research paper on historical context

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History Matters: The Critical Contribution of Historical Analysis to Contemporary Health Policy and Health Care

Sally sheard.

University of Liverpool, Liverpool, UK

History is popular with health policymakers, if the regularity with which they invoke historical anecdotes to support policy change is used as an indicator. Yet the ways in which they ‘use’ history vary enormously, as does its impact. This paper explores, from the perspective of a UK academic historian, the development of ‘applied’ history in health policy. It draws on personal experience of different types and levels of engagement with policymakers, and highlights mechanisms through which this dialogue and partnership can be made more efficient, effective, and intellectually rewarding for all involved.

History is popular with health policymakers, if the regularity with which they invoke historical anecdotes to support policy change is used as an indicator. Yet the ways in which they ‘use’ history vary enormously, as does its impact. This paper explores, from the perspective of an academic historian, the development of ‘applied’ history in health policy. It demonstrates, through UK case studies, that historical analysis can improve policymaking and service delivery. By focusing on the actual process of policymaking and implementation, especially what happens when earlier policies have been forgotten or deliberately side-lined, historical analysis helps to open up wider opportunities. The paper highlights the similarities between history and improvement science: both disciplines are concerned with change over time, and have developed methodologies to cope with complexity. There is a case to be made for a greater use of historians in health policy and health care, but this requires policymakers and service providers to be aware of what they offer and where to find them, and to routinely engage with them at the start of new policy or service planning. It requires the development of shared objectives, language and planning schedules.

The paper first outlines how history has become a key component of popular culture, especially in the UK, and suggests that this has enabled UK some health policymakers to feel they can ‘do it themselves’ to the exclusion of professional historians. Second, it sets out some of the methodological issues and challenges around historical analysis, especially in the setting of periods of study, in comparison with improvement science. Third, it discusses how historians of healthcare in the UK have chosen their research topics, and crucially, the style of output, and how this has facilitated or hindered their engagement with policymakers and service providers. Fourth, it provides two case studies which demonstrate how history can be used at different scales: at the local level using an anniversary (of the first UK public health team in 1847) to provoke a city (Liverpool) to reflect on what has enabled population health to improve; at the national level (UK Department of Health) to demonstrate the impact of cuts in medical expertise in the civil service (1980s–1990s) on the ability of the government to respond to emerging infectious diseases (HIV/AIDS; BSE; MRSA).

Fifth, it outlines how UK historians are using new methodologies (witness seminars) and new modes of engagement and dissemination (the History and Policy organisation) to become more proactive in working with policymakers. Although history students are now often taught that their discipline is ‘useful’, or has practical significance, because ‘intelligent action’ invariably draws on past experience, some academic historians are unwilling to see historical ‘lessons’ applied to current ‘real-world’ situations. 1 They would suggest that the uniqueness of a historical event cannot translate perfectly to the present, and so has limited relevance. And, as the US historian Richard Hirsh puts it: ‘More practically, many historians realise that universities rarely provide rewards for work that has direct application outside the ivory tower’. 2 Yet in the UK historians have been developing external work for many years across policy, creative and other arenas, and indeed ‘impact’ is now a key indicator of success for research councils and for the Research Excellence Framework (REF) that helps determine state funding allocations for universities.

Challenges of Using History

There are multiple challenges for historians attempting to engage with non-academic audiences, perhaps the first (in terms of importance and sequence) is the issue of superfluity or irrelevance. I have already noted how historians themselves have been reluctant to let their work be used as crude analogy to contemporary circumstances, but equally, some policymakers do not naturally see history as ‘relevant’ to their work, unless provoked to do so. This is due to a number of factors. They will have an understanding of history based on their personal ‘history’—recollections of their school curricula (which in the UK invariably included the stock favourites of Tudors and Stuarts, and the Second World War)—and they will also draw on how they encounter history as entertainment. It has come to dominate TV scheduling in the UK, from mammoth series such as Kenneth Clarke’s Civilisation to the new generation of international ‘telly dons’ such as Mary Beard and Simon Schama. History as a genre regularly features in publication bestseller lists (often tied to TV series). This history as entertainment is passive: delivered to the audience, and requiring/allowing little interaction with the historians producing it. Even when historians are invited to deliver serious academic content, their raison d’etre can be misinterpreted. The well-known historian David Starkey gave a keynote speech at the 2006 NHS Confederation conference, but one of the organisers later commented that ‘to some extent, he was there as entertainment’. 3

The enthusiasm for mainstream history, as evidenced through its presence in the media and bestseller lists also occasionally surfaces within the policymaking community, where policymakers feel confident, perhaps because they have a history degree, that they can identify and apply historical analogies to current policy issues. Sometimes this is well-intentioned, but can also be seen as ‘history as pancea’. Aneurin Bevan, the Labour Minister of Health who oversaw the introduction of the NHS in 1948, has been regularly name-checked by his successors, usually to support politically contentious policy changes, such as hospital closures and service reorganisations. 4 The repetition of popular historical vignettes, such as the Black Death or the 1918 global influenza pandemic serves to retain and gain them cultural purchase. They also demonstrate preoccupations of their users that are ‘more gothic than historical’. 5

A second challenge—that of ‘time’—causes concerns for both historians and policymakers. Much of the history that is presented as ‘useful’ or ‘relevant’ by historians when consulted by policymakers (or history self-selected by policymakers themselves) can be labelled ‘contemporary history’. Every period has its own contemporary history, and historians differ on how to set our contemporary history’s parameters: whether it covers things within living memory, or as Francis Fukuyama suggests, can be dated from the nineteenth century advent of liberal democracy, in which technology and military competition acted as the twin engines of historical change, as opposed to Marxist theoretical mechanisms of class conflict, politics, and tensions between the individual and the state. 6 Geoffrey Barraclough provides yet another definition: ‘ Contemporary history begins when the problems which are actually in the world today first take visible shape’ (original italics). 7 Historians such as John Gaddis and Peter Catterall have championed contemporary history as a way to deepen the historian’s active engagement in the production of history—someone on the ‘inside’—in contrast to E H Carr’s view of the role of the historian as a general watching from the edge of the battlefield as ‘events’ march past him. 8

Irrespective of how historians conduct their intra-professional debates, for policymakers—especially those politically appointed—the main benefit of using contemporary history context is that it will be familiar to their intended audience: colleagues and/or the public. The supremacy of the recent recognises that ‘every age thinks itself to be the most important age that ever occurred’. 9

This is more than academic turf wars. It determines how history is ‘done’, both by historians and policymakers, as it delimits what is acceptable evidence, how the analytical frameworks handle it, and its potential for further application. Fernand Braudel (1902–1985), editor of Annales and one of the great French historians of the twentieth century, opened a significant debate with his 1958 essay History and the Social Sciences: the Longue Durée . 10 He highlighted the limitations of the historian’s conventional strategy of working with ‘unilinear’ time: in which historical development is presented as continuous on a single (and invariably short) time-scale. This approach, for Braudel, neglected the structures within which change occurred, and prioritised the very recent past. He proposed using an alternative ‘plurality of social time’ in which history operates on three simultaneous levels: the long term (la longue durée: fundamental conditions of life, including the environment); medium term (for social, economic and political systems); the short term (for analysing the individual and the l’histoire événementielle—the ‘event’).

In 1970 an academic symposium on ‘Time’ was convened by the Society for Values in Higher Education that brought together biologists, physicists, psychologists, philosophers and historians. As Dale Porter provocatively stated in his summary of the event, it was the historians who appeared to be least confident in working with the concept of time: ‘In short, historians are working without a viable theory of explanation. Their individual investigations cannot be related to each other in any systematic way, and they are largely irrelevant to studies in other disciplines’. However, their focus on narrative explanations, Dale suggested, were actually similar to the more analytical ‘explanatory models’ used by these other disciplines, and with a bit of effort could be re-purposed to effectively meet the challenges of complex temporal developments, working in a similar way to the ‘process’ philosophy that Alfred North Whitehead had developed earlier in the twentieth century in response to the breakdown in scientific positivism. 11

A third challenge for using history in policymaking centres on how historical explanation requires relative degrees of abstraction, generalisation and complexity. The main difficulty with narrative accounts is that they involve two kinds of understanding of events. The first is gained by following a sequence of incidents of a given duration, and any pattern abstracted from that narrative is therefore only meaningful by reference to what actually happened. The second kind of understanding—analytical—emerges from a natural tendency to use the pattern abstracted from the story as a heuristic device that prompts questions about the similarity or difference between one sequence of events and another. 12 These two modes of understanding—by following and by analysing—appeared to be antithetical, and Porter suggested that this duality within traditional historical narrative accounts was at the root of ‘a great deal of anxiety among historians and their critics in recent years’, whereas in other disciplines, especially in the social sciences, these two modes of understanding had been pursued separately. He proposed a conscious re-balancing in which the reciprocity between hypothesis and empirical evidence would validate the historians’ traditional prioritisation of the narrative form of understanding. 13

Thinking about history as change—of historical events as dynamic relationships between causes and effects that happen ‘over time’—raises a fourth challenge which relates more directly to the concept of ‘improvement’, which also has an inherent dynamism. Some weak history—generally that which is uncritical—is branded ‘Whiggish’: it assumes that the present is always better than the past; that there has been progressive, cumulative, ‘improvement’. 14 In health history/history of medicine, this is often an accurate (if superficial) observation, depending on what measurements are used: life expectancies have improved since the mid-nineteenth century (the upward trajectory only just flattening in the first decade of the twenty-first century). In the fifteenth century more than half the British population were aged under 20; in the early twenty-first century we are already seeing some countries where half the population are over 60. It is tempting to attribute these historical patterns to specific historical events: the introduction of anaesthesia, antisepsis, antibiotics, etc. But when crude national patterns are unpicked it is possible to see that improvement has been relative or unequal: lower mortality rates from the classic infectious diseases such as cholera and smallpox have been paralleled by rising mortality rates for chronic conditions such as diabetes and heart disease. Cancer is in essence a disease of modernity, becoming more visible to society as more human bodies now survive long enough into the new ‘middle ages of 50+’ to allow cell mutations. Underneath Whiggish national improvements in health is an enduring inequality that has been clearly linked to socio-economic factors for nearly two hundred years: Edwin Chadwick, Friedrich Engels and other early nineteenth century reformers were able to demonstrate a significant positive correlation between poverty and ill-health.

Yet ‘long’ health histories—those that begin with the early nineteenth century epidemic disease—are easier, perhaps lazier, and in some ways more politically acceptable, than more recent health history. Politicians are comfortable drawing on the triumph of scientific advances such as anaesthesia and the discovery of germ theory in their rhetoric as evidence of long-term ‘improvement’ in health. To shift to short term history, for the politician, and possibly their policymakers, is more risky. Even using the creation of the NHS in 1948 as a historical era marker raises the potential for political debate on its performance and sustainability. ‘Short’ historical analysis might also be more problematical for historians because it exposes their academic fiefdom to other academic disciplines, especially political scientists and sociologists. It returns us to the first challenge of relevance, and opens up the debate on how to make history useful to policymakers, which requires discussion of historians’ motive, language and agency.

The Emergence of History of Health and Medicine

The history of health and medicine did not emerge as a distinct sub-discipline before the twentieth century. Rankean historians consolidated their professional identity and status through studies of nation states, in which biographical information on the life (health) and death of key players was a by-product of the bigger narrative. 15 Studies of the health of populations by professional historians required source material. The introduction of the decadal census in the UK in 1801, and of vital civil registration (births, marriages and deaths) in England and Wales in 1837, enabled a more comprehensive analysis than was possible using the earlier religious archives. Histories of patients, as well as of the great men of medicine, were now possible. There is an irony to this: doctors have always ‘taken histories’ from their patients.

In the US there was an active community of health historians from the 1920s (united through the American Association for the History of Medicine which was formed in 1925, primarily by physicians with an amateur interest in the discipline). US pioneers in the early years, up to the 1960s, included Henry Sigerist, Erwin Ackerknecht and Owsei Temkin. A second generation responded to the concept of a ‘social construction’ of medical authority and the development of medicine as an industrial and commercial activity. Key scholars included Susan Reverby, Charles Rosenberg, Judith Levitt, David Rosner and Rosemary Stevens, to name some of the most prominent proponents. In European countries there were smaller communities of medical/health historians. In Germany it was primarily the province of medical professionals.

Yet a community of historians of health and medicine was not visible in the UK until the 1950s. 16 The watershed moment of creation of the full British welfare state in 1948 played a critical role in permitting more robust ‘before and after’ historical analysis. Indeed, many of the leading historians working in this area have focused on the achievements of 1948 within their work to support their personal political values. This is not the place in which to digress into a detailed history of the history of health and medicine, but it is useful to outline the leading UK scholars, and a broad split into sub-genres, as this impacts on the UK case studies provided in this paper.

Some, such as Roy Porter and W.F. [Bill] Bynum, focused on science and medicine in the period before the NHS. Others, such as Asa Briggs and Anthony Wohl would be more properly classified as social historians, but their classic books Victorian People and Endangered Lives: Public Health in Victorian Britain are defining works in the history of public health and early state medicine. 17 Some historians moved into this area having previously worked on related themes. Charles Webster’s early interests were in early modern science. He then widened his scope to consider medicine in the same period, but it was not until the 1980s that he shifted his focus to the twentieth century, and in particular the health of the working classes. 18 He was then invited to write the official history of the National Health Service, which appeared in two volumes in 1988 and 1996. 19

Webster is a ‘proper’ historian, in that he was trained and employed as an academic historian throughout his career. But it is interesting that some of the most influential UK health history books have been written by scholars for whom history was not their ‘day job’. Brian Abel-Smith, a health economist and professor of social administration, produced histories of the British nursing profession and hospitals which remain definitive texts. 20 These were important political and policy histories of aspects of health care: they were written in support of his socialist principles that a universal free health care system was an intrinsic component of social justice in a civilised society, and a basic human right. Abel-Smith actively used historical context and historical analysis in his work as one of the first special advisers to the British government. He worked closely with Richard Crossman, Barbara Castle and David Ennals, when they served as Secretaries of State for Health during the Labour governments of 1964–70 and 1974–79. 21 He routinely incorporated history into his briefing papers, and produced anniversary accounts of the NHS to help secure its position at times of increasing financial attacks from the Treasury. 22

Geoffrey Rivett also used his considerable insider knowledge of the NHS and the DHSS/DH as a former general practitioner and civil servant to write comprehensive histories of the British NHS. 23 Other health care (service) historians with different backgrounds who were writing in the first phase include Rudolf Klein who initially approached health care from a contemporary public policy perspective, and Nicholas Timmins, who was social policy editor for the Financial Times. 24 It has also attracted comparative historical analysis through the work of Dan Fox, a US health policy adviser. 25

‘Applied’ History and Historians in the UK

All of the British health care histories noted above, most of them produced in the 1980s and early 1990s, share common features: they are substantial books (most of them more than 300 pages) and their target audiences were primarily the academic community, although some sought wider policymaking and public audiences. Some, such as Abel-Smith, wished to use their work to consolidate and secure the history and future of the NHS; some of the anniversary histories have also been appropriated by politicians and used to legitimise their revisions to Health Minister Aneurin Bevan’s founding principles, while at the same time canonising him within political history (see for example Prime Minister Tony Blair’s foreword to Geoffrey Rivett’s history of the NHS on its 50th anniversary).

Yet it is labour-intensive to take these ‘gold standard’ comprehensive histories of British health care and to use them to support contemporary health policy making. Policymakers prefer short briefing papers and find synthesis of key analysis into bullet points helpful. It is difficult to take even standard academic papers, focusing on specific health care issues, to generate useful ‘policy-applicable’ history. Health care historians, responding to and building on the pioneers listed above, have increasingly chosen to focus on smaller, more manageable themes: hospitals, diseases, clinical innovations, staffing. There has been a trend since the 1990s to push back the period of study to before the creation of the NHS in 1948—to properly examine the ‘mixed economy’ of health care in the inter-war period, which had traditionally been written up as universally bleak. 26 Another trend has been to look specifically at the history of health care policy development, rather than its delivery and impact. 27

Alongside this trend for thematic health care histories, has been the emergence of overt ‘policy applied’ health historians. The case studies presented below draw on my personal experiences. Other historians who have increasingly adopted this mantle include Virginia Berridge, whose success is evidenced by her creation and leadership of the first Centre for History in Public Health, at the London School of Hygiene and Tropical Medicine in 2003. Berridge’s career has included significant advisory roles to policymakers working on AIDS, drugs and alcohol policy. 28 What policy-applied health historians have collectively experienced can be grouped as three key issues: the role of networking to gain access to policymakers; synchronicity with policymaking schedules; style of engagement. These are common issues in the expert/policymaking arena, as evidenced by policy theory literature. 29

Case Study 1: Public Health in 1847 and 1997

Liverpool experienced some of the worst epidemics of infectious diseases (cholera, typhus, typhoid) of the early nineteenth century. Its image as a dangerously unhealthy place finally persuaded the urban authority to take action. In 1846, a local Act of Parliament was passed which created the first British public health team, and three men were appointed to start work on 1 January 1847 to deliver a radical programme of sanitary reform (Dr William Henry Duncan as Medical Officer of Health, James Newlands as Borough Engineer, and Thomas Fresh as Inspector of Nuisances). Liverpool continued to develop and implement radical policy solutions through the nineteenth and twentieth centuries, including the first public housing schemes, clean air legislation and attempts at introducing a local ban on smoking in public places. In 1995, John Ashton, then Regional Director of Public Health for North West England, who had previously been a professor of public health at the University of Liverpool, and who had a keen amateur interest in history, commissioned a ‘year of public health’ for 1997 to mark the 150th anniversary of the start of professional public health in the UK.

Ashton supported the creation of a research post in the history of public health at the University of Liverpool, to which I was appointed (later converted into a lectureship). Together we discussed how Liverpool’s health history could be used to generate public debate on the changing determinants of health, especially income levels, unemployment, access to healthcare, and lifestyle factors such as smoking, exercise and diet. This deliberate public engagement policy was intended to be used as leverage with national policymakers on the negative impact of cutting benefits and health services, which had had a disproportionate effect in Liverpool since the election of a Conservative government (under Margaret Thatcher) in 1979. I used the history of local health and healthcare to develop an exhibition with the Museum of Liverpool Life and a programme of ‘celebratory events’, including artistic commissions and activities with local schools. The evaluation at the end of 1997 demonstrated that local awareness of the relative role of health determinants had improved. The city council and local NHS authorities were stimulated by understanding how major policy developments had been achieved by three pioneers in 1847, despite a lack of local funding, staffing or national support. They were encouraged to draw contemporary comparisons and to think more broadly and creatively about solutions to Liverpool’s chronic poor health.

The collaboration between myself and local health policymakers in Liverpool was reported to the UK Department of Public Health. As Liverpool’s pioneering 1846 Sanatory Act was also the foundation for the first national legislation: the 1848 Public Health Act, I was invited to brief the Chief Medical Officer (CMO), Sir Kenneth Calman, and to write a section for his annual report. Working with the US health historian Chris Hamlin, I also presented this history to a wider medical professional audience in an article in the British Medical Journal which drew comparisons between the 1848 Act and the plans to re-structure public health in 1998. 30

Case study 2: The Decline of the UK Medical Civil Service

Policymakers’ knowledge of where to go for health history is also highlighted through this second case study, which directly leads from the first. When I presented my analysis of the 1848 Public Health Act and its relevance to the 1998 Act at Calman’s final report launch I met the in-coming CMO, Sir Liam Donaldson. He wrote to me afterwards, expressing an interest in the history of the role of the CMO, and inviting me to write a joint research application, which was subsequently funded by the Nuffield Trust.

Between autumn 1998 and the publication of The Nation’s Doctor: the Role of the Chief Medical Officer 1855 – 1998 in 2006, Donaldson and I met regularly in his Department of Health office in Whitehall, London. We agreed a work plan in which I conducted the historical analysis and wrote the draft chapters, which he then commented on. As the research progressed we discussed emerging issues such as completeness of sources, strengths and weaknesses of oral history, balancing chronological progression with thematic analysis, and historiography: how previous historians had written about CMOs and their work. It emerged that most of the CMOs had faced similar recurrent problems, especially control of adequate staff; relations with the wider civil service and the medical profession; Whitehall culture; the right to speak independently of the government on health issues. These were also issues that Donaldson was then experiencing as the current CMO.

Over the course of 6 years I learnt a lot about how Whitehall works, from reading archive materials deposited by former CMOs, civil servants and politicians, and from discussions with Donaldson about how to achieve policy change, especially on contentious issues such as banning smoking in public places. This was one of his key objectives as CMO, but one which the UK government found tricky as it risked accusations of ‘nanny state-ism’. I researched how previous CMOs had handled the initial discovery of the association between smoking and lung cancer in the 1950s, and then worked towards effective policies to reduce smoking. I demonstrated, through analysis of the archives of the Ministry of Health and the Treasury, that the Conservative governments of Churchill, Eden and Macmillan were reluctant to run effective health education campaigns partly because the relatively new NHS was heavily reliant on revenue from tobacco tax. Sir John Charles, the CMO in post when the association was established, was persuaded not to be too pro-active on this issue. He was allowed to stay in post beyond the usual civil service retirement age because he was ‘amenable’ to pressure from the Treasury, who anticipated that his nominated successor, Sir George Godber, would not be so malleable. Godber did indeed take a much tougher line, and got around the issue of Whitehall policy intransigence by taking it outside government to his medical colleagues in the Royal College of Physicians. He persuaded them to run a hard-hitting, plain English campaign in 1962, which had significant impact in reducing the high levels of smoking in the UK. 31

The policy lessons from the 1950s history of smoking and lung cancer were indirect but helpful. They illuminated the importance of involving external expertise, and of ensuring senior medical civil servants were not intentionally side-lined by other government departments when financial concerns competed with scientific evidence. These were common ‘history lessons’ that emerged from other research for The Nation’s Doctor . One of the case studies that had significant ‘impact’ was on the history of the CMO’s access to medical expertise. From Sir John Simon in 1855 onwards, the CMO had direct line management of medical civil servants, and was able to direct them to conduct rapid investigations into emerging health crises, such as the outbreak of epidemics. This regularly caused friction with the rest of the civil service, especially the Permanent Secretaries in the Ministry/Department of Health, some of whom resented the CMO being able to directly access the Minister without their approval. Sir Arthur Newsholme (CMO between 1908 and 1919) later recorded his frustration that there was:

…an honest belief, common to many government departments, that technical advice is advice not to be given until called for by the secretariat [lay civil service] who, it is assumed, are entirely competent to decide whether such advice is needed. Second, when such advice is on record, it is assumed that it can be safely reapplied in what are regarded by the secretariat as analogous circumstances. 32

Many of the fourteen men who held the CMO role between 1855 and 1998 found ways to manage this issue, but the last two, Sir Donald Acheson (1984–91) and Sir Kenneth Calman (1991–98) came up against a more substantial obstacle: the successive Whitehall efficiency reviews that from 1979 onwards aimed at shrinking the civil service. These culminated in 1994 in the merger of the previously parallel medical and ‘lay’ civil service reporting hierarchies in the Department of Health, effectively reducing the CMO’s capacity to call upon the support of medical civil servants, at a time of several significant new health threats, including HIV/AIDS, BSE and MRSA. At the peak of the medical civil service in the early 1970s, the CMO had direct line management of over 170 medically qualified civil servants, who provided expertise on the development and implementation of new medical treatments as well as on broader health protection and promotion issues. By the time Calman gave evidence to the BSE enquiry in 1998, he was left with, in his own words, ‘a secretary and a mobile phone’. 33 I demonstrated, through analysis of archive papers (made available to the Phillips Enquiry on BSE, which would have been otherwise closed under the government’s 30 years rule), and through a series of oral history interviews with senior civil servants, medical professionals and politicians, that there had been a longer decline in medical manpower in Whitehall, and that this had restricted the effectiveness of responses to emerging health crises.

I used the historical evidence I collected on the issue of the shrinking of medical civil service in several ways. First, it formed sections of The Nation’s Doctor , co-written with Sir Liam Donaldson. Second, I was approached in 2008 by a medically qualified member of the House of Lords, who had read The Nation’s Doctor and wished to use the recent history of the decline of the medical civil service to push the government to invest in staffing and return some of the traditional mechanisms for soliciting external expertise, which had been damaged in the successive Whitehall culls. I re-drafted the analysis for a policy paper published on the website History and Policy . 34 This generated coverage in the Guardian newspaper, and a letter from Lord Ara Darzi, then Parliamentary Under-Secretary of State for Health (2007–09). I later learnt from senior civil servants in the Department of Health that the issues I had raised had generated internal debate and an investigation into how to improve institutional memory. Third, I published a longer version of the paper in the academic journal Social Policy and Administration , in a more conventional academic format. 35

Synchronicity and Styles of Engagement

These personal case studies illuminate the core issues of engagement: the role of networking to gain access to policymakers; synchronicity with policymaking schedules; style of engagement. I have discussed the need to be flexible (accommodating to policymakers’ schedules for meetings, deadlines and focus of outputs). It is worth saying more about the issues of synchronicity and styles of engagement. From my other experiences of working with policymakers I have come to appreciate the need to respond quickly: policymakers work on much shorter timescales, often looking for analysis results within weeks or months. Historians, especially those engaged on large projects, will be more comfortable with planning their research over years rather than months. The conventional format of outputs as monographs (prioritised by the periodic Research Excellence Framework [REF]), and academic journal articles take months or years to write and then work their way through rigorous peer review systems, which then need to be fitted into publishing schedules.

History and Policy, a UK web-based academic organisation, was founded in 2002 partly in response to this ‘constipated’ academic output culture. 36 It now has a membership of over 500 historians, who are encouraged to work up their research into short Policy Papers and Opinion Pieces. These go through quick peer review for rapid web-based publication. The papers are carefully targeted at policymakers and journalists by the organisation’s press officers. Where possible, publications are scheduled to coincide with anticipated government policy statements. The policy papers begin with executive summaries, in the style of policy briefing papers. They contain essential historical context, and provide suggested further sources. History and Policy has developed from its early focus on presenting academic history in a new format, to deliver bespoke services to government departments (seminar series and workshops). It engages directly with policymakers; responds quickly to invitations to collaborate, for example, providing historical content for the No. 10 Downing Street [Office of the Prime Minister] website; and supports historians in preparing written submissions to parliamentary enquiries. 37

Other new styles of engagement between historians and policymakers have been developed within the last couple of decades. Witness seminars provide opportunities for people who were involved in significant policy decisions to come together and reflect on the process and outcomes. The Wellcome Trust has been one of the most active pioneers of this format, convening more than 50 witness seminars on a wide range of health policy issues, from development of hip replacements to epigenetics. 38 Early career historians are offered training in public and policy engagement (History and Policy regularly run workshops, funded by the main research councils), and some are able to take up placements in government departments.

The issue of location of historians is also critical. While most historians are based within traditional university history departments, there is a strong case to be made for ‘embedding’ historians within other academic departments and in external policymaking environments. This provides more opportunities for serendipitous encounters, and encourages policymakers to seek advice. For historians, the benefit of having other homes is that they are there at the moments when policy shifts become apparent, and can respond efficiently. They can develop the necessary language of the policymaking organisation and knowledge of how policy ‘gets done’: the complexities of local and national government committees and reviews, the importance of knowing key staff. These issues are of course not specific to historians, but relevant to all expert policy advisers, and are analysed in Richard Freeman and Steve Sturdy’s excellent edited book, Knowledge in Policy: Embodied, inscribed, enacted . 39

Despite the considerable progress made by historians in engaging with health policymakers in the UK, it is important to be realistic on the authority of historical knowledge in the policy arena. It competes with analyses of the current situation, and predictions of possible future scenarios. The mode of engagement—usually crisis-driven if initiated from the policy community—de-limits a ‘context-only’ or ‘passive–reactive’ response from the historian. Yet history used to be the default policy science. 40 Although historians are still often asked for ‘facts’ rather than analysis, they are getting better at initiating a more useful mode of engagement. 41 Good examples come from the recent health and social care scandals of Mid-Staffordshire Hospital and those triggered by the exposure of Jimmy Savile’s abuse of vulnerable children and adults. Historians from the History and Policy organisation were invited to give evidence to the Savile public inquiry, and several opinion pieces were written that addressed the ‘never again’ issue behind these scandals. 42 However, we rarely reach a critical tipping point that permits policy change on the primary basis of historical evidence. 43 Historical analysis has not yet become an integral and initial part of policy planning process.

Robust and routine historical analysis of new policy issues can add real value. 44 It permits discussion of some of the bigger, or neglected questions in health and health care, such as choice of funding mechanisms, expectations and responsibilities (by both the public and the state). It can illuminate more fundamental issues, such as health as a human right, and demonstrate the implications of politicising access to health care, that may have evolved over centuries, rather than the years which usually delimit the frame of reference for policymakers. Historical analysis can explain the persistence of institutional structures (the NHS) and cultural attitudes (the British public’s love for the NHS) and expose how policymakers use history to reinforce or disrupt the status quo. Its preference for subjective, intuitive analysis (of texts, oral history) can cope with the finer nuances involved in policymaking: the ‘what if’ and ‘so what’ quandaries. It enables a better understanding of the policy development process, and through specific case studies show what happens when potential policies get forgotten or deliberately side-lined. 45 Historians are skilled at handling complexity: there are significant similarities between what historians, improvement scientists and policymakers do. What needs to be further developed are the shared objectives and language to enable a more rewarding collaboration.

1 J. Tosh and S. Lang, The Pursuit of History: Aims, Methods and New Directions in the Study of Modern History (New York 4th edition, Longman Pearson, 2006), p. 1–2.

2 R. Hirsh, ‘Historians of Technology in the Real World: Reflections on the Pursuit of Policy-Oriented History’, Technology and Culture 52; 1 (2011); 6–20.

3 V. Berridge, ‘History Matters? History’s role in health policymaking’, Medical History 52 (2008); 311–326.

4 See for example how the historian Charles Webster took the Labour government to task in 2002 for rewriting NHS history to suit its current reform plans: C. Webster, ‘The Parable of the Incompetent Steward’, British Journal of Health Care Management 8; 3 (2002); 113–14.

5 A. Bashford and C. Strange, ‘Thinking historically about public health’, Medical Humanities 33 (2007): 87–92. ‘Gothic’ is used here to mean a preoccupation with events that are portentously gloomy or horrifying.

6 F. Fukuyama, The End of History and the Last Man (Harmondsworth, Penguin, 1992); P. Catterall, ‘What (if anything) is Distinctive about Contemporary History?’, Journal of Contemporary History 32; 4 (1997); 451.

7 G. Barraclough, An Introduction to Contemporary History (Harmondsworth, Penguin, 1967), p. 20.

8 J.L. Gaddis , On contemporary history. An inaugural lecture delivered before the University of Oxford 18 May 1993 (Oxford, Clarendon Press, 1995); P. Catterall, ‘What (if anything) is Distinctive about Contemporary History?’, Journal of Contemporary History 32; 4 (1997); 444–52.

9 J.L. Gaddis , On contemporary history. An inaugural lecture delivered before the University of Oxford 18 May 1993 (Oxford, Clarendon Press, 1995), p. 21.

10 F. Braudel, ‘History and the Social Sciences: la longue durée’ , 1958, reprinted in F. Braudel, On History (trans. Sarah Matthews) (Chicago, University of Chicago Press, 1980). See also J. Tosh (with S Lang), The Pursuit of History (Harlow, Pearson Education Ltd, 1984).

11 D. Porter, The Emergence of the Past. A Theory of Historical Explanation (Chicago, University of Chicago Press, 1981), p. ix.

12 Porter, Emergence of the Past , pp. 29–31.

13 Porter, Emergence of the Past , p. 2.

14 The term comes from the Whigs—a British political party active from the seventeenth to the nineteenth century.

15 The German historian Leopold von Ranke (1795–1886) was influential in setting standards for historical methodologies, especially the use of primary sources and an emphasis on narrative history and international politics.

16 As one reviewer pointed out, this was also the period when medical ethics, bioethics and medical law emerged as distinct disciplines. See D. Wilson, ‘What can History Do for Bioethics?’, Bioethics 27;4 (2013); 215–223; J. Harrington, Towards a Rhetoric of Medical Law (London, Routledge, 2016).

17 A. Briggs, Victorian People (1983); A.S. Wohl, Endangered Lives: Public Health in Victorian Britain (London, Dent, 1983).

18 C. Webster, The Great Instauration: Science, Medicine and Reform 1626–1660 (New York, Holmes & Meier, 1975); C. Webster, Health, Medicine and Mortality in the Sixteenth Century (Cambridge, Cambridge University Press, 1979); C. Webster, Biology. Medicine and Society 1840-1940 (Cambridge, Cambridge University Press, 1981); C. Webster, ‘, ‘Healthy or Hungry Thirties?’, History Workshop Journal , 13, 1 (1982); 110–29.

19 C. Webster, Problems of Health Care: the National Health Service Before 1957 (London, HMSO, 1988); C. Webster, Government and Health Care: the National Health Service 1958–1979 (London, The Stationery Office, 1996).

20 B. Abel-Smith, A History of the Nursing Profession (London, Heinemann, 1960); B. Abel-Smith, The Hospitals 1800-1948 (London, Heinemann, 1964).

21 S. Sheard, The Passionate Economist. How Brian Abel-Smith shaped global health and social welfare (Bristol, Policy Press, 2013).

22 A. Abel-Smith, The National Health Service: the First Thirty Years (London, HMSO, 1978).

23 G. Rivett, The Development of London’s Hospital Systems (1986); G. Rivett, From Cradle to Grave: 50   Years of the NHS (London, King’s Fund, 1998).

24 R. Klein, The Politics of the National Health Service (London, Longmans, 1983); N. Timmins, The Five Giants: A Biography of the Welfare State (London, Fontana, 1996).

25 D. Fox, Health Policies, Health Politics: the British and American Experience, 1911–1965 (Princeton N.J., Princeton University Press, 1986).

26 S. Szreter, ‘Health, Class, Place and Politics; social capital and collective provision in Britain’, Contemporary British History 3(2002); 27–57; J. Stewart, ‘Ideology and Process in the Creation of the British National Health Service’, Journal of Policy History 14 No. 2 (2002); 114–134; M. Gorsky and S. Sheard (eds), Financing Medicine: The British Experience since 1750 (Routledge, 2006); A. Levene, M. Powell, J. Stewart and B. Taylor, Cradle to Grave: Municipal medicine in Inter-war England and Wales (Peter Lang, 2011); M. Gorsky, ‘Local Government Health Services in Interwar England: Problems of Quantification and Interpretation’, Bulletin of the History of Medicine 2011 (85), 384–412; M Gorsky, ‘The British NHS 1948–2008: A review of the historiography’, Social History of Medicine 21 (2008), 437–60.

27 V. Berridge (ed.), Making Health Policy: Networks in Research and Policy after 1945 (Amsterdam, Rodopi, 2005).

28 Berridge, ‘History Matters?’ (2008); V. Berridge and J. Stewart, History: a social science neglected by other social sciences (and why it should not be), Contemporary Social Science 7; 1 (2012); 39–54.

29 E. Perdiguero, J Bernabeu, R. Hertas and E. Rodriguez-Ocana, ‘History of health, a valuable tool in public health’, J. Epidemiology and Community Health 55 (2001); 667–673; S. Sheard, ‘History in health and health services: exploring the possibilities’, J. Epidemiology and Community Health 62 (2008); 740–744; R. Freeman and S. Sturdy (eds), Knowledge in Policy: Embodied, inscribed, enacted (Bristol, Policy Press, 2015).

30 C. Hamlin and S. Sheard, ‘Revolutions in public health: 1848, and 1998?’, British Medical Journal 317 (1998); 587–91.

31 Royal College of Physicians of London, Smoking and Health: report of the Royal College of Physicians of London on smoking in relation to cancer of the lung and other diseases (London, Pitman, 1962).

32 A. Newsholme, The Last 30   Years in Public Health (London, George Allen and Unwin, 1936), p. 62.

33 British Medical Journal editorial, ‘Staff cuts would leave the CMO stranded’ , British Medical Journal 317 (1998); 232.

34 S. Sheard, ‘Doctors in Whitehall: how the government manages medical advice at the 60 th anniversary of the NHS, www.historyandpolicy.org.uk (last accessed 27.12.16).

35 S. Sheard, ‘Quacks and Clerks: Historical and Contemporary Perspectives on the Structure and Function of the British Medical Civil Service’ , Social Policy and Administration 44;2 (2010), 193–207.

36 http://www.historyandpolicy.org/ . Last accessed 2.2.17.

37 M. Gorsky, Memorandum submitted to the Health Select Committee Inquiry into Public and Patient Involvement in the NHS. http://www.historyandpolicy.org/hp/docs/gorsky_memo.pdf/ . Last accessed 2.2.17.

38 https://blog.wellcome.ac.uk/2014/09/24/21-years-wellcome-witness/ . Last accessed 2.2.17.

39 Freeman and Sturdy, Knowledge in Policy .

40 V. Berridge and J. Stewart, ‘History: a social science neglected by other social sciences (and why it should not be)’, Contemporary Social Science 7; 1 (2012); 39–54; E. Fee and D. Fox, ‘Introduction: AIDS, public policy and historical enquiry’, in E. Fee and D. Fox (eds ), AIDS and the burdens of history (Berkeley, CA, University of California Press, 1988), 1–11.

41 V. Berridge, Public or Policy Understanding of History? Social History of Medicine 16; 3 (2003); 511–523.

42 See also the US historian Allan Brandt’s contributions as an expert witness in a landmark 2006 court case involving tobacco companies, in which he explained how they manipulated the scientific debate over the risks of smoking in the 1950s. A.M. Brandt, ‘From analysis to advocacy: crossing boundaries as a historian of health policy’, in F. Huisman and J.H. Warner (eds), Locating Medical History (Baltimore, Johns Hopkins University Press, 2004). A. Brandt, The Cigarette Century: The Rise, Fall and Deadly Persistence of the Product that Defined America (New York, Basic Books, 2009).

43 C. Hilton, ‘Whistle-blowing in the National Health Service since the 1960s’, History and Policy paper published 26.8.16. http://www.historyandpolicy.org/policy-papers/papers/whistle-blowing-in-the-national-health-service-since-the-1960s . Last accessed 2.2.17; S. Sheard, Can we never learn? Abuse, complaints and inquiries in the NHS’, History and Policy paper published 26.2.15. http://www.historyandpolicy.org/opinion-articles/articles/why-we-never-learn-abuse-complaints-and-inquiries-in-the-nhs . Last accessed 2.2.17; A. Bingham, L.Delap, L. Jackson and L. Settle, ‘” These outrages are going on more than people know”’, History and Policy paper published 26.2.15. http://www.historyandpolicy.org/opinion-articles/articles/these-outrages-are-going-on-more-than-people-know . Last accessed 2.2.17.

44 For a US perspective see J. Zelizer, Clio’s Lost Tribe: Public Policy History since 1978’, Journal of Policy History 12 (2000); 369–94.

45 R.E. Neustadt and E.R. May, Thinking in Time: the Uses of History for Decision Makers (New York, Free Press, 1986).

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"Historical Context" in Historical Context: Surface, Depth, and the Making of the Text

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There is no interpretation without contextualisation. Few scholars would question this statement, not least because including information provided by the context (broadly construed) is pervasive in interpretations across theories as divergent as New Criticism and New Historicism. Whereas there can be no doubt as to the importance of ›context‹, some rather crucial issues concerning text and context have prompted disagreement, if they have been addressed at all. The term ›context‹ itself requires clarification since it is often used rather differently and with a meaning that remains vague. It is a matter of debate which contexts are relevant to interpretation. Various models of how text and context interact have been suggested in different theories of literature. Taken together, issues such as these constitute a fundamental problem of literary theory today.

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Princeton Correspondents on Undergraduate Research

How to Write a History Research Paper

In my last post, I shared some tips on how to conduct research in history and emphasized that researchers should keep in mind a source’s category (transcript, court document, speech, etc.). This post is something of a sequel to that, as I will share some thoughts on what often follows primary-source research: a history research paper. 

1. Background Reading   The first step to a history research paper is of course, background reading and research. In the context of a class assignment, “background reading” might simply be course readings or lectures, but for independent work, this step will likely involve some quality time on your own in the library. During the background reading phase of your project, keep an eye out for intriguing angles to approach your topic from and any trends that you see across sources (both primary and secondary).

2. T hemes and Context Recounting the simple facts about your topic alone will not make for a successful research paper. One must grasp both the details of events as well as the larger, thematic context of the time period in which they occurred. What’s the scholarly consensus about these themes? Does that consensus seem right to you, after having done primary and secondary research of your own?

3. Develop an Argument  Grappling with answers to the above questions will get you thinking about your emerging argument. For shorter papers, you might identify a gap in the scholarship or come up with an argumentative response to a class prompt rather quickly. Remember: as an undergraduate, you don’t have to come up with (to borrow Philosophy Professor Gideon Rosen’s phrase) ‘a blindingly original theory of everything.’ In other words, finding a nuanced thesis does not mean you have to disprove some famous scholar’s work in its entirety. But, if you’re having trouble defining your thesis, I encourage you not to worry; talk to your professor, preceptor, or, if appropriate, a friend. These people can listen to your ideas, and the simple act of talking about your paper can often go a long way in helping you realize what you want to write about.

4. Outline Your Argument  With a history paper specifically, one is often writing about a sequence of events and trying to tell a story about what happened. Roughly speaking, your thesis is your interpretation of these events, or your take on some aspect of them (i.e. the role of women in New Deal programs). Before opening up Word, I suggest writing down the stages of your argument. Then, outline or organize your notes to know what evidence you’ll use in each of these various stages. If you think your evidence is solid, then you’re probably ready to start writing—and you now have a solid roadmap to work from! But, if this step is proving difficult, you might want to gather more evidence or go back to the thesis drawing board and look for a better angle. I often find myself somewhere between these two extremes (being 100% ready to write or staring at a sparse outline), but that’s also helpful, because it gives me a better idea of where my argument needs strengthening.

5. Prepare Yourself   Once you have some sort of direction for the paper (i.e. a working thesis), you’re getting close to the fun part—the writing itself. Gather your laptop, your research materials/notes, and some snacks, and get ready to settle in to write your paper, following your argument outline. As mentioned in the photo caption, I suggest utilizing large library tables to spread out your notes. This way, you don’t have to constantly flip through binders, notebooks, and printed drafts.

In addition to this step by step approach, I’ll leave you with a few last general tips for approaching a history research paper. Overall, set reasonable goals for your project, and remember that a seemingly daunting task can be broken down into the above constituent phases. And, if nothing else, know that you’ll end up with a nice Word document full of aesthetically pleasing footnotes!

— Shanon FitzGerald, Social Sciences Correspondent

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The Importance of Historic Context in Analysis and Interpretation

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• M.Ed., Education Administration, University of Georgia
• B.A., History, Armstrong State University

Historical context is an important part of life and literature, and without it, memories, stories, and characters have less meaning. Historical context deals with the details that surround an occurrence. In more technical terms, historical context refers to the social, religious, economic, and political conditions that existed during a certain time and place. Basically, it's all the details of the time and place in which a situation occurs, and those details are what enable us to interpret and analyze works or events of the past, or even the future, rather than merely judge them by contemporary standards.

In literature, a strong understanding of the historical context behind a work's creation can give us a better understanding of and appreciation for the narrative . In analyzing historical events, context can help us understand what motivates people to behave as they did.

Put another way, context is what gives meaning to the details. It's important, however, that you don't confuse context with cause. Cause is the action that creates an outcome; context is the environment in which that action and outcome occur.

Words and Deeds

Whether dealing with fact or fiction, historical context is important when interpreting behavior and speech. Consider the following sentence which, devoid of context, sounds innocent enough:

"Sally hid her hands behind her back and crossed her fingers before she answered."

But imagine that this statement comes from a transcript of court documents in Salem, Massachusetts, in 1692 during the famed Salem Witch Trials . Religious fervor was at an extreme, and villagers were nearly obsessed with the devil and witchcraft. At that time, if a young woman were to tell a lie, it was fodder for hysteria and a violent reaction. A reader would assume that poor Sally was a candidate for the gallows.

Now, imagine you're reading a letter from a mother that contains this sentence:

"My daughter will be heading to California shortly after she marries."

How much information does this statement give us? Not much, until we consider when it was written. Should we discover that the letter was written in 1849, we will realize that one sentence can sometimes say a lot. A young woman heading for California in 1849 might be following her husband on a treacherous treasure-seeking expedition for the gold rush. This mother would probably be quite fearful for her child, and she would know that it would be a very long time before she'd see her daughter again, if ever.

Historical Context in Literature

No work of literature can be fully appreciated or understood without historical context. What may seem nonsensical or even offensive to contemporary sensibilities, might actually be interpreted in a completely different manner by considering the era it is from.

A good example is Mark Twain's " Adventures of Huckleberry Finn ," published in 1885. It is considered an enduring work of American literature and a biting social satire. But it is also criticized by modern critics for its casual use of a racial epithet to describe Huck's friend Jim, a freedom-seeking enslaved person. Such language is shocking and offensive to many readers today, but in the context of the day, it was​ the commonplace language for many.

Back in the mid-1880s, when attitudes toward newly liberated enslaved African Americans were often indifferent at best and hostile at worst, the casual use of such racial epithets wouldn't have been considered unusual. In fact, what is actually more surprising, given the historical context of when the novel was written, is Huck's treating Jim not as his inferior but as his equal—something rarely portrayed in the literature of the time.

Similarly, Mary Shelley's " Frankenstein"  cannot be fully appreciated by a reader who is unaware of the Romantic movement that took place in art and literature in the early 19th century. It was a time of rapid social and political upheaval in Europe when lives were transformed by the technological disruptions of the Industrial Age.

The Romantics captured the public's sense of isolation and fear that many experienced as a result of these social changes. "Frankenstein" becomes more than a good monster story, it becomes an allegory for how technology can destroy us.

Other Uses of Historical Context

Scholars and educators rely on historical context to analyze and interpret works of art, literature, music, dance, and poetry. Architects and builders rely on it when designing new structures and restoring existing buildings. Judges may use it to interpret the law, historians to understand the past. Any time critical analysis is required, you may need to consider historical context as well.

Without historical context, we are only seeing a piece of the scene and not fully understanding the influence of the time and place in which a situation occurred.

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A Step-by-Step Guide to Doing Historical Research [without getting hysterical!] In addition to being a scholarly investigation, research is a social activity intended to create new knowledge. Historical research is your informed response to the questions that you ask while examining the record of human experience. These questions may concern such elements as looking at an event or topic, examining events that lead to the event in question, social influences, key players, and other contextual information. This step-by-step guide progresses from an introduction to historical resources to information about how to identify a topic, craft a thesis and develop a research paper. Table of contents: The Range and Richness of Historical Sources Secondary Sources Primary Sources Historical Analysis What is it? Who, When, Where, What and Why: The Five "W"s Topic, Thesis, Sources Definition of Terms Choose a Topic Craft a Thesis Evaluate Thesis and Sources A Variety of Information Sources Take Efficient Notes Note Cards Thinking, Organizing, Researching Parenthetical Documentation Prepare a Works Cited Page Drafting, Revising, Rewriting, Rethinking For Further Reading: Works Cited Additional Links So you want to study history?! Tons of help and links Slatta Home Page Use the Writing and other links on the lefhand menu I. The Range and Richness of Historical Sources Back to Top Every period leaves traces, what historians call "sources" or evidence. Some are more credible or carry more weight than others; judging the differences is a vital skill developed by good historians. Sources vary in perspective, so knowing who created the information you are examining is vital. Anonymous doesn't make for a very compelling source. For example, an FBI report on the antiwar movement, prepared for U.S. President Richard Nixon, probably contained secrets that at the time were thought to have affected national security. It would not be usual, however, for a journalist's article about a campus riot, featured in a local newspaper, to leak top secret information. Which source would you read? It depends on your research topic. If you're studying how government officials portrayed student activists, you'll want to read the FBI report and many more documents from other government agencies such as the CIA and the National Security Council. If you're investigating contemporary opinion of pro-war and anti-war activists, local newspaper accounts provide a rich resource. You'd want to read a variety of newspapers to ensure you're covering a wide range of opinions (rural/urban, left/right, North/South, Soldier/Draft-dodger, etc). Historians classify sources into two major categories: primary and secondary sources. Secondary Sources Back to Top Definition: Secondary sources are created by someone who was either not present when the event occurred or removed from it in time. We use secondary sources for overview information, to familiarize ourselves with a topic, and compare that topic with other events in history. In refining a research topic, we often begin with secondary sources. This helps us identify gaps or conflicts in the existing scholarly literature that might prove promsing topics. Types: History books, encyclopedias, historical dictionaries, and academic (scholarly) articles are secondary sources. To help you determine the status of a given secondary source, see How to identify and nagivate scholarly literature . Examples: Historian Marilyn Young's (NYU) book about the Vietnam War is a secondary source. She did not participate in the war. Her study is not based on her personal experience but on the evidence she culled from a variety of sources she found in the United States and Vietnam. Primary Sources Back to Top Definition: Primary sources emanate from individuals or groups who participated in or witnessed an event and recorded that event during or immediately after the event. They include speeches, memoirs, diaries, letters, telegrams, emails, proclamations, government documents, and much more. Examples: A student activist during the war writing about protest activities has created a memoir. This would be a primary source because the information is based on her own involvement in the events she describes. Similarly, an antiwar speech is a primary source. So is the arrest record of student protesters. A newspaper editorial or article, reporting on a student demonstration is also a primary source. II. Historical Analysis What is it? Back to Top No matter what you read, whether it's a primary source or a secondary source, you want to know who authored the source (a trusted scholar? A controversial historian? A propagandist? A famous person? An ordinary individual?). "Author" refers to anyone who created information in any medium (film, sound, or text). You also need to know when it was written and the kind of audience the author intend to reach. You should also consider what you bring to the evidence that you examine. Are you inductively following a path of evidence, developing your interpretation based on the sources? Do you have an ax to grind? Did you begin your research deductively, with your mind made up before even seeing the evidence. Historians need to avoid the latter and emulate the former. To read more about the distinction, examine the difference between Intellectual Inquirers and Partisan Ideologues . In the study of history, perspective is everything. A letter written by a twenty- year old Vietnam War protestor will differ greatly from a letter written by a scholar of protest movements. Although the sentiment might be the same, the perspective and influences of these two authors will be worlds apart. Practicing the " 5 Ws " will avoid the confusion of the authority trap. Who, When, Where, What and Why: The Five "W"s Back to Top Historians accumulate evidence (information, including facts, stories, interpretations, opinions, statements, reports, etc.) from a variety of sources (primary and secondary). They must also verify that certain key pieces of information are corroborated by a number of people and sources ("the predonderance of evidence"). The historian poses the " 5 Ws " to every piece of information he examines: Who is the historical actor? When did the event take place? Where did it occur? What did it entail and why did it happen the way it did? The " 5 Ws " can also be used to evaluate a primary source. Who authored the work? When was it created? Where was it created, published, and disseminated? Why was it written (the intended audience), and what is the document about (what points is the author making)? If you know the answers to these five questions, you can analyze any document, and any primary source. The historian doesn't look for the truth, since this presumes there is only one true story. The historian tries to understand a number of competing viewpoints to form his or her own interpretation-- what constitutes the best explanation of what happened and why. By using as wide a range of primary source documents and secondary sources as possible, you will add depth and richness to your historical analysis. The more exposure you, the researcher, have to a number of different sources and differing view points, the more you have a balanced and complete view about a topic in history. This view will spark more questions and ultimately lead you into the quest to unravel more clues about your topic. You are ready to start assembling information for your research paper. III. Topic, Thesis, Sources Definition of Terms Back to Top Because your purpose is to create new knowledge while recognizing those scholars whose existing work has helped you in this pursuit, you are honor bound never to commit the following academic sins: Plagiarism: Literally "kidnapping," involving the use of someone else's words as if they were your own (Gibaldi 6). To avoid plagiarism you must document direct quotations, paraphrases, and original ideas not your own. Recycling: Rehashing material you already know thoroughly or, without your professor's permission, submitting a paper that you have completed for another course. Premature cognitive commitment: Academic jargon for deciding on a thesis too soon and then seeking information to serve that thesis rather than embarking on a genuine search for new knowledge. Choose a Topic Back to Top "Do not hunt for subjects, let them choose you, not you them." --Samuel Butler Choosing a topic is the first step in the pursuit of a thesis. Below is a logical progression from topic to thesis: Close reading of the primary text, aided by secondary sources Growing awareness of interesting qualities within the primary text Choosing a topic for research Asking productive questions that help explore and evaluate a topic Creating a research hypothesis Revising and refining a hypothesis to form a working thesis First, and most important, identify what qualities in the primary or secondary source pique your imagination and curiosity and send you on a search for answers. Bloom's taxonomy of cognitive levels provides a description of productive questions asked by critical thinkers. While the lower levels (knowledge, comprehension) are necessary to a good history essay, aspire to the upper three levels (analysis, synthesis, evaluation). Skimming reference works such as encyclopedias, books, critical essays and periodical articles can help you choose a topic that evolves into a hypothesis, which in turn may lead to a thesis. One approach to skimming involves reading the first paragraph of a secondary source to locate and evaluate the author's thesis. Then for a general idea of the work's organization and major ideas read the first and last sentence of each paragraph. Read the conclusion carefully, as it usually presents a summary (Barnet and Bedau 19). Craft a Thesis Back to Top Very often a chosen topic is too broad for focused research. You must revise it until you have a working hypothesis, that is, a statement of an idea or an approach with respect to the source that could form the basis for your thesis. Remember to not commit too soon to any one hypothesis. Use it as a divining rod or a first step that will take you to new information that may inspire you to revise your hypothesis. Be flexible. Give yourself time to explore possibilities. The hypothesis you create will mature and shift as you write and rewrite your paper. New questions will send you back to old and on to new material. Remember, this is the nature of research--it is more a spiraling or iterative activity than a linear one. Test your working hypothesis to be sure it is: broad enough to promise a variety of resources. narrow enough for you to research in depth. original enough to interest you and your readers. worthwhile enough to offer information and insights of substance "do-able"--sources are available to complete the research. Now it is time to craft your thesis, your revised and refined hypothesis. A thesis is a declarative sentence that: focuses on one well-defined idea makes an arguable assertion; it is capable of being supported prepares your readers for the body of your paper and foreshadows the conclusion. Evaluate Thesis and Sources Back to Top Like your hypothesis, your thesis is not carved in stone. You are in charge. If necessary, revise it during the research process. As you research, continue to evaluate both your thesis for practicality, originality, and promise as a search tool, and secondary sources for relevance and scholarliness. The following are questions to ask during the research process: Are there many journal articles and entire books devoted to the thesis, suggesting that the subject has been covered so thoroughly that there may be nothing new to say? Does the thesis lead to stimulating, new insights? Are appropriate sources available? Is there a variety of sources available so that the bibliography or works cited page will reflect different kinds of sources? Which sources are too broad for my thesis? Which resources are too narrow? Who is the author of the secondary source? Does the critic's background suggest that he/she is qualified? After crafting a thesis, consider one of the following two approaches to writing a research paper: Excited about your thesis and eager to begin? Return to the primary or secondary source to find support for your thesis. Organize ideas and begin writing your first draft. After writing the first draft, have it reviewed by your peers and your instructor. Ponder their suggestions and return to the sources to answer still-open questions. Document facts and opinions from secondary sources. Remember, secondary sources can never substitute for primary sources. Confused about where to start? Use your thesis to guide you to primary and secondary sources. Secondary sources can help you clarify your position and find a direction for your paper. Keep a working bibliography. You may not use all the sources you record, but you cannot be sure which ones you will eventually discard. Create a working outline as you research. This outline will, of course, change as you delve more deeply into your subject. A Variety of Information Sources Back to Top "A mind that is stretched to a new idea never returns to its original dimension." --Oliver Wendell Holmes Your thesis and your working outline are the primary compasses that will help you navigate the variety of sources available. In "Introduction to the Library" (5-6) the MLA Handbook for Writers of Research Papers suggests you become familiar with the library you will be using by: taking a tour or enrolling for a brief introductory lecture referring to the library's publications describing its resources introducing yourself and your project to the reference librarian The MLA Handbook also lists guides for the use of libraries (5), including: Jean Key Gates, Guide to the Use of Libraries and Information Sources (7th ed., New York: McGraw, 1994). Thomas Mann, A Guide to Library Research Methods (New York: Oxford UP, 1987). Online Central Catalog Most libraries have their holdings listed on a computer. The online catalog may offer Internet sites, Web pages and databases that relate to the university's curriculum. It may also include academic journals and online reference books. Below are three search techniques commonly used online: Index Search: Although online catalogs may differ slightly from library to library, the most common listings are by: Subject Search: Enter the author's name for books and article written about the author. Author Search: Enter an author's name for works written by the author, including collections of essays the author may have written about his/her own works. Title Search: Enter a title for the screen to list all the books the library carries with that title. Key Word Search/Full-text Search: A one-word search, e.g., 'Kennedy,' will produce an overwhelming number of sources, as it will call up any entry that includes the name 'Kennedy.' To focus more narrowly on your subject, add one or more key words, e.g., "John Kennedy, Peace Corps." Use precise key words. Boolean Search: Boolean Search techniques use words such as "and," "or," and "not," which clarify the relationship between key words, thus narrowing the search. Take Efficient Notes Back to Top Keeping complete and accurate bibliography and note cards during the research process is a time (and sanity) saving practice. If you have ever needed a book or pages within a book, only to discover that an earlier researcher has failed to return it or torn pages from your source, you understand the need to take good notes. Every researcher has a favorite method for taking notes. Here are some suggestions-- customize one of them for your own use. Bibliography cards There may be far more books and articles listed than you have time to read, so be selective when choosing a reference. Take information from works that clearly relate to your thesis, remembering that you may not use them all. Use a smaller or a different color card from the one used for taking notes. Write a bibliography card for every source. Number the bibliography cards. On the note cards, use the number rather than the author's name and the title. It's faster. Another method for recording a working bibliography, of course, is to create your own database. Adding, removing, and alphabetizing titles is a simple process. Be sure to save often and to create a back-up file. A bibliography card should include all the information a reader needs to locate that particular source for further study. Most of the information required for a book entry (Gibaldi 112): Author's name Title of a part of the book [preface, chapter titles, etc.] Title of the book Name of the editor, translator, or compiler Edition used Number(s) of the volume(s) used Name of the series Place of publication, name of the publisher, and date of publication Page numbers Supplementary bibliographic information and annotations Most of the information required for an article in a periodical (Gibaldi 141): Author's name Title of the article Name of the periodical Series number or name (if relevant) Volume number (for a scholarly journal) Issue number (if needed) Date of publication Page numbers Supplementary information For information on how to cite other sources refer to your So you want to study history page . Note Cards Back to Top Take notes in ink on either uniform note cards (3x5, 4x6, etc.) or uniform slips of paper. Devote each note card to a single topic identified at the top. Write only on one side. Later, you may want to use the back to add notes or personal observations. Include a topical heading for each card. Include the number of the page(s) where you found the information. You will want the page number(s) later for documentation, and you may also want page number(s)to verify your notes. Most novice researchers write down too much. Condense. Abbreviate. You are striving for substance, not quantity. Quote directly from primary sources--but the "meat," not everything. Suggestions for condensing information: Summary: A summary is intended to provide the gist of an essay. Do not weave in the author's choice phrases. Read the information first and then condense the main points in your own words. This practice will help you avoid the copying that leads to plagiarism. Summarizing also helps you both analyze the text you are reading and evaluate its strengths and weaknesses (Barnet and Bedau 13). Outline: Use to identify a series of points. Paraphrase, except for key primary source quotations. Never quote directly from a secondary source, unless the precise wording is essential to your argument. Simplify the language and list the ideas in the same order. A paraphrase is as long as the original. Paraphrasing is helpful when you are struggling with a particularly difficult passage. Be sure to jot down your own insights or flashes of brilliance. Ralph Waldo Emerson warns you to "Look sharply after your thoughts. They come unlooked for, like a new bird seen on your trees, and, if you turn to your usual task, disappear...." To differentiate these insights from those of the source you are reading, initial them as your own. (When the following examples of note cards include the researcher's insights, they will be followed by the initials N. R.) When you have finished researching your thesis and you are ready to write your paper, organize your cards according to topic. Notecards make it easy to shuffle and organize your source information on a table-- or across the floor. Maintain your working outline that includes the note card headings and explores a logical order for presenting them in your paper. IV. Begin Thinking, Researching, Organizing Back to Top Don't be too sequential. Researching, writing, revising is a complex interactive process. Start writing as soon as possible! "The best antidote to writer's block is--to write." (Klauser 15). However, you still feel overwhelmed and are staring at a blank page, you are not alone. Many students find writing the first sentence to be the most daunting part of the entire research process. Be creative. Cluster (Rico 28-49). Clustering is a form of brainstorming. Sometimes called a web, the cluster forms a design that may suggest a natural organization for a paper. Here's a graphical depiction of brainstorming . Like a sun, the generating idea or topic lies at the center of the web. From it radiate words, phrases, sentences and images that in turn attract other words, phrases, sentences and images. Put another way--stay focused. Start with your outline. If clustering is not a technique that works for you, turn to the working outline you created during the research process. Use the outline view of your word processor. If you have not already done so, group your note cards according to topic headings. Compare them to your outline's major points. If necessary, change the outline to correspond with the headings on the note cards. If any area seems weak because of a scarcity of facts or opinions, return to your primary and/or secondary sources for more information or consider deleting that heading. Use your outline to provide balance in your essay. Each major topic should have approximately the same amount of information. Once you have written a working outline, consider two different methods for organizing it. Deduction: A process of development that moves from the general to the specific. You may use this approach to present your findings. However, as noted above, your research and interpretive process should be inductive. Deduction is the most commonly used form of organization for a research paper. The thesis statement is the generalization that leads to the specific support provided by primary and secondary sources. The thesis is stated early in the paper. The body of the paper then proceeds to provide the facts, examples, and analogies that flow logically from that thesis. The thesis contains key words that are reflected in the outline. These key words become a unifying element throughout the paper, as they reappear in the detailed paragraphs that support and develop the thesis. The conclusion of the paper circles back to the thesis, which is now far more meaningful because of the deductive development that supports it. Chronological order A process that follows a traditional time line or sequence of events. A chronological organization is useful for a paper that explores cause and effect. Parenthetical Documentation Back to Top The Works Cited page, a list of primary and secondary sources, is not sufficient documentation to acknowledge the ideas, facts, and opinions you have included within your text. The MLA Handbook for Writers of Research Papers describes an efficient parenthetical style of documentation to be used within the body of your paper. Guidelines for parenthetical documentation: "References to the text must clearly point to specific sources in the list of works cited" (Gibaldi 184). Try to use parenthetical documentation as little as possible. For example, when you cite an entire work, it is preferable to include the author's name in the text. The author's last name followed by the page number is usually enough for an accurate identification of the source in the works cited list. These examples illustrate the most common kinds of documentation. Documenting a quotation: Ex. "The separation from the personal mother is a particularly intense process for a daughter because she has to separate from the one who is the same as herself" (Murdock 17). She may feel abandoned and angry. Note: The author of The Heroine's Journey is listed under Works Cited by the author's name, reversed--Murdock, Maureen. Quoted material is found on page 17 of that book. Parenthetical documentation is after the quotation mark and before the period. Documenting a paraphrase: Ex. In fairy tales a woman who holds the princess captive or who abandons her often needs to be killed (18). Note: The second paraphrase is also from Murdock's book The Heroine's Journey. It is not, however, necessary to repeat the author's name if no other documentation interrupts the two. If the works cited page lists more than one work by the same author, include within the parentheses an abbreviated form of the appropriate title. You may, of course, include the title in your sentence, making it unnecessary to add an abbreviated title in the citation. > Prepare a Works Cited Page Back to Top There are a variety of titles for the page that lists primary and secondary sources (Gibaldi 106-107). A Works Cited page lists those works you have cited within the body of your paper. The reader need only refer to it for the necessary information required for further independent research. Bibliography means literally a description of books. Because your research may involve the use of periodicals, films, art works, photographs, etc. "Works Cited" is a more precise descriptive term than bibliography. An Annotated Bibliography or Annotated Works Cited page offers brief critiques and descriptions of the works listed. A Works Consulted page lists those works you have used but not cited. Avoid using this format. As with other elements of a research paper there are specific guidelines for the placement and the appearance of the Works Cited page. The following guidelines comply with MLA style: The Work Cited page is placed at the end of your paper and numbered consecutively with the body of your paper. Center the title and place it one inch from the top of your page. Do not quote or underline the title. Double space the entire page, both within and between entries. The entries are arranged alphabetically by the author's last name or by the title of the article or book being cited. If the title begins with an article (a, an, the) alphabetize by the next word. If you cite two or more works by the same author, list the titles in alphabetical order. Begin every entry after the first with three hyphens followed by a period. All entries begin at the left margin but subsequent lines are indented five spaces. Be sure that each entry cited on the Works Cited page corresponds to a specific citation within your paper. Refer to the the MLA Handbook for Writers of Research Papers (104- 182) for detailed descriptions of Work Cited entries. Citing sources from online databases is a relatively new phenomenon. Make sure to ask your professor about citing these sources and which style to use. V. Draft, Revise, Rewrite, Rethink Back to Top "There are days when the result is so bad that no fewer than five revisions are required. In contrast, when I'm greatly inspired, only four revisions are needed." --John Kenneth Galbraith Try freewriting your first draft. Freewriting is a discovery process during which the writer freely explores a topic. Let your creative juices flow. In Writing without Teachers , Peter Elbow asserts that "[a]lmost everybody interposes a massive and complicated series of editings between the time words start to be born into consciousness and when they finally come off the end of the pencil or typewriter [or word processor] onto the page" (5). Do not let your internal judge interfere with this first draft. Creating and revising are two very different functions. Don't confuse them! If you stop to check spelling, punctuation, or grammar, you disrupt the flow of creative energy. Create; then fix it later. When material you have researched comes easily to mind, include it. Add a quick citation, one you can come back to later to check for form, and get on with your discovery. In subsequent drafts, focus on creating an essay that flows smoothly, supports fully, and speaks clearly and interestingly. Add style to substance. Create a smooth flow of words, ideas and paragraphs. Rearrange paragraphs for a logical progression of information. Transition is essential if you want your reader to follow you smoothly from introduction to conclusion. Transitional words and phrases stitch your ideas together; they provide coherence within the essay. External transition: Words and phrases that are added to a sentence as overt signs of transition are obvious and effective, but should not be overused, as they may draw attention to themselves and away from ideas. Examples of external transition are "however," "then," "next," "therefore." "first," "moreover," and "on the other hand." Internal transition is more subtle. Key words in the introduction become golden threads when they appear in the paper's body and conclusion. When the writer hears a key word repeated too often, however, she/he replaces it with a synonym or a pronoun. Below are examples of internal transition. Transitional sentences create a logical flow from paragraph to paragraph. Iclude individual words, phrases, or clauses that refer to previous ideas and that point ahead to new ones. They are usually placed at the end or at the beginning of a paragraph. A transitional paragraph conducts your reader from one part of the paper to another. It may be only a few sentences long. Each paragraph of the body of the paper should contain adequate support for its one governing idea. Speak/write clearly, in your own voice. Tone: The paper's tone, whether formal, ironic, or humorous, should be appropriate for the audience and the subject. Voice: Keep you language honest. Your paper should sound like you. Understand, paraphrase, absorb, and express in your own words the information you have researched. Avoid phony language. Sentence formation: When you polish your sentences, read them aloud for word choice and word placement. Be concise. Strunk and White in The Elements of Style advise the writer to "omit needless words" (23). First, however, you must recognize them. Keep yourself and your reader interested. In fact, Strunk's 1918 writing advice is still well worth pondering. First, deliver on your promises. Be sure the body of your paper fulfills the promise of the introduction. Avoid the obvious. Offer new insights. Reveal the unexpected. Have you crafted your conclusion as carefully as you have your introduction? Conclusions are not merely the repetition of your thesis. The conclusion of a research paper is a synthesis of the information presented in the body. Your research has led you to conclusions and opinions that have helped you understand your thesis more deeply and more clearly. Lift your reader to the full level of understanding that you have achieved. Revision means "to look again." Find a peer reader to read your paper with you present. Or, visit your college or university's writing lab. Guide your reader's responses by asking specific questions. Are you unsure of the logical order of your paragraphs? Do you want to know whether you have supported all opinions adequately? Are you concerned about punctuation or grammar? Ask that these issues be addressed. You are in charge. Here are some techniques that may prove helpful when you are revising alone or with a reader. When you edit for spelling errors read the sentences backwards. This procedure will help you look closely at individual words. Always read your paper aloud. Hearing your own words puts them in a new light. Listen to the flow of ideas and of language. Decide whether or not the voice sounds honest and the tone is appropriate to the purpose of the paper and to your audience. Listen for awkward or lumpy wording. Find the one right word, Eliminate needless words. Combine sentences. Kill the passive voice. Eliminate was/were/is/are constructions. They're lame and anti-historical. Be ruthless. If an idea doesn't serve your thesis, banish it, even if it's one of your favorite bits of prose. In the margins, write the major topic of each paragraph. By outlining after you have written the paper, you are once again evaluating your paper's organization. OK, you've got the process down. Now execute! And enjoy! It's not everyday that you get to make history. VI. For Further Reading: Works Cited Back to Top Barnet, Sylvan, and Hugo Bedau. Critical Thinking, Reading, and Writing: A Brief Guide to Argument. Boston: Bedford, 1993. Brent, Doug. Reading as Rhetorical Invention: Knowledge,Persuasion and the Teaching of Research-Based Writing. Urbana: NCTE, 1992. Elbow, Peter. Writing without Teachers. New York: Oxford University Press, 1973. Gibladi, Joseph. MLA Handbook for Writers of Research Papers. 4th ed. New York: Modern Language Association, 1995. Horvitz, Deborah. "Nameless Ghosts: Possession and Dispossession in Beloved." Studies in American Fiction , Vol. 17, No. 2, Autum, 1989, pp. 157-167. Republished in the Literature Research Center. Gale Group. (1 January 1999). Klauser, Henriette Anne. Writing on Both Sides of the Brain: Breakthrough Techniques for People Who Write. Philadelphia: Harper, 1986. Rico, Gabriele Lusser. Writing the Natural Way: Using Right Brain Techniques to Release Your Expressive Powers. Los Angeles: Houghton, 1983. Sorenson, Sharon. The Research Paper: A Contemporary Approach. New York: AMSCO, 1994. Strunk, William, Jr., and E. B. White. The Elements of Style. 3rd ed. New York: MacMillan, 1979. Back to Top This guide adapted from materials published by Thomson Gale, publishers. For free resources, including a generic guide to writing term papers, see the Gale.com website , which also includes product information for schools.

Historical Research Approaches to the Analysis of Internationalisation

• Research Article
• Open access
• Published: 29 September 2016
• Volume 56 , pages 879–900, ( 2016 )

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• Peter J. Buckley 1  

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Historical research methods and approaches can improve understanding of the most appropriate techniques to confront data and test theories in internationalisation research. A critical analysis of all “texts” (sources), time series analyses, comparative methods across time periods and space, counterfactual analysis and the examination of outliers are shown to have the potential to improve research practices. Examples and applications are shown in these key areas of research with special reference to internationalisation processes. Examination of these methods allows us to see internationalisation processes as a sequenced set of decisions in time and space, path dependent to some extent but subject to managerial discretion. Internationalisation process research can benefit from the use of historical research methods in analysis of sources, production of time-lines, using comparative evidence across time and space and in the examination of feasible alternative choices.

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1 Introduction

The title of this focused issue is ‘About Time: Putting Process Back into Firm Internationalisation Research’. It would therefore seem obvious that historical research methods, whose primary concern is the role of time, would be at the forefront of the analysis. This is not necessarily the case, as these methods are neglected in internationalisation research, and in international business more generally. Historians face many of the same research problems that business researchers do—notably questions related to the analysis of process—but they have produced different answers, particularly in relation to the nature of causation. As a field, international business researchers need to question our research approaches more deeply.

This paper seeks to examine the types of research approaches from history that might aid in a more rounded analysis of internationalisation. Issues of sequencing, path dependence, contingent choices and the evaluation of alternatives are all critical in the internationalisation process and are grist to the mill of historical research. An examination of historical research methods leads to a new approach to the concept of internationalisation itself.

1.1 Historical Research Approaches: The Challenge of Different Underlying Philosophies

It is the difference in underlying philosophy between history and social science that presents the keenest challenge in integrating the temporal dimension with international business research. The contrast between the philosophy underlying history and that of social science—an issue for over a century (e.g., Simiand 1903 )—is put by Isaiah Berlin:

History details the differences among events, whereas the sciences focus on similarities. History lacks the sciences’ ideal models, whose usefulness varies inversely with the number of characteristics to which they apply. As an external observer the scientist willingly distorts the individual to make it an instance of the general, but the historian, himself an actor, renounces interest in the general in order to understand the past through the projection of his own experience upon it. It is the scientist’s business to fit the facts to the theory, the historian’s responsibility to place his confidence in facts over theories (Berlin 1960 , p. 1 (Abstract). Footnote 1

Gaddis ( 2002 ) suggests that a particular contrast between history and social science is that history insists on the interdependence of variables, whilst mainstream social science methods rely on identifying the ‘independent variable’ which affects (causes) changes in dependent variables (Gaddis 2002 , particularly Chapter 4). He suggests that this parallels the distinction between a reductionist view and an ecological approach ( 2002 , p. 54), and that this arises from the social scientists’ desire to forecast the future ( 2002 , p. 56). This also implies continuity over time—the independent variable persists in its causative effect(s). It is also connected with assumptions of rationality, which also is assumed to be time-invariant. Social scientists would counter that historians are theory resistant, at least to the kind of independent variable/rationalist/context-invariant reductionist theory that (perhaps stereotypically) characterises economistic approaches.

Compromises are possible. Recognising sensitive dependence on initial conditions brings ‘narrative’ and ‘analysis’ much closer together, as does dividing time into manageable units—perhaps ‘short-term and long term’ or ‘immediate, intermediate and distant’ (Gaddis 2002 , p. 95). Causality, interdependence, contingency and moderating variables are more manageable when the time-frame is defined. Research in history therefore demonstrates the importance of time, sequencing and process. It also highlights the role of individuals and their decision making. These elements are particularly important in examining entrepreneurship and individual (manager’s) decisions and their outcome in contexts such as the internationalisation of the firm. Footnote 2

How, then, would we recognise if genuinely historical work had been accomplished in internationalisation studies (or indeed in any area of the social sciences)? Tilley ( 1983 , p. 79) gives us an answer:

By ‘genuinely historical’, I mean studies assuming that the time and place in which a structure or process appears makes a difference to its character, that the sequence in which similar events occur has a substantial impact on their outcomes, and that the existing record of past structures and processes is problematic, requiring systematic investigation in its own right instead of lending itself immediately to social-scientific synthesis.

History matters—the importance of historical effects in international business—is illustrated by Chitu et al. ( 2013 ), who document a ‘history effect’ in which the pattern of foreign bond holdings of US investors seven decades ago continues to influence holdings today. Holdings 70 years ago explain 10–15 % of the cross-country variation in current holdings, reflecting the fixed costs of market entry and exit together with endogenous learning. They note that fixed costs need not be large to have persistent effects on the geography of bilateral asset holdings—they need only to be different across countries. Evidence was also found of a ‘history effect’ in trade not unlike that in finance. The history effect is twice as large for non-dollar bonds as a result of larger sunk costs for US financial investments other than the dollar. Legacy effects loom large in international finance and trade.

It is argued in this paper that time and place (context) do make a difference to the structure and process of an individual firm’s internationalisation, that past structures and processes do influence outcomes and that proper acknowledgement of context is vital in understanding and theorising internationalisation. It is further argued that attention to these issues leads to a new conception of internationalisation.

2 Research Methods

Reflecting on the purpose of his methods in his book Bloodlands , on Eastern Europe in the period 1933–45, the historian Timothy Snyder ( 2010 , p. xviii) states that:

…its three fundamental methods are simple: insistence that no past event is beyond historical understanding or beyond the reach of historical enquiry; reflection upon the possibility of alternative choices and acceptance of the irreducible reality of choice in human affairs; and chronological attention to all of the Stalinist and Nazi policies that labelled large numbers of civilians and prisoners of war.

This paper follows similar principles. These are: (1) that the methods of history are appropriate to the study of the internationalisation of firms; (2) that choices and alternatives at given points of time are central to this process; (3) that the role of sequencing and time are central; and (4) that the comparative method is an aid to comprehension of the process of internationalisation.

This paper now examines research methods widely used in history Footnote 3 that have the capability to improve international business research. These are: (1) source criticism (here it is argued that international business researchers are insufficiently aware of deficiencies in “texts”); (2) the analysis of sequences, including time series analyses and process theorising; (3) comparative methods (not exclusive to historical research); and (4) counterfactual analyses (which are currently less utilised than in previous periods of international business theorising). This followed by a proposed research agenda based on the two key methods of examining change over time and utilising comparative analysis.

2.1 Source Criticism

The use of sources is as prevalent in international business as in history but they are often accepted uncritically. Gottschalk ( 1950 ), noting that few source documents are completely reliable, suggests that, ‘for each particular of a document the process of establishing credibility should be separately undertaken regardless of the general credibility of the author’. Given that reliability cannot be assumed, source criticism, as Kipping et al. ( 2014 ) argue, is fundamental to any historical research.

The trustworthiness of an author may establish a basic level of credibility for each statement, but each element must be separately evaluated. This requires questioning the provenance of the text and its internal reliability (Kipping et al. 2014 )—including, importantly, attention to language translation issues if relevant. This leads to the important checks brought about by triangulating the evidence. Triangulation requires the use of at least two independent sources (Kipping et al. 2014 ). This principle is utilised in international business journals by the requirement that both elements of a dyadic relationship are needed to cross check each other. Examples include licensor and licensee, both partners in a joint venture, parent and subsidiary in a multinational enterprise. The question of how far these are independent sources also needs careful investigation. Documents or statements addressed to different individuals and institutions may serve a variety of purposes. Those addressed to powerful individuals, groups or institutions may be intended for gain by the sender. Interviews may be designed to impress the interlocutor. The purpose of the document needs to be explicated. Documents may be designed for prestige, tax minimisation, satisfaction of guarantees (by government, sponsors or creditors) or to cover deficiencies in performance. The historian’s craft is, in part at least, to expose fraud and error (Bloch 1954 ).

Source criticism includes evaluating what is not present in archives, not just what is. Jones ( 1998 ) points out that the company archives many analysts require often do not survive—those that involve statutory obligations often do, but those involving high-level decision making, such as Board papers, often do not. He points out that ‘issues of capabilities, innovation and culture will necessitate looking at what happens “lower down” within a firm’s structure’ (Jones 1998 , p. 19). Further,

The study of intangibles such as the knowledge possessed within a firm, flows of information, and the corporate culture—and how all these things changes over time can involve a very wide range of historical record far removed from documents on strategies… Oral history—of staff employed at all levels—is of special use in examining issues of culture, information flows and systems (Jones 1998 , p. 19).

These issues—intangible assets, strategy, culture and decision making in the face of imperfect information—are crucial in international business strategy research.

In addition to criticisms based on material that exists in ‘the archive’, we need to recognise that the archive is the result of a selection process and therefore that excluded material may be important. Footnote 4 The selection process may be biased towards particular nations, regions, races, classes, genders, creeds, political groupings or belief systems. This is a key theme of ‘subaltern studies’ growing out of South Asia, and particularly India, in imperial times (Ludden 2001 ). The clear implication of these studies is that the colonial era archive was compiled by the colonial (British) administrators and this presents a largely pro-Imperial bias. However, it is also true that among the dispossessed voices, some were privileged (e.g., the Congress Party spokespeople) and others selected out. The lineage of subaltern studies leads us through Gramsci ( 1973 ) to postmodern views of the text: Derrida ( 1994 ), Foucault ( 1965 ), Barthes ( 2005 ). As well as not ‘hearing’ particular groups, the archive records may not cover particular questions or issues Footnote 5 (see also Belich 2009 Footnote 6 ; Decker 2013 ; Moss 1997 ).

2.2 Analysing Sequences, Time Series and Processes

There are a number of important techniques in historical research which are useful to international business scholars in examining process, sequence, rhythm and speed—all of which are important in internationalisation. As Mahoney points out ( 2004 , p. 88), ‘Causation is fundamentally a matter of sequence’. This is a problem addressed in economics as ‘Granger causality’ ( 1988 ). The critical question is not data access, but careful theorising. Sequence and duration arguments attempt to pick up sensitivity to time and place.

Process analysis holds out the possibility of integrating the time dimension into the internationalisation of firms. Process research, which is contrasted to ‘variance paradigms’, pays particular attention to the sequencing of events that take place within cases (Welch and Paavilainen-Mantymaki 2014 ). Events, not variables, are the crucial writ of analysis and capturing multiple time points builds narrative, event studies and panel data analyses. In combination with variance approaches, process analysis has the potential to explain the effects of context (place) and time in internationalisation. The critical task is the identification of the linking mechanisms that connect cause and effect. This requires connecting qualitative data evaluation with experimental reasoning. It is also a useful check on spurious statistical relationships (Granger and Newbold 1974 ). Easterlin ( 2013 ) argues that cross-sectional relationships are often taken to indicate causation when they may merely reflect historical experience, i.e., similar leader–follower patterns for variables that are causally unrelated. This is particularly the case when similar geographic patterns of diffusion are captured by the data—as may well be the case when studying the internationalisation of firms. This may reflect the fact that one set of (national) firms get an early start whilst others play catch-up.

We must, however, beware of ‘ingrained assumptions about historical periodization where mere temporal succession is insufficiently distinguished from historical explanation’ (Gregory 2012 , p. 9). This provides a connection to ‘path dependence’ and sensitivity to initial conditions. Careful examination of relevant data allows analysts to identify reactive sequences ‘whereby an initial outcome triggers a chain of temporally ordered and causally connected events that lead to a final outcome of interest’ (Mahoney 2004 , p. 91).

Page ( 2006 ), however, shows that path dependence describes a set of models, not a single model. Forms of history dependence can be divided between those where outcomes are history dependent and those in which the equilibria depend on history. Path dependence requires ‘a build-up of behavioural routines, social connections, or cognitive structures around an institution’ (p. 89). Page shows that there is a variety of types of path dependence, each of which can be precisely defined, and that it is insufficient to cite ‘increasing returns’ as evidence of path-dependent processes. The consequences for process research on internationalisation are profound and require researchers to be as precise as possible, when asserting path dependence, to evidence its roots and specify their impact on future trajectories. Jackson and Kollman ( 2010 ) build on Page’s definitions and suggest ‘If social scientists use notions of path dependence, they should have clearly articulated definitions and criteria for what constitutes a path dependent process’ (p. 258): ‘Any such formulation must be able to explain how the effects of initial and early outcomes are maintained over long periods of time and continue to be observed in current outcomes’ (p. 280). This is far stronger than a simple statement that ‘history matters’. Path-dependent sequences raise important theoretical issues and thereby contribute to a further and deeper round of understanding; as with quantitative analysis we need to be constantly attentive to sources of bias (Nickell 1981 ).

Understanding sequences entails additional complexities. Brown ( 2012 , p. xxii) points out that choosing the periodicity (start and end points of data collection and investigation) can risk coming to foregone conclusions and ‘a deceptive teleology’:

Two aspects of history are particularly important for historians: propulsion and periodization. The first concerns the forces that promote change. The second involves mental architecture: the chronological framework within which we set out history. Since all periodization presumes a theory of change, these are linked theoretical properties (Green 1993 , p. 17).

Propulsion and periodization—change and classification—are ultimately constructs and need to be placed both within a theoretical framework and a given context of time and place. This is a challenge to international business research which is often insufficiently theoretical and contextualised.

International business studies need to be sensitive to the period of study. Laidler ( 2012 , p. 5) advises,

The past may be the only source of data against which economic hypotheses can be tested or calibrated, but data never speak entirely for themselves. They need to be interpreted through a theory. When the only theory deemed suitable for this purpose embodies itself as part of its own structure, even on an ‘as if’ basis, then that structure is inevitably projected onto the past, and other perspectives on the historical record are obscured.

This suggests that a fundamental problem is that international business research is often inadequately theorised. Theories which stand up to testing in many historical periods are more robust than those that do not. Jones and Khanna ( 2006 , p. 455) see history as an important source of time series data: ‘historical variation is at least as good as contemporary cross-sectional variation in illuminating conceptual issues’. Although it should be noted that many historians are sensitive to the limits of generalisation across historical periods. Burgelman ( 2011 ) sees longitudinal qualitative research being situated between history as ‘particular generalization’ (Gaddis 2002 ) and reductionism; that is, ‘general particularization’.

Longitudinal research and good process research draw on both history’s narrative methods and statistical and mathematical models. Such longitudinal studies clearly need rigorous methods from both history and statistics. A relevant example is Kogut and Parkinson ( 1998 ), who examine the adoption of the multidivisional structure, testing Chandler’s ( 1962 ) core thesis over a long time period, ‘analysing history from the start’. Despite the difficulties of compiling archival data for a large sample of firms, the authors are able to test an innovative methodology on diffusion histories of the ‘M-form’ from the period beginning in 1950. They use a hazard model (of adopting the M-form) with imitation and firm covariates that predict adoption rates. The sample (62 firms) is large enough to be split into ‘fast’ and ‘slow’ adopters of this organisational innovation and a comparison of the difference between the two samples enables the authors to confirm Chandler’s historical account and to point to some qualifications concerning flows of information between firms which meant that proximate firms were more likely to adopt the M-form structure. Imitation effects by firms located in the same industry and firms with links to M-form adopters also seemed significant.

The Kogut and Parkinson ( 1998 ) study is a successful example of ‘History Meets Business Studies’ (p. 257) and also of the application of techniques of organisational demography. This approach has also been successfully applied to the birth and death of subsidiaries and foreign market entry strategies (Kogut 2009 ). Historical studies have established an important precedent of ‘the importance of sampling on founders rather than survivors and of the effects of age on mortality’ (Kogut 2009 , p. 721). Shaver ( 1998 ) pointed out that many previous studies had not accounted for endogeneity and were subject to self-selection bias but that such effects could be corrected for using a methodology that factors in the full history of entries, taking account of strategy choice based on firm attributes and industry conditions. Strategy choice is endogenous and self selected based on these conditions and modelling has to account for this. Concepts such as the ‘liability of newness’ (Stinchcombe 1965 ) and the (in International Business) celebrated ‘liability of foreignness’ (Zaheer 1995 after Hymer 1976 ) examine diffusion over time. There are, however, as Kogut ( 2009 ) points out, several unresolved challenges in the organisational demography literature. First, self-selection bias is still unresolved in that successful firms are more likely to venture abroad. Second, because of unobserved variables (such as the quality of the firm) heterogeneity remains in any sample of firms and any heterogeneous population can be shown to suffer ‘liability of newness’. Controls for heterogeneity, of course, are a palliative (e.g., size of firm) but it is difficult to control all such variation. A careful specification of the growth process of firms (despite Penrose ( 1959 ) and her heirs) still eludes us.

In concluding this section, it should be mentioned that cliometrics, or the measurement of history (also called the New Economic History) is not uncontroversial (Diebolt 2012 ). ‘Hypothetico-deductive models’ (utilising the counterfactual position) using ‘propositions contrary to the facts has not escaped criticism’ (Diebolt 2012 , p. 4), and they contrast with the inductive position of the German historical school (Grimmer-Solem 2003 ). The economistic tradition of ‘opportunity cost’ whereby the true costs of any action is the best alternative foregone, provides a firm philosophical link between economics and the counterfactual as discussed below.

2.3 Comparative Methods

The comparative method is of great importance throughout the social sciences. There are three classic comparators in social science research: across space, across time, and against a carefully specified counterfactual state of the world (Buckley et al. 1992 ). International business research has traditionally focused on just one of these—across space. Historical research specialises particularly in comparisons across time, but also has lessons in spatial comparison and in counterfactual analysis.

Research that depends on ex post statistical adjustment (such as cross-country regressions) has recently come under fire; there has been a commensurate shift of focus towards design-based research—in which control over confounding variables comes primarily from research design, rather than model-based statistical adjustment (Dunning 2012 , p. xvii).

The design of a randomised controlled experiment has three characteristics (Freedman et al. 2007 , pp. 4–8):

The response of the experimental subjects assigned to receive a treatment is compared to the response of subjects assigned to a control group. This allows comparisons of outcomes across the two groups.

The assignment of subjects to treatment and control groups is done at random—a coin toss, for example. This establishes ex ante symmetry between the groups and obviates the existence of confounding variables.

The manipulation of the treatment or intervention is under the control of the experimental research. This establishes further evidence for a causal relationship between the treatment and the outcomes (Dunning 2012 , p. 15).

Crucially most extant research utilises ‘as if random’ assignment of interventions rather than ‘natural’. Its success depends upon the plausibility of ‘as if random’, the credibility of models and the relevance of intervention. ‘Qualitative evidence plays a central role in the analysis of natural experiments’ (Dunning 2012 , p. 228). This is because an investigation of the causal process is critical (Collier et al. 2010 ) in avoiding ‘selecting on the dependent’ variable by analysing only those cases where causal-process observations appear to have played a productive inferential role. Indeed, Dunning ( 2012 , p. 229) suggests that a future research agenda should focus on developing a framework that distinguishes and predicts when and what kinds of causal-process observations provide the most useful leverage for causal inference in natural experiments. Results however may be very particular and parochial because of the limited availability of natural experiment possibilities (Yin 2014 ). Experimental results, therefore, come at a price.

The price for success is a focus that is too narrow and too local to tell us ‘what works’ in development, to design policy, or to advance scientific knowledge about development processes (Deaton 2009 , p. 426).

Comparison across places by geographic area or space is frequent in international business research (across nations, cultures, regions, areas, cities). The multinational enterprise is an excellent laboratory or natural experiment because it holds constant the single institution of the firm but varies the location of study. The division, and the later unification, of Germany allowed Kogut and Zander ( 2000 ) the opportunity to conduct a natural experiment by comparing the two sections of the Zeiss Company under socialism and capitalism. The experimental design measured the dependent variable (outcome)—the technological output of the two firms proxied by patents—under ‘treatments’ offered by the different economic contexts of the two different economic systems. This unusual design substituted for a random sample by eliminating the effects of extraneous factors and isolating the effects of the treatment variable on the ‘same’ firm. Comparative management experiments can be done by comparing company A’s subsidiary in Vietnam with its subsidiary in Virginia. This is the stock-in-trade of many international business experiments and was utilised by Hofstede ( 1991 , 1997 , 2001 ), whose work on culture held the host company (IBM) culture constant whilst varying the purported national cultural responses of the firm’s employees.

Comparisons across time, holding place constant, are the essence of ‘history’. They give rise to notions of ‘growth’, ‘progress’, ‘design’, ‘loss’. Chandler ( 1984 ) describes his method as the comparison of detailed case studies to generate ‘non historically specific generalizations’. Research in business history has challenged the Chandler thesis that managerial capitalism is universally becoming the norm (Whittington 2007 ; Rowlinson et al. 2007 ). Hannah ( 2007 ) illustrates the use of comparative historical data to challenge the received wisdom. As noted elsewhere in this piece, such comparisons are fraught with danger unless carefully conducted. Meanings of documents, words, artefacts and statements vary according to different point of time usage and must be carefully analysed as best practice historical research dictates. As Ragin says ( 1987 , p. 27),

many features of social life confound attempts to unravel causal complexity when experimental methods cannot be used… First, rarely does an outcome of interest to social scientists have a single cause… Second, causes rarely operate in isolation. Usually, it is the combined effect of various conditions their intersection in time and space, that produces a certain outcome… Third, a specific cause may have opposite effects depending on context.

These three factors—multiple, interacting causes, differential by context—are the very essence of international business research. Because of the difficulty of designing natural experiments International business research has emphasised statistical control in its methods. Ragin ( 1987 ) points out that statistical control is very different from experimental control. Footnote 7 Statistical control does not equate to experimental control: ‘the dependent variable is not examined under all possible combinations of values of the independent variables, as is possible in experimental investigations’ (Ragin 1987 , p. 61). Ragin presents a Boolean approach to qualitative comparison (after George Boole ( 2003 ) [1854] and also known as the algebra of logic or algebra of sets). Kogut ( 2009 ) shows the relevance of this approach to international business research (see also Saka-Helmhout 2011 ). A recent development of the use of Boolean algebra in international business is the application of fuzzy-set qualitative comparative analysis in the assessment of different models of capitalism (Judge et al. 2014 ).

Qualitative comparisons are of the essence in (historical) international business research. As Kogut ( 2009 ) shows, a proposition based on a three-cause explanation in order to avoid simplifying assumptions at the outset requires a truth table of 2 3 or eight combinations as in Fig.  1 . Thus, to achieve experimental control, the investigation needs eight cases with the characteristics shown in the table in order to determine which combination of causes (A, B, C) determines the outcome (1). (See Ragin 1987 , particularly Chapters 7 and 8.) Thus historical comparative data can focus our attention on cases as wholes and to explore the combinatorial complexities of causation (Ragin 1987 , p. 171). Footnote 8 It is also suggestive of the answer to the perennial question of how many cases are needed to satisfy a proposition. For instance, it might be suggested that the rise of Japan was due to (1) lifetime work contracts, (2) company unions and (3) the Keiretsu system. In order to prove or disprove the argument, the bottom line where all three proposed casual factors are present must be contrasted with situations where none of them are present (the top line) where only one of the proposed causes is present and where combinations of two causes are present. This enables the analyst to identify necessary and sufficient conditions. In a three cause theoretical proposal, a total of eight cases are needed.

Truth table for a three cause proposition

As Mahoney ( 2004 , p. 82) says, ‘comparative-historical methodology offers tools well adapted to the analysis of necessary and sufficient causes’. This need not rely on deterministic logic because necessary and sufficient causes can be expressed in a probabilistic framework. This also aligns with expressing variables in a continuous rather than in a dichotomous fashion. These techniques are helpful, as Saka-Helmhout ( 2011 ) points out, in analysing cross-case analyses of bundles of conditions, in particular in the identification of patterns of regularities and differences. The methodological stream (and theoretical underpinnings) of comparative historical research therefore lead to the more systematic pinpointing of necessary and sufficient causes in international business case research. For applications to management research, see Oz ( 2004 ).

2.4 Counterfactual Analysis

The third classic comparator is the ‘alternative position’. The counterfactual question—‘what if?’—is a particular type of thought experiment designed to elucidate causality. It is widely (if sometimes unwittingly) used in economics where ‘opportunity cost’ (the real cost of resources) is defined as the cost of the next best alternative foregone. The ‘alternative position’ and its specification have long been a particular problem in international business research—classically in the analysis of foreign direct investment (FDI). What would have happened in the absence of a particular foreign investment? (Reddaway et al. 1968 ; Steuer 1973 ; Cairncross 1953 ; Buckley et al. 1992 , p. 36). Jones and Khanna ( 2006 , p. 464) say that a ‘comparative approach also gets at the spirit of specifying counterfactuals’.

Historians have long had to face this issue. Several variously sophisticated attempts have been made to try to answer the question of what would (might) have happened had some of the crucial turning points of history turned out differently (Beatty 2011 ; Ferguson 1997 ; Cowley 1999 ; Lebow 2014 ). Lebow ( 2012 ) points out that counterfactuals are frequently used in physical and biological sciences to develop and evaluate sophisticated, non-linear models. The counterfactual has to be well defined and this requires a thorough analysis and presentation of the context of the alternative position. Such thought experiments are perhaps history’s closest comparator to a laboratory experiment (Gaddis 2002 , p. 100)—although see the section on natural experiments in the social sciences above. The counterfactual counteracts the static nature of much historical analysis by focusing upon dynamics and processes.

Durand and Vaara ( 2009 , p. 1245) have examined the role of counterfactuals in explicating causality in the field of business strategy. They argue that:

Counterfactual history can add to our understanding of the context-specific construction of resource-based competitive advantage and path dependence, and causal modelling can help to reconceptualize the relationships between resources and performance.

The role of counterfactual reasoning in organisation studies was also explored in two issues of Management & Organizational History [volume 3(1) 2008 and volume 4(2) 2007]. MacKay ( 2007 ) pointed out that counterfactuals can guard against path dependencies in both structure of organisations and perception. Counterfactuals illustrate that the world could be other than it is and help the analyst to evaluate different possibilities including decisions and their outcomes. Thus socio-economic and technical path dependencies can introduce rigidities and cognitive or psychological path dependencies can impair organisational learning. Toms and Beck ( 2007 ) criticise received counterfactuals (on the Lancashire cotton industry) as suffering from the problems of teleology and hindsight that occur when the counterfactual is contaminated by ex post knowledge of the outcome (Maielli and Booth 2008 ). Footnote 9 Toms and Beck ( 2007 , p. 315) attempt to construct a history ‘from the perspective of decision making entrepreneurs as embedded historical actors’. This is surely the model for internationalisation researchers, when examining past decisions and their outcome.

The key, as Leunig ( 2010 ) points out, is to be explicit in specifying the counterfactual position as this provides more evidence than a simple judgement on the impact of (say) a critical innovation. Fogel ( 1964 ) in finding that agricultural land opened up by the railroads might otherwise have been undeveloped, examined the possibility of an alternative network of canals. Footnote 10 This was done not by simple perusal of a map but by examining detailed typographical maps, as a canal builder would do. A limitation of counterfactual analysis is the ability to go on to use comparative analysis because the carefully constructed counterfactual is often locationally or temporally specific. For instance, although in Fogel’s counterfactual, canals could have done most of the work of railroads, he assumed away the vagaries of the weather—in the Northeast of the US at least, canals would have been frozen for at least 4 months of the year. Footnote 11 An excellent example of a carefully constructed counterfactual is Casson’s construction of the (optimal) counterfactual railway network (complete with timetable) for the UK taking account of network performance, the physical geography of the UK, Victorian urbanisation and traffic, engineering constraints, regulation, institutional and political constraints (Casson 2009 ).

The counterfactual has an important place in the development of international business theory as analyses of the impact of FDI on host and source countries have been cast in the terms of the ‘alternative position’—what would have happened in the absence of FDI. Foreshadowing the current debate an offshoring and outsourcing, earlier literature on the impact of FDI following Hufbauer and Adler ( 1968 ) identified three polar ‘alternative positions’ (Buckley and Artisien 1987 , pp. 73, 78–79, 80).

The classical assumption assumes that FDI produces a net addition to capital formation in the host country but a similar decline in capital formation in the source country. This is equivalent to the assumption that FDI substitutes for exports. The reverse classical assumption assumes that the FDI substitutes for investment in the host country but leaves investment in the source country unchanged. This is equivalent to ‘defensive investment’ where the source country firm cannot penetrate the target market via exports and would lose the market to host country firms in the absence of FDI. The anti-classical assumption is that FDI does not substitute for capital investment in the source country, neither does it reduce investment by host country firms. Consequently FDI increases world capital formation (in contrast to the other two assumptions where world capital formation is unchanged).

Anticlassical conditions are most likely when host country firms are incapable of undertaking the projects fulfilled by FDI. Each of these assumptions is static and rigid—not allowing for a growth of demand, perhaps from the ‘presence effect’. An organic model, postulating that FDI substitutes for exports in the short run, but in the long run substitutes for rival investment is more likely. Hood and Young ( 1979 ) pointed out that the relationship between FDI and exports needs to be fully specified in any such examination of effects of FDI.

This debate needs to be updated as it predated studies of MNEs’ foreign market servicing strategies and motives other than market-seeking. A parallel move away from economic counterfactuals towards specifying alternative decision making scenarios for decision-making entrepreneurs would be a step forward here (Toms and Beck 2007 ). A further important question here concerns the identity of the decision maker and whether ownership (foreign versus domestic) matters. As concern with the employment impact of FDI at home and abroad grows, counterfactual analysis is useful in specifying the myriad impacts (employment among them) of modern MNEs.

The ‘historical alternatives approach’ (Zeitlin 2007 ) is a specifically business history variant of counterfactual analysis. The historical alternatives approach is promoted by Zeitlin ( 2007 ) as ‘against teleology and determinism’. The approach suggests that plasticity of technology has been underrated, leading to technological determinism of a particularly narrow type. Strategic action in the face of uncertainty, mutability and hedging strategies gives a far wider range of outcomes than conventionally allowed for and ‘the market’ is dogmatically and narrowly the result of historical construction. Size of firms, strategic action, industry imperatives and rationality are too glibly taken as determining factors and the result is an excessively pre-determined view of business choices. While it is certainly the case that many analyses based on historical reasoning are unduly constrained in terms of other potential outcomes, alternative futures have to be specified extremely carefully and constraints that are to be lifted on outcomes must be spelled out and the degree to which they are assumed to be not binding requires extensive and meticulous research.

In internationalisation research, alternative positions are important concepts in the development of the process. The decisions that key managers make can be evaluated by presenting them with alternative scenarios, as Buckley et al. ( 2007 ) did. This is usually, for practical and cost reasons, a point-of-time rather than a continuous exercise even though, in principle, these choices could be presented to managers frequently throughout the internationalisation process. There are examples of where a single investment is considered as a ‘Go/No go’ decision and others where several alternative investments are simultaneously considered (Buckley et al. 1978 ). In many cases firms will themselves investigate alternative scenarios even if this is done informally rather than through ‘scenario planning’.

3 Discussion

Table  1 shows the areas where the four key methods identified above have been successfully applied in international business.

The application of the above principles of method suggests that a new international business history is called for that relies on the two key principles of examining change over time and using the comparative method. If we accept that the study of history is about change over time, then international business history needs to take a long-run view of change and of the role of multinational firms in large scale social and economic development. This presents a major challenge in view of the material in archives. Company archives cover the world from the point of view of the (single) company. In international business this represents only one actor in a complex drama. The roles of host and source countries are perforce omitted. It behoves the writers of international company histories to take a wider perspective than just the company’s viewpoint. In approaching the comparative method, the spatial comparison encompasses the international dimension but changes over time require a longer run view than most company histories allow for. Comparing the role of a company in the eighteenth century with the nineteenth is not often possible from a single company’s archives (and it can be argued, were this to be so, we would be dealing with an outlier). In short, the writing of international business history needs to be more imaginative, not only in method but also in its engagement with wider theory and technique.

It is equally the case that international business theory and methods can enrich historical research. Footnote 12 In addition to the Chitu et al. ( 2013 ) examination of ‘history effects’ in international finance and trade, international business can be focused on global history in the way that Bell and Dale ( 2011 ) analysed the economic and financial dimensions of the medieval pilgrimage business (using contract and network theory and the analysis of saints’ shrines as business franchise, under an umbrella brand of the Universal Catholic Church).

3.1 Historical Research Approaches and the Internationalisation Process

The question of how firm internationalisation evolves over time is best answered by the careful use of historical research methods duly adapted for the context of international business research (Jones and Zeitlin 2007 ) . The temporal dimension of the internationalisation process needs to be centre-stage and critical decision points and turning points need to be mapped on a timeline and against feasible alternatives. As extant international business research has shown (Buckley et al. 2007 ), managers are only partly guided by rational processes and context and contingency play roles in determining the final decisions. If we know when these critical decisions are made, then it becomes much easier to understand the factors that were in play in the decision makers’ minds. It is frequently remarked that key ‘events’ (a coup, the launch of a rival’s product, a competitive market entry) were the triggers for investment (or non-investment) decisions and a timeline of events—a mapping of process—can be a key to understanding. The temporal sequencing of ‘events’ in the internationalisation process is clearly vital to comprehension of the firm’s strategy and decisions. As well as time, at a given place, we need to add place at a given time for all these events. Thus a double comparative across time and space is necessary for a rounded understanding of outcomes.

Process research also needs to comprehend simultaneous processes as there is not just one sequence of events in internationalisation; rather, there are multiple. Selection of processes to track has to be theoretically driven. Process research cannot stand apart from the theory, it is has to be fully engaged with the appropriate theories and to feed back into them (Paavilainen-Mantymaki and Welch 2013 ). This is fully in accord with Pettigrew’s ( 1997 ) approach to processual analysis. Moreover, as Pettigrew ( 1997 , p. 340) says, ‘The time quality of a processual analysis thereby lies in linking processes to outcomes’. Linking internationalisation processes to outcomes (performance) is a missing element in our understanding—the results of the managerial decisions form an essential element of a feedback loop to further internationalisation.

The four generic methods applied in historical research outlined here—source criticism, time series analysis, the use of comparative methods and counterfactual analysis—are all vital in constructing a proper process analysis of the internationalisation of the firm (or of a firm’s internationalisation). It is fundamental that a critical appraisal of all sources be undertaken, be they company statements, archives, documents or interviews. Wherever possible these should be triangulated against other sources. Nothing should be taken on trust and, if it has to be, this should be clearly stated. Wherever possible, a timeline of relevant events should be made in order to sequence the decision processes and outcomes. The construction of multiple timelines—of different managers, sub-units of the firm and other key actors (such as competitors, agents, customers, suppliers, governmental bodies, support agencies) should be compared and contrasted. The coincidence in time of actions by interested parties is prima facie evidence of joint causality. These techniques can be extended by the use of comparisons not only in time but in space. The geographical mapping of actions and outcomes gives richness to the process analysis. The transmission and impact of decisions from one geographical point (e.g., headquarters) to another (a subsidiary, a potential takeover victim), the time-lags involved and the reaction time of the recipient are all vital in understanding internationalisation. Counterfactual analysis, too, can be a useful tool. Firms often approach internationalisation decisions with a number of contingencies. If they cannot acquire foreign firm X, should they turn to Y, or to a greenfield venture instead? These alternatives are useful to know and it may be possible to construct feasible alternative internationalisation paths.

In summary, historical research methods and approaches provide a research design for internationalisation process studies that enhance the depth of understanding by incorporating concrete timelines, alternatives and decision processes.

3.2 A New Concept of Internationalisation

The new concept of internationalisation that emerges from a consideration of the light shed by historical research on managerial processes is that internationalisation is the outcome of a set of decisions, dependent on context and previous decisions, considering alternative locations, entry and development methods in a choice set of time and space. In these sequential decisions, knowledge of past decisions and their outcomes plays a part in the next round of decisions. Hence companies can create ‘vicious circles’ or ‘virtuous circles’ in their internationalisation processes. In this sense, a knowledge of history of the company making the decision and of similar companies making comparable decisions can be valuable for the manager. History matters to decision-makers as well as analysts. The question of when to take history into account and when to ignore it and ‘take a chance’ is the essence of managerial judgement (and of ‘real options theory’—see Kogut and Kulatilaka 2001 ; Buckley et al. 2002 ). Those who make regular correct calls will develop a ‘track record’ and be valued accordingly. Thus both the weight of history and the judgement of successful individuals will build path dependence into the internationalisation process.

The research approach formulated in this article encompasses the Uppsala approach to internationalisation (Johanson and Vahlne 1977 , 2009 ) as a special case. The Uppsala approach has no explicit role for time. It explains market entry as a sequence which is determined by psychic proximity to the source country in a loose path dependent fashion. A more careful specification of the relationship between market entry and psychic distance and an explicit acknowledgement of the role of time would allow a fully historical analysis of market entry sequencing in the Uppsala tradition.

4 Conclusion: The Response to the Challenge of Historical Research

The last sentences of Butterfield’s ( 1965 , p. 132) The Whig Interpretation of History encompasses the challenge of historical research methods: ‘In other words, the truth of history is no simple matter, all packed and parcelled ready for handling in the market-place. And the understanding of the past is not so easy as it is sometimes made to appear’. Historical research methods can help international business researchers to be more questioning, analytical and critical and to think laterally in terms of alternative states of the world, different choices and outcomes. There is a justifiable argument that international business research is insufficiently critical of ‘texts’ in all their forms—company statements, official statistics, interviews with managers among them—and historical research has a number of techniques for improving the penetration of meaning behind texts, as this piece has shown.

In using research methods derived from history we must always factor in ‘Contingency, choice and agency’ (Clark 2012 , p. 362). We should also remember that history interacts with geography—context is crucial. To quote the historian Peter Brown’s work on wealth in the early Christian period, ‘A true history of Latin Christianity requires an unremitting sense of place’ (Brown 2012 , p. xxii). A good example relevant to international business is the combined use of historical, geographical and sectoral data by Becuwe, Blancheton and Charles ( 2012 ) in analysing the decline of French trade power in the ‘first globalization’ of 1850–1913. A sense of place involves understanding both the global macro context and the particular location.

There is an awkward disjunction between traditional historical research and hypothetico-deductive modelling. This is paralleled by the lack of integration between quantitative and qualitative methods in international business research, arising from their philosophical bases in positivism and subjectivism. The careful integration of historical research methods into international business provides us with one channel of progress towards a more complete understanding of the phenomena of international business.

In the particular case of the analysis of the internationalisation of the firm, historical approaches place managerial judgement central to the process. Such judgement, however, is constrained by context. This context is both temporal and spatial. ‘When’ and ‘where’ matter in both an individual decision and the analysis of decisions. The use of the plural here implies sequencing and therefore a focus on process. The choice set faced by the manager is constrained by what has gone before—by history. This does not determine the next decision in the sequence but it influences it. The new concept of internationalisation is that sequence, not events, are at the heart of the international growth of the firm, that spatial issues (including psychic distance to a potential host country) must be accounted for, and that past decisions constrain outcomes.

On the importance of methodology (in international business as elsewhere) we can end with a quote from Kogut ( 2009 , p. 711): ‘It is one of the best-kept secrets of research that a methodological contribution is the most powerful engine for the replication and diffusion of an idea’.

It is suggested by Cannadine ( 2013 , p. 9) that academic histories are often responsible for emphasising divergences rather than similarities: ‘Most academics are trained to look for divergences and disparities rather than for similarities and affinities, but this relentless urge to draw distinctions often results in important connections and resemblances being overlooked’. The contrast between history and social science has been an issue for over a century (see Simiand 1903 ).

See also the debate on the ‘historic turn’ in organisation studies (Clark and Rowlinson 2004 ).

Stephanie Decker ( 2013 , p. 6) identified four features that ‘clearly distinguish historical from non-historical research designs’. These are: reconstruction from primary sources (empirical rigour), thick contextualisation in time and space (empirical at times, theoretical rigour), periodization (theoretical rigour when combined with strong historiography) and historical narrative (accessibility, empirical and theoretical rigours).

For an excellent review of the use (and extension) of archive material see Wilkins and Hill ( 2011 ) ‘Bibliographical Essay’ pp. 445–458.

See also Schwarzkopf ( 2012 ).

Belich notes, of trying to identify ‘emigrants’ and their opinions: ‘This problem of the silent majority is, of course, endemic in the social history of ideas. The standard solution, not one to be despised in the absence of alternatives, is to pile up available examples of opinions in the vague hope that these are typical. Once possible refinement is the analysis of the conceptual language of substantial groups of lesser writers who are trying to persuade their still-larger target audience to do something’ (Belich 2009 , p. 148 f.).

‘In most statistical analyses, the effect of a control variable is its average effect on the dependent variable, across all cases, not of the effects of other variables. The subtraction of effects central to statistical control is a purely mechanical operation predicted on simplifying assumptions. It is assumed in multiple regression, for example, that a variable’s effect is the same in each case—that a one-unit change in an independent variable has the same effect on the dependent variable regardless of context, that is, regardless variable’s effect by simple subtraction. The result is a dependent variable whose values have been “corrected” for the effects of one or more independent variables’ (Ragin 1987 , p. 59).

For a full discussion of varieties of comparative history, see Skocpol and Somers ( 1980 ).

See Evans ( 2014 ) for a critical appraisal of counterfactuals.

As a referee points out, Fogel was not posing the ‘what if’ question but rather ‘by how much less would the US economy have grown if there had been no railways’.

I owe this point to Geoff Jones (personal communication 09.07.2013).

Kobrak and Schneider ( 2011 ) make a call for a renewal of historical research methods in business history, ‘reviving some basic historiographical notions’ (p. 401).

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Acknowledgments

I am grateful for comments on earlier versions from Chris Clark (Cambridge), Simon Ball (Leeds), Andrew Thompson (Exeter), Niall Ferguson (Harvard), Jeremy Black (Exeter), Mark Casson (Reading), Janet Casson (Oxford), Catherine Casson (Birmingham), Jonathan Steinberg (Pennsylvania), Catherine Welch (Sydney), Adrian Bell (Reading), Peter Miskell (Reading), Stephanie Decker (Aston), Geoffrey Jones (Harvard), Mira Wilkins (Florida International University), an anonymous reviewer for the AIBUK 2013 Conference at Aston University, participants at AIBUK Aston 2013, three anonymous reviewers for AIB 2013 and participants at the AIB Conference, Istanbul, July 2013, two anonymous referees and particularly to the editors of this Focused Issue.

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Buckley, P.J. Historical Research Approaches to the Analysis of Internationalisation. Manag Int Rev 56 , 879–900 (2016). https://doi.org/10.1007/s11575-016-0300-0

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How to Write a History Research Paper

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Research Guide

Writing guide.

See also: How to Write a Good History Essay

1. How do I pick a topic?

Picking a topic is perhaps the most important step in writing a research paper. To do it well requires several steps of refinement. First you have to determine a general area in which you have an interest (if you aren’t interested, your readers won’t be either). You do not write a paper “about the Civil War,” however, for that is such a large and vague concept that the paper will be too shallow or you will be swamped with information. The next step is to narrow your topic. Are you interested in comparison? battles? social change? politics? causes? biography? Once you reach this stage try to formulate your research topic as a question. For example, suppose that you decide to write a paper on the use of the films of the 1930’s and what they can tell historians about the Great Depression. You might turn that into the following question: “What are the primary values expressed in films of the 1930’s?” Or you might ask a quite different question, “What is the standard of living portrayed in films of the 1930’s?” There are other questions, of course, which you could have asked, but these two clearly illustrate how different two papers on the same general subject might be. By asking yourself a question as a means of starting research on a topic you will help yourself find the answers. You also open the door to loading the evidence one way or another. It will help you decide what kinds of evidence might be pertinent to your question, and it can also twist perceptions of a topic. For example, if you ask a question about economics as motivation, you are not likely to learn much about ideals, and vice versa.

2. But I can’t find any material…

No one should pick a topic without trying to figure out how one could discover pertinent information, nor should anyone settle on a topic before getting some background information about the general area. These two checks should make sure your paper is in the realm of the possible. The trick of good research is detective work and imaginative thinking on how one can find information. First try to figure out what kinds of things you should know about a topic to answer your research question. Are there statistics? Do you need personal letters? What background information should be included? Then if you do not know how to find that particular kind of information, ASK . A reference librarian or professor is much more likely to be able to steer you to the right sources if you can ask a specific question such as “Where can I find statistics on the number of interracial marriages?” than if you say “What can you find on racial attitudes?”

Use the footnotes and bibliographies of general background books as well as reference aids to lead you to special studies. If Carleton does not have the books or sources you need, try ordering through the library minitex. Many sources are also available on-line.

As your research paper takes shape you will find that you need background on people, places, events, etc. Do not just rely on some general survey for all of your background. Check the several good dictionaries of biography for background on people, or see if there is a standard book-length biography. If you are dealing with a legal matter check into the background of the judges who make the court decision and the circumstances surrounding the original incident or law. Try looking for public opinions in newspapers of the time. In other words, each bit of information you find should open the possibility of other research paths.

Learn to use several research techniques. You cannot count on a good research paper coming from browsing on one shelf at the library. A really pertinent book may be hidden in another section of the library due to classification quirks. The Readers’ Guide (Ref. A13 .R4) is not the only source for magazine articles, nor the card catalog for books. There are whole books which are listings of other books on particular topics. There are specialized indexes of magazine articles. Modern History Journals are indexed in the Social Studies and Humanities Index (Ref. A13 .R282) before 1976 After 1976 use the Social Sciences Index (REF A13 .S62) and the Humanities Index (Ref. A13 .H85). See also Historical Abstracts (Ref. D1 .H5). Reference Librarians would love to help you learn to use these research tools. It pays to browse in the reference room at the library and poke into the guides which are on the shelves. It also pays to browse the Internet.

3. Help! How do I put this together?

A. preliminary research:.

If you do not already have a general background on your topic, get the most recent good general source on the topic and read it for general orientation. On the basis of that reading formulate as clearly focused question as you can. You should generally discuss with your professor at that point whether your question is a feasible one.

B. Building a Basic Bibliography:

Use the bibliography/notes in your first general source, MUSE, and especially Historical Abstracts on cd-rom in the Library Reading Room (the computer farthest to the left in the front row as you walk past the Reference Desk — or ask there). If there is a specialized bibliography on your topic, you will certainly want to consult that as well, but these are often a bit dated.

C. Building a Full Bibliography:

Read the recent articles or chapters that seem to focus on your topic best. This will allow you to focus your research question quite a bit. Use the sources cited and/or discussed in this reading to build a full bibliography. Use such tools as Historical Abstracts (or, depending on your topic, the abstracts from a different field) and a large, convenient computer-based national library catalog (e.g. the University of California system from the “Libs” command in your VAX account or the smaller University of Minnesota library through MUSE) to check out your sources fully. For specific article searches “Uncover” (press returns for the “open access”) or possibly (less likely for history) “First Search” through “Connect to Other Resources” in MUSE can also be useful.

D. Major Research:

Now do the bulk of your research. But do not overdo it. Do not fall into the trap of reading and reading to avoid getting started on the writing. After you have the bulk of information you might need, start writing. You can fill in the smaller gaps of your research more effectively later.

A. Outline:

Write a preliminary thesis statement, expressing what you believe your major argument(s) will be. Sketch out a broad outline that indicates the structure — main points and subpoints or your argument as it seems at this time. Do not get too detailed at this point.

B. The First Draft:

On the basis of this thesis statement and outline, start writing, even pieces, as soon as you have enough information to start. Do not wait until you have filled all the research gaps. Keep on writing. If you run into smaller research questions just mark the text with a searchable symbol. It is important that you try to get to the end point of this writing as soon as possible, even if you leave pieces still in outline form at first and then fill the gaps after you get to the end.

Critical advice for larger papers: It is often more effective not to start at the point where the beginning of your paper will be. Especially the introductory paragraph is often best left until later, when you feel ready and inspired.

C. The Second Draft:

The “second draft” is a fully re-thought and rewritten version of your paper. It is at the heart of the writing process.

First, lay your first draft aside for a day or so to gain distance from it. After that break, read it over with a critical eye as you would somebody else’s paper (well, almost!). You will probably find that your first draft is still quite descriptive, rather than argumentative. It is likely to wander; your perspective and usually even the thesis seemed to change/develop as you wrote. Don’t despair. That is perfectly normal even for experienced writers (even after 40 years and a good deal of published work!). You will be frustrated. But keep questioning your paper along the following lines: What precisely are my key questions? What parts of my evidence here are really pertinent to those questions (that is, does it help me answer them)? How or in what order can I structure my paper most effectively to answer those questions most clearly and efficiently for my reader?

At this point you must outline your paper freshly. Mark up your first draft, ask tough questions whether your argument is clear and whether the order in which you present your points is effective! You must write conceptually a new paper at this point, even if you can use paragraphs and especially quotes, factual data in the new draft.

It is critical that in your new draft your paragraphs start with topic sentences that identify the argument you will be making in the particular paragraph (sometimes this can be strings of two or three paragraphs). The individual steps in your argument must be clearly reflected in the topic sentences of your paragraphs (or a couple of them linked).

D. The Third or Final Draft:

You are now ready to check for basic rules of good writing. This is when you need to check the diction, that is, the accuracy and suitability of words. Eliminate unnecessary passive or awkward noun constructions (active-voice, verbal constructions are usually more effective); improve the flow of your transitions; avoid repetitions or split infinitives; correct apostrophes in possessives and such. Make the style clear and smooth. Check that the start of your paper is interesting for the reader. Last but not least, cut out unnecessary verbiage and wordiness. Spell-check and proof-read.

– Diethelm Prowe, 1998

A Literature Research Guide - Historical Context Research: Historical Background

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Great Depression / New Deal 1929-1939

Postwar America 1945-1980

English Contexts

Chaucer 1340's-1400.

Global Renaissance 1560's-1690's

Shakespeare 1564-1616

Romanticism 1800-1890

Victorian Era 1837-1901

Modernism and After 1880's-mid-1900's

Author "in Context" sourcebooks   can identify key cultural and intellectual influences as well as the social, political, and historical context the author was working in.  These sourcebooks do not usually include primary sources, but they provide references and background information and may mention influential texts.  To find author sourcebooks, search the  library catalog  below using the author's name and  "in context" .    For example: Emily Dickinson in context

Article Databases:

• History Reference Source This link opens in a new window Subject: History History-related books, periodicals, documents, videos, biographies, photos, and maps; some full-text from 1917-current.
• US Major Dailies This link opens in a new window Subject: Business, Language, Literature, and Communication Contains full text of the New York Times (including the Book Review and Magazine), Wall Street Journal, The Chicago Tribune, LA Times, and the Washington Post.
• Humanities International Index This link opens in a new window Subjects: Art & Design, Music, Theatre Arts, Languages, Literature & Mass Communication Indexing (some full-text) of journal articles, books, reference works, poems, fiction, photographs, paintings and illustrations in the humanities from 1925 to present; constructs bibliography in five different citation styles.

Subjects: Biological Sciences, Art & Design, Business, Music, Theatre Arts Full-text peer-reviewed journal articles in the humanities and sciences from 1831-"moving wall" (generally 3 to 5 years). Note: most recent 3-5 years are not included. Articles which are not available in our subscription may be requested via InterLibrary Loan.

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Historical context .

T his section of the paper you will want to focus on background information that a reader may need to sufficiently understand the passage. Focus on any historical, social or cultural context that maybe needed for a greater understanding and to help you engage with the text.

For Example:

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Determine what 2-3 items that a reader of your paper would need back ground information on. 

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Home » Context of the Study – Writing Guide and Examples

Context of the Study – Writing Guide and Examples

Table of Contents

Context of the Study

The context of a study refers to the set of circumstances or background factors that provide a framework for understanding the research question , the methods used, and the findings . It includes the social, cultural, economic, political, and historical factors that shape the study’s purpose and significance, as well as the specific setting in which the research is conducted. The context of a study is important because it helps to clarify the meaning and relevance of the research, and can provide insight into the ways in which the findings might be applied in practice.

Structure of Context of the Study

The structure of the context of the study generally includes several key components that provide the necessary background and framework for the research being conducted. These components typically include:

• Introduction : This section provides an overview of the research problem , the purpose of the study, and the research questions or hypotheses being tested.
• Background and Significance : This section discusses the historical, theoretical, and practical background of the research problem, highlighting why the study is important and relevant to the field.
• Literature Review: This section provides a comprehensive review of the existing literature related to the research problem, highlighting the strengths and weaknesses of previous studies and identifying gaps in the literature.
• Theoretical Framework : This section outlines the theoretical perspective or perspectives that will guide the research and explains how they relate to the research questions or hypotheses.
• Research Design and Methods: This section provides a detailed description of the research design and methods, including the research approach, sampling strategy, data collection methods, and data analysis procedures.
• Ethical Considerations : This section discusses the ethical considerations involved in conducting the research, including the protection of human subjects, informed consent, confidentiality, and potential conflicts of interest.
• Limitations and Delimitations: This section discusses the potential limitations of the study, including any constraints on the research design or methods, as well as the delimitations, or boundaries, of the study.
• Contribution to the Field: This section explains how the study will contribute to the field, highlighting the potential implications and applications of the research findings.

How to Write Context of the study

Here are some steps to write the context of the study:

• Identify the research problem: Start by clearly defining the research problem or question you are investigating. This should be a concise statement that highlights the gap in knowledge or understanding that your research seeks to address.
• Provide background information : Once you have identified the research problem, provide some background information that will help the reader understand the context of the study. This might include a brief history of the topic, relevant statistics or data, or previous research on the subject.
• Explain the significance: Next, explain why the research is significant. This could be because it addresses an important problem or because it contributes to a theoretical or practical understanding of the topic.
• Outline the research objectives : State the specific objectives of the study. This helps to focus the research and provides a clear direction for the study.
• Identify the research approach: Finally, identify the research approach or methodology you will be using. This might include a description of the data collection methods, sample size, or data analysis techniques.

Example of Context of the Study

Here is an example of a context of a study:

Title of the Study: “The Effectiveness of Online Learning in Higher Education”

The COVID-19 pandemic has forced many educational institutions to adopt online learning as an alternative to traditional in-person teaching. This study is conducted in the context of the ongoing shift towards online learning in higher education. The study aims to investigate the effectiveness of online learning in terms of student learning outcomes and satisfaction compared to traditional in-person teaching. The study also explores the challenges and opportunities of online learning in higher education, especially in the current pandemic situation. This research is conducted in the United States and involves a sample of undergraduate students enrolled in various universities offering online and in-person courses. The study findings are expected to contribute to the ongoing discussion on the future of higher education and the role of online learning in the post-pandemic era.

Context of the Study in Thesis

The context of the study in a thesis refers to the background, circumstances, and conditions that surround the research problem or topic being investigated. It provides an overview of the broader context within which the study is situated, including the historical, social, economic, and cultural factors that may have influenced the research question or topic.

Context of the Study Example in Thesis

Here is an example of the context of a study in a thesis:

Context of the Study:

The rapid growth of the internet and the increasing popularity of social media have revolutionized the way people communicate, connect, and share information. With the widespread use of social media, there has been a rise in cyberbullying, which is a form of aggression that occurs online. Cyberbullying can have severe consequences for victims, such as depression, anxiety, and even suicide. Thus, there is a need for research that explores the factors that contribute to cyberbullying and the strategies that can be used to prevent or reduce it.

This study aims to investigate the relationship between social media use and cyberbullying among adolescents in the United States. Specifically, the study will examine the following research questions:

• What is the prevalence of cyberbullying among adolescents who use social media?
• What are the factors that contribute to cyberbullying among adolescents who use social media?
• What are the strategies that can be used to prevent or reduce cyberbullying among adolescents who use social media?

The study is significant because it will provide valuable insights into the relationship between social media use and cyberbullying, which can be used to inform policies and programs aimed at preventing or reducing cyberbullying among adolescents. The study will use a mixed-methods approach, including both quantitative and qualitative data collection and analysis, to provide a comprehensive understanding of the phenomenon of cyberbullying among adolescents who use social media.

Context of the Study in Research Paper

The context of the study in a research paper refers to the background information that provides a framework for understanding the research problem and its significance. It includes a description of the setting, the research question, the objectives of the study, and the scope of the research.

Context of the Study Example in Research Paper

An example of the context of the study in a research paper might be:

The global pandemic caused by COVID-19 has had a significant impact on the mental health of individuals worldwide. As a result, there has been a growing interest in identifying effective interventions to mitigate the negative effects of the pandemic on mental health. In this study, we aim to explore the impact of a mindfulness-based intervention on the mental health of individuals who have experienced increased stress and anxiety due to the pandemic.

Context of the Study In Research Proposal

The context of a study in a research proposal provides the background and rationale for the proposed research, highlighting the gap or problem that the study aims to address. It also explains why the research is important and relevant to the field of study.

Context of the Study Example In Research Proposal

Here is an example of a context section in a research proposal:

The rise of social media has revolutionized the way people communicate and share information online. As a result, businesses have increasingly turned to social media platforms to promote their products and services, build brand awareness, and engage with customers. However, there is limited research on the effectiveness of social media marketing strategies and the factors that contribute to their success. This research aims to fill this gap by exploring the impact of social media marketing on consumer behavior and identifying the key factors that influence its effectiveness.

Purpose of Context of the Study

The purpose of providing context for a study is to help readers understand the background, scope, and significance of the research being conducted. By contextualizing the study, researchers can provide a clear and concise explanation of the research problem, the research question or hypothesis, and the research design and methodology.

The context of the study includes information about the historical, social, cultural, economic, and political factors that may have influenced the research topic or problem. This information can help readers understand why the research is important, what gaps in knowledge the study seeks to address, and what impact the research may have in the field or in society.

Advantages of Context of the Study

Some advantages of considering the context of a study include:

• Increased validity: Considering the context can help ensure that the study is relevant to the population being studied and that the findings are more representative of the real world. This can increase the validity of the study and help ensure that its conclusions are accurate.
• Enhanced understanding: By examining the context of the study, researchers can gain a deeper understanding of the factors that influence the phenomenon under investigation. This can lead to more nuanced findings and a richer understanding of the topic.
• Improved generalizability: Contextualizing the study can help ensure that the findings are applicable to other settings and populations beyond the specific sample studied. This can improve the generalizability of the study and increase its impact.
• Better interpretation of results: Understanding the context of the study can help researchers interpret their results more accurately and avoid drawing incorrect conclusions. This can help ensure that the study contributes to the body of knowledge in the field and has practical applications.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• HLGC Seminar Series - 'The European Context of the Early Medieval English Laws'
• The breakup of India and Palestine -The causes and legacies of partition
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HLGC Seminar Series - 'The European Context of the Early Medieval English Laws'

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Computer Science > Computation and Language

Title: you only cache once: decoder-decoder architectures for language models.

Abstract: We introduce a decoder-decoder architecture, YOCO, for large language models, which only caches key-value pairs once. It consists of two components, i.e., a cross-decoder stacked upon a self-decoder. The self-decoder efficiently encodes global key-value (KV) caches that are reused by the cross-decoder via cross-attention. The overall model behaves like a decoder-only Transformer, although YOCO only caches once. The design substantially reduces GPU memory demands, yet retains global attention capability. Additionally, the computation flow enables prefilling to early exit without changing the final output, thereby significantly speeding up the prefill stage. Experimental results demonstrate that YOCO achieves favorable performance compared to Transformer in various settings of scaling up model size and number of training tokens. We also extend YOCO to 1M context length with near-perfect needle retrieval accuracy. The profiling results show that YOCO improves inference memory, prefill latency, and throughput by orders of magnitude across context lengths and model sizes. Code is available at this https URL .

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