrays the level of agency of the PSTs, it spans the range from confident students to those suffering from reality shock. In the second continuum, the faculty advisors’ value functioning relates to the concept of status. At one end of the continuum are those with high status; at the other end are those who are worried that they will lose their current status. In the middle of the continuum, the faculty advisor groups focus upon nurturing and supporting PSTs. The third continuum relates to the value functioning of mentors. It ranges from those who wish to become better mentors to those who want to extend their mentoring and contribute to course delivery. At the base of this mentor continuum is one outlier group who are worried about their level of accountability. For this group, mentoring a PST intensifies their level of responsibility. For each set of stakeholders, cases are chosen from three points that represent the upper, middle and lower points on the relevant continuum. We then relate the

References

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Findings: Causal Factors 1. 2. 3.

4.

Stakeholder position is the prime causal factor for discourse and behaviour PSTs occupy a three-fold context that impacts their agency and influences their discourse and behaviour Faculty advisors are influenced by policy and status, this is reflected in their discourse and behaviour. School culture influences mentors’ discourse and behaviour

Fig. 11.11 Findings

discussions of groups from different universities to the key themes in the literature search in Chap. 6. The following themes arising in the Practicum Study data correspond with the concepts in the literature research. These are agency, Communities of Practice and Codes of Practice, identity, agency/context, rescaling of political authority and reality shock. Several other themes that did not surface in the literature chosen to report in Chap. 6, arose in more than one focus group. These themes include identifying risk-taking as a key element of PST agency, the standard of PSTs’ English, the overload of course assessment and documentation and finally the importance attributed to status by the faculty advisors. Having given due consideration to the literature search, we turn to the aim of the Practicum Study. The aim is to identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders. Using the terminology of Critical Realism, the intention is to identify the causal mechanisms or powers that generate the behaviours and discourse of stakeholders, exploring the impact of the following mechanisms: policy, culture and stakeholder position. The following four causal factors are identified above in Fig. 11.11. Chapter 12 will evaluate the Womposo strategy as applied in the Practicum Study, consider ethical aspects and limitations of the process. It will also address the actions that might be taken, in light of the findings, to improve the practicum experience for PSTs.

References Archer, M. (1995). Realist social theory: The morphogenetic approach. Cambridge University Press. Becher, T., & Trowler, P. (2001). Academic tribes and territories. SRHE and Open University Press. Biesta, G., & Tedder, M. (2006). How is agency possible? Towards an ecological understanding of agency-as-achievement. In Learning lives: Learning, identity and agency in the life course. Teaching and Learning Research Programme. RES 139-25-0111. Checkland, P. B. (1981). Systems thinking, systems practice. John Wiley and Sons Ltd. Cobb, D. J., Harlow, A., & Clark, L. (2018). Examining the teacher identity-agency relationship through legitimate peripheral participation: A longitudinal investigation. Asia-Pacific Journal of Teacher Education, 46(5), 495–510.

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Ehrlandson, P. (2005). The body disciplined: Rewriting teaching competence and the doctrine of reflection. Journal of Philosophy of Education, 39(4), 661–670. Elder-Vass, D. (2010). The causal power of social structures: Emergence, structure and agency. Cambridge University Press. Hirschman, A. O. (1970). Exit, voice and loyalty: Responses to decline in firms, organizations and states. Harvard University Press. Kim, H., & Cho, Y. (2013). Pre-service teachers’ motivation, sense of teaching efficacy, and expectation of reality shock. Asia-Pacific Journal of Teacher Education, 42(1), 67–81. Lave, J., & Wenger, E. (1991). Situated learning: Legitimate peripheral participation. Cambridge University Press. Lingard, B., & Rawolle, S. (2011). New scalar politics: Implications for education policy. Comparative Education, 47(4), 489–502. Mutton, T., Burn, K., & Hagger, H. (2010). Making sense of learning to teach: Learners in context. Research Papers in Education, 25(1), 73–91. Schön, D. A. (1995). The reflective practitioner: How professionals think in action. Arena. Scott, D. (2010). Education, epistemology and critical realism. Routledge. Sen, A. (1999). Development as freedom. Oxford University Press. Smagorinsky, P., Cook, S., Moore, C., Jackson, A.  Y., & Fry, P.  G. (2004). Tensions in learning to teach: Accommodation and the development of a teaching identity. Journal of Teacher Education, 55(1), 8–24. Tao, S. (2016). Transforming teacher quality in the global south: Using capabilities and causality to re-examine teacher performance. Palgrave, MacMillan.

Part IV

Appraising the Womposo Research Strategy

Chapter 12

Evaluating the Practicum Study and the Womposo Research Strategy

Abstract  One rarely finds the full description of a research strategy presented in parallel with a research project that employs this strategy. The Practicum Study is evaluated in terms of the ethical issues raised and its conformance with the principles of reliability, validity, generalizability, and triangulation. The causal factors identified in the Practicum Study have been generalised beyond the practicum case to cover the categories of stakeholder within any system. Drawing on the work of Paul Beynon-Davies, a model for evaluating Womposo, based on functionality, usability and utility is described and applied, and the benefits and limitations of Womposo are discussed. Soft Systems Methodology (SSM) is easier to understand and use than critical realism. However, critical realism provides a fundamental ontological grounding; adopting this underpinning paradigm leads to the identification of causal mechanisms acting in a problem situation. This book proposes a research strategy to help early career researchers wishing to engage with systems thinking and critical realism. Researchers are encouraged to apply any aspect of Womposo that they find helpful. Critical realism provides a middle way between the two extreme epistemologies of positivism and interpretivism and mounts the argument that the world is mind-independent but informed by theory. Keywords  Causal mechanism · Critical realism · Epistemology · Mind-­ independent · Paradigm · Problem situation · Research strategy · Soft Systems Methodology (SSM) · Systems thinking · Womposo (Worldview, Metaphor and Power of Social Objects)

Summary of This Book This book is atypical, in that one rarely finds the full description of a research strategy presented in parallel with a research project that employs that strategy. It can be differentiated from research texts that explore all the stages of research in specific disciplines (Saunders et  al., 2009; Easterby-Smith et  al., 2008; O’Gorman & © The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5_12

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Ontology: what can we know? Realism Social and natural reality exists

Critical realism Stratified Causal powers

Epistemology: how can we know it? Positivism Critical realism Objective

Mind-independent but value-laden

Relativism/Idealism Reality derived from human cognitive process Social Constructivism Subjective

Fig. 12.1  The spectrum of ontology and epistemology

Macintosh, 2017) or focus on single strategies or data collection techniques (Gillham, 2000; Bennett, 2003). In Part I of this book, the reader is introduced, in Chap. 1, to systems thinking and, in Chaps. 2 and 3, to critical realism. In Chap. 4 we outline the stages of research suggesting a Stepping-Stones model and we devise and present our new research strategy, entitled Womposo: Worldview, Metaphor and the Power of Social Objects. To assist in deriving the Womposo strategy, and to test and illustrate it, a research project entitled the Practicum Study is included and this is described in Parts II and III of this book. Part II presents the context for the study and Part III covers data collection, interpretation and findings. Part IV of the book contains only this final chapter. Chapter 12 scrutinises the findings of the Practicum Study, in relation to the assumptions made by adopting the Womposo research strategy and evaluates the outcomes in relation to the context and aims of the research. The Womposo strategy adopts elements of Soft Systems Methodology (SSM) as its starting point and takes, as its underpinning meta-theory or philosophy, the ontology and epistemology of critical realism. SSM is an action research approach based on systems thinking, devised by Checkland (1981). Bhaskar (1975) proposes critical realism as a philosophy with an ontology that is mid-way between realism and relativism and an epistemology that lies between positivism and social constructivism, see Fig. 12.1. Later in this chapter, critical realism will be described more fully and compared with realism and interpretivism or relativism. The main intent of this chapter is to evaluate the Practicum Study research project and to appraise the Womposo research strategy.

Outline of This Concluding Chapter In order to evaluate the outcomes of the piece of research described herein as the Practicum Study, and to appraise the Womposo strategy, some of the content of Chap. 11 is repeated. We begin by considering the findings and explore the four causal mechanisms in more detail. The influence of policy is considered, and the problems identified in the problem situation are discussed with suggestions being made about how they could be addressed. The models of teacher learning espoused

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are explored before moving on to consider the stratified ontology of critical realism, and the other techniques within systems thinking that can be used. We then explore the value of SSM and explain how it has been used in the Practicum Study. This leads to consideration of policy borrowing and the rescaling of political authority. The ontology and epistemology of critical realism has been assumed as the underpinning philosophy for this research project. Its application across the ontological spectrum, from the sciences to the social sciences, is discussed. The practicum study is then evaluated in terms of the ethical issues raised and the extent to which the research conformed with the principles of reliability, validity, generalizability and triangulation. The benefits and limitations of Womposo are discussed. Drawing on the work of Beynon-Davies (2002) a model for evaluating Womposo, based on functionality, usability and utility is described and applied.

Contribution to Knowledge: Causal Factors In Fig. 12.2 the aims and the findings of the Practicum Study are presented. The adoption of critical realism as an underpinning philosophy leads to our search for the causal mechanisms of the behaviour, and the related discourse, of the three stakeholders. To quote Armstrong (2019, p. 467) “a major aim of critical realism is to identify those mechanisms as a means of developing more complete explanations”. In this chapter, we discuss and explore the comprehensive explanations. An alternative means of presenting these findings can be found in Fig. 12.3. The figure indicates that stakeholder position is the primary factor, this causal mechanism operates prior to the other mechanisms. We then present the remaining three causal mechanisms and refer to the three roles identified within the six CATWOE categories. Chapter 11 refers to the three types of stakeholder: PSTs, mentors and faculty advisors. In this chapter, we move on to consider the generic roles that they occupy. The PST is classified within the CATWOE terminology as the victim or beneficiary of the practicum and is classed as the customer (C). The faculty advisors are responsible for the PSTs and for the practicum, in CATWOE terminology they Aims of the Practicum Study

Findings: Causal Mechanisms

To identify the mechanisms that operate within the practicum and generate the behaviours and discourse of stakeholders.

Stakeholder position is the prime causal factor for discourse and behaviour

To relate these mechanisms to ● the policies within each jurisdiction ●

the culture of each jurisdiction

●

the stakeholder’s position within the practicum.

PSTs occupy a three-fold context that impacts their agency and influences their discourse and behaviour Faculty advisors are influenced by policy and status, this is reflected in their discourse and behaviour. School culture influences mentors’ discourse and behaviour

Fig. 12.2  Aims and findings of the practicum study

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Fig. 12.3 Causal mechanisms

Context  PSTs (C)

Stakeholder posion most crical

School culture  mentors (A)

Policy & Status  Faculty Advisors (O)

are the owner (O) of the system. In Chaps. 8, 9 and 10 within the CATWOE analysis the university and the school are labelled as the actors. However, the data collected in the focus groups highlights the significance of the mentor, over and above the school. There are many instances, particularly from the perspective of the PST, where the mentor is seen as the key determinant of a PST’s success. It would, therefore, have been better to label the mentor as the prime actor (A). Finally, we move on to look in more detail at the four mechanisms that have been identified in the findings of the Practicum Study, as the causal factors.

Mechanism 1: Stakeholder Position Mechanism 1 states that the Stakeholder position is the prime causal factor for discourse and behaviour. By considering the stakeholder role from CATWOE, Customer, Actor or Owner, our intention is to reach conclusions that are relevant in any problem situation. The findings are then not limited to a school practicum. The major causal mechanism that generates the discourse and behaviour of individuals and groups is their stakeholder position. This is a conclusion that will impact any research that involves collecting data from human respondents. It emphasises the importance of determining each respondent’s stakeholder position in relation to the problem situation. For example, if one is collecting data from respondents working in higher education, their role will determine their stakeholder position. Thus, it will be important to consider whether they are lecturers, professional staff or have an academic management role. The identification of this first causal mechanism is important in any social science research that incorporates the collection of qualitative data and will also need to be considered in quantitative methods when sampling respondents. Stakeholder position is identified within SSM as fundamental. Our findings corroborate this contention. Stakeholder position also has a significant impact on one’s value functioning. One’s self-interest, in relation to a particular problem situation, is largely determined by one’s position in the system. The perspective or worldview of the different stakeholders is illustrated in the example in Chap. 1 illustrating the higher education admission system.

Mechanism 3: School Culture

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Mechanism 2: Context This second mechanism acts upon the customer, who is the principal stakeholder in the problem situation. The customer is normally the easiest role to identify. If you return to the CATWOE definitions in Chap. 1, you will see that the customer can be identified as either the beneficiary or the victim of the system. Considering who might be the victim, and might suffer, in a problem situation can help you to identify this role when using SSM. In the Practicum Study this stakeholder is the PST, the individual for whom the practicum is devised. In this instance the mechanism acting upon the PST is the threefold context and this affects the agency of the PST, as demonstrated in their discourse and behaviour. This practicum problem situation can be widened to consider similar situations. Any work-based learning experience is likely to mirror the practicum situation. The circumstances may also be analogous to someone joining a new organisation and finding themselves in a position of legitimate peripheral participation (Wenger, 1998). The three contextual factors impacting the PST will be their prior experience upon entering the new situation, the context that presents within the new environment, and any influence that the owner of the problem situation may have. It can be difficult to identify the owner of the problem situation and the customer may not come into direct contact with the owner. The owner may act through an agent who might be considered the owner in this case. In each situation one must consider whether there is a third contextual factor.

Mechanism 3: School Culture In the scenario of the practicum the actor is the mentor. The school culture influences mentors’ discourse and impacts on their behaviour. In any organisation, the actors (A) in the system form the Community of Practice and through it create the influential set of norms that shape the organisational culture. Rather than explore the concept of culture more broadly, we have chosen to adopt Becher and Trowler’s (2001, p. 23) definition of cultures as “sets of taken for granted values, attitudes and ways of behaving, which are articulated through and reinforced by recurrent practices among a group of people in a given context.”. Individual actors in an organisation will merge into norm groups and will reinforce the existing values. If a newcomer finds certain values or behaviours unacceptable, or at odds with their own value functioning, they will choose ‘exit, voice or loyalty’ (Hirschman, 1970). They either leave the organisation, attempt to change some of the norms by articulating their concerns, or come to terms with the norms. In the school situation, the Community of Practice includes several implicit Codes of Practice that demand compliance. The importance of school culture, implied by this causal mechanism, reinforces the school’s influence not only on the mentor but also on the PST. The school culture may impact upon the PST through the mentor. Within the aims that we set out to achieve, listed in Fig. 12.2, we sought to determine the impact of the

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culture of the jurisdiction. This proved difficult to establish. There were some instances where stakeholders referred to the community of practice as all the schools within a jurisdiction, but in most cases the community of practice comprised the individual school.

Mechanism 4: Policy and Status Mechanism 4 is the most interesting outcome in relation to the original motivating factor for the research, which was to explore the impact of policy and the principle of policy borrowing. It is more difficult to see how this mechanism would relate generally to any organisation and therefore the focus is on analysing this factor in relation to universities. The causal factors influencing the discourse and behaviour of faculty advisors are twofold, they relate to status and to policy. Status manifests the faculty advisors’ raison d’être, what they perceive as the fundamental purpose of their establishment. While some faculty advisors may identify closely with the university, others will identify more strongly with their role within a faculty of education as a teacher educator. In our faculty advisor groups, one quarter of the eight groups comprised only females, and in all but one group more than 60% of the group were female. The greater proportion of females within primary teaching and within many secondary subjects is reflected in the number of females taking part in the focus groups. We note the comment from Becher and Trowler (2001, p. 151) that “Women are more numerous in disciplines with low status both in universities and beyond”. It is therefore, perhaps, not surprising that status is seen as an issue within this discipline. Faculty Advisors may give precedence to the role of teacher educator over the role of university academic or they may subsume one role within the other. This would be an interesting area for further research. Faculty advisers, as the owners of the system must respond to the policy environment. Responses to policy are generally the responsibility of faculty management and therefore not all respondents would, in practice, be able to influence policy.

The Influence of Policy As alluded to in the previous section, the main reference to policy occurs in the faculty advisor groups. However, policy issues are mentioned by the PSTs and the mentors. PSTs are aware of the Teachers’ Standards that they are expected to achieve and in England, the PSTs are well aware of the role of Ofsted. Mentors in New South Wales refer to the Department of Education and its demands, although this is not explored in any detail. Many aspects of policy impact schools but as the mentors were asked to discuss the practicum, they would be less likely to discuss broader policy issues that affect schools. The policy aspects relating to the practicum impact the faculty advisors, as they set standards, check standards, and

The Influence of Policy

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maintain standards. There are probably many other aspects of policy that faculty advisors could refer to, and probably would have, had they been asked to focus on different issues. In each jurisdiction, respondents focused on only one aspect of policy. This was the policy that was being introduced at the time because this gave them an opportunity to influence the implementation. They may not have welcomed this opportunity but, faced with a new policy, they were attempting to use it to their advantage. Once again, as with status, this is part of the faculty advisors’ self-interest. This finding demonstrates that while policies appear to be imposed top down, in practice there is always some ‘wriggle room’ or scope for interpretation of a policy at a lower level in the system. This scope for negotiation is a common feature of systems. It can result in unintended consequences that affect the overall direction of the policy, or it can offer the opportunity to tweak the system so that it operates more effectively. The judgement of whether a policy operates more effectively is of course a question of one’s perspective. One stakeholder may consider a tweak to be an improvement, while another may interpret it as a weakening of the policy. The concept of the Rescaling of Political Authority provides a completely different interpretation of the notion of policy borrowing from that originally held by the authors. Lingard and Rawolle (2011) introduce this term to refer to the adoption and legitimization of a policy. The reader will find a detailed explanation in Chap. 6. A nation identifies a policy either because it is recommended by a supranational authority, or it is in use in several other nation states. It is more likely that a policy will be introduced in an adapted form to enable it to achieve some already identified objective of that nation state, rather than being adopted in its entirety and inserted into their current educational system. This adoption would usually be accompanied by some form of justification for its introduction. While this rescaling can be from supranational organisation to nation state, it can also occur from nation state or jurisdiction to schools or universities. The introduction of Teachers’ Standards in New South Wales is an exemplar. While the State requires the introduction of Teachers’ Standards for existing teachers, the faculty advisors discern an opportunity to utilise this to the faculty’s benefit. The university realises that the requirement to reach specific standards will provide teachers with an incentive to be trained as mentors, because the training will provide evidence for the achievement of the standards. This opportunity is an example of an organisation using some aspect of a policy to gain leverage over other entities. The other two instances relating to policy that arise within the Practicum Study are the redesign of the teacher education course in Ontario, and the transfer, in England, of responsibilities for teacher education from university faculties to schools. In both these examples the responsible agencies within the jurisdictions can enforce certain actions within educational establishments. In this data we see the response of the faculty advisors in Ontario and in England. While policies become embedded over time, newly introduced policies unsettle the stakeholders because of the uncertainty they create about their future. Thus, the stakeholder tries to gain leverage by applying a new policy in a certain manner. Meanwhile the stakeholder impacted by a new policy worries about their future, but also considers their own self-interest in enacting the policy. In

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Chap. 1 in the discussion of cybernetics, systems were described as complex, probabilistic and self-regulatory. The behaviour of stakeholders in modifying aspects of policies, to their own advantage, provides an example of this self-regulatory aspect of systems.

 he Problem Situation and the Problems Within T the Practicum Study Following discussion on policy, the relationship between the problem situation presented in the Practicum Study and the major themes from the literature search, is examined. The topics that were addressed by the literature search in Chap. 6 and arose within the Practicum Study data are: agency and context, Communities of Practice, Codes of Practice, reflective practice, reality shock, and the Rescaling of Political Authority. At the outset of this research the practicum was identified as the ‘problem situation’. We have now looked at this problem situation from three perspectives, those of the PSTs, the mentors and the faculty advisors, and the following question is posed. Has the data revealed the perceived problems in the practicum? In Chap. 11 we identified a series of problems, some were remarked on from one perspective and others emerged from several perspectives. The following issues emerged. The agency and confidence of individual PSTs varies at the outset and is influenced by context. This underscores the need to differentiate between PSTs and treat them accordingly. At the extreme, some PSTs appear to be suffering from reality shock. This reveals a potential problem relating to PSTs’ mental health and may impact on their ability to complete the course. PSTs do not always recognise the Codes of Practice within their host school, and this is perceived negatively by the mentors. In turn, this generates other problems. Firstly, mentors may be judging, and in some cases assessing, PSTs based on implicit and unwritten criteria which would be unfair to students. Secondly, disagreements between mentors and PSTs around these implicit Codes of Practice can engender continuing disputes and lead to poor relationships and mental health issues for both PSTs and mentors. The mentor emerges as a key determinant of the PST’s progress and state of mind. This finding concurs with earlier research (Hennissen et al., 2008; Crasborn et al., 2011) and underlines the importance of training mentors. There is reference in the focus groups to the two worlds of teacher education, the university taught course and the school culture, although these two worlds are not mentioned frequently. This dichotomy gives rise to a significant question about the purpose of, not only the practicum, but of teacher education in general. It poses the following question: what is the purpose of teacher education? Is the aim to prepare PSTs more effectively for the current school educational system or is it to prepare them to improve the educational system? In other words, is the aim to replicate or to adapt school cultures. There are situations where a jurisdiction sets out definitively to change their education system through enhancements to the teacher

Addressing the Problems

349

education course. The researcher spent 4  years working on a European Union Tempus project based in Kosovo with the objective of changing the teacher education course in order to achieve the ultimate aim of impacting and improving school education (Gilbert & Pratt-Adams, 2020; Saqipi & Vogrinc, 2017).

Addressing the Problems If we begin by asking ourselves what is important to the PSTs, then several factors emerge. A small proportion of PST respondents clearly experience a state of reality shock and therefore it is important that universities and schools take action to deal with this. It could result in teachers being lost to the system and is likely to cause distress to some PSTs and their mentors. As context in the school is critical, universities first need to profile their students and their schools. This profiling will help them to match students who are judged more likely to suffer from reality shock to more supportive schools, meanwhile placing more confident students into challenging schools. Matching students to schools will benefit PSTs, mentors and schools. Given that faculties of education also need to consider how far the student will have to travel, what modes of transport they have available, what age group they need to be placed with and what subjects they teach, this matching is not as straight forward as it might sound. It will also be necessary to match faculty advisors with students if possible. The presence of implicit Codes of Practice and discussion of what the codes might include should be integral to the taught course. These codes should also be spelt out to students in the early stages of each practicum. Training of mentors was an issue very rarely alluded to in the Practicum Study but where it takes place an important aspect should be sharing the Codes of Practice between mentors from different schools. They also need to be aware that students may not recognise the codes, or may recognise them, but feel that they cannot respond to further demands. Opportunities for any of the stakeholders to be placed in a different stakeholder position could be valuable, for ensuring that they realise that the world is seen differently from another stakeholder’s perspective. It is not always easy for people to place themselves in more than one position. This is demonstrated by the behaviour observed in the well-known Stanford Experiment where participants are allocated to be either prisoners or guards (Haney et al., 1973). In a short period of time, the guards become unduly authoritarian and intimidating, and prisoners become submissive and unstable. It appears that one can quickly adapt to a different culture.

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Models of Teacher Learning Espoused There is very little direct discussion about models of teacher learning in the focus groups. Elements related to learning, such as reflective practice, are mentioned infrequently. However, the transformations developed under each CATWOE paint a picture of how the group perceive the aims of the practicum. In Table 12.1 the transformations in the CATWOE tables have been categorised under two major headings. The first heading is the transformation of the practicum and the second is the transformation of the PST. Four PST groups seek a transformation of the practicum, they have significant criticisms of the way the practicum is operating. Some of the groups, for example Scaling the Volcano, are effectively demonstrating reality shock. Others, such as Luck of the Draw, are able to ‘play the game’ but feel that there is a strong element of chance determining one’s experience in the practicum. Two groups of faculty advisors make the same judgement. One group are predominantly part-time hourly-paid staff, and they are critical of the faculty. The other group raise concerns about their status and the calibre of the students they are now accepting onto the course. In the situations outlined by these four PST and two faculty advisor groups, changes to the operation of the practicum could improve satisfaction. Better organisation and communication, reduction in the size of the practicum documentation and reduction in PSTs’ workloads, especially where Table 12.1  Transformations analysed by type across the stakeholders CATWOE transformation PST

Mentor

Faculty advisor

Transform practicum Luck of the draw (NSW) Pawns in the game (NSW) Scaling the volcano (Ontario) Your Mentor I am (Ontario)

Transform PST Metamorphosis Learner driver (England)

Systemic Beehive (Ontario)

Learning to fly (NSW) Turbulence on the way (England)

Welcome to the circus (England) Gateway to different worlds (Ontario) Cookie cutter to ski jumper (Ontario) Battery hens (NSW) Dissonance (Ontario) Frontstage/backstage (NSW) Backpack to briefcase Sandstone express (NSW) (Ontario) Gingerbread man (Ontario)

Hothouse (NSW) Mother nurture (NSW) Growth of PSTs (England) Domestiques (NSW) Life cycle of trees (England) Penguin huddle (England)

Stratified Ontology

351

assessments coincide with the practicum, would make a difference. Other factors emerging from the data that could transform the practicum included training or improved training of mentors and sharing of the mentors’ implicit Codes of Practice. It is advisable to place PSTs who are identified as vulnerable in supportive school environments. In Table 12.1 the other two columns, headed transformation of the PST and designated metamorphosis and systemic, provide us with an indication of the aims of teacher education as perceived by the remaining groups. The groups in the metamorphosis column perceive the desired transformation as being from a PST into a teacher and therefore imply a model of teacher education that focuses on preparing the PST to join a school and maintain the status quo. The groups in the right-hand column indicate a systemic view of the practicum. As part of a system, the elements will interact to maintain homeostasis or equilibrium. In the light of contextual and societal changes this will require adaptation by some elements to keep the system in equilibrium. The grouping in the systemic column includes those who see the aim of teacher education as being to contribute to the overall school education system. It should be noted that all three sets of stakeholders, and all three jurisdictions, are represented in these last two views of the implicit aims of teacher education. It may be over simplistic to assume that the holistic metaphor derived denotes the view of the group regarding the purpose of teacher education. This is an interesting proposition to explore in further research.

Stratified Ontology The Womposo method is based on the philosophy of critical realism. Critical realism demands three domains, the real, the actual and the empirical. When one is absorbed in trying to understand the complexity of critical realism, it is easy to lose its basic postulates. The ontology of critical realism assumes a stratified reality. It is therefore helpful to the reader to relate the value functioning of each set of stakeholders to the powers that they possess. The reader is reminded that the real world is where a mechanism or power is possessed but no evidence of it can be perceived. In the actual world the mechanism can be exercised. This is when the entity in question attempts to takes some action to exert or exercise this power. Finally, we only see the evidence of the power when it is actualised in the empirical world. Table 12.2 takes three focus groups, one from each stakeholder set. The two powers and one liability are possessed by the group in question. The powers are actualised in the behaviour of the group. During the focus group, the powers/liabilities are actualised in the discourse.

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Table 12.2  Stratified ontology examples from the practicum study data Critical realism domain Empirical

Power/ mechanism Actualises

Actual

Exercises

Real

Possesses power or liability

Wallaby Creek PSTs During the focus group Share discourse of reality shock and powerlessness in focus group

Caribou Metropolitan Mentors During the focus group Share discourse of opportunity and mentor as guide rather than tutor

Situation plummets into vicious circle

Mentor succeeds in opening gateway for PSTs

PST operates tentatively within the practicum, seeking advice when they can Level of agency: Feel like pawns in the game (liability) PST’s context impacts their agency and discourse and behaviour

Mentor as guide, makes effort to support PST during the practicum Able to open gateway to different world (power) School culture influences mentors’ discourse and behaviour

Stakeholder position generates discourse and behaviour

Stakeholder position generates discourse and behaviour

Badgerford Faculty advisors During the focus group Share discourse of PST surviving and maturing in a treacherous environment Faculty advisor succeeds in encouraging PST to cope outside their comfort zone Faculty advisor as protector and guard against insensitive mentors Vulnerable chick to mature teacher (power) Faculty advisors are influenced by policy and status, reflected in their discourse and behaviour Stakeholder position generates discourse and behaviour

Other Techniques that Can Be Applied in Systems Thinking There are several useful techniques applied in systems thinking that the user may wish to adopt to visualise the multiple causes and effects acting in a system (Reynolds & Holwell, 2016; Open University T247, 1991). One can use multiple cause diagrams (ibid block 8, p. 22), cognitive maps (ibid, block 3, p. 81) and an adapted version of a multiple cause diagram entitled a sign graph. In Fig. 12.4, a sign graph multiple cause diagram  (ibid block 8, p.  22)  has been drawn  by the authors for the elements of data related to status, and to Old Possum university, its PSTs and its partner schools. Where there are examples of systems with mainly positive effects and positive feedback, we may perceive a virtuous circle. However, in general negative feedback provides an element of control and maintains a system in a stable state of homeostasis or morphostasis, whereas positive feedback can lead to a system escalating out of control. Similar flow charts could be drawn for other

SSM and Homeostasis

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Fig. 12.4 Flowchart illustrating issues of status, drawn by authors

situations that have emerged within the practicum study by, for example, drawing a flow chart to illustrate reality shock. The fundamental underpinning of systems thinking is that one should think holistically. Entities within a system impact on other entities and sometimes generate unintended consequences.

SSM and Homeostasis In this section the value of SSM is explored and how it is used in the Practicum Study is explained. Checkland and Scholes (1990) make the case that hard systems help to determine how to do something, once the decision of what to do has already been determined. In contrast, soft systems, particularly SSM, focus on determining what one should do. It is this factor that makes SSM a suitable approach to use as an action research strategy. Researchers and consultants have concentrated on using SSM to undertake action research in specific organisational contexts. We have instead undertaken comparative international research that is not case study based. SSM can still reveal what should be done in such a situation. However, we can neither act, nor recommend any action, for a particular institution. Our findings can instead provide general feedback to advise on the type of actions that could be taken. This advice is included earlier in this chapter. However, our desire is to use SSM to pose the question ‘What have social entities done within a social structure?’. How have they acted to maintain or change the system in which they find themselves? If we consider the parallel of an ecosystem, we can see that the destruction of a particular plant or animal species by humanity can affect the entire ecosystem, destroying certain species while allowing others to flourish. Initially, the ecosystem is maintained in balance by different species occupying different parts of the food chain, relying upon this for their survival. The annihilation of one species in an area, can impact the entire ecosystem, but their gradual reintroduction can provide the necessary impetus to enable speedy regeneration of the ecosystem. Nature is resilient. Living systems generally maintain ‘homeostasis’, a state of balance, but they can switch to ‘morphogenesis’, a state of change and growth, and adapt accordingly

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when knocked out of kilter. We also see this in the case of humanity; wars and disease can help to maintain the balance and control of populations. Social structures, like ecosystems, are resilient and can adapt to change. We will explore how the social entities in question have acted in the practicum in order either to maintain homeostasis or to drive morphogenesis. The findings discussed in Chap. 11 and earlier in this chapter are taken into account. The mentors are elements within the school at the start of the practicum. Their behaviour is driven by the school culture. We observed that a few of the organisations, both schools and universities, express a positive self-image that has probably developed within the organisation over many years. This exerts a strong normative influence over the members of the organisation. Referring to Table 12.1, the culture of some of the schools is proactive and promotes self-development of the teachers, such a school is likely to be in a state of morphogenesis. An example of this is Possum Primary School linked to Old Possum University; their derived metaphor, the Hothouse, is an emergent feature describing the culture of this New South Wales school. Schools like this one demonstrate norms such as seeking enhancement. In contrast, those schools where homeostasis is maintained share a culture where mentors aim to transform the PST into an effective teacher ready to fit into the prevailing culture of the school. In Chap. 1 we stated that radical change theorists contend that SSM reproduces elements of the status quo (Jackson, 2019). Our application of SSM within Womposo casts light on the problem situation and allows us to distinguish those organisations seeking homeostasis, the status quo, from those driving morphogenesis. In our application of SSM no one stakeholder dominates the discussion. It may be the fact that we are not adopting an action research approach that makes the difference. The causal mechanism affecting the PSTs is the context impacting their agency. The context is threefold. Firstly, the PSTs’ prior experience, secondly the context within the school and thirdly, and to a lesser extent, the context of the taught course. If the PSTs’ prior experience furnishes them with characteristics that provide agency in the school situation, then they will be able to contribute positively. PSTs who understand how to ‘play the game’ and recognise the implicit Codes of Practice, in addition to having some of the necessary skills and knowledge, adapt quickly to the school culture. At the other extreme of the spectrum are the PSTs who lack these skills and do not recognise the Codes of Practice. They are probably also experiencing external pressures from their personal life. This is the group that we identify as suffering reality shock and they will, as seen in the Battery Hens mentor group, unsettle the mentors. This group is likely to find the school context problematic. Finally, with relation to the faculty advisors, no data was collected regarding how many visits they make nor how many PSTs they supervise, but respondents gave a firm impression that many of the faculty advisors are rarely seen. There is no doubt that they are perceived to have the least effect upon the PSTs’ practicum experience and may have limited effect upon the school environment. The two causal mechanisms impacting the faculty advisors are their status and the recognition of policy issues currently being implemented. This is where the rescaling of political authority, or policy, takes place. The faculty advisors have some flexibility and can adjust

From Systems to Policy Borrowing

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the way that policies are implemented. In this way, they can impact PSTs, mentors and schools. They can, for example, ease or add to the workload of PSTs and mentors by changing practicum documentation. In New South Wales they can affect mentors’ behaviour and PSTs’ experience by introducing training for mentors, so that they are better able to achieve the Teachers’ Standards demanded by the NSW Department of Education. The question can therefore be asked – ‘Are faculty advisors as invisible as they seem?’

From Systems to Policy Borrowing Our findings thus reinforce the work of Lingard and Rawolle (2011) on the rescaling of political authority. Some effects of policy are perceived in the responses from the focus groups. The inspection visits of Ofsted in England generate certain behaviours from the schools and responses from PSTs. The lack of jobs in Ontario demands that applicants engage in a complex application process, resulting in them occupying a series of temporary teaching posts over a long period. This knowledge regarding lack of job vacancies disturbs and distresses some PSTs, as they have invested time and money in the course. Taking this example, the Ontario Ministry of Education has recognised the need for a change in policy. Other jurisdictions, such as Australia, run two-year masters degrees. One could argue that Ontario is borrowing the policy of longer teacher education courses, but it is doing this for its own purposes, to address the glut of teachers and to reduce costs. The policy concept is translated into a format that is relevant to that particular jurisdiction and will eventually be introduced. Faculty advisors in Ontario, in turn, seek ways to implement the change to the length of the course in a manner that benefits their PSTs and is in their own self-­ interest. Thus, elements of this adaptation are bottom-up and vary with the principles of the particular jurisdiction. Ontario has, over the years, had a more liberal administration than Australia or England and has devolved more of the power and decision-making to its professionals. To summarise, ‘policy borrowing’ is less likely than we had initially assumed to result in the imposition of a new policy in another context, in the manner that one might introduce a new plant or animal species into an alien environment. Using this metaphor, we had understood policy borrowing to be the introduction of a new species, like the introduction of Japanese knotweed to Europe or rabbits to Australia, both invasive species with devastating side effects or unintended consequences. Instead, ‘policy borrowing’ may be more like the gradual spread of potatoes beyond South America, where it is understood they originated.

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Critical Realism as a Middle Way Readers can study critical realism in detail in Chaps. 2 and 3. In this chapter, we explore its relevance across the ontological spectrum. An important characteristic of critical realism, one that translates into research practice, is that it is a naturalistic ontology. This term means that it encompasses both ends of the epistemological spectrum, subjective and objective, Fig. 12.1. Critical realism, therefore, posits a common reality for science and social science. A ‘realist’ believes that objects in the real-world are ‘mind-independent’. If the total population of an island was evacuated before a storm, any physical objects that could withstand the storm would remain, even if no-one was present to identify them. In contrast, an ‘idealist’ believes that reality is derived from human cognitive processes and therefore the presence of an object depends entirely upon the activity of the mind. The acceptance of ‘idealism’ can lead to reality being the ‘perspective’ of the observer. As Mingers’ (2004, p.  167) states “every theory becomes simply another viewpoint …. no better or worse than any other”. A critical realist ontology, meanwhile, entails the belief that the ‘real’ world is ‘mind-independent’ yet our interpretation of it is ‘influenced by theory’ or perspective. If the reader is still questioning whether systems thinking is widely applicable across both hard and soft aspects, we recommend that you read Capra and Luisi (2014), noting the wide range of disciplines that they encompass in ‘The systems view of life’. Let us start at the hard, objective end of the epistemic spectrum. The realist/positivist view says that one must accept that scientists can undertake experiments without being influenced by theories. Looking back at Chap. 2 and considering how scientific thinking develops, a pattern can be seen. The experimenter notices events that recur and draws inferences from this. This action is ‘induction’ and it leads the experimenter to a hypothesis, an informed guess; this process is entitled ‘retroduction’. To test this hypothesis, the experimenter sets up an experiment and, if the hypothesis is correct, then it will have been proved by ‘deduction’. An hypothesis often take the form of a theory and this theory generates further hypotheses and further experiments; so, the scientific process is enabled. We can see from this example that the scientists in question accept a world where their actions assume that the entities in the world are mind-independent, yet these scientists are also theory-influenced. Another example, that illustrates the importance of human perceptions is the use of metaphor within the sciences. In Chap. 7 the ‘wave’ and ‘particle’ theories of light were discussed. By adopting such a metaphor, scientists are able to express their findings in terms that can be understood and used to make predictions. From this discussion, one can question the assertion that at the positivist end of the epistemological spectrum sit realists. In order to undertake experiments, one must behave as a critical realist. Meanwhile, at the other end of the ontological spectrum, sit the idealists; in the epistemic world they are interpretivists. The interpretivist believes that the social world varies depending upon who is doing the interpretation (O’Gorman & Macintosh, 2017). According to the interpretivist view, there is no

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mind-independent reality in social structures, only different interpretations of it. Let us study the findings from the Practicum Study. In almost all groups the main entities identified were perceived as the PST, the mentor and the school, two individuals and an organisation. Most groups recognised the practicum as an entity, although it has no physical components and is, in Elder-Vass’ (2010) terms an ‘event’ rather than a physical entity. Stakeholder groups describe different perspectives, their views are perspective laden. Nevertheless, in all jurisdictions they recognise the same social entities as being in the ‘real’ world. Therefore, we argue that interpretivists are also realists. Similarly, the researcher for the Practicum Study operated in the same way as the scientists in the experiments, discussed in the last paragraph, and accepted that the views of stakeholders differ, depending upon their perspective. Nevertheless the stakeholders are talking about the same mind-independent entities. Thus, the interpretivist is also a critical realist. There are additional distinguishing features in the definition of critical realists. They accept that social structures have causal powers; that the world is stratified; that proof is fallible. In earlier chapters, the ‘epistemic fallacy’ has been discussed, the contention that it is not possible to know everything, there will always be ‘unknown unknowns’, or as it is often colloquially phrased, the ‘black swan theory’ (Taleb, 2007) (see Chap. 2, Fig. 2.5). Therefore, one has to accept that one can never know the ontology of the world. The ontology of critical realism as defined by Bhaskar (1975) describes a stratified reality with other systemic features such as emergent entities. We can never know whether this is true. All we can do, as with many scientific theories is to determine whether it is a helpful model in the study of the world. Is it a valuable epistemology?

Ethical Issues Arising In Chaps. 4 and 7, several aspects of research ethics were discussed. The research ethics forms in all three jurisdictions required the consideration of harm, consent, anonymity, and data storage. In Ontario the form also demanded comments on the benefits to the community and asked about conflicts of interest and financial benefits to the researcher. Other factors to consider are those raised in the ethical guidelines for professional associations, such as professional competence, respect for rights and social responsibility. Aspects of consent, anonymity and data storage were built into the project from the outset. They are described in the data collection chapters and were observed. Aspects that are harder to predict are questions of harm to the participants. In relation to harm, an issue that arose in some focus groups where a number of the PSTs were witnessed in a distressed state. Retrospectively, we judge them to be suffering from reality shock. This raises questions regarding whether the researcher should have intervened in the groups or fed back to the Faculty Practicum Coordinator at the university concerned, and whether she should have identified the students. The issues of consent and anonymity already agreed to, and shared with

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the respondents, mean that feedback to the university faculty would not have been permissible. Had the researcher decided to intervene in these situations during the focus group discussion, then this would have destroyed the consistency of approach across groups. Additionally, one cannot be sure that intervening in a group would have helped these students. It might have worsened the situation. Many members of different groups made informal statements, after the data collection session had been completed, indicating that they had found the exercise rewarding and even cathartic. One group of mentors commented that they would attempt to use the technique themselves to work with a group to gain consensus. A similar issue that is commented on in the data collection chapters is that some groups had robust discussions where some members were more vociferous and forceful than others. Nonetheless, in all groups every member of the group was permitted the opportunity to summarise their responses to the questions at the outset of the group discussion, so everyone made an input. This was likely to be the result of allotting time at the outset for all individuals to write down their thoughts on the questions. If the researcher had felt the need to intervene to limit the input from certain respondents, then the question arises should she also have intervened in the groups where there was little energy and a lack of vigorous interaction? While there will always be worries with these sorts of ethical issues, when collecting group data, one could still have concerns with responses in individual interviews. Discussing sensitive issues can upset respondents. From the point of view of reaching the conclusions, the intention with the focus groups was to observe and record the group discourse that emerges. By intervening the researcher might well have suggested that she had particular expectations in mind, and this might have directed the respondents in a different direction. Therefore, the non-interventionist approach selected for all focus groups is judged, after the event, to have been the appropriate one to adopt in this situation. Methods for sampling respondents and collecting data, while not specifically raised in the ethics approval forms are part of the project’s described methodology and were presented alongside the ethics form. From the authors’ experience of researchers undertaking doctoral programmes and small-scale masters research projects, it is very common to be unable to collect all the intended data. This was a problem that was experienced within our data collection in relation to accessing a third set of stakeholders in England and a final group of mentors in Ontario. This is a risk that can be predicted but is nevertheless difficult to guard against. In setting out to collect data from three sets of stakeholders in each of three jurisdictions, we had a logical sampling method. Nevertheless, given the size and the difficulty of associating the PSTs, with the school mentors interviewed, we cannot claim that any of this data is linked or is necessarily representative of the jurisdiction in question. Had we been able to convene the remaining focus groups, it is possible that additional insights would have been gained. However, the data collected tests the principles of applying Womposo.

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Evaluating Reliability, Validity, Triangulation and Generalisation As Tharenou et al. (2007, p. 150) state “An important part of empirical research is to maximise the reliability and validity of measures”. In addition to these two measures, generalisability and triangulation of data are important. All four measures, reliability, validity, triangulation, and generalisation are discussed in principle in Chaps. 4 and 7. Reliability is judged by posing the question – if the data had been collected differently would the same outcome result. In this instance, because the aim was to collect the discourse generated in group data, there was no practical alternative for data collection. Collecting data from more than one stakeholder focus group in each organisation would have provided a check, but this would have been impractical given the need to operate through gatekeepers. Another way to check reliability is to ask someone else to interpret the data. This is feasible, but few projects have the resources to adopt this approach with qualitative data. Moving on to validity, this poses the question – are we measuring the variable that we think we are. In the Practicum Study, we are searching for cause and effect and taking critical realism as our underpinning ontological model. We sought to see what emerges when applying Womposo, on the assumption that social structures such as norm groups have power, and exert this power over other entities, such as PSTs. Next, generalisability is considered. Being present in a norm group appears to exert pressure on individuals to generate and share a discourse that is coherent and productive. There are other examples in the literature where people seek to be part of a norm group, such as where people search out an ‘echo chamber’ in social media to reflect their own views (Dubois & Blank, 2018). There is also the situation, as with some sects, where a few members of a group have strong and bizarre views that can, over a period, become the norm (Festinger et al., 1956). Finally, in the evaluation of the Practicum Study, data sampling includes the need for triangulation. This normally refers to the benefit of having two or three data collection methods. It can, however, relate to having multiple sources of data. In the Practicum Study there were many sources of data, all in the form of focus groups. Additionally, documentation, in the form of published standards from different jurisdictions; was explored. This was not planned at the outset but resulted from the need to explore policies that were raised in focus groups.

Benefits and Limitations of Womposo We chose to use focus groups as our data collection medium, thus we inevitably revealed the discourse of groups and not individual views. This is not a function of the Womposo strategy but the result of our data collection method. By combining activities from SSM and from the work of Elder-Vass (2010), Scott (2010) and Tao (2016), all approaches based on critical realism, the Womposo strategy was

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developed, and each set of data was explored from a number of different angles. This multiple stage approach allowed us to embed ourselves thoroughly within the data set, avoiding the simplistic categorisation of the data under themes. The use of metaphors in the early stage of the Womposo method provides a holistic view of a group’s opinions. It is a description of the practicum situation specifically from the perspective of the group in question. In taking this approach, we are complying with systems thinking by treating an issue holistically. We are also recognising that the problem situation can be seen from different perspectives. This research has yielded some interesting findings that may be the result of the strategy that has been used. By choosing SSM, the focus was on identifying the different stakeholders within the system. Perhaps then, it is hardly surprising that we discovered that the fundamental causal mechanism is the stakeholder position in the practicum. We also chose, under the guise of a critical realist paradigm, to adopt a model that seeks the value functioning of individuals. Therefore again, it is hardly surprising that we found that the faculty advisors’ self-interest has emerged as a strong factor. One should ask whether the approaches have driven the findings or whether the findings, instead, reinforce the relevance of SSM and critical realism. During the Practicum Study data was collected only from focus groups and analysed at a group level using the derivation of metaphors and CATWOE. The dialogue could have been explored and quoted as the conversation was recorded. This approach would have been a fundamentally different method or at least a significant extension of the Womposo method. There is always the opportunity to interpret the data further by this method although one should recognise the temporal nature of the data and the fact that checking transcripts is very time consuming.

 valuation of Womposo for Its Functionality, Usability E and Utility It is routine for authors, when discussing research strategies and methods, to advise on how to apply the strategy, how to complete the research tasks and how to identify the situations where they might best be used. In ‘The Good Research Guide’, for example, Denscombe (2003) provides a useful checklist at the end of each chapter, both for the strategies discussed, such as ethnography, and for the methods of data collection, such as interview or observation. These checklists allow a researcher to assess whether a particular strategy or method is suitable for the context and aims of their research project. Applicability is context-dependent; therefore, it is rare for a research strategy to be evaluated in its own right. It is always judged in the context of its application to a problem situation. However, we have drawn on the work of Beynon-Davies (2002) to propose a model for evaluating Womposo, or any other research strategy. In Fig. 12.5, we develop Beynon-Davies’ model, based on functionality, usability and utility, for application in evaluating research strategies (ibid, p. 8).

USE

Learnability Rememberability Efficiency Reliability User satisfaction

USABILITY

IMPACT

Fig. 12.5  Functionality, usability and utility. (Derived from Beynon-Davies, 2002; Delone & McLean, 1992)

Is it welldocumented?

Does the research strategy work?

FUNCTIONALITY

Number of users Publications Readers Adaptation Stakeholders

UTILITY

Evaluation of Womposo for Its Functionality, Usability and Utility 361

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It is possible to evaluate a research strategy approach in isolation, in much the same way that one can evaluate a piece of off-the-shelf software. When judging an information system at the point that it has been developed and delivered to the client, the key factor is its functionality. Does it fulfil the specification? In evaluating a piece of bespoke software, other factors are considered, namely cost, time taken and quality standards. However, we are likening Womposo to an off-the-shelf package and therefore the first point to consider is its functionality. Once purchased and in operation in a company, usability is the term used to judge how the new information system “embeds itself within human activity” (ibid, p. 8), that is how usable it is for the individuals interacting with the new system. Utility is a longer-term judgement and rates the value of the information system to the whole organisation, or to the multiple organisations, in which it is being utilised. The three properties have been designed for the evaluation of an information system but we contend that they are appropriate for the evaluation of a research strategy. Figure 12.5 is an adapted version of the diagram provided by Beynon-Davies (2002, p. 178). His diagram is, in turn, based on the work of DeLone and McLean (1992).

Functionality In Fig. 12.5 three properties: Functionality, Usability and Utility have been used. Under the heading of functionality, we ask two questions. Firstly, does the strategy work? Secondly, is the system well-documented? The first question is judged by asking whether the research strategy has been successful with the test data. This is akin to the stages of testing that are carried out with a new information system before it is sold more widely. It is common for the in-house testing to be termed alpha testing, and then to use the initial purchasers to beta test the live product. In the Practicum Study we undertake the alpha testing of the Womposo strategy. The documentation of an information system involves completion of various design documents and annotation of the computer code with statements in the native language of the producer. A well-documented system is easier to correct or adapt, whether by the author or another. In order to amend codes, documentation is necessary and is considered a critical element of good practice. This book supplies the documentation for the Womposo strategy.

Usability and Utility In Fig. 12.5, under the heading usability, the requirements in the diagram produced by Beynon-Davies (2002, p.  182) are presented. These requirements are self-­ explanatory except, perhaps, in this context the term user satisfaction and efficiency.

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User satisfaction can only be judged by other researchers adopting the Womposo strategy. However, we can assess how well the documentation in this book might persuade researchers of the relevance of the strategy. Let us reflect on the extent to which Womposo is intuitive to use. Judging by the reaction from the respondents in the Practicum Study focus groups, the generation of a metaphor is easier for some than others. Other aspects of Womposo may also be more instinctive to some researchers. Utility cannot be judged for several years, until we see whether it has been adopted by others (DeLone & McLean, 2003). In Fig. 12.5, in the rectangle labelled Utility, we have suggested the sort of factors that would imply that the Womposo strategy has utility in education and the wider social sciences. Ten years after the publication of their model, DeLone and McLean (2003) found that 300 other publications had referred to it and they undertook a review of 100 of these publications thus providing evidence of its longer-term utility.

Scoring Womposo We now attempt to use the Functionality, Usability and Utility model to assess Womposo and capture this in Fig. 12.6. Some elements of the Womposo strategy have been applied in different settings by the authors, mainly the metaphor stage of Activity 2 (Gilbert & Kelly, 2005; Gilbert & Pratt-Adams, 2020). Many people have used elements of SSM, in particular its early stages, so the other aspects of Activities 1 and 2 have been thoroughly tested (Checkland & Scholes, 1990; Wilson & Van Haperen, 2015). It is more difficult to find examples of the application of critical realism in social science research, that is Activities 3 and 4 of Womposo. McAvoy and Butler (2018) who focus on business research, comment that most of the publications on critical realism are theoretical and lack any fieldwork. They do, however,

Paradigm

Strategy Well designed and documented. But only one test of the whole approach completed.

Research stage

Womposo: Activity 1 Womposo: Activity 2 Womposo: Activity 3 Womposo: Activity 4

Fig. 12.6  Scoring Womposo

Notes

Functionality

Usability

Critical realism provides a strong underpinning philosophy. However, it can be difficult for the novice researcher to grasp it. Common to all strategies

High

High

High

High

CATWOE tested, metaphor little used in this manner Identifying entities and powers and relating to social objects should be straightforward Value functioning, exit, voice and loyalty demands that group is represented as typical respondent. Delivers a comprehensive explanation.

High

Medium

Medium

Medium

Low/ Medium

Untested

Medium

Low/ Medium

Untested

Medium

Utility High

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propose a critical framework that puts critical realism into practice, and they identify six examples of fieldwork, all but one in information systems. The work of Elder-Vass (2010) on the causal powers of social structures has been adopted in the work of Volkoff et  al. (2007), Wynn and Williams (2012) and Zachariadis et  al. (2013). In relation to Activity 4, Tao (2016) was one of a group of researchers linked to the Open University, UK undertaking research on teacher education in sub-­ Saharan Africa. Several of these researchers adopted the Capability Approach to determine the value-functioning of teachers (Sakata, 2021, Stutchbury, 2021). Tao’s (2016) application of value functioning provides the prime example for Activity 4. Activity 1 has been widely used so it is graded high for individual Usability and high for longer term Utility. SSM within Activity 2 has been used extensively but the metaphor stage has not, leading to a grade of medium. Activity 3 has a few examples of application, giving a low to medium grade for Usability and an untested for Utility. Activity 4 also has relatively few examples giving it low to medium grade for Usability and an untested for Utility.

Conclusion As an action research methodology, SSM starts from the principle that there is a problem situation that needs improvement. There is normally an understanding that there is a difference of opinion regarding the nature of the problem. SSM helps to pinpoint the problems as seen from different stakeholders’ perspectives. It is important at this point to consider the perspectives of the authors at the outset of the project. We started from the perspective of being English teacher educators experiencing a situation where the length of the practicum had been increasing gradually over the years. As a result, the practicum was considerably longer than in any other country. Another significant factor influencing the direction of the research, was the relocation by government agencies of the responsibility for the pre-service teacher education system. Schools were being persuaded to take over more of the work and responsibility from universities. This confluence of policy and practicum generated the focus of the research inquiry. As the practicum is the period during which the students are placed within the school, it forms the nub of the research question. The awareness of the policy borrowing that occurs between jurisdictions led to the decision to undertake a comparative piece of research in teacher education. In Chap. 7 we discuss the funding for the project and the parameters for bidding for this fund. This funding provided the opportunity to carry out research based on international comparisons. Adopting SSM allows us to assume that the practicum is a problem situation. We could identify the problem as perceived by different stakeholders based in universities and schools in multiple jurisdictions. By adopting SSM as part of the methodology, one accepts that the stakeholder role is a causal factor in one’s perceptions of a situation and, having identified policy as a variable of interest, we generated two of the aims for the project. Given that this was to be an

References

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international comparative research project, a discernible difference between the jurisdictions is their culture. This factor was therefore chosen as the third aim. In Chap. 11, we present a set of findings, identify causal mechanisms and discuss problems that were perceived by the stakeholders within the practicum. Ways of addressing these problems have been discussed in this chapter. The causal factors identified have been generalised beyond the practicum case to cover the three categories of stakeholder within a system, namely the customer, the actor and the owner. SSM is easier to understand and use than critical realism. However, critical realism provides a fundamental ontological underpinning. Adopting the underpinning paradigm of critical realism leads to the ability to identify the causal mechanisms acting in a problem situation. Experiments within the sciences search for causal mechanisms and these investigations are possible to design and carry out because several variables can be kept constant. Such control of variables enables the researcher to determine which causal mechanism results in an effect. We are not underestimating the difficulty of such experimentation, but we are contrasting the positivist scientific method with the problems of undertaking research in the social sciences. It is much more difficult, if not impossible, to hold certain variables constant in the social sciences. We have proposed a research strategy to help early career researchers who wish to engage with systems thinking and critical realism. We encourage the researcher to apply whichever aspects of Womposo they find helpful. Over and above this they should embrace the underpinning paradigm of systems thinking and critical realism. Critical realism provides a middle way between the two extreme epistemologies of positivism and interpretivism and mounts the argument that the world is ‘mind-independent’ but ‘informed by theory’.

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Index

A Abduction, 46 Academic rationale, 169 Academy, vii, 115–117, 122, 140 Accountability, 59, 117, 120–122, 129, 134–136, 139, 146, 290–291, 304, 320, 325, 326, 328, 336 Accreditation, 236 Action research, ix, xii, 4, 14, 15, 17, 21–23, 25, 31, 83, 85, 89, 93, 98, 99, 105, 144, 166, 342, 353, 354, 364 Actor, 14, 15, 24, 29, 30, 101, 169, 193, 200, 204, 208, 212, 217, 221, 225, 232, 236, 237, 242, 246, 247, 252, 256, 260, 265, 270, 277, 284, 289, 294, 298, 303, 308, 332, 344, 345, 365 Actual, 36, 42–45, 47, 48, 52, 61–64, 70, 71, 89, 102, 103, 147, 163, 165, 171, 195, 351, 352 Actualise, 62–64, 66, 67, 76, 102, 103, 318, 351, 352 Adaptation, 13, 14, 40, 56, 67, 74, 99, 138, 152, 166, 296, 351, 355, 361 Administration, 115, 118, 129, 257, 260–262, 355 Admissions, 26–30, 115, 116, 125, 293, 294, 312, 342 Admissions standards, 312 Admission System, 31 Adoption, 347 Agency, 8, 56, 66, 82, 115, 134, 249, 291, 316, 343 Agent, 345 Algorithm, 7 Alternative language, 292

Analogy, 41, 50, 51, 289, 345 Analytical, 11, 36, 179, 207, 211, 318, 319 Anglo-American tradition, 144 Anonymity, 357 Anti-passivist, 42 Anxiety, 219 Application, viii, ix, x, xii, 4, 5, 7, 9, 26, 27, 29, 30, 40, 46, 47, 55, 67, 74, 82, 84, 97, 105, 121, 137, 140, 160–162, 166, 169, 172–174, 179, 181, 188, 192, 196, 197, 203, 229, 235, 278, 343, 354, 355, 360, 363, 364 Appraisal, 141, 150 Apprenticeship, 246, 248, 249 Apprenticeship of observation, 246 Appropriate form of dress, 245 Ascribed goals, 14 Aspiration, 193, 298, 307, 309, 310 Assessment for Learning, 306 Assessment overload, 332 Associate teacher (AT), 207, 216, 233, 295, 298 Association, 72, 73, 76, 94, 194, 195, 205, 209, 210, 222, 226, 248, 249, 253, 254, 262, 266, 271, 278, 282, 285, 286, 295, 304, 305, 309, 310, 357 Assumption, 13, 20, 21, 23, 32, 36, 37, 40–42, 47, 59, 88, 91, 92, 96, 99, 100, 104, 138, 161, 166, 167, 244, 320, 342, 359 Atmosphere, 288, 307, 308, 312 Audio recording, 238 Audit, 319 Australian Council for Educational Research (ACER), 125

© The Author(s) 2022 J. Gilbert, S. Pratt-Adams, Soft Systems Methodology in Education, https://doi.org/10.1007/978-3-030-99225-5

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370 Australian Institute for Teaching and School Leadership (AITSL), 125, 128, 141 Australian Teachers’ Standards, 322–324, 332 Authentic, 95, 153 Authenticity, 95 Authority, 11, 56, 60, 72, 114–118, 122, 123, 126, 134, 136–137, 139–141, 151, 153, 320, 323, 327, 329, 331–332, 334, 337, 343, 347–349, 354, 355 Autonomously, 329 Autonomy, 8, 94, 139, 151, 176 Autopoeisis, 4 Axiology, 84, 90, 94, 164–165 B Backpack, 85, 251–253, 255, 258, 294, 323, 350 Beehive, 207 Behaviour, 333 Behaviour management, 195, 196, 205, 206, 244, 281, 282 Beings and doings, 75 Beneficiaries, 317 Benefits, 343 Bespoke software, 362 Best practice, 138, 271 Bimetallic strip, 12 Biological, 6, 10, 67, 73 Black box, 16 Black Swan, 44, 61, 357 Bologna process, 136 Boundaries, 4, 12, 13, 32, 37, 43, 59, 65, 112, 121, 148, 152, 295, 296, 300 Box ticking, 220 Buddies, 193, 282 Budget, 3, 162, 169 Bureaucracy, 220 Bureaucratisation, 176 Butterfly Effect, 16 C Calibre of PSTs, 322 Capabilities Approach, 74 Carter Review, 124 Catachresis, 209 Categorisation, x, 9, 67, 76, 82, 153, 160, 178, 325, 360 Categorising, 194 Category, x, 24, 31, 42, 56, 69–72, 76, 100, 103, 113, 115, 117, 118, 135, 151, 153, 177, 179, 195, 217, 228, 239,

Index 267, 316, 317, 322, 325, 326, 331, 334, 343, 365 Causal event, 39 Causal mechanism, xii, 43, 46, 61, 65, 74, 82, 104, 147, 148, 197, 337, 342–345, 354, 360, 365 Causal narrative, 66–67 Causal powers, 36, 38, 41–47, 51, 56, 61–67, 69–73, 76, 82, 86, 91, 98, 100, 101, 165, 169, 171, 229, 342, 357, 364 Causation, x, 35, 39–40, 42, 70, 72 Cause and effect, vii, 36, 45, 89, 169, 229, 273, 352, 359 Chaos Theory, 16 Characteristic, 8, 52, 94, 146, 152, 216, 241, 244, 246, 249, 251, 254, 293, 296, 302, 304, 305, 322–324, 335, 354, 356 Charismatic individual, 153 Checklist, 360 Cherry picking, 138 Chief investigator, 173 Classroom observation, 268 Clearing, 27, 29, 30 Cliché, 180 Closed system, 4, 6, 13, 36, 42, 45, 46, 48, 58 Cluster sampling, 190, 191 Code of conduct, 128 Codes of practice, 148 Coding, 178 Cognitive dissonance, 72, 176, 239, 267 Cohesion, 18, 62 Comfort zone, 264, 266, 267, 300, 302, 352 Commodities of power, 25 Commodity, 137 Common parlance, 316 Communication, 4, 6, 12, 58, 149, 180, 193–199, 224, 236, 240, 251, 252, 256, 258, 281, 283, 287, 288, 290, 291. 292, 295–300, 319, 350 Communication and control, 4, 6, 12 Community of practice, 147 Comparative, viii, 105, 124, 136, 166, 191, 353, 364 Comparative international research, 353 Competence, 94, 120, 136, 137, 147, 149, 150, 154, 176, 286, 293, 296, 298, 332, 357 Competency-based approach, 144 Complex, vii, ix, 6, 7, 11, 16, 19, 21, 36, 64, 97, 99, 151, 163, 165, 171, 237, 267, 348, 355 Complexity, viii, 4, 5, 99, 172, 319, 322, 326, 351 Complex situation, viii, 7, 15, 40

Index Compliance with standards, 333 Components, 51 Conceptual, xi, 4, 19, 24, 36, 57, 62, 85–87, 90, 150, 194–196, 200, 201, 204, 209–210, 214, 218, 221–222, 226, 228, 238, 243, 248, 253, 256, 257, 261, 266, 270–273, 278, 285, 290, 295, 299–300, 304, 309, 316 Conceptual framework, xi, 17, 96, 97, 147, 160, 161, 166–168, 181 Conceptualising, 294–296 Conclusion, 31–32, 40, 41, 44–47, 49, 51–52, 76–77, 89, 92, 105, 114, 129, 145, 153–154, 170, 171, 181, 213, 228–229, 272–273, 306, 307, 311–312, 336–337, 344, 358, 364–365 Concrete, ix, 37, 38, 42, 47, 51, 56, 57, 62, 91, 102, 249 Concurrent, 126, 128, 204, 206, 215 Configuration, 8, 10, 11, 13, 61, 63, 65, 76, 86, 101 Conflicting, 13, 99, 143, 202, 280–283 Conflict resolution, 200 Conflicts of interest, 357 Conformance, 139, 146, 269, 288, 290 Conjecture, 44, 46, 47 Conjunction, 39, 40, 42, 167, 180 Connection, 39, 42, 238 Consecutive, 73, 126, 127, 206, 250, 295 Consensus, 358 Consent, 357 Consequence, viii, 12, 15, 31, 39, 40, 46, 61, 94, 145, 163, 164, 291, 302, 347, 353, 355 Consequentialist, 90, 94 Constraining counter-tendencies, 233 Constructionism, 38 Context dependent, 360 Contextual, x, 11, 40, 137, 142, 149, 151, 154, 219, 323, 345, 351 Contingent conditions, 102, 189, 194–197, 201, 205, 209, 214, 218, 222, 226, 233, 238, 243, 248, 253, 257, 261, 266, 271, 278, 281, 285, 290, 295, 299, 304, 309 Continuity, 38 Continuum, 334 Control, 352 Conurbation, 119, 268, 306, 308, 309, 312 Conversion factor, 76 Cookie cutter, 255, 258, 259, 261–263, 298–300, 306, 328, 350 Cooperating teacher, 180, 193, 233 Core business, 323 Council of Ministers of Education, 121

371 Counter-tendencies, 76, 142, 197, 312 Course documentation, 325 Covering law, 39, 42, 51, 59, 91, 171 Craft, 154 Creativity, 260, 263, 296 Critical realism, 9, 22, 35, 55, 82, 142, 159, 194, 278, 337, 342 Critical Systems Thinking, 9 Cross-section, 85, 94, 95, 161, 169 Cult, 70–72 Cultural, 31, 56, 57, 60, 64, 70, 74, 90, 119, 124, 138, 143 Cultural authority, 60 Culture, 162 Customer, 24, 29, 30, 193, 200, 204, 208, 212, 217, 221, 225, 237, 242, 247, 252, 256, 260, 265, 270, 280, 284, 288, 289, 294, 298, 303, 308, 343–345, 365 Customer, Actor, Transformation, Worldview, Owner, Environment (CATWOE), x, 24, 25, 29–31, 97–100, 102, 103, 167, 170, 189, 192–194, 199, 200, 204, 208, 209, 212, 217, 221, 225, 228, 236, 237, 242, 247, 252, 256, 260, 261, 265, 270, 272, 276, 280, 284, 285, 289, 293, 294, 299, 303, 308, 312, 315, 342–345, 350, 360, 363 Cybernetics, 5–7, 12, 348 D Data collection, xi, 23, 36, 66, 68, 76, 81, 82, 85, 88, 89, 93–96, 98, 105, 112, 113, 120, 126, 161, 166, 168–172, 174–177, 181, 187, 188, 191, 192, 231, 250, 277, 316, 321, 332, 342, 357–360 Data sheet, 278 Deconstruct, 52, 178 Deduction, x, 36, 39, 42, 46–47, 94, 169, 356 Deductive-nomothetical, 46 Demographic, 68, 69, 119, 178, 190, 194, 206, 207, 283 Demographic markers, 68 Demonstration School, 279, 281, 282, 326 Deontological, 90, 94 Department of Education (DEC), 29, 117, 121–122, 141, 194, 196, 201, 202, 237–239, 243, 244, 281, 282, 284–286, 310, 327, 355 Derivation, viii, ix, x, 98, 197, 221, 225, 232, 237, 241, 247, 251, 255, 260, 264, 269, 273, 303, 307, 316, 360

372 Descriptive, 147 Determinant, 344 Deterritorialized, 138 Devolution, 139, 140 Devolved, 114, 355 Diagram, 17, 22, 25, 37, 84, 86, 87, 97, 99, 102, 114, 159, 161, 166, 167, 180, 240, 308, 352, 362 Didactics, 124, 144, 203, 217 Differentiated, 60, 119, 235, 341 Dimension, 18, 58, 85, 86, 91, 162, 247 Directive, 145, 150, 235, 241 Discipline, viii, 4–7, 37, 40, 48, 61, 65, 73, 81, 82, 84, 94, 134, 165, 176, 194, 287, 341, 346, 356 Discourse, 64, 69, 90, 92, 98, 100, 136, 142, 146, 153, 154, 163, 169, 189, 196–198, 202, 205, 210, 214, 218, 222, 226, 233, 234, 239, 242, 244, 245, 249, 254, 258, 262, 266, 271, 276, 277, 279, 282, 286, 290, 295, 300, 304, 310, 317, 318, 329, 331, 333–337, 343–346, 351, 352, 358, 359 Discovery, 5, 39, 46, 56, 59, 179 Disorganisation, 198 Dissonance, 72, 153, 176, 239, 260, 261, 267, 273, 350 Domain, 42–45, 47, 48, 52, 56–58, 60, 62–64, 68, 73, 103, 147, 165, 179, 351, 352 Domestique, 242 Downward causation, 70, 72 Dynamic, 7, 8, 16, 138, 200, 201, 264, 265 Dynamic relationship, 264 E Each for Australia, 126 Echo chamber, 359 Economy, vii, 65, 117, 119, 127, 136 Ecosystem, 21, 164, 353, 354 Education Quality and Accountability Office (EQAO), 120–122 Education Reform Act, 116 Education system, vii, xi, 10, 112–114, 118, 121, 127, 129, 136, 137, 153, 168, 177, 187, 208, 209, 262, 273, 280, 333, 348, 351, 364 Efficacy, 25, 137, 151, 152, 154, 160 Elephant in the room, 213 Elite, 115, 122, 197, 207, 210, 211, 235, 239, 250, 252, 318, 319, 323, 335 Élite universities, 318 Embedded, 332 Embodied objects, 68

Index Emergence, 36 Emergence level test, 73 Emergent features, viii, 4, 10, 11, 13, 32, 51, 86, 94, 97, 163, 165, 261, 354 Emergent properties, vii, 10, 48, 51, 61, 62, 64–66, 73, 91, 101 Empirical, 13, 18, 35–40, 42–48, 52, 57–59, 61–64, 74, 102, 103, 147, 163–165, 170, 176, 351, 352, 359 Empirical evidence, 37 Empiricism, 5 Employability, 161 Enabling tendency, 233 English-language, 282, 284–286, 294, 333 English-language mastery, 241 English language proficiency, 236, 239 Entities, 6, 43, 58, 73, 82, 136, 165, 189, 232, 278, 316, 347 Environment, 6, 8–10, 12–14, 24, 29, 30, 57, 62, 67, 72, 82, 102, 112, 136, 138, 168, 177, 191, 193, 200, 202, 204, 207–209, 212, 217, 218, 221, 225, 237, 242, 245, 247, 251, 252, 256, 259, 260, 265, 270, 280–285, 289, 291, 293, 294, 298–300, 303, 306, 308, 309, 317, 321, 322, 324, 326, 328, 345, 346, 351, 352, 354, 355 Epistemic fallacy, 20, 36, 43–44, 61, 76, 165, 357 Epistemological, xii, 18, 22, 37–38, 40, 44, 60, 65, 84, 86, 88, 92, 93, 105, 356 Epistemological spectrum, 38 Epistemology, ix, 5, 18–20, 25, 32, 35–38, 40, 44, 45, 52, 56–61, 68, 82, 84, 85, 88, 90–93, 95, 99, 105, 112, 160, 164–167, 177, 179, 342, 343, 357, 365 Equilibrium, 12, 351 Ethical, xii, 58, 72, 90, 94, 141, 143, 144, 172, 173, 175, 176, 337, 343, 357–358 Ethics approval, 88, 93, 161, 165, 172–176, 178, 181, 277, 358 Ethics committee, 94 Ethos to mentoring, 306 Ethnic minority, 306 European Commission, 136 European Credit Transfer and Accumulation System (ECTS), 124 Evaluate, viii, 129, 145, 160, 198, 213, 296, 337, 342, 362 Evaluation, 224 Event, 19, 39, 40, 42–48, 52, 60–64, 66, 71–74, 76, 87, 91, 96, 98, 101–102, 147, 169–171, 178, 189, 193–196, 201, 204, 205, 209, 214, 218, 222, 226, 238, 243, 248, 253, 257, 261, 266, 271, 277,

Index 281, 282, 285, 288, 295, 299, 304, 309, 328, 356–358 Examination, 27, 30, 93, 116, 117, 229, 264, 289 Exercise, 61–63, 66, 70, 103, 145, 151, 178, 213, 228, 260, 283, 291, 310, 351, 352, 358 Exit, voice and loyalty, 104, 233 Expectation, vii, xi, 59, 63, 135, 142, 149, 152, 154, 172, 193, 197, 198, 213, 214, 220, 224, 235, 239, 246–249, 252, 256, 257, 263, 265, 268, 272, 275–312, 319, 320, 322, 323, 330, 333, 336, 358 Experiment, 13, 37–39, 43, 45–48, 57–60, 85, 86, 92, 93, 193, 198, 219, 220, 222, 264, 266, 300, 302, 304, 318, 349, 356, 357, 363 Explaining, 291–292 Explanation, ix, xii, 16, 36, 38–40, 42, 45–47, 60, 72, 74, 100, 104, 139, 147, 163, 189, 196, 238, 316, 343, 347, 363 Explanatory approach, 89 Explanatory research, ix, 31–32, 99 Exploratory approach, 89, 93 Exploratory research, 88 Exponential growth, 64 Extra-curricular activities, 210, 215, 226, 227, 253, 291, 297, 299, 300, 306, 319, 320, 327, 328 F Faculty administration, 262 Faculty advisor, 172 Fake news, 68 Fallibility, 59 Fallibility test, 73 Fallible, 42, 58, 59, 67, 165, 357 Family commitments, 249 Family obligations, 255 Feasibility, 31, 61, 169 Federal, 117–122, 136, 139, 176 Feedback, 12, 64, 142, 143, 145, 150, 175, 180, 195, 197, 198, 207, 209, 211, 224, 241, 243, 245, 248, 253, 254, 257, 264–267, 282, 295, 296, 299, 302, 304, 305, 309, 329, 352, 353, 358 Feedback loop, 12 Field experience, 233, 234, 250, 251 Finland, 121, 124, 137, 139 Fleshed-out Account, 15 Flow chart, 353 Focus group, 23, 95, 113, 140, 168, 188, 231, 275, 325, 344

373 Forming, 65, 92, 105, 242, 302 Freedom, 74–76, 115, 144, 202, 203, 209, 257, 299 Free school meals, 302 Frontstage performance, 247 Functionality, xii, 11, 37, 51, 343, 360–363 Functioning, 75, 145 Functioning value, 166 Funding, xi, 13, 114–120, 123, 127, 135, 137, 139, 161, 173, 177, 181, 236, 251, 257, 364 Fuzzy, 37 G Gap between theory and practice, 262 Garbage can, 7 Gatekeeper, xi, 96, 121, 162, 169–171, 173, 174, 177, 188, 191, 228, 231, 246, 277, 278, 287, 359 General Certificate of Secondary Education, 116 Generalizability, 93, 343 Generalization, 39, 46, 47, 359 General Systems Theory, 4–6 Gingerbread man, 255–257, 323, 324, 350 Global factors, 136 Globalization, 118, 138, 153 Global market, 117 Glut, 127, 250, 355 Glut of teachers, 127 Goal seeking systems, 12 Governance, 134 Government, vii, 7, 113, 115–118, 123, 127, 129, 134, 135, 137–140, 142, 146, 163, 171, 241, 246, 249, 268, 280, 3654 Graduate teaching programme (GTP), 123, 125 Grounded theory, 94 H Habit, 39, 88, 103, 288 Handbook, 244 Hard systems, 4, 13, 14, 18, 20, 165, 353 Harm, 357 Hawthorne effect, 58 Head teacher, 223 Heap, 10, 11, 62, 65 Helicopter parents, 237, 239 Heuristic, 19 Hierarchy, viii, 4, 6, 11, 12, 101, 113–114 Higher education system, 113 Higher stratum, 50

374 Highly Accomplished Teacher (HAT), 126, 233, 235, 236, 238, 239, 243, 326 Holism, 10, 11, 52, 179 Holistic, 7, 52, 86, 98, 166, 171, 177–179, 312, 351, 360 Holistically, 52, 87, 307, 353, 360 Homeostasis, xii, 12–13, 351–355 Homeostatis, 4 Homogeneous, 21 Homomorphism, 6 Horizontal, 65 Hothouse, 280–283, 306, 327, 336, 350, 354 Hourly paid instructors, 259 Human activity system, 3, 4, 14, 16, 18, 22, 26, 29, 165 Human intervention, 58 Hypothesis, 42, 46–48, 71, 73, 88, 89, 92, 94, 145, 169, 356 I Idealism, 37, 38, 91, 342, 356 Identities, 49, 133–154, 179, 187, 246, 316, 319, 320, 323–327, 331, 334, 336, 337 Ill-defined problem, 16 Illustrator, 178, 180, 189, 225, 232, 236, 237, 255, 264, 272, 276, 285 Imagined, 70, 71, 153, 194, 195, 228 Imagined norm circle, 70 Immigration, 112 Impact, 28, 29, 67, 69, 89, 95, 101, 119, 126, 127, 136, 140, 142, 146, 151, 153, 161, 164, 165, 171, 177, 193, 194, 197, 205, 214, 220, 234, 238, 249, 251, 254, 269, 271, 272, 278, 288, 310, 329–335, 337, 344–346, 352, 353, 355, 361 Implementation, 347 Implicit views, 36 Independent school, 115, 117, 118, 120, 122, 287 Independent Schools inspectorate, 115 Induction, x, 36, 39, 46–48, 94, 120, 141, 169, 241, 356 Inference, 46, 47, 62, 356 Information systems, 4 Information systems development, 3, 4 Initial teacher education (ITE), vii, viii, 112, 123–129, 140, 151, 162, 168, 191, 237, 241, 242, 246, 269, 333 Insider research, 93 Inspection, xi, 87, 114, 116, 118, 120–122, 124, 128, 129, 140, 201, 220, 222, 268, 270, 319, 333, 355

Index Inspection body, 116 Instability, 164 Institutional and systemic forms, 69 Integrity, 94 Interaction, 12, 16, 23, 40, 45, 52, 61, 63, 65, 66, 73, 95, 112, 113, 145, 147, 154, 163, 164, 171, 251, 256, 263, 358 Interaction group, 71–73, 76, 98, 194–196, 201, 202, 214, 218, 278, 297, 299, 300 International, vii, viii, 68, 112, 117, 119, 136, 138, 141, 153, 161, 162, 166, 174, 353, 364 Internship, 125, 128, 149, 246, 248, 249 Interpretation, xi, ix, 5, 16, 19, 22, 23, 39, 46, 58, 66, 67, 70, 74, 82, 84–86, 92, 96, 97, 104, 105, 113, 133, 145–147, 151, 160, 166, 170, 176–181, 188, 189, 193, 228, 240, 241, 277, 285, 297, 300, 305, 316, 319, 334, 342, 347, 356, 357 Interpretation phase, 177 Interpretive quadrant, 19, 21 Interpretivist, 92, 94, 101, 356, 357 Interviews, 95 Intransitive, 56, 58 Iterate, 73, 84 J Jobbing researcher, 85, 87, 88 Journey, 121, 153, 277, 288, 319 Juggle, 302–306 Jurisdiction, vii, viii, x–xii, 111–129, 134, 139–142, 146, 147, 153, 161–163, 168–172, 174, 177, 179, 181, 187, 189–191, 207, 232, 234, 235, 237, 276–278, 286, 332, 333, 335, 336, 343, 346–348, 351, 355, 357–359, 364 Justification, 56, 59, 181, 347 K Keen, 317 Key themes, 149, 178, 337 Knowledge, 5, 20, 38, 41, 42, 44, 56–59, 61, 64, 68, 69, 82, 85, 96, 116–118, 128, 133, 134, 136, 139–144, 147, 148, 152, 153, 165, 176, 191, 198, 207–209, 219, 236, 238, 239, 241, 246, 255, 271, 284–293, 296, 299–302, 305, 307, 322, 323, 325, 327, 328, 331, 333, 335, 343, 354, 355

Index L Lack of agency, 320, 321 Lack of confidence, 219 Lack of power, 142 Laminated, 48, 101 Languages, 312 Layered, 48, 91, 165 Lead mentor, 233, 235 League tables, vii, 117 Learner identity, 142–143 Learning cycle, 98–99 Learning journey, 319 Legislation, 16, 145 Legitimate peripheral participation, 134 Legitimization, 138, 331 Leibniz’s Law, 49 Lesson plans, 215 Leverage, 332, 347 Liabilities, 43, 98, 100, 102–104, 142, 188, 189, 194–196, 201, 205, 209, 210, 214, 218, 222, 226, 228, 233, 238, 243, 248, 253, 257, 259, 261, 266, 271, 276, 285, 290, 295, 299, 304, 309, 351, 352 Liberal, 113, 115, 120, 123, 129, 139, 140, 268, 355 Likert scales, 68 Life cycle, 87, 140, 269–271, 350 Limitations, xii, 169, 236, 296, 337, 343, 359–360 Link tutor, 225, 233, 269, 306, 309, 310 Literacy, 118, 120, 122, 125, 128, 139, 239, 284–286, 293, 318 Literature search, 96, 100, 112, 113, 133, 134, 162, 181, 316–318, 323, 330, 337, 348 Local authorities, 115–116, 122 Local complementarity, 73 Logic, 20, 46, 49, 124, 190 Longitudinal, 28, 95, 142, 161, 169, 190 Loose-coupling, 138 Lottery, 194 Lower stratum, 50 M Macro-level, 145 Management, 223 Markets, ix, xi, 9, 113–114, 117, 119, 121, 124, 128, 129, 136, 138, 139 Mass production, 241 Master-builder, 37 Meaningful, 18, 24, 29, 95, 147, 193, 295, 334 Mentor influence, 336, 343, 345, 352

375 Mentoring, 149, 150, 241, 243, 245, 268, 277, 278, 283, 291, 299–301, 306, 319, 326, 336, 337 Mentor roles, 150 Mentor training, 224 Mess, 7, 15–16, 23, 171 Messy, 3, 16, 36, 99, 115, 159 Metamorphosis, 351 Metaphor, 32, 37, 51, 56, 82, 111, 134, 160, 179, 188, 231, 276, 315, 342 Metaphysics, 37, 38 Meta-theory, ix, 56, 342 Methodology, 3, 36, 60, 82, 112, 136, 159, 189, 276, 317, 342 Middle way, ix, x, xii, 92, 105, 165, 356–357, 363 Millennial generation, 241 Mind-independent, ix, 37, 38, 42, 48, 51, 57, 90, 91, 101, 164, 165, 342, 356, 357, 365 Mind maps, 171, 178, 196, 238, 242, 280 Ministry of Education, 194 Mixed-method, 85, 94 Model, 4, 39, 63, 83, 124, 134, 159, 188, 232, 275, 342 Modelling, 7, 19, 24, 29–30, 97–99, 150, 167, 188, 189, 192–194, 198, 202, 206–209, 211–213, 215–217, 220–221, 224–225, 232, 235–237, 240–242, 245–252, 254–256, 259–261, 263–265, 268–273, 276, 278–280, 283–285, 287–289, 291–294, 297–299, 301–303, 306–309, 315, 331 Models of teacher learning, 342 Modes of agency, 69 Mores, 154, 289 Morphogenetic, 43, 56, 66, 67, 73 Morphostatic, 43, 66, 67, 73 MTeach, 125, 128, 192, 198, 246 Multi academy trusts, 116 Multicultural, 112 Multi-ethnic, 308, 309, 312 Multi-method, 94 Multiple cause diagram, 352 MySchool, 122, 139 N National Assessment Programme–Literacy and Numeracy (NAPLAN), 118, 119, 122, 139, 239, 318 National Centre on Education and the Economy (NCEE), 120, 121, 127

376 National College for Teaching and Leadership (NCTL), 125, 128 National curriculum, 116, 138, 150, 153 National Professional Standards for Teachers, 125 Nation-state, 75, 112, 117, 119, 136–138, 153, 331, 347 Naturalism, 41, 57 Naturalist, 55, 57 Naturalistic, 51, 95, 356 Necessary cause, 14, 47, 64 Negative feedback, 12 Negotiation, 347 Newly qualified teacher (NQT), 119, 141, 150, 220–222, 225–227, 252, 259, 269–271, 273, 311 New Public Management, 134 Neoliberal, 139 Nominal group technique, 95 Non-interventionist, 358 Normative, 70, 74, 354 Normative influence, 354 Norm circle, 70–73, 76, 98, 189, 194, 195, 210, 254, 278, 302 Norms, 25, 69–71, 97, 138, 165, 194, 204, 209, 222, 226, 232, 238, 239, 243, 244, 248, 249, 254, 257, 258, 261–263, 266, 271, 278, 281, 282, 285, 286, 289, 290, 295, 296, 304, 308–310, 326, 329, 345, 354, 359 Numeracy, 118, 122, 125, 128, 139, 239, 293, 318 Nurturing, 250, 268, 284, 287, 307, 309, 310, 312, 323–324, 335, 336 O Objective, viii, 18, 31, 38, 58, 59, 73, 85, 86, 90–92, 101, 105, 135, 161–162, 342, 347, 349, 356 Observation, 42, 43, 46, 47, 52, 59, 60, 91, 95, 101, 116, 142, 143, 161, 165, 170, 173, 195, 205, 220, 222, 224, 241, 246, 248, 249, 268, 295, 302, 304, 306, 360 Off-shore, 127 Off-the-shelf software, 362 Ofsted, 115, 116, 118, 121, 122, 124, 128, 194, 201, 220–223, 268–272, 307, 309, 310, 319, 320, 327, 331, 333, 346, 355 Ontario Ministry of Education, 120–122, 250, 355 Ontological, x, xii, 18, 20, 22, 37–38, 40, 44, 56, 62, 64–66, 76, 84, 86, 165, 341, 356, 359, 365

Index Ontological and Epistemological Spectrum, 37–38 Ontology, 18, 35, 55, 82, 112, 147, 160, 229, 340 Open system, 42, 45, 46, 48, 61–63, 76 Operational Research, 7, 36 Ordinary objects, 36, 49 Organisation, 4, 50, 72, 114, 134, 180, 193, 238, 281, 319, 343 Organisation for Economic Co-operation and Development (OECD), 117, 121, 123, 136, 137, 139–142 Outcomes-based education, 139 Outlier, 336 Outsider status, 263 Oversupply, 120, 127, 250 Owner, 24, 29–31, 37, 99, 193, 200, 204, 207, 208, 212, 217, 220, 225, 237, 242, 252, 256, 260, 265, 270, 280, 284, 289, 294, 298, 303, 308, 344–346, 365 Ownership, 220 P Pan Canadian Assessment Programme (PCAP), 121, 122 Paradigm, 11, 18, 20, 21, 38, 39, 85–88, 90–92, 94, 98, 99, 139, 144–145, 147, 148, 160, 163–167, 170, 181, 360, 363, 365 Paradigm shift, 86, 147 Parameters, 146, 161, 172, 190, 278, 364 Parochial schools, 118 Participant information form, 191 Participant observation, 170 Partnership, 265 Parts, 6, 36, 57, 88, 111, 135, 159, 189, 239, 276, 316, 342 Parts and wholes, 50 Patterns of relationships, 76 Pedagogic, 144 Pedagogy, 125, 140, 150, 206 Peers, 125, 152, 192, 198, 202, 211, 213, 215, 333, 334 Peppered moth, 67 Perceptions, viii, 5, 20–23, 30, 35, 36, 76, 128, 148, 149, 151, 152, 164, 170, 190, 203, 239, 244, 247, 252, 291, 320, 321, 323–327, 356, 364 Performance-based pay, 269 Performance-related-pay, 140 Performativity, 117 Permanent, 122, 126, 212, 217, 250, 252, 256, 262

Index Perspective, viii, ix, 4, 18, 21, 23, 24, 26–29, 31, 37, 45, 47, 82, 92, 94, 95, 99, 149, 154, 162, 167, 169, 187–229, 231–273, 275–312, 317, 344, 347–349, 356, 357, 360, 364 Phenomenology, 19, 92, 100 Philosophical stance, 41, 85, 86 Philosophy, viii–x, xii, 9, 18, 35–52, 55, 74, 83–86, 90, 100, 105, 123, 124, 165, 167, 213, 241, 342, 343, 351, 363 Physical laws, 39 Play the game, 319 Plinth of rigour, 16 Policy, 7, 40, 60, 96, 112, 134, 161, 187, 232, 277, 331, 342 borrowing, vii, xi, xii, 96, 133–154, 163, 179, 187, 343, 346, 347, 355, 364 directive, 235, 241 tourism, 138 Political, 7, 14, 25, 31, 59, 60, 72, 74, 104, 115, 129, 134, 136, 146, 153, 163, 176, 219, 249, 320, 323, 327, 329, 331, 332, 334, 337, 343, 347, 348, 354, 355 Population, 6, 12, 46, 64, 112, 116, 117, 119, 190, 331, 354, 356 Positivist, 18, 38, 45, 60, 91–92, 94, 164, 165, 170, 356, 365 Positivist epistemology, 60 Possess, 42, 45, 61–63, 66, 67, 103, 294, 298, 327, 351, 352 Postgraduate Certificate in Education (PGCE), 124, 125, 128 Power differential, 245, 324 Power dynamic, 200 Powers, 142 Power struggle, 328 Practicum coordinator, 233, 235, 236, 250, 305, 357 Practicum Study, 17, 40, 56, 82, 111, 133, 159, 187, 234, 277, 316, 342 Practitioner, 16, 69, 134, 144, 146, 153, 195, 196, 198, 201–203, 223, 264, 266, 316 Predictions, 27, 30, 39, 60, 164, 356 Prescriptive, 147 Pre-service teacher (PSTs), xi, xii, vii, viii, 70, 112, 113, 120, 125–127, 134, 139, 149, 154, 161, 162, 169, 177, 187–229, 231, 233, 237, 238, 240, 242, 243, 247, 248, 252, 253, 256, 257, 260, 261, 265–273, 275–312, 316–337, 364 Pressure, 14, 66, 143, 145, 191, 215, 247, 248, 251, 255, 262, 266, 267, 269, 280–283,

377 288–292, 309–311, 320, 322, 323, 354, 359 Prime actor, 344 Prior knowledge, 207 Prison, 26 Private sector, 135 Problem situation, viii, xii, 4, 15, 17–19, 23, 25, 26, 31, 97–100, 167, 168, 188, 232, 276, 342, 344, 345, 348–349, 354, 360, 362, 365 Process of enquiry, 20, 98, 165 Professional behaviour, 288 Professional boundaries, 296 Professional Experience Coordinator, 233, 235, 238–240, 243, 244, 246, 248, 249, 283–287, 327 Professional Experience Office, 200 Professional goals, 143 Professional identity, 133–154, 179, 246, 323–327, 336 Professionalism, 296 Professional relationships, 224 Professional Standards, 235 Profile, 349 Programme for International Student Assessment (PISA), vii, 68, 112, 117, 121, 124, 136–139 Proof is fallible, 357 Property, vii, 6, 10, 14, 16, 48, 51, 52, 58, 61, 62, 64–66, 73, 91, 101, 137, 301, 362 Provincial, 120–122, 127, 139 Proximal, 70, 71, 145, 195, 210, 222, 226, 238, 239, 243, 244, 248, 249, 253, 254, 257, 258, 266, 271, 278, 282, 285, 295, 304, 306, 309, 310 Pseudonym, 188 Public Finance Initiative (PFI), 135 Public schools, 115 Purposeful, 7, 12, 17, 25, 26 Purposeful activity model, 17 Purposive sampling, 190, 191 Q Qualified teacher status (QTS), 115, 123–125, 141 Qualitative, viii, 68, 88, 92–96, 149, 169, 171, 178, 278, 344, 359 Qualitative analysis, 83 Quality assurance, 269 Quality Assurance Agency (QAA), 123 Quantitative analysis, 83 Quasi-experiment, 92

378 Questionnaire, 68, 88, 92, 95, 134, 150, 152, 173, 329 Queueing, 70 R Radical change, 18, 21–22, 354 Random, 58, 92, 193 Rationale, 15, 28, 35, 39, 74, 100, 112, 159, 162, 168, 169, 171, 188, 190, 231 Rationalism, 5 Real, 4, 19–22, 30, 32, 36, 40, 42–48, 52, 56, 61–64, 68, 93, 102, 104, 147, 153, 162, 165, 195, 351, 352, 356, 357 Realist, viii, 37, 42, 45, 48, 57, 60, 61, 66, 68, 82, 90–94, 99–101, 104, 160, 162, 164, 169, 356, 357, 360 Reality shock, 134, 150–152, 154, 211, 290, 291, 316, 320–321, 327–329, 331, 334, 336, 337, 348–350, 352–354, 357 Real-world, 4, 14, 19–22, 30, 32, 40, 44, 46, 61, 68, 93, 102, 147, 162, 165, 351, 356, 357 Recruitment, 236 Recursion, 73 Reductionist, 11 Reflective practice, 134, 145–147, 153, 249, 296, 318, 319, 326, 327, 329, 331, 348, 350 Regularity Theory, 36, 39, 40, 42, 46, 51 Regulatory, 318 Relationships, vii, 8, 13, 14, 16, 17, 23, 35, 37–39, 45, 48, 50, 56, 64–69, 72, 73, 76, 88, 89, 99, 114, 134, 142–144, 148–150, 166, 174, 180, 193, 206, 218, 224, 236, 244, 246, 248, 249, 251, 252, 257, 258, 264, 265, 279, 282, 286, 287, 289, 291, 293, 295, 297, 304, 306, 307, 309, 317–328, 348 Relativism, 37, 38, 91, 164, 165, 342 Reliability, xii, 93, 95, 161, 170–171, 181, 341, 359 Replicability, 170 Rescaling, 134, 136–137, 153, 319, 323, 327, 329, 331–332, 334, 337, 343, 347, 348, 354, 355 Rescaling of political authority, 134 Research design, 83, 85–88, 93–95, 98, 161, 162, 168–171, 181 Research Ethics Boards, 175 Research onion, x, 40, 83–88, 93, 94, 177

Index Research strategy, viii, ix, x, xii, 25, 32, 56, 76, 81–83, 93, 97–100, 102–105, 160, 166, 181, 188, 311, 341–363 Research tool, viii, 105, 170, 175 Resilience, 134, 152, 246, 248–250, 256, 269, 271, 302, 305, 320, 322, 328 Resilient, 151, 258, 304, 353, 354 Retroduction, x, 36, 46–48, 61, 73, 94, 147, 162, 169, 356 Rich picture, x, xi, 4, 17, 23, 24, 28, 30, 31, 98, 99, 161, 167, 168, 171, 177, 180, 212, 232, 241, 273, 276, 293, 298, 299, 318 Risk averse, 262 Risks, 71, 170, 173–176, 212, 213, 220, 248–250, 254, 256, 258, 262, 264, 266, 294, 298–301, 303, 304, 323, 358 Risk-taking PSTs, 327 Robust discussions, 358 Role model, 193, 210 Roles, 4, 37, 58, 115, 134, 170, 189, 235, 280, 320, 343 Root definition, 4, 24, 29, 30, 98–100, 189, 194, 200, 204, 208, 212, 217, 221, 225, 232, 237, 242, 247, 252, 256, 260, 265, 270, 276, 280, 284, 289, 294, 298, 303, 308 Russell Group, 235 S Sampling, xi, 88, 92, 161, 171–172, 174, 177–178, 181, 188, 190, 191, 228, 231, 312, 344, 358, 359 Sampling of data, 171–172 Sampling strategies, 190 Sandstone university, 235 Sanction, 69–71 Sandstone, 235–239, 250, 251, 323, 350 Scales, 51 Scarcity, 127, 217 Sceptical, 90, 91 School Boards, 119–122, 126, 139, 140, 194, 207–210, 251, 253, 254, 258, 324 School Centred Initial Teacher Training (SCITT), 123, 128, 191 School community, 210, 246 School Direct, 123, 128, 191, 265 School districts, 120 School experience, 123, 143, 220, 233, 234, 282, 286, 320 Scientific knowledge, 58

Index Scientific method, 5, 9, 35, 37–39, 46, 47, 59–61, 365 Scrutiny, 128, 129, 170 Selective, 115, 207, 211, 240, 318 Self, 8 Self-audits, 268 Self-confidence, 218, 220, 222 Self-development, 326 Self-image, 144, 239, 318, 354 Self-improving school-led system, 113 Self-interest, 316 Self-perpetuating, 207 Self-perpetuating system, 208 Self-producing dynamic, 8 Self-regulating system, 12 Self-regulation, 12 Sense data, 90 Sense-making, 134 Sessional instructors, 262 Seven stage model, 15, 17, 22, 24 Shortage, 122, 123, 126, 217, 240 Sign graph, 352 Sink/swim, 152, 218 Situated knowledge, 148, 327 Situated learning, 147 Situation, 3, 40, 56, 86, 113, 135, 164, 189, 232, 291, 317, 342 Social, 56 Social constructivism, 38, 60, 91, 342 Social constructivist, 165 Social entities, 273 Social evolution, 66 Social justice, 256 Social markers, 69 Social objects, 68 Social responsibility, 357 Social situation, vii, 31, 56, 58, 62, 101, 147 Social structure, x, 56, 62, 66–68, 70–73, 82, 100, 101, 104, 160, 194–196, 200, 204, 209, 213, 221, 226, 233, 238, 242, 248, 252, 256, 261, 265, 270, 280, 285, 289, 294, 299, 303, 308, 318, 353, 354, 357, 359, 364 Society expectation, 247 Socio-economic, 120 Socio-economic goals, 118 Socio-economic group, 236 Soft skills, 249, 293, 295, 301 Soft systems, 4, 12–14, 18, 20, 353 Soft Systems Methodology (SSM), viii, x, 3–32, 40, 82, 159, 189, 276, 317, 342 Special educational needs, 228 Specification, 3, 139, 362

379 Spectrum, 18, 37–38, 57, 60, 86, 90–93, 95, 105, 164, 342, 343, 354, 356 Stable, 6, 8, 12, 37, 66, 170, 321, 352 Staff room, 266, 267 Stakeholder, 4, 82, 99, 115, 138, 161, 188, 233, 276, 315, 343 Stakeholder position, 334 Stamina, 296, 302, 304, 305, 312 Standard Attainment Tests (SATs), 116 Statistical analysis, 92 Status, 318 Steering the boat, 134 Stepping stones, x, xi, xii, 40, 81–105, 159–162, 165, 170, 179, 181, 342 Strategy, 14, 56, 81, 111, 160, 188, 231, 296, 315, 341 Stratification, x, 11, 12, 36, 48–52, 114, 165 Stratified ontology, 165 Stratum, 48, 50–52, 62, 65, 136 Strength, 45, 103, 128, 189, 210, 227, 264, 305, 307, 310–312, 325, 326 Stress, 317 Structural, 18, 56, 65, 69, 136, 151, 236, 246 Structure, 6, 43, 56, 82, 112, 135, 160, 194, 233, 280, 318, 353 Structure/agency dichotomy, 68 Structure-as-relationship, 66 Structure-as-whole, 66 Subjective-objective dimension, 85, 91 Subject knowledge, 241, 246 Suburb, 246, 279, 283, 287 Sufficient, 8, 31, 47, 64, 75, 112, 151–153, 161, 179, 191, 203, 206, 219, 229, 263, 278, 282, 302, 310, 311, 322 Super-organism, 164 Supranational, 134–136, 139, 144, 153, 331, 347 Supranational organisations, 134 Surveillance, 136, 146, 331 Survival, 10, 143, 353 Swamp of relevance, 16, 23 System, 13 Systematic, 164 Systematic review, 134, 149, 154 Systemic, 20, 21, 31, 32, 69, 98, 100, 114, 122, 125, 145, 164, 166, 330, 350, 351, 357 Systemic effects, 164, 165 Systemic schools, 118 Systems thinking, viii, ix, x, xii, 3–32, 35, 40, 41, 48, 50, 100, 105, 112, 145, 159, 164–167, 170, 171, 179, 229, 342, 352–353, 356, 360, 365

Index

380 T Tacit goals, 14 Take risks, 256 Targets, 265 Teachables, 126 Teacher candidate (TC), 120, 122, 127, 206, 216, 232, 233, 250, 255, 259, 298 Teacher education, viii, xi, 96, 112, 113, 123–129, 134, 136, 137, 140, 142, 143, 145, 146, 149, 151, 153, 154, 160–162, 168, 169, 171, 177, 191, 193, 204, 221, 236, 240–246, 252, 268, 269, 317, 319, 321, 323, 326, 329, 330, 333, 335, 336, 347–349, 351, 355, 364 Teacher profile, 140, 144 Teacher educator, 346 Teachers’ standards, 120, 125, 129, 138, 140–142, 146, 149, 153, 220, 237, 239, 241, 244, 246, 249, 287, 322–324, 326, 346, 347, 355 Teachers’ unions, 120 Teach First, 123, 126 Teach for Australia, 126 Teaching as a craft, 134 Teaching assistants, 306 Technology, 251 Tektology, 6 Temporal nature of the data, 360 Tendencies, 142 Terminology, xi, 4, 22, 23, 84, 86, 100, 168, 191, 232, 233, 268, 316, 318, 337, 343 Tertiary mentor, 233, 235 Thematic devices, 96 Theoretical sampling, 190 Theory, 356 Theory-laden, 35, 42, 91, 101, 165 Thermostat, 12 Timeframes, 140, 149, 191, 236 Time horizons, 85, 86, 94 Top down, 347 Topic and aims, 86–89, 98, 99, 160–163 Traditional, 75, 90, 92, 118, 143, 247, 288, 289 Trainees, 123, 124 Training for mentors, 249 Training mentors, 348 Transformation, 18, 24, 25, 29–31, 102, 103, 162, 189, 192, 196, 200, 204, 208, 212, 217, 221, 225, 228, 233, 236, 237, 242, 247, 252, 256, 260, 261, 265, 270, 272, 273, 276, 280, 284, 289, 294, 298, 303, 308, 312, 315, 330, 331, 350, 351 Transformation of the practicum, 228 Transformation of the PST, 228

Transitive, 55, 58 Transparency, 36, 170, 171 Transparent, 171 Triangulation, xii, 95, 170–171, 181, 343, 359 Troops to Teachers, 123 Trust, 207 Truth value, 76 Turbulence, 193 Two worlds, 143 U Uncertainty Principle, 59 Under-labourer, 37 Unexpected, 46, 47, 61, 151 Unintended consequences, viii, 12, 40, 163, 164, 347, 353, 355 Universal laws, 39 Universities and Colleges Admission Service (UCAS), 26 Unknown unknowns, 44, 61, 165, 357 Unpredictable, 61 Unusual, 41, 48, 83, 86, 92, 120, 128, 154, 176, 181, 206, 210, 218, 223, 224, 240, 259, 260, 262, 268, 270, 283, 286, 287, 291, 306, 308, 317, 319, 320, 326, 327 Usability, xii, 343, 360–364 User satisfaction, 362 Utility, xii, 343, 360–364 V Validity, xii, 93, 95, 161, 170–171, 181, 343, 359 Value, 7, 38, 68, 90, 129, 134, 162, 189, 233, 276, 316, 343 Value functioning, 74 Value of the credential, 236–238, 322, 323 Variables, 13, 14, 16, 38, 45, 48, 58, 59, 64, 68, 75, 76, 95, 163, 164, 170, 171, 265, 298, 359, 364, 365 Vertexicality, 69 Viable system, 5, 6 Vicious circle, 199, 352 Victims, 317 Viewpoint, 23, 86, 149, 356 Virtuous circle, 352 W Welcoming school, 319 Weltanschauung, 4, 17, 24, 29, 193 Whiggish, 59

Index Whiggish view of progress, 59 White paper, vii, 123, 268 Wholeness, 6 Wicked, 16 Wicked problem, 15–16, 23 Work-based learning, 162 Workload, 325

381 Worldview, ix, x, 4, 17–19, 24, 26, 29, 31, 32, 69, 81–105, 111, 144, 160, 163, 167, 176, 188, 193, 231, 232, 276, 342, 344 Z Zone of proximal development, 145, 306