Phenomenological Research: An Exploration of Conceptual, Theoretical, and Practical IssuesClare Wilding, Gail Whiteford Key words: Heidegger, phenomenology, qualitative research ABSTRACT Phenomenological research has become increasingly popular in occupational therapy in recent years. However, phenomenological inquiry is one of the most philosophically and theoretically complex research traditions, many aspects of which remain poorly understood. This article is intended for individuals either interested in or about to conduct phenomenological research. It examines the conceptual foundations of phenomenology, particularly Heideggerian phenomenology, including an exploration of the concept of Being. A case example of how these concepts can be developed within an occupationally focused research project is presented. The article concludes with reflections on the value of phenomenological research in understanding complex, situated phenomena of interest to occupational therapists. uring the past 10 years, there has been a growing interest in the use of phenomenological research in the health arena, especially in nursing (Todres & Wheeler, 2001) and increasingly in occupational therapy (Finlay, 1999; Kelly, 1996). Such growth in popularity may be read in the context of the strengthening of the interpretive paradigm of inquiry in health. Interpretive research, or qualitative research, as it is more commonly described, has been embraced as the paradigm of choice in many instances because it is more closely aligned with the traditional epistemologies of health professionals, captures the storied or narrative nature of health-related phenomena through time, and illuminates the contextual dimension of health, wellness, and occupational engagement excluded in postpositivistic approaches. D Qualitative research is used as a broad-brush descriptor for a range of distinct approaches, but it is underpinned by a common philosophical foundation. First, it is based on an ontology that is subjectivist. This means that, in this paradigm, reality is constructed as subjective and contextually bound rather than as an absolute or “given,” as suggested in the positivistic tradition. Second, the epistemic foundations of qualitative research view knowledge construction as involving a relative interaction between knower and known. This relativistic position means that the researcher as an individual, complete with values, opinions, biases, and feelings, brings an experiential world to the research process that influences the phenomena studied. Rather than adopt a position of “omniscient observer” that may be apparent in varieties of quantitative research, the quali- Clare Wilding, BAppSc(OT), MAppSc(OT), is Lecturer, Occupational Therapy, Charles Sturt University, Albury, New South Wales, Australia. Gail Whiteford, BAppSc(OT), MHSc(OT), PhD, is Professor and Chair, Occupational Therapy, Charles Sturt University, and Centre Director, Research into Professional Practice, Learning and Education (RIPPLE), Albury, New South Wales, Australia. Some of the concepts discussed in this article were presented by Clare Wilding in a paper entitled “Permission to speak: An example of “giving voice” utilising Heideggerian phenomenology” at an in-house conference for members of the Centre for Research into Professional Practice, Learning and Education (RIPPLE) of Charles Sturt University. The conference, entitled Qualitative Research as Interpretive Practice (QRIP), was held from September 20-21, 2003. Address correspondence to Clare Wilding at
[email protected]. 98 OTJR: Occupation, Participation and Health phenomenological. Chang and Hasselkus (1998). Frank. phenomenology is a method of inquiry that offers a way of systematically studying and learning about phenomena that are typically difficult to observe or measure. It also places the participant as the “experiencer” in the position of expert. Number 3 99 . These phenomena do not lend themselves to be studied using traditional positivistic methods. it is actually through the experience of doing within the world and with others that humans learn ways of being (Dreyfus. 1996). This article focuses on the work of Heidegger because he is the philosopher whom both authors have used to guide their research processes. phenomenology is an approach that is increasingly used by our profession. Examples include studies by Gahnstrom-Strandqvist. and Whiteford and Wilcock (2000). 1996). ambiguity. Kelly. Within the broad terrain of numerous qualitative research approaches and specific methodologies. Summer 2005. the process of qualitative research resembles a collaborative dialogue between two people. Conceptual and Philosophical Foundations In the research context. 1990). Without Being. 1961). Heidegger capitalizes Being to distinguish it as an abstract concept. For this reason. there is no life. Other studies have used the empirical. in phenomenology the central concern is with the phenomenon itself and with attempting to understand the “object” of the experience of it (Crotty. and Wittmann (2002). extended and developed Husserl’s ideas to form his own version of phenomenology (Spiegelberg. Dawkins and May (2002). which is contrasted with the existence of particular beings. such as man or animals. it enables the acknowledgment of complexity. 14). 2000). 1999. they do so with broader theoretical agendas that in turn have analytic implications. and Gustavsson (2000). Ivarsson. and Borell (2000). he contends. possibly because it allows for the illumination of meaning ascriptions in context and. Dyck and Forwell (1997). and Ternestedt (2002). an interactive process that has been likened to a “dance” (Janesick.tative researcher instead seeks to interpret. In addition. . or life history may also focus on specific phenomena in the social world. other articles focus on hermeneutic phenomenology and its place in occupational therapy practice and research (Finlay. phenomenology has recently come to the foreground as an approach of choice. Vergeer and MacRae (1993). may be seen to exemplify occupational therapy’s concern with environment and holism. .the best way to understand what Heidegger means by Dasein is to think of our term “human being” which can refer to a way of being that is characteristic of all people or to a specific person—a human being (p. this orientation provides the means through which to explore and illuminate aspects of the human condition in all its complexity. Therefore. Because qualitative research rests on such ontologic and epistemic foundations. presents a critique of the concept: Dasein in colloquial German can mean everyday human existence (but). a more in-depth examination of key conceptual issues follows. as such. In this respect. ethnography. and Tham (2003). Liukko. 1994). a pupil of Husserl. In addition. The philosopher Edmund Husserl is credited with the initial development of phenomenology (Dreyfus. both authors believe that Heideggerian phenomenology is consistent with occupational therapy’s philosophical beliefs about the importance of everyday life and everyday doing. 1990). Heidegger believed it was vitally important to study ordinary life (Dreyfus. 1990). Heidegger (1962) was fascinated with the Being that is inherent in all entities and that “underpins” existence. a noted scholar of Heideggerian phenomenological thought. 1996. It centralizes individuals’ experiences and the meanings they ascribe to them. and Tham. Such an orientation is clearly consistent with occupational therapy’s philosophical beliefs with respect to understanding the whole individual in the context of his or her environment and taking an holistic approach to practice (Hemphill-Pearson & Hunter. Ward (2003).” In his writings. 1961). The English translation of the German term Dasein is commonly understood to mean “Being. Clearly. Although other qualitative research Thus. BoutinLester and Gibson (2002). Thus. However. and because of its unique history and concomitant complexity. and dynamism in human phenomena. although Martin Heidegger. Dreyfus (1990). In the opinion of the authors. Elliott. Volume 25. Heidegger chose to explore the concept of Being as his life’s work (Blackham. Velde. approaches such as grounded theory. Josephsson. and the investigator in the position of learner. Lampinen and Tham (2003). Some examples of the use of phenomenology in occupational therapy include studies by Barnitt and Partridge (1997). Gahnstrom-Strandqvist. understand. Rosa and Hasselkus (1996). Heidegger believed that Being forms the background to all of life (Blackham. psychological method. Hasselkus (1993). Heidegger’s form of phenomenology focuses on the concept of Dasein. Meyers (1995). and describe in a reflexive process. Tham. Heidegger’s (1962) opinion was that humans embody how to be rather than think how to be and he suggests that humans can only be aware of who they are by examining their actions to determine their intentions. 1997). Soderback. Borell. an act through which it becomes possible to stand aside from one’s subjective experience and world view to more objectively understand a given phenomenon). Much as art is the artist’s interpretation of reality that allows people to see the subject differently. the primary concern of occupational therapy. we acknowledge and foreground our own particular horizon of understanding in approaching phenomena. That is. providing the best possible basis for new understandings to emerge. something that has received little attention and about which little is understood. this process is passive and allowing rather than active and forced. when using Heideggerian phenomenology. As he describes it. 1996) and considering the phenomenon in itself. Crotty (1996) suggested that the “new phenomenology” that has emerged fails to move behind “taken for granted meanings” and consider the object of inquiry from a critical position. On the contrary. 88). p. dimensions of “Being” must be considered in relation to the research question and findings because this concept is of central concern within this approach (Draucker. When undertaking a phenomenological study it is important to consider the experiences of research participants in a fresh light. unlocks important features of meaning ascription in people’s lives. Citing nursing phenomenological research as an example. Such values are in close alignment with occupational therapy’s philosophical belief in client-centered practice. As with other qualitative approaches. p. 1999). this critical approach is not well understood (Crotty. Phenomenology has an essentially critical orientation. it is important to consider experiences within the philosophical framework that one has adopted. As Mitchell and Cody (1993) pointed out more than a decade ago. To pretend that it is possible to undertake any form of inquiry free of theoretical influence is nonsensical. 1996). discovery and theoretical interpretation coexist” (p. 1956. 2000). 2003). By allowing the data to “speak for themselves.” the researcher brings a “naive enquirer’s” orientation to the process of the research. interpreting.” as the original Greek meaning of the word phenomenology suggests (Moustakas. when discovered. it is an attempt to “bring to light. A real point of distinction between Heideggerian and Husserlian phenomenology in this regard is the concept of epoch. The implicit criticism of the “new phenomenologists” is that they celebrate their descriptions of participants’ subjective experiences as adding something new and valuable to the understanding of the phenomenon. meaning in people’s lives is given by the context of the world in which they live. The ordinariness of the phenomenon must be looked at with critical eyes so that a different truth can emerge. 177). However. 1962). Methodologically. may no longer be regarded as mundane or unimportant. and understanding one’s data. 1962). Participation and Health .” However. the traditional form of phenomenology. in Heideggerian phenomenology. It is also important to embrace the phenomenon with a sense of wonder.e. Moreover. 334). as concern is fascinated by the world” (Heidegger. Krell (1993. by nature. In this respect. unlike its hybrid cousin. This may seem like a small point of differentiation. Theoretical Issues In using a phenomenological approach in research. Instead. the interdependence of these concepts. distinct theoretical and philosophical influences are embedded in the perspectives that are brought to the process of gathering. Instead.everyday life. 32) states that Heidegger’s concept of learning about Being was as “meaning coming to presence” through the process of “unconcealment” and “disclosedness. The hyphens between the words indicate the interconnectedness and. a concept referred to as “Being-in-the-world” (Heidegger. p. is a thoroughly critical methodology. inquiry. Overall. there is no methodological orthodoxy within phenomenology (Whiteford & Wilcock. “it must be recognised that. the phenomenologist must shock himself or herself into actually seeing the world much more acutely and clearly (Crotty. Such an inherently reflective and holistic process allows the words of the research participants to be treated with integrity. Such an orientation means standing aside from the “everyday meaning” (Crotty. in qualitative research. 1962. learning about a phenomenon such as Being requires allowing the phenomenon to reveal itself (Heidegger. Heidegger maintained that such a “transcendental” act is impossible. as in any type of research. Although Husserl suggested a process of “epoch” (i. hence. but it is significant in both the initial orientation to and the conduct of phenomenological research. and represents one of the major confusions in qualitative research (Denzin & Lincoln. Although this belief is certainly 100 OTJR: Occupation. the data themselves should guide the nature and form of the study for the researcher. For example. everyday life is the “treasure” that. that is “Being-in-the-world. phenomenological processes have been likened to the creative processes of an artist. Letting-be is a process of “unconcealment” or “revealment” (Heidegger. 1996). in which occupational therapists must allow space for a client’s needs to emerge. 1994).. worthy. Number 3 101 . and political contexts in which they live. it may be argued that these researchers do not go far enough in illuminating the phenomenon they are investigating. there is an understand- ing that they are never actually transcended. However. it is necessary to consider over and over again the words and stories of the participants in terms of what they indicate about both specific dimensions of the phenomenon and the whole phenomenon. 2003). to which the researcher is always accountable (Allen. To achieve a deeper understanding. Two key concepts central to hermeneutic practice include the “hermeneutic circle” and “fusing of horizons. Although all interpretations are potentially valid. To do this. Heideggerian phenomenology was chosen as a suitably appropriate research method because this method is used to discover what a particular phenomenon is. This horizon is the point from which one views the world and all its possibilities and undertakes any interpretation. In essence. what its characteristics are. Researchers in the context practice their art by grappling with the text to be understood. the challenge is to ensure they are as reflexive and rigorous as possible. Reflecting on these pre-understandings. her study also explored the relationship of spirituality to occupation. and what it is not. p. engaging in hermeneutic practice is essential. As a researcher. the source of “pre-understanding” (Heidegger. by doing it. 2003. 2003). a case study based on the work of the first author is presented as an example of how the complex philosophical and theoretical issues discussed in the previous section can be incorporated into research practice. who suggested each individual has a “horizon” of understanding. The researcher needs to also inquire into and critically appraise what makes a particular phenomenon unique in context. and understanding and interpretation occur naturalistically hand-in-hand. The concept of horizons originally came from Gadamer (1989). because she brought with her a passion for understanding occupation. 1990). which is often the case when quantitative rules for rigor are applied to qualitative research. Volume 25. the ultimate check is in the text itself. first to themselves.” The hermeneutic circle refers to the process in which people come to develop an understanding of something. pre-understanding “enables rather than constrains the researcher” (Hasselkus. This horizon is basically the sum total of all influences that make individuals who they are. 1962). in the context of also experiencing mental illness. more than a description of the subjective experience is required. Heideggerian phenomenology acknowledges that researchers bring pre-understandings to their work and. although attempts are made to identify these and to put them aside to see the research phenomenon with fresh eyes. phenomenology is used to study and learn about phenomena that are diffi- Summer 2005. p. 82). telling its story in relation to its contextual dynamic and other texts. It is the text. Wilding used them to help formulate questions that would allow her to engage with research participants to discover their experiences and understandings of spirituality and occupation. Such a process represents a cornerstone of hermeneutic practice that requires an understanding that the self is the ultimate basis of all interpretation. rather it should be celebrated. then to a public audience” (Kincheloe & McLaren. This remains a distinction between the two philosophers and their subsequent impact on the conduct of phenomenological research. interpretations need not be seen as “right” or “wrong. 444). There are specific criteria and processes to ensure the authenticity of qualitative research. In addition. Viewed from this hermeneutic perspective. Although Husserl encouraged the researcher to engage in a process of “bracketing” in which one’s biases and predispositions would be identified and thus “removed” from the research arena. Research Case Example Phenomenological research and hermeneutic processes can only be learned “in the Deweyan sense. including the social. in which the circle is really a metaphor for the dialectic movement between parts and the whole (Kincheloe & McLaren. 1997. only a personal one. Heidegger’s view differed. 1995). Indeed. developed through her work as an occupational therapist. hermeneutic activity is a universal and inescapable feature of existence. In other words. Hermeneutics is the practice of interpretation (Schwandt. Such subjectivity need not be seen as an indicator of poor research. During the process of conducting research. This process is a reflexive and ongoing one. historical. However. Based on a long-standing interest in both spirituality and mental health. as Gadamer (1989) suggests.” but rather as only interpretations or “plausible insights” (Van Manen. one’s interpretation of participants’ stories is always mediated and influenced by one’s own experiences. As discussed earlier. as has been suggested. or data. there is no such thing as an omniscient perspective. To assist other occupational therapists interested in the conduct of phenomenological research. Wilding (2003) examined the phenomenon of spirituality as experienced by six people who had been diagnosed as having mental illness. a researcher must ask “What is this phenomenon?” and “How is this phenomenon experienced?” However. this was clearly the case. more accurately. as has been previously discussed) was thought to correspond with the study’s focus on spirituality within everyday occupation. and creating a “space” in which the phenomenon could reveal itself. Burnard (1991. though itself hidden. “it is to immerse oneself in the full ‘thereness’ of things. The words are deliberately written in this fashion to highlight that the process is about exposing or uncovering that which is already present. along with contemplating. Three men and three women participated. Although numerous authors have extensively discussed spirituality in the literature. participants were encouraged to speak about particular experiences. p. or when the area needs to be described in more depth (Streubert & Carpenter.” This sense of immersion was achieved in the spirituality research by listening to the interviews two or three times and re-reading the transcripts many times. Thus. 1996). a problem with using phenomenology in practice is that its origins are primarily those of a philosophy. but which is currently hidden. depending on whether the participant had been recruited via the mental health system or through the researcher’s personal network. The participants were able 102 OTJR: Occupation. this process must not be forced. for it is only in their unconcealment that Being. such as spirituality. Another participant described a time when he was unemployed and he recalled praying to God as he walked along the street to the unemployment office. suggestions from May (1991) and Sorrell and Redmond (1995) about how to conduct interviews were used. Heidegger (1956. there are relatively few systematic studies about spirituality. Participation and Health . Scult (1998) says that the process relies on being reflexive and waiting for the text to reveal itself. data reduction by Miles and Huberman (1994). there are few methodological signposts. a series of steps described in other qualitative research projects were used. In particular.” Demonstrating Heidegger’s perspective. Participants’ interviews were held in a private room within either a community mental health center or the participant’s home.” watching. reflecting. For example. engaging in a hermeneutic circle of analysis. as were suggestions about transcribing from Colaizzi (1978). In the arena of human spirituality. the researcher examined the data for a prolonged period of approximately 18 months. such as phenomenology. gathering “original” descriptions of experiences. waiting. For example. Heidegger’s focus on the everyday aspects of humans (or Dasein. and writing about the data achieved this. At the core of the notion of passivity is that a “clearing space” must be created in which the phenomenon can reveal or. 462) recommends that a researcher immerse himself or herself in the data “to become more fully aware of the ‘life world’ of the respondent. 1962). It is encouraged in phenomenology to go back “to the things themselves” and to see them in a different way (Crotty. Staff of the community mental health centers provided information about the study and an invitation to participate to their clients whom they considered to be relatively mentally well and who were also able to engage in in-depth discussion. However. Thus. Throughout one’s research an attitude of “deep meditation” and “devotion” to the text needs to be adopted.cult to observe or measure. To ensure that the research was “true” to Heideggerian phenomenology. and two participants known to the researcher via her personal networks also volunteered to participate. As previously mentioned. To achieve this. embracing an attitude of passivity. p. Four participants for the study about spirituality were voluntarily recruited from two rural community mental health centers. located in time and space. Multiple times of listening to the tapes and re-readings of the transcripts. one research participant described a memory of when she was a child and played in the bush land close to her home because this was a time when she felt a strong sense of connection to her spirituality. In addition. an interpretive approach. and examining the data to reveal concepts of Being were used. Phenomenology has been promoted as the approach of choice in areas in which there is little published material. 1995). Steiner (1978. To solve this difficulty within the spirituality research project. rather than to speak in general terms about spirituality. As noted previously. “unconceal” itself (Heidegger. 68) writes. during which they felt directly connected to their spirituality. and phenomenological writing by Streubert and Carpenter (1995). Passivity was achieved during the spirituality research through “sitting back. 334) describes the process of phenomenology as the self “ex-posing” of “ex-sistent” beings. p. it is important that the researcher hears original stories and gathers descriptions of the phenomenon that closely resemble how the phenomenon was experienced at the time it occurred. The interviews were audio-taped and later transcribed by the researcher. therefore. This is why the data immersion phase takes such a long period of time. is revealed. was needed to explore the extent and boundaries of the phenomenon of spirituality. a theme that pervades Heidegger’s work is that a researcher should be allowing and passive toward the phenomenon under investigation. Data were gathered through engaging in one indepth interview with each participant. strategies of becoming immersed in the data. In addition. some specific approaches described by Heidegger (1962) and Heideggerian scholars such as Steiner (1978) were also employed. Dr. Dreyfus. Valle & M. (1995). R. W. D. P. J. New York: Oxford University Press. 1999). Physiotherapy Research International. how he or she engaged in spirituality. a sense of each individual’s overall “story” of spirituality. S. richly describe these actual experiences almost as if they were reliving them. 11. Colaizzi. K. compatible with occupational therapy. 86-109). the researcher found that spirituality is a form of Being that sustains doing for the six participants (Wilding. & Hasselkus. & Partridge. 49. (1997). and compared with other participants’ stories and with the individual’s own story. In particular. Crotty. 178-194. L. Eimear Muir-Cochrane. and “everyday” aspects of life. Australian Occupational Therapy Journal.. has been specifically discussed as a particular form of phenomenology that is Summer 2005. Existentialphenomenological alternatives for psychology (pp. and then provided each individual with a reason to live and be connected in a caring relationship to others and to the Universe. 146-154. (1978). P. J. In H. situated phenomenon of occupation. Psychological research as the phenomenologist views it.” Then a particular aspect of each story (e. American Journal of Occupational Therapy. M. and an understanding of each individual’s particular “spiritual journey. The experience of becoming mentally unwell forced each individual to develop his or her own authentic self and his or her spirituality. C. Although challenging in nature. B. Dawkins. what spirituality meant to that individual) was considered. Y. and then analyzing “pieces” or “chunks” of script and relating these pieces back to the whole. Being-in-the-world: A commentary on Conclusion This article has presented some of the philosophical and theoretical dimensions of phenomenology and presented a case example of a phenomenological study for consideration by the reader. P. This included his or her description of what spirituality meant to him or her. & May. Boutin-Lester. Draucker. and mental illness was interpreted. (1961). (2003). R. (2002). C. & Lincoln.). The following questions were reflected on: Was the meaning consistent across the individual’s life? What illustrations of the meaning are located within the individual’s dialogue? What metaphors does the individual use to demonstrate this meaning? How does this meaning of spirituality fit with the individual’s overall story? Afinal strategy suggested for Heideggerian phenomenological research is that Heideggerian philosophical concepts that have informed the findings should be made visible (Draucker. Six existentialist thinkers (pp. Patients’ perceptions of home health occupational therapy. 360-373. Number 3 103 . Phenomenology and nursing research. H. R. which provided funding that has facilitated the writing of this article. Nursing Science Quarterly. F. Martin Heidegger. 128-137.. Acknowledgments References Allen. for their guidance and support of the research project that is discussed in this article. H. intangible. H. Journal of Advanced Nursing. explored in depth. Heidegger’s (1962) concepts of authenticity and Care were reflected on in relation to the data. Denzin. 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