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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY OF LIVED
EXPERIENCE AT THE EDGE OF CERTITUDE AND INCERTITUDE
by
Anil Behal
Abstract
The study examined what it was like for leaders to be in a state of negative capability during
periods of uncertainty and conflict in the workplace. “Negative Capability” is an expression that
was coined by the English romantic poet John Keats and suggests a peculiar disposition to stay in
mysteries, doubts, and uncertainty without the irritable reaching after fact and reason. Interviews
were conducted using the interpretative phenomenological analysis (IPA) methodology. The
analysis indicates that the context in which a leader is embedded does not have a significant
bearing on how that individual experiences and makes sense of negative capability. The majority
of leaders interviewed appear to have a diminished capacity to contain uncertainty when faced
with paradoxical dilemmas. In these situations, they resort to behaviors such as problem solving,
consulting others, shutting down, and dispersing as a means of defending against the uncertainty.
Exercising servant leadership and the intermingling of the leaders personal and professional
lives are strongly emerging themes.
Keywords: John Keats, negative capability, OCD, paradox, levels of abstraction, certitude,
dialectics, Buddhism, dispersal, social defenses, reframing.
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
© Copyright by
ANIL BEHAL
2014
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
Dedication
As I provide final closure to this 11-year journey and explore what lies ahead, I dedicate
this work with great fondness to my wife Marilyn, who almost singlehandedly held the fort for
many years and enabled me to realize my academic dream. Without her love, confidence, and
support, this would not have been possible. I am also very grateful to my daughters Ratna and
Preeya who unconditionally believed in me even when things became rough. They have been my
sounding boards, technology gurus, and creative artists.
My life’s work would feel incomplete without a dedication to my late mother-in-law
Christine Pinto who never lost faith in me even when I questioned my own self-worth. Mummy,
you will live in my heart forever. This ones for you! Finally, my deepest gratitude to my parents
Sanat and Usha Behal who have been waiting with bated breath and cheering me on as I
approach the finish line.
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
Acknowledgements
I gratefully acknowledge many academics that have touched my life very meaningfully
since I joined the Fielding Graduate University as a doctoral student. First and foremost, my
mentor, friend, and chair Bob Silverman, PhD without whose encouragement and inspiration I
would probably not see this day. My heartfelt thanks also go to the faculty readers Steve
Schapiro, EdD and Annabelle Nelson, PhD who made an enormous contribution over the years
to my growth and transformation as a scholar. To Sharon Davis Brown, student reader, a big
thanks for your support. And finally, thanks to Amy L. Fraher, EdD, external examiner who
provided valuable input from the standpoint of organizational psychodynamics.
There are many other individuals that have supported me in this exciting journey. I am
unable to mention everyone by name, however please know how much I have appreciated your
camaraderie over the years. I would like to extend a special word of thanks to the 14 leaders who
gave so generously of their time and shared their lived experiences with great candor. I also owe
a debt of gratitude to the following Fielding colleagues who selflessly reached out to me with
their wisdom, insight, and suggestions as I struggled to navigate difficult terrain over the past
few years: Michael Joseph Serabian, PhD, Steve Wallis, PhD, Susan Quash-Mah, PhD, and
Michele Vincenti, PhD. Finally, a word of thanks to Valerie Malhotra Bentz, PhD and David
Allan Rehorick, PhD for sharing with me their work on transformative phenomenology.
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
Table of Contents
CHAPTER ONE 1
PREFACE 1
INTRODUCTION 2
CASE SCENARIO 3
RESEARCH QUESTION 5
NEGATIVE CAPABILITY 360-FEEDBACK MODEL 8
CHAPTER TWO: LITERATURE REVIEW 13
ORGANIZATIONAL PSYCHODYNAMICS 14
TIBETAN AND ZEN BUDHISM 2
DIALOGISM AND DIALECTICS 24
POETRY 30
PARADOXICAL THINKING 35
ENTANGLEMENTS AND TRANSMEDIAL THINKING 36
COMUNICATIVE SPACE 37
CHAPTER THREE: RESEARCH METHOD, DESIGN, AND METHODOLOGY 39
INTERPRETATIVE PHENOMENOLOGICAL ANALYSIS (IPA) 39
IPA STUDY 1 40
IPA STUDY 2 42
PHENOMENOLOGY 45
HERMENEUTICS 46
HERMENEUTIC CIRCLE 48
VERSTEHEN 48
IDIOGRAPHY 49
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
EPISTEMOLOGICAL CONSIDERATIONS OF IPA 49
PILOT STUDY 50
RESULTS OF THE PILOT STUDY 51
MAIN STUDY DESIGN 52
SELECTION CRITERIA AND RECRUITMENT 52
DATA COLECTION 54
DATA MANAGEMENT 5
ANALYSIS AND INTERPRETATION 57
REASONS FOR DEPLOYING IPA IN THE STUDY 58
ASESING QUALITATIVE RESEARCH 59
ASSUMPTIONS 61
BRACKETING ASUMPTIONS 61
AREAS OF RESEARCH 62
CHAPTER FOUR: DATA ANALYSIS AND INTERPRETATION 63
CASE 1 (AMANDA) 64
CASE 2 (BENJAMIN) 71
CASE 3 (CHRISTINE) 75
CASE 4 (JANET) 79
CASE 5 (ELIZABETH) 83
CASE 6 (FIONA) 86
CASE 7 (GORDON) 89
CASE 8 (HARY) 93
CASE 9 (IAN) 96
CASE 10 (JANICE) 99
CASE 1 (KELEY) 101
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
CASE 12 (LORI) 106
CASE 13 (MARY) 109
CASE 14 (NORMAN) 13
GROUP ANALYSIS 16
GROUP NARATIVE 124
CHAPTER FIVE: DISCUSSION, FINDINGS, EXPERIENCES, AND IMPLICATIONS 141
UNCERTAINTY AND NEGATIVE CAPABILITY: METATHEORETICAL EXPLORATION 141
PROBLEMATIC INTEGRATION THEORY (PIT) 142
UNCERTAINTY MANAGEMENT THEORY (UMT) 14
UNCERTAINTY REDUCTION THEORY (URT) 145
FINDINGS 146
EXPERIENCES AND CONTINUING RESEARCH 146
DEVIANT FINDING: OBSESIVE COMPULSIVE DISORDER AND NEGATIVE CAPABILITY 149
REDEFINING NEGATIVE CAPABILITY: POSTMODERN CONSIDERATION AND IMPLICATIONS 142
REFERENCES 155
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NEGATIVE CAPABILITY: A PHENOMENOLOGICAL STUDY
LIST OF APPENDICES
ENDNOTES 166
APENDIX A: DEMOGRAPHIC INFORMATION GATHERING FORM 167
APENDIX B: PRELIMINARY EMAIL INQUIRY 168
APENDIX C: PARTICIPANT RECRUITMENT LETER 170
APENDIX D: INFORMED CONSENT FORM 173
APENDIX E: TELEPHONE SCRIPT 175
APPENDIX F: INTERVIEW SCHEDULE 176
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