sample study of historical research

Historical Research

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One of the most significant historical events that changed the world is the invention of written language around 3500-3000 BCE in Sumer. Originally, Sumerians started to use  writing  to communicate with people from other cities and regions to trade resources. From then on, they did multiple enhancements on the invention to maximize its use. Today, needless to say, this invention has been serving us its purpose in many ways, such as in developing  procedure documentation  and writing a research paper for historical research.

What Is Historical Research?

Historical research is a research methodology that allows people to study past events that have molded the present. This investigation involves systematically retaking the pieces of information from one or more data sources which can let you, as a researcher or a detective, create a theory of how a phenomenon happened to be in its present situation. Although this type of research usually uses primary sources, such as journals and testimonies in many forms, the data it gets may also come from secondary sources, such as textbooks in the public library, newspapers, etc. Due to the nature of historical research, comparing and preserving historical records can also be good reasons to conduct this kind of research.

Strong Historical Research Design

For effective execution of the data collection and analysis for historical research in education and other fields, you will need a strong research design that includes the following stages.

1. Data Collection

We have mentioned earlier that in gathering the necessary data for historical research, you can use either or both primary and secondary data sources. Additionally, although this research is under the vast category of qualitative research , you can use quantitative data to interpret the facts you use.

2. Data Criticism

One of the advantages of conducting historical research is, aside from the present, you may gather evidence to explain the event that is yet to happen, which can be a delicate piece of information. In coming up with an explanation about a future phenomenon, you must evaluate the reliability of your sources. You can do it through  internal and external validity . Through an external validity, you can determine the authenticity of a reference. Meanwhile, with internal validity, you can ensure that the data you gather is reliable by interpreting the content correctly.

3. Data Presentation

Once you have assured that the data you have collected is competent enough, you will analyze it and test the hypothesis of your research. We recommend you to do this step carefully since you will use logical methods instead of statistical tools. Avoid over-simplifying details and incorporating personal observations.

10+ Historical Research Examples

Now, you know the elements to include in your research. Let’s take a look at how researchers write their history research paper.

1. Biography of Historical Research Example

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2. Historical Research in Library Example

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3. Historical Reserch Agenda Example

4. Sample Historical Research Example

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5. Historical Research Information Systems Research Example

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6. Historical Research in Social Work Example

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7. Stndard Historical Research Example

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8. Legal History and Historical Research Example

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9. Methods and Principles of Historical Research Example

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10. Historical Research in Communication Example

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11. Historical Research in Education Example

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Best Practices in Conducting Historical Research

Now that you know almost everything that you need to cover about historical research, strengthen your project by keeping the following guidelines in mind.

1. Narrow Down the Direction of Your Project

Before you start writing your research paper , think of the topic that you choose to research. List down the research questions that you will focus on throughout the research process. Gather useful information and take note of the source information such as the author, etc. Then, decide on the specific type of information that you want to focus on. These steps will ensure that your research will not go astray.

2. Be Mindful of Your Sources

There are many sources available to gather information for your inquiry, especially on the internet. However, the question is, are these contents reliable enough? For historical research, we recommend you to ask assistance to the public librarians or historical consultants before you incorporate the information that you have gathered from the internet and the library.

3. Balance your Searches

Nowadays, you can always find the information that you need through the internet. However, when conducting research, you must do well-balanced data gathering. Meaning, aside from one source like the internet, you can gather data that you can only find in a particular root. A good example is local news.

4. Dig Deeper

It is essential to narrow down the scope of your research. It will be more interesting if you use the information that you have gathered to know more about a particular event or topic. It can also be an excellent way to find new leads that can support your research.

Countless historical events changed the way we perceive things. Among these phenomena, is the invention of written language. It also allows us to know how to deal with the obstacles that we are yet to encounter. Enlighten the people of a significant phenomenon by applying what you learned today to the research project that you are going to conduct.

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Home » Historical Research – Types, Methods and Examples

Historical Research – Types, Methods and Examples

Table of Contents

Historical Research

Definition:

Historical research is the process of investigating and studying past events, people, and societies using a variety of sources and methods. This type of research aims to reconstruct and interpret the past based on the available evidence.

Types of Historical Research

There are several types of historical research, including:

Descriptive Research

This type of historical research focuses on describing events, people, or cultures in detail. It can involve examining artifacts, documents, or other sources of information to create a detailed account of what happened or existed.

Analytical Research

This type of historical research aims to explain why events, people, or cultures occurred in a certain way. It involves analyzing data to identify patterns, causes, and effects, and making interpretations based on this analysis.

Comparative Research

This type of historical research involves comparing two or more events, people, or cultures to identify similarities and differences. This can help researchers understand the unique characteristics of each and how they interacted with each other.

Interpretive Research

This type of historical research focuses on interpreting the meaning of past events, people, or cultures. It can involve analyzing cultural symbols, beliefs, and practices to understand their significance in a particular historical context.

Quantitative Research

This type of historical research involves using statistical methods to analyze historical data. It can involve examining demographic information, economic indicators, or other quantitative data to identify patterns and trends.

Qualitative Research

This type of historical research involves examining non-numerical data such as personal accounts, letters, or diaries. It can provide insights into the experiences and perspectives of individuals during a particular historical period.

Data Collection Methods

Data Collection Methods are as follows:

• Archival research : This involves analyzing documents and records that have been preserved over time, such as government records, diaries, letters, newspapers, and photographs. Archival research is often conducted in libraries, archives, and museums.
• Oral history : This involves conducting interviews with individuals who have lived through a particular historical period or event. Oral history can provide a unique perspective on past events and can help to fill gaps in the historical record.
• Artifact analysis: This involves examining physical objects from the past, such as tools, clothing, and artwork, to gain insights into past cultures and practices.
• Secondary sources: This involves analyzing published works, such as books, articles, and academic papers, that discuss past events and cultures. Secondary sources can provide context and insights into the historical period being studied.
• Statistical analysis : This involves analyzing numerical data from the past, such as census records or economic data, to identify patterns and trends.
• Fieldwork : This involves conducting on-site research in a particular location, such as visiting a historical site or conducting ethnographic research in a particular community. Fieldwork can provide a firsthand understanding of the culture and environment being studied.
• Content analysis: This involves analyzing the content of media from the past, such as films, television programs, and advertisements, to gain insights into cultural attitudes and beliefs.

Data Analysis Methods

• Content analysis : This involves analyzing the content of written or visual material, such as books, newspapers, or photographs, to identify patterns and themes. Content analysis can be used to identify changes in cultural values and beliefs over time.
• Textual analysis : This involves analyzing written texts, such as letters or diaries, to understand the experiences and perspectives of individuals during a particular historical period. Textual analysis can provide insights into how people lived and thought in the past.
• Discourse analysis : This involves analyzing how language is used to construct meaning and power relations in a particular historical period. Discourse analysis can help to identify how social and political ideologies were constructed and maintained over time.
• Statistical analysis: This involves using statistical methods to analyze numerical data, such as census records or economic data, to identify patterns and trends. Statistical analysis can help to identify changes in population demographics, economic conditions, and other factors over time.
• Comparative analysis : This involves comparing data from two or more historical periods or events to identify similarities and differences. Comparative analysis can help to identify patterns and trends that may not be apparent from analyzing data from a single historical period.
• Qualitative analysis: This involves analyzing non-numerical data, such as oral history interviews or ethnographic field notes, to identify themes and patterns. Qualitative analysis can provide a rich understanding of the experiences and perspectives of individuals in the past.

Historical Research Methodology

Here are the general steps involved in historical research methodology:

• Define the research question: Start by identifying a research question that you want to answer through your historical research. This question should be focused, specific, and relevant to your research goals.
• Review the literature: Conduct a review of the existing literature on the topic of your research question. This can involve reading books, articles, and academic papers to gain a thorough understanding of the existing research.
• Develop a research design : Develop a research design that outlines the methods you will use to collect and analyze data. This design should be based on the research question and should be feasible given the resources and time available.
• Collect data: Use the methods outlined in your research design to collect data on past events, people, and cultures. This can involve archival research, oral history interviews, artifact analysis, and other data collection methods.
• Analyze data : Analyze the data you have collected using the methods outlined in your research design. This can involve content analysis, textual analysis, statistical analysis, and other data analysis methods.
• Interpret findings : Use the results of your data analysis to draw meaningful insights and conclusions related to your research question. These insights should be grounded in the data and should be relevant to the research goals.
• Communicate results: Communicate your findings through a research report, academic paper, or other means. This should be done in a clear, concise, and well-organized manner, with appropriate citations and references to the literature.

Applications of Historical Research

Historical research has a wide range of applications in various fields, including:

• Education : Historical research can be used to develop curriculum materials that reflect a more accurate and inclusive representation of history. It can also be used to provide students with a deeper understanding of past events and cultures.
• Museums : Historical research is used to develop exhibits, programs, and other materials for museums. It can provide a more accurate and engaging presentation of historical events and artifacts.
• Public policy : Historical research is used to inform public policy decisions by providing insights into the historical context of current issues. It can also be used to evaluate the effectiveness of past policies and programs.
• Business : Historical research can be used by businesses to understand the evolution of their industry and to identify trends that may affect their future success. It can also be used to develop marketing strategies that resonate with customers’ historical interests and values.
• Law : Historical research is used in legal proceedings to provide evidence and context for cases involving historical events or practices. It can also be used to inform the development of new laws and policies.
• Genealogy : Historical research can be used by individuals to trace their family history and to understand their ancestral roots.
• Cultural preservation : Historical research is used to preserve cultural heritage by documenting and interpreting past events, practices, and traditions. It can also be used to identify and preserve historical landmarks and artifacts.

Examples of Historical Research

Examples of Historical Research are as follows:

• Examining the history of race relations in the United States: Historical research could be used to explore the historical roots of racial inequality and injustice in the United States. This could help inform current efforts to address systemic racism and promote social justice.
• Tracing the evolution of political ideologies: Historical research could be used to study the development of political ideologies over time. This could help to contextualize current political debates and provide insights into the origins and evolution of political beliefs and values.
• Analyzing the impact of technology on society : Historical research could be used to explore the impact of technology on society over time. This could include examining the impact of previous technological revolutions (such as the industrial revolution) on society, as well as studying the current impact of emerging technologies on society and the environment.
• Documenting the history of marginalized communities : Historical research could be used to document the history of marginalized communities (such as LGBTQ+ communities or indigenous communities). This could help to preserve cultural heritage, promote social justice, and promote a more inclusive understanding of history.

Purpose of Historical Research

The purpose of historical research is to study the past in order to gain a better understanding of the present and to inform future decision-making. Some specific purposes of historical research include:

• To understand the origins of current events, practices, and institutions : Historical research can be used to explore the historical roots of current events, practices, and institutions. By understanding how things developed over time, we can gain a better understanding of the present.
• To develop a more accurate and inclusive understanding of history : Historical research can be used to correct inaccuracies and biases in historical narratives. By exploring different perspectives and sources of information, we can develop a more complete and nuanced understanding of history.
• To inform decision-making: Historical research can be used to inform decision-making in various fields, including education, public policy, business, and law. By understanding the historical context of current issues, we can make more informed decisions about how to address them.
• To preserve cultural heritage : Historical research can be used to document and preserve cultural heritage, including traditions, practices, and artifacts. By understanding the historical significance of these cultural elements, we can work to preserve them for future generations.
• To stimulate curiosity and critical thinking: Historical research can be used to stimulate curiosity and critical thinking about the past. By exploring different historical perspectives and interpretations, we can develop a more critical and reflective approach to understanding history and its relevance to the present.

When to use Historical Research

Historical research can be useful in a variety of contexts. Here are some examples of when historical research might be particularly appropriate:

• When examining the historical roots of current events: Historical research can be used to explore the historical roots of current events, practices, and institutions. By understanding how things developed over time, we can gain a better understanding of the present.
• When examining the historical context of a particular topic : Historical research can be used to explore the historical context of a particular topic, such as a social issue, political debate, or scientific development. By understanding the historical context, we can gain a more nuanced understanding of the topic and its significance.
• When exploring the evolution of a particular field or discipline : Historical research can be used to explore the evolution of a particular field or discipline, such as medicine, law, or art. By understanding the historical development of the field, we can gain a better understanding of its current state and future directions.
• When examining the impact of past events on current society : Historical research can be used to examine the impact of past events (such as wars, revolutions, or social movements) on current society. By understanding the historical context and impact of these events, we can gain insights into current social and political issues.
• When studying the cultural heritage of a particular community or group : Historical research can be used to document and preserve the cultural heritage of a particular community or group. By understanding the historical significance of cultural practices, traditions, and artifacts, we can work to preserve them for future generations.

Characteristics of Historical Research

The following are some characteristics of historical research:

• Focus on the past : Historical research focuses on events, people, and phenomena of the past. It seeks to understand how things developed over time and how they relate to current events.
• Reliance on primary sources: Historical research relies on primary sources such as letters, diaries, newspapers, government documents, and other artifacts from the period being studied. These sources provide firsthand accounts of events and can help researchers gain a more accurate understanding of the past.
• Interpretation of data : Historical research involves interpretation of data from primary sources. Researchers analyze and interpret data to draw conclusions about the past.
• Use of multiple sources: Historical research often involves using multiple sources of data to gain a more complete understanding of the past. By examining a range of sources, researchers can cross-reference information and validate their findings.
• Importance of context: Historical research emphasizes the importance of context. Researchers analyze the historical context in which events occurred and consider how that context influenced people’s actions and decisions.
• Subjectivity : Historical research is inherently subjective, as researchers interpret data and draw conclusions based on their own perspectives and biases. Researchers must be aware of their own biases and strive for objectivity in their analysis.
• Importance of historical significance: Historical research emphasizes the importance of historical significance. Researchers consider the historical significance of events, people, and phenomena and their impact on the present and future.
• Use of qualitative methods : Historical research often uses qualitative methods such as content analysis, discourse analysis, and narrative analysis to analyze data and draw conclusions about the past.

Advantages of Historical Research

There are several advantages to historical research:

• Provides a deeper understanding of the past : Historical research can provide a more comprehensive understanding of past events and how they have shaped current social, political, and economic conditions. This can help individuals and organizations make informed decisions about the future.
• Helps preserve cultural heritage: Historical research can be used to document and preserve cultural heritage. By studying the history of a particular culture, researchers can gain insights into the cultural practices and beliefs that have shaped that culture over time.
• Provides insights into long-term trends : Historical research can provide insights into long-term trends and patterns. By studying historical data over time, researchers can identify patterns and trends that may be difficult to discern from short-term data.
• Facilitates the development of hypotheses: Historical research can facilitate the development of hypotheses about how past events have influenced current conditions. These hypotheses can be tested using other research methods, such as experiments or surveys.
• Helps identify root causes of social problems : Historical research can help identify the root causes of social problems. By studying the historical context in which these problems developed, researchers can gain a better understanding of how they emerged and what factors may have contributed to their development.
• Provides a source of inspiration: Historical research can provide a source of inspiration for individuals and organizations seeking to address current social, political, and economic challenges. By studying the accomplishments and struggles of past generations, researchers can gain insights into how to address current challenges.

Limitations of Historical Research

Some Limitations of Historical Research are as follows:

• Reliance on incomplete or biased data: Historical research is often limited by the availability and quality of data. Many primary sources have been lost, destroyed, or are inaccessible, making it difficult to get a complete picture of historical events. Additionally, some primary sources may be biased or represent only one perspective on an event.
• Difficulty in generalizing findings: Historical research is often specific to a particular time and place and may not be easily generalized to other contexts. This makes it difficult to draw broad conclusions about human behavior or social phenomena.
• Lack of control over variables : Historical research often lacks control over variables. Researchers cannot manipulate or control historical events, making it difficult to establish cause-and-effect relationships.
• Subjectivity of interpretation : Historical research is often subjective because researchers must interpret data and draw conclusions based on their own biases and perspectives. Different researchers may interpret the same data differently, leading to different conclusions.
• Limited ability to test hypotheses: Historical research is often limited in its ability to test hypotheses. Because the events being studied have already occurred, researchers cannot manipulate variables or conduct experiments to test their hypotheses.
• Lack of objectivity: Historical research is often subjective, and researchers must be aware of their own biases and strive for objectivity in their analysis. However, it can be difficult to maintain objectivity when studying events that are emotionally charged or controversial.
• Limited generalizability: Historical research is often limited in its generalizability, as the events and conditions being studied may be specific to a particular time and place. This makes it difficult to draw broad conclusions that apply to other contexts or time periods.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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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.

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HISTORICAL RESEARCH: A QUALITATIVE RESEARCH METHOD

This paper is a write-up about one of many qualitative research method, namely historical research method.

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Handbook for Historians

• Choosing a Paper Topic
• Thesis Statement
• What Sources Can I use?
• Gathering sources
• Find Primary Sources
• Paraphrasing and Quoting Sources
• How to create an Annotated Bibliography
• Formatting Endnotes/Footnotes
• Formatting Bibliographies
• Avoiding Plagiarism

Sample History Papers

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• Research Paper Checklist

These are examples of well written, properly cited history papers.

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Introduction to Historical Research : Primary Sources

• Archival sources
• Multimedia sources
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What are Primary Sources?

Primary sources were either created during the time period being researched or were created at a later date by a participant in the events being examined (as in the case of memoirs).  They often reflect the individual viewpoint of a participant or observer.  Primary sources enable the researcher to get as close as possible to what actually happened during an historical event or time period and can serve as evidence in making an historical argument.

Examples include:

    Artifacts

•  Audio recordings (e.g. radio programs)
•  Diaries
•  Interviews (e.g., oral histories, telephone, e-mail)
•  Journal articles published in peer-reviewed publications
•  Letters
•  Newspaper articles written at the time
•  Original Documents (i.e. birth certificate, will, marriage license, trial transcript)
•  Patents
•  Photographs
•  Proceedings of Meetings, conferences and symposia
•  Records of organizations, government agencies
•  Speeches
•  Survey Research (e.g., market surveys, public opinion polls)
•  Video recordings (e.g. television programs)
•  Works of art, architecture, literature, and music
•  Web sites
• How to read a primary source
• Why Study History Through Primary Sources?
• Using Historical Sources
• Primary Sources Research guide

Primary Source Databases

Below are sample library subscription databases with digitized primary sources. More can be found on the Historical/Primary Sources page.

• American West Contains manuscript materials, broadsides, maps, and printed items documenting the history of the American West from the 18th century to the early 20th century.
• Black Abolitionist Papers, 1830–1863 15,000 articles and documents written by Black abolitionists during the antebellum period in the United States, Canada, and Europe. The contents include correspondence, speeches, sermons, lectures by African-American leaders; articles and essays published in African-American, abolitionist, and reform newspapers; and related documents.
• British and Irish Women's Letters and Diaries 1500 - 1950 A vast collection of British and Irish women's diaries and correspondence, spanning more than 300 years, it brings the personal experiences of nearly 500 women.
• Caribbean Views Caribbean Views draws from the British Library's collection of maps, manuscripts, printed books and newspapers relating to the British West Indies to conjure up a vivid picture of life in the English-speaking Caribbean during the 18th and early 19th centuries. The Library's holdings of material relating to the English slave trade and slavery are particularly strong.
• Defining Gender 50,000 images of original documents from five centuries of advice literature and related material, from diaries, advice and conduct books, as well as articles from medical and other journals, ballads, cartoons, and pamphlets, all from Europe. Much of the material is British in origin.
• Early American Imprints, Series I. Evans (1639-1800) The Evans collection is a definitive resource for all aspects of American life in the 17th and 18th centuries. Based on the renowned American Bibliography by Charles Evans and Roger Bristol's Supplement to Evans' American Bibliography. With these bibliographies, Evans and Bristol attempted to identify all works published in America through 1800.
• Early Encounters in North America--Peoples, Cultures and the Environment Contains 1,482 authors and over 100,000 pages of letters, diaries, memoirs and accounts of early encounters.
• Early English Books Online Early English Books Online (EEBO) provides full-text images of almost all the books printed in England and her colonies from the beginning of printing to 1700 (about 125,000 titles). more... less... You can search for books on your topic by author, title,and keyword, or search just for illustrations from these books if you wish. EEBO includes the items listed in Pollard & Redgrave's Short-Title Catalogue (1475-1640), Wing's Short-Title Catalogue (1641-1700), the Thomason Tracts (1640-1661), and additional supplementary materials. Gradually, searchable electronic text versions of a selection of these books are being added to the project. These searchable texts are called: EEBO-TCP, the Early English Books Online Text Creation Project. Eventually both EEBO and EEBO-TCP will be combined into one database. For now, in addition to using using Early English Books Online (EEBO), check EEBO-TCP if you want to do want to do keyword searching within an individual work.
• Eighteenth Century Collections Online An online library of over 180,000 titles published between 1701 and 1800, and printed in English-speaking countries, or countries under British colonial rule. Includes books, pamphlets, essays, broadsides and more. more... less... The majority of works in ECCO are in the English language but there are also works printed in Dutch, French, German, Italian, Latin, Spanish and Welsh. Based on the English Short Title Catalogue Works published in the UK during the 18th century plus thousands from elsewhere
• Electronic Enlightenment Contains correspondence between the greatest thinkers and writers of the eighteenth century and their families and friends, bankers and booksellers, patrons and publishers. It is an aggregation of 53,000 primary source letters from more than 6,000 writers and numerous presses. more... less... An ongoing scholarly research project of the University of Oxford and other universities and organizations, Electronic Enlightenment offers access to the web of correspondence between the greatest thinkers and writers of the eighteenth century and their families and friends, bankers and booksellers, patrons and publishers. EE is an aggregation of 53,000 primary source letters from more than 6,000 writers and numerous presses. Readers can explore writer's views on history, literature, language, arts, philosophy, science, medicine, and personal, social and political relations.
• Everyday Life and Women in America c.1800–1920 Hundreds of monographs illuminating all aspects of family life. Also includes periodicals and pamphlets. more... less... Fully-searchable access to 75 rare periodicals ranging from Echoes of the South (Florida) and the Household Magazine (North Carolina) to Lucifer the Lightbearer (Chicago), The Heathen Woman's Friend (Boston) and Women's Work (Georgia). * A rich collection of rare pamphlets. * Hundreds of monographs illuminating all aspects of family life all of which have been screened against Gerritsen, Shaw-Shoemaker, and other relevant projects to avoid needless duplication. * Insightful contextual essays by leading scholars that will help to point students at valuable resources. * Strong coverage of prescriptive literature and manuals for domestic management telling us much about the organisation of the home.
• Gerritsen Collection: Women's History Online The Gerritsen Collection includes books and periodicals from around the world which document the condition of women, the evolution of feminist consciousness, and women's rights. more... less... The Gerritsen Collection includes books and periodicals from around the world which document the condition of women, the evolution of feminist consciousness, and women's rights. More than 4,000 books and 265 periodicals in the collection are primarily in English with German, French, and Dutch-language materials strongly represented. Other languages included are Italian, Spanish, Latin, Greek, Slavic, and Scandinavian.
• Library of Latin Texts Contains 3,200 works that are attributed to approximately 950 authors. more... less... The texts which are incorporated are selected by virtue of their having been edited according to best contemporary scholarly practice. Independent research is undertaken to verify facts relating to the text, such as the veracity of the authorial attribution or the dating.
• Nineteenth Century Collections Online Nineteenth Century Collections Online unites multiple, distinct archives into a single resource, including a wide variety of previously unavailable primary sources ranging from books and monographs, newspapers and periodicals, diaries and personal letters, manuscripts, photographs, pamphlets, and maps. more... less... Initial archival modules include: British Politics and Society; European Literature, 1790-1840: The Corvey Collection; Asia and the West: Diplomacy and Cultural Exchange; and British Theatre, Music, and Literature: High and Popular Culture.
• North American Immigrant Letters, Diaries and Oral Histories Provides a unique and personal view of what it meant to immigrate to America and Canada between 1800 and 1950. Composed of contemporaneous letters and diaries, oral histories, interviews, and other personal narratives. more... less... In selected cases, users will be able to hear the actual audio voices of the immigrants. The collection will be particularly useful to researchers, because much of the original material is difficult to find, poorly indexed, and unpublished; most bibliographies of the immigrant focus on secondary research; and few oral histories have been published.
• North American Women's Letters and Diaries (Colonial to 1950) Provides a collection of published and unpublished women's diaries and correspondence, drawn from more than 1,000 sources, including journal articles, pamphlets, newsletters, monographs, and conference proceedings.
• Oxford African American Studies Center Over 1,000 images, primary sources with specially written commentaries, and over 100 maps have been collected to enhance this reference content related to the African American experience.
• Past Masters Provides access to searchable full text databases of primary works, letters, journals, and notebooks from important philosophers and women writers. All titles are in the English language, either original as written or in translation.
• Sixties The Sixties: Primary Documents and Personal Narratives, 1960 to 1974 documents the key events, trends, and movements in 1960s America. more... less... The Sixties: Primary Documents and Personal Narratives, 1960 to 1974 documents the key events, trends, and movements in 1960s America vividly conveying the zeitgeist of the decade and its effects into the middle of the next. Alongside 70,000 pages of letters, diaries, and oral histories, there are more than 30,000 pages of posters, broadsides, pamphlets, advertisements, and rare audio and video materials. The collection is further enhanced by dozens of scholarly document projects, featuring richly annotated primary-source content that is analyzed and contextualized through interpretive essays by leading historians.
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Neag School of Education

Educational Research Basics by Del Siegle

Historical research.

 Del Siegle, Ph.D. University of Connecticut [email protected] www.delsiegle.info

updated 2/01/2024

Qualitative study design: Historical

• Qualitative study design
• Phenomenology
• Grounded theory
• Ethnography
• Narrative inquiry
• Action research
• Case Studies
• Field research
• Focus groups
• Observation
• Surveys & questionnaires
• Study Designs Home

Looking at the past to inform the future.

Describing and examining past events to better understand the present and to anticipate potential effects on the future. To identify a need for knowledge that requires a historical investigation. Piecing together a history, particularly when there are no people living to tell their story.  

• Oral recordings

Can provide a fuller picture of the scope of the research as it covers a wider range of sources. As an example, documents such as diaries, oral histories and official records and newspaper reports were used to identify a scurvy and smallpox epidemic among Klondike gold rushers (Highet p3).

Unobtrusiveness of this research method.

Limitations

Issues with validity – can only use the historical information that is available today.

Primary sources are hard to locate.  

Hard to triangulate findings (find other resources to back up the information provided in the original resource). 

Example questions

• What caused an outbreak of polio in the past that may contribute to the outbreaks of today? 
• How has the attitude to LGBTQIA+ changed over the past 50 years?

Example studies

• Hallett, C. E., Madsen, W., Pateman, B., & Bradshaw, J. (2012). " Time enough! Or not enough time!" An oral history investigation of some British and Australian community nurses' responses to demands for "efficiency" in health care, 1960-2000 . Nursing History Review, 20, 136-161. 
• Navarro, J. A., Kohl, K. S., Cetron, M. S., & Markel, H. (2016). A tale of many cities: a contemporary historical study of the implementation of school closures during the 2009 pA(H1N1) influenza pandemic. Journal of Health Politics, Policy and Law, 41(3), 393-422. Retrieved from  http://ezproxy.deakin.edu.au/login?url=http://search.ebscohost.com/login.aspx?direct=true&AuthType=ip,sso&db=lhh&AN=20163261834&site=ehost-live&scope=site   

Edith Cowan University Library. (2019). Historical Research Method. Retrieved from  https://ecu.au.libguides.com/historical-research-method   

Godshall, M. (2016). Fast facts for evidence-based practice in nursing: Implementing EBP in a nutshell (2nd ed.). New York: Springer Publishing Company. 

Highet, M. J. (2010). "It Depends on Where You Look": The Unusual Presentation of Scurvy and  Smallpox Among Klondike Gold Rushers as Revealed Through Qualitative Data Sources. Past Imperfect, 16, 3-34. doi:10.21971/P7J59D 

Saks, M., & Allsop, J. (2012). Researching health: qualitative, quantitative and mixed methods (2nd ed.). London: SAGE. 

Taylor, B. J., & Francis, K. (2013). Qualitative research in the health sciences: methodologies, methods and processes. Abingdon, Oxon: Routledge. 

University of Missouri-St. Louis. Qualitative Research Designs. Retrieved from http://www.umsl.edu/~lindquists/qualdsgn.html   

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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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Examples of Research in History Courses

In addition to the research course offerings in History, many instructors include research papers or optional research papers in their courses. Following is a sample of such assignments. For more information, be sure to check the UHO Course Listings booklet (available on the main undergraduate page and in hard copy in Dulles 106) every semester.

398=2800; 523=3641; 530.03=3460; 530.04=3465; 542.01=3351; 546=3410; 557.01=3011; 566=3016; 568.01=3070; 598=4000-level Research Seminars.

Research Seminars

History 2800 introduction to historical thought.

• Reconstruction of life in a particular place and time using newspapers as sources

History 3641 Women in the Western World (Prof. Robertson, Columbus campus)

• Were Roman women liberated?
• How did gender affect women's contributions to cultural life during the Renaissance?
• Why were women still the ones mostly persecuted as witches during the 17th century?

History 3460 European Jewish History (Prof. Judd, Columbus campus)

• Topics on 19th and 20th century Jewish life.

History 3465 American Jewish Experience (Prof. Judd, Columbus campus)

• Oral histories of Jewish people in the Columbus community.

History 3351 Intellectual and Social Movements in the Muslim World (Prof. Prior, Columbus Campus)

• Role of the Arab Conquest in the Spread of Islam Throughout Central Asia
• Sufism: Philosophical Islam
• Islamic Resurgence in the Post-Stalin Soviet Union
• Radical and Political Islam in Central Asia

History 3410 Topics in Chinese History

• Analysis of a literary work focused on Shanghai in the 19th and 20th centuries.
• Various topics on Chinese business history in the Late Imperial and Republican Periods.

History 3011 American Revolution (Prof. Newell, Columbus campus)

• Using newspapers, research social, political, and economic life in two towns or two regions; analyze responses to epidemic diseases, debates over the ratification of the Constitution, life of soldiers in the Continental Army.

History 3016 U.S. Since 1963 (Prof. Lerner, Newark and Columbus campuses):

• Community Action Programs and the Great Society
• Jazz and the African-American Community
• Daniel Ellsberg and the Vietnam War
• Origins of the Black Panther Party

History 3070 Native American History from European Contact to Removal (Prof. Newell, Columbus campus)

• Research assignments include using Native American newspapers and/or oral history.

Recent research topics in 400-level Research Seminars include

American Material Culture (Prof. Newell) 19th c. Women's Fashions; the Deaf School; Vaudeville and Circus designers.

History and Hollywood (Prof. Childs) Compare two historical films on the basis of their historical accuracy and historical authenticity.

American Legal History (Prof. Stebenne) Research Senate confirmation hearings on nominees to the U.S. Supreme Court.

History Research Paper

This sample history research paper features: 5800 words (approx. 19 pages), an outline, and a bibliography with 25 sources. Browse other research paper examples for more inspiration. If you need a thorough research paper written according to all the academic standards, you can always turn to our experienced writers for help. This is how your paper can get an A! Feel free to contact our writing service for professional assistance. We offer high-quality assignments for reasonable rates.

Introduction

Diachronic anthropology, the radical left as an intellectual tradition, anthropology of advocacy, rise of fascism, elite theory, conflict approach to history, ideology, revolution, and reaction in history, where is science now, more history research papers:.

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History is both a structured and a dynamic process. The history of history begins with the proposition that it is the telling of history that is important. Objectivity is a specific interpretation that is related to a specific subjective reference point. The social facts a historian deals with are related to dominant but changing social forces that appear dissimilar to people with different points of reference. These social facts and forces are defined in terms of historical trends that are interpreted differently by different historians of the same time period. Historical trends then presuppose that a transformation is happening with these social facts. Changes in the social life of a nation are reflected in the changes in the class structure, and ultimately changes in the productive techniques and social environment.

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Human knowledge as expressed by individual psychology develops collectively through growing up and interacting in a social setting in concert with a changing social environment. Even the language that a people speaks is learned through communication within social groupings. The world as we experience it is created out of the way we see our lives and think about our personal active participation in the events of our lives. This, in turn, is at every point a social creation.

We are products of our social upbringing. Our thoughts and ideas are the invention of a specific set of social, cultural, and historical conditions. We learn through the exchange of ideas in the social setting we participate in.

Each culture within its own historical setting develops a unique worldview. Every culture develops along its own path, with its own thought patterns that are created out of a shared but changing worldview and narration. This is reflected in the way a people responds to events in their world.

Within each society and each ethnic group in that society, different classes often develop different, and sometimes competing, belief arrangements and points of view. Even within classes, different genders and generations develop competing convictions and perspectives. This is true even if people are employing the same symbols and unifying ideologies. These distinctive occurrences in the collective beliefs and attitudes are built on historical paradigms. New sets of assumptions that constitute a way of viewing reality for the community are forged from what is left over from past worldviews, creating an acknowledged understanding that becomes recognized as real. This change develops continuously because life is always changing. Altered circumstances that are lived in the present stand in contrast with past interpretations of life. Because people are active within their social environment, their environment reflects that activity. People interact consciously with their environment. While reacting to their immediate needs, they often create outcomes that have long-term effects. This is in part the nature of social evolution. The result is largely the consequences of our collective actions that are, in fact, unpredicted. This leads to a need for a people to come up with new strategies to come to terms with the changes brought about in the societal ecosystem. History at this point is the story of important modifications.

History reflects recurrent adjustment to a continuously changing environment. There is constant engagement between communities, between individuals within communities, and between people within their larger environment. This alteration also coaxes a persistent reinterpretation of the conventional cardinal philosophy. This is the essence of the enduring human condition.

To understand these changes by using both diachronic anthropology and historical sociology, we begin by observing just how situational truth is. It is not enough to describe a social fact objectively. The historical sociologists/ anthropologists need to also look at the cultural understanding of the fact in the context of the larger society. This includes the careful examination of the motives, values, and interpretations of the participating actors in their lived social drama. In the social sciences, objective explanations are in fact trite, dispassionate accounts, and without cultural understandings, they are basically dull.

Because changes in people’s attitudes reflect changes in their existential reality, a people’s beliefs and point of view are part of any scientific study of society. The actual experience of existence is filtered through a shared worldview that is culturally and historically specific. Each cultural-historical epoch has its own unusual and salient worldview. The historical artifacts of socially created worldviews are the tense interaction between differing worldviews of the historian and the subject matter being studied. The actual threat of domestic communism during the post–World War II era is going to be told differently by historians who came of age in the turmoil of the 1960s and those who came of age in the post– Cold War era, 30 years later. The second set of historians does not have the same sense of moral indignation leveled against the U.S. government’s antisubversive programs.

Along similar lines, particular sociological theories are set in specific historical settings. Established social theories correspond to the position and point of view of the individual who initially set up the theory. The devotees inhabit a distinctive point in the tiered social structure. Each theory, then, has a legitimate perspective given the social site of the researcher.

Any serious study of anthropology or sociology would require that at some point students carefully read the classics while examining the historical context in which they were written. Because the contemporary code of beliefs and philosophies is created out of elements of past theories, the classics remain important to any dynamic study of sociology. Through anthropology, we can better understand the historical and social-cultural context that gives rise to any theory.

For example, the idea that a society is like an integrated organism requires that the writer be living in a modern industrial nation-state. British structural functionalism is set in the early 20th century and is intellectually reflective of the British Empire. The incorporated essence of this society bears a resemblance to an organism. This analogy is derived from the structure of a society in which different institutions, like different organ systems of a living individual, tend to specialize in function. Functionalism reflects the development of a modern industrial society following the French Revolution in Europe. In these societies, because of an integrated market economy, the society moves in the direction of a more centralized and efficient economic and political amalgamation.

A modern industrial society cooks up a multitude of theories developed to explain the same or similar phenomena. The anthropologist or sociologist or historian is a product of this environment. The opposing theories represent conflicting social positions in the same society.

History and 19th-Century Evolutionary Thought

Evolutionary thought began to take root during the 18th-century European Enlightenment. By the second half of the 19th century, evolutionary anthropologists were developing evolutionary thought even before Charles Darwin published On the Origin of Species (1859). Biblical scholars looked on non-European societies as being an erosion of a basic humanity that monotheism, and specifically Christianity, had generated. The evolutionist developed an alternative view by hypothesizing that nonwhites (i.e., nonEuropeans) were a more primitive type of human subspecies. Monotheism was superior to either polytheism or animism. Science was superior to religion and rationalism superior to mysticism. Consequently, European civilization was at the apex of evolutionary development. All other cultures were somewhere along the evolutionary trajectory from early apelike hominids to modern Europeans.

In reaction to universal evolution, Franz Boas became a founding spirit of historical particularism, which claimed that the universal or unilinear evolution, in which Europe was the apex, was teleological and therefore not scientific. British structural functionalism also became antievolutionary in how it saw the separate parts of a society interact to form a cooperating whole as being the focus of their studies; this synchronic theory characterizes the most important goal of any cultural element as being the harmony of the society as a whole. In doing so, history is not the core in these studies. However, history could not be ignored. Change is a constant in all social settings. Therefore, societies must be studied in their historical context. Cultural evolution reemerges as a fact of life.

Historical sociology as a part of diachronic anthropology demonstrates the continuous development of groups, classes, nations, and social institutions in which one set of social organizations replaces earlier examples. In doing this, we learn how each small part interacts with the others in order to establish ever-larger units until we define a global economy.

In the study of the mixture of discrete elements, we learn that these parts come together to provide an interrelated whole. The world is made up of a combination of millions of local communities that are always in a process of transformation. Because of the increasing tempo of change following World War II and the degree of external intrusion in local affairs, process theory developed as a sharp criticism of functionalism by a younger anthropologist hostile to colonialism.

Cultural motifs form themes that condition the evolution of future national designs. A modern way of looking at the world would not have been possible before the advent of the Industrial and Liberal Revolutions. The modern mind-set develops a way of looking at things along the lines of a concept that holds that both the past and the future are real units of time and that this linear time frame is real and related to an ever-changing present. This liberal worldview is a noticeable departure from the previous age in which people saw truth as both absolute and unchanging.

Capitalism, liberal government, industrial technology, and scientific development mutually feed one another. Liberal society began being defined during the Enlightenment of the 18th century, and with Adam Smith’s Wealth of Nations and the Market Economy, its rough outline was delineated. Along the same lines, feudal privilege and the power of religion was being challenged. Science developed in this environment. Modern rational philosophy was the expression of a revolutionary, capitalist bourgeoisie in its assent to power. Empiricism and science became the practical expression of the empowered capitalist class. The growing capitalist economy required the quantitative analysis of market possibilities, production expenses, and technological innovation.

With a market economy, production grows in importance, replacing local subsistence economy. The new market economy was founded on an exchange of values and prices that defined the relationship among production units and thus among individuals. Previously, production and production units were embedded in social obligations. Thus, the expansion of market relations within a society changed the established social relations.

Because liberalism became the dominant worldview, the political changes that followed were revolutionary. Natural law and human nature became the cornerstones of the new philosophy. National identity creates a general spirit of the time and outlook, going beyond local distinctiveness and native uniqueness. “The rights of man” and resistance against tyranny replaced theocratic absolutes. Through revolution in Europe and America and colonialism everywhere else, liberal ideas spread throughout most of the world. As the liberal bourgeois society spread, it destroyed much of the time-honored social organization in traditional society. The ideas of John Locke, Jean Rousseau, Adam Smith, and others helped to define much of the liberal thought, which gained a definition.

History and Conservative Philosophy

The reaction to the spread of liberal society was the expansion and fruition of conservative philosophy. Conservatism came into existence with the advent of liberal capitalism. Because there is a specific connection between beliefs, attitudes, values, and the social circumstances of a particular group, it can be seen that the conservative ideology appeals to those most threatened by the spread of capitalism. By putting an end to the ancient order, a call for its return is likely to follow.

Because of the rise of liberal society and its corresponding worldview, conservative philosophy would be characterized by its way of following and countering an opposition to liberalism. Conservative philosophy was born after and not before liberal philosophy. Because it was a reaction against capitalism, it was a dream of a return either to feudalism in Europe or to a traditional society everywhere else. Because science, empiricism, rationalism, and modern technology coevolved with capitalism, conservatives find a lot to fight against. Because this progressive market economy undermines the ancient order and the saga of heroes—to free both people and resources for production for profit—those who did better under a traditional society will oppose both free enterprise and science. To the conservative, liberalism, capitalism, and modernism were seen as the destruction of all that was decent in life to the conservative thinker.

The conservative movement was a romantic attempt to reestablish traditional communities that existed before capitalism. The capitalist and the working class are a product of capitalism, and both stand to gain nothing by a return to the antique civilization. Thus, both the capitalist and the working class are very much underrepresented in the ranks of the conservative thinker.

Those elements utterly damaged by the development of bourgeois-capitalist society are the small-property owners, such as small farmers, peasants, urban small-business owners, independent artisans, and the self-employed. These factions join forces with the natural leaders of the conservative movement, the large-landed aristocracy with ties to their feudal or traditional past.

With the robust formation of a romantic-conservative movement, a milieu is set up in which some intellectuals, who feel alienated from both bourgeois liberalism and the socialism of the revolutionary working class, can find a home within the setting of the romantic folklore, that is, a vision of what the traditional society was like before the Enlightenment of the 18th century, the Industrial Revolution of the 19th century, and the modern global capitalism of the 20th century. Community is defended against society. The spiritual is seen as preferable to science. Family and kinship are understood as favored over contracts and professional qualifications. The conservatives such as Friedrich Wilhelm Joseph von Schelling or Joseph de Maistre believed that society must be governed by divinely inspired internal principles that are embedded in deep traditional roots, which are culturally embedded and long established within deep historical roots.

With the advancement of the market economy and the Industrial Revolution, a new industrial working class is formed from the disrupted elements of the previous society. These detached fragments come together to form a distinct organic class unique to capitalism. Wage labor is the minimum requirement for the further development of industrial capital. The working class has lost its connection to traditional society and can now be fashioned into an original class within capitalism. Because the very nature of wage labor is creating a surplus for the capitalist, the defining characteristic of the proletariat is exploitation. It is only the natural workers who develop an alternative perspective in opposition to liberal philosophy. Socialism stands in marked opposition to both liberals and conservatives. Because of shared common experiences, socialism can be neither liberal nor conservative.

Along similar lines, many anthropologists see their roles not only as researchers but also as advocates for the people they study. In 1968, anthropologist Helga Kleivan formed the International Work Group for Indigenous Affairs as a human rights support organization to help indigenous peoples define their rights, maintain control over their lands, and maintain their independent existence. Science has served capitalism well by creating this worldview of objectivity in which truth is independent of ethics. Now, these anthropologists claim that they must offer whatever assistance they can to help the surviving indigenous peoples to resist becoming the victims of someone else’s progress.

Fascism is the effect of failed liberalism and the excessive remains of conservatism that has come to nothing. As fascism goes, it absorbs disempowered liberals and disenchanted socialists. Fascism is both activist and irrational. Militant engagement and the intuitive sentiments are glorified over reason and caution. Leadership is virtually made sacred. Elite theory states that history is made by elites, and everyone else simply follows. The acting without regard to science or reason, placing the act of conquest above ethical principles, negates the need for careful analysis or an interpretation of history.

Fascists believe that history at the simplest level, while an intellectually coherent and understandable method of knowledge, disappears. Fascism is the irrational exaltation of the deed, and the antihistorical myth takes priority over history as the imaginative symbols provide the edifice for the simple rendition of a future golden age based on a newly created folklore of the past that is envisioned by the leader. History becomes a lie, and the myth is a creative fiction become real in the hearts of the masses. Only the leader has the vision, and the rest of the population is only glad for the prophet to lead them out of the wilderness.

In the beginning, Fascism was anticapitalist and antisocialist. While destroying socialism by its strong hostility to equality, democracy, and all socialist ideology, it borrows from the people’s socialism in order to make the claim that it speaks to the masses. While being anticapitalist, fascism can never come to power without making peace with the very largesse of capitalists who not only support but also finance it in the quest for power.

Fascism makes an extremely patriotic use of platitudes, catch phrases, flags, symbols, songs, and strong emotions to rally crowds of people into the frenzy of a unifying mania of patriotism. Xenophobia and a passionate love of one’s “country” rally large groups of people against the treat of a common foe, that is, anyone or anything that is different. Because of a perceived need for national security, basic civil liberties and human rights are seen as a luxury that needs to be suspended for the greater need for security. The military, our protector, is given top priority in government funding until social programs must be cut to pay for the swollen military budgets. Life in the military is glorified, while human rights and peace activists are vilified. Sexism is commonplace. Opposition to abortion is a high priority, as is homophobia and antigay legislation. Religion is central to fascism. Government backing for the dominant religion receives support from many in the church hierarchies. The industrial and business upper crust support the government leaders, creating a mutually beneficial business-to-government relationship and strengthening the position of the power elite. In spite of a popular appeal, ordinary working people are treated like expendable resources. Workers in their labor unions are severely suppressed. There is encouragement of an open hostility to higher education. Intellectuals are dismissed as irrelevant. Professors who are competent are sometimes censored or fired for taking a political stand. Openness in the arts is blatantly harassed either in the public media or by the government, which refuses to fund the arts. Either the mass media are directly controlled or their range of opinions are limited through a control of funding.

Elite theory is based on the idea that a small, powerful ruling elite rules all societies. Politics is but the tool by which this elite maintains control. Leaders govern because the masses are too weak to rule themselves. Vilfredo Pareto (1848–1923) claimed that the ruling elite was in fact an association of superior individuals having the will to power. Because of this, history is the “circulation of elites.” As one group of elites becomes weak, it is replaced by another group of elites in a violent revolution. Gaetano Mosca (1858–1941) added that the superiority of the political elite was based on the fact that the elites have the virtues needed to rule. Often proponents of this theory looked on fascism as a necessary corrective force.

The conflicts among classes, ethnic groups, and classes within ethnic groups reflect larger social contradictions. The long-lasting results are the deployment of reciprocally contradictory explanations for social reality in capitalist societies. Sociology gives us the tools to study the complex interactions of a whole society within a global context. Anthropology adds a cross-cultural and historical component within which to better understand the relational connections among social interactions. But there is more than one kind of sociology, and social or cultural anthropology is often found in a separate department at a college or university. Competing groups use the sociological method in mutually antagonistic ways.

Critical historical sociology is the basis of scientific socialism. What is largely a cultural subconsciousness of competing groups within a larger society is exposed through historical sociology. This is why Marxism defines the rest of sociology as either a debate with the ghost of Marx or an attempt at trying to disprove or defend or reform Marxism.

Historical studies are embedded in a rigorous theory that can be used to examine the data. Radical social scientists use the critical methods in the demanding engagement of social activism. This is analyzed in the context of power relationships to determine the possibilities of collective vigorous action as a means of achieving radical political and economic change. By becoming aware of one’s social, cultural, political, and economic situation, the activists become aware of the real conditions. From this awareness, one can begin to see the possibilities in terms of strategies to strengthen one’s class or group’s position in society.

Intellectuals exist in all classes, and many, for personal reasons, transcend class lines by strongly identifying with another class. Because many intellectuals identify so closely with a class other than the one of their origin, they bring fresh insights into their adoptive class. Communication among intellectuals of antagonistic classes is easy. This allows for the intellectual in each of the major classes to develop counterarguments to any and all criticisms of the intellectuals’ theories. This creates a cross-fertilization of ideas. Intellectuals are strongly influenced by their opponents. Departmental divisions and specializations at the university only weaken this trend.

At one level, a group of intellectuals representing themselves as professionals structurally becomes its own class, both in and for itself. With the increasing specialization and growth of bureaucracy since the end of the 19th century, the modern nation-state saw the rise of a new class to challenge the capitalists for dominance. Not the industrial working class but the professional class is next in line to be the ruling class.

With increasing specialization, the expanding bureaus or departments are staffed with educated professionals. The importance of the expert means that democracy is continuously being undermined. Both capital and labor become increasingly dependent on the expert, and the professionals progressively take on more responsibility for all aspects of life. The overall working class is kept permanently disempowered. At the top levels of the major universities and research institutes, a small group of professionals form a power block that can be seen as a real threat to the most powerful capitalists. Because of the capitalists’ dependence on these intelligentsia, there is a monopoly of expert knowledge.

With experts in a class of their own, the two power blocks, capitalists versus professionals, begin to compete for dominance in the larger capitalist society. The prize is control over the economy and politics. A small elite versus a not-quite-as-small elite means the serious rivalry between capital and expertise, suggesting that the majority of the population is left out of the preponderance of decisions affecting their lives. Add to this a highly industrialized military, and the total domination of society by these twin oligarchies is complete. Most people, because of the quality of their education, are kept ignorant of the process that allows a small group of autocrats to dominate their lives.

The anxiety of the powerless is intensified because of their inability to gain any substantive insight into their lives. Personal shrewdness replaces political understanding. Because rebellion becomes undirected, the repressed assert themselves through irrational outbursts. Leaders of the nation count on this and manipulate the influence of management in order to control the population. Either crime for the individual or fascism for the many allows people to avoid the worst aspects of this perfidious class structure. Crime and fascism is preferred to revolution.

For the proletarian intellectual, the challenge is to gain an understanding of these social facts in order to direct social change by influencing people to take the actions that will strengthen their choices. If a proletarian mental laborer and cultural worker carefully examine the current social situation and its historical background, the iron cage can be unlocked. The essential major thinking is the hopeful knowledge of objective opportunity making it likely to coordinate tangible circumstances and capability. Since each of the competing factions within society use their own sociological theories and have a drastically different understanding and analysis of what is going on, it is important to understand that the opposing theories are of the social environment and must be carefully studied. The more complete the study, the more likely the activist will come up with a successful program.

If a psychological explanation fails to take into account changing goals, values, and beliefs that are socially defined, we will know nothing about how changing social and cultural circumstances mold the personality. Every judgment includes values of good and evil, beauty and unattractiveness, or just better or worse. All knowing or learning is a group project. Individual knowledge is born in this group process, and each person influences that process. This is what we study in our struggles with the opposition. Combined achievement of conflicting groups establishes daily habits while defining the struggle.

Different cultures have their own evolutionary trajectories. Individuals experience similar events differently, and the significance of events is viewed differently by different classes. Elites and the dispossessed live in different universes. Each segment within the larger group has unique standards and deciphers the ordinary contents and knowledge of daily life and life experiences differently. Unless an individual has a real break with the past, his or her experiences generally confirm what is already believed to be true. Only when the external world comes in direct conflict with established beliefs does conversion become likely.

While knowing is interpreted through the living experiences of a personal biography, it is set in a social and historical context. Social position and life situations influence the particular character of this world and the encounters of real people. Through the active creation of their technology, their material culture, and the process of survival, people reproduce and change their social relations, resulting in a particular way of thinking and responding to their environment.

Meaning is related to the general ideas that bring together a combination of culturally unique processes and purposes for a historically explicit episode. When a person fails to understand the long-term consequences of an immediate action, it can be viewed as an example of false consciousness. Because knowledge is set in a historical context, it is not relative because some statements are incorrect. Knowledge is dependent on historical and social relationships to be correct. However, values and goals of the observer are as important as the subject in any study. The interaction between theory and the social setting points to a relation between various elements in the social setting.

Science has grown with the advent of the university’s independence from the church. Science by the mid-19th century was closely allied with industry, finance capital, and the rising power of the nation-state. During the prior 200 years, science had to fight against the feudal theocratic monopoly of political domination over the rest of society. With the establishment of the liberal state, science as an intellectual movement became the new symbol of hope or official creed. The romantic-conservative reaction fought a pitched battle, retreating into idealistic reconsideration of a venerated fable of history. It established a historical tradition creating an antirational folklore of the way things should remain. However, socialists, both utopian and scientific, would steal science in support of a revolutionary transformation of society and its eventual management. This world-shattering overhaul and ultimate organization would develop but not replace science.

Science is a method of studying events and objects around us and produces a history of ideas developed using an evolving scientific method. What is chosen to be researched is entrenched in the history that the researcher is part of. These research priorities are in turn affected by and effect our living concepts of nature. The ever-changing result is that discoveries are embedded in political, social, and economic historical forces. Social science follows a similar path.

In point of fact, the economic base only sets the limits of what is possible, as the environmental and technological bases set the limits for the economy. The economy in turn is limited by the possibilities of the rest of the sociocultural environment. All parts of the social and cultural whole have a profound effect on each of the other parts of the historically changing whole. Science is no exception. The history of science is the investigation of associations. Now, although the arrow of causality goes both ways, it more often than not travels from existence to consciousness. This complicates social science research, making the break between science and philosophy less clear.

The philosophy of social science, like science itself, is set inside a moving history that reflects a set of values or reflects a point of view that is overloaded with cultural biases. Theory is necessary to understand anything, and theory reflects both ideologies and their underlying worldviews. These basic culturally derived assumptions saturate our scientific thinking. This in turn establishes what we consider to be facts. This becomes the foundation of our scientific theories, and an established theory sets up research priorities and delineates adequate scientific discoveries.

Historical sociologists such as Weber, Mannheim, and Merton (and their current counterparts) find a way of rooting the history of science in society without risking tenure or promotion in the academic world by believing that they are objective scholars. Theory and practice are forever separated in their cowardice. While attempting neutrality, these scholars studied in detail the historical and social context of the development of science while avoiding the moral context of scientific research. These brilliant intellectuals carried on excellent scholarship. They even studied the close relationship between technology, economic class, and a global economy within the evolution of science, but what is lacking is the ethical consequences of scientific research. Much has been done in the way of research into the class origins of scientists. The culture of scientific communities, patronage of individual research projects, commercial and political investments in grants to researchers, scientific accountability and to whom have been carried out in detail without asking the difficult question of ethical responsibility. The honors given to top scientists along with accolades, the ethos of laboratory analysis, and scientific lack of responsibility to the powerless, poor, and dispossessed is left unstudied.

Chronological storytelling would have us believe that scientific insight develops progressively in the path of a superior gathering of more and more factual knowledge. This myth is at the present time generally ridiculed as a history that is overly simple and highly subjective of a romanticized fantasy of fulfillment (Mannheim, 1936, p. 205). This fairy tale is founded on the illusion of a universal scientific method, similar to the economic fable of marginal utility. This literary fiction would have us believe a body of scientific knowledge is allegedly expanded by generalizing from the gathering of information from meticulous observations and experiments rather than to the articulation of universal laws presented as fact.

There are convincing points of view that there are many acceptable methods in any research. We need to subject all research to rigorous assessments because it is possible to chip away at the complete scheme of a single scientific method by arguing that human action cannot be comprehended as a simple process of following general rules applicable to any research project. It may be that working scientists are not constrained by any of the rules of method that are universally applicable.

The conflicting total worldview of an entire class in contemporary society is molded by the existential condition of history. This existential moment of choice is the focus of the external manifestation of a way of life. Each particular mind-set identifies itself as the psychology of an individual. What lies behind a personal set of beliefs is born out of that person’s social and historical location. Ultimately, the total social and cultural origin of the psychology lies in a changing historical setting.

All philosophy or science or religion is a social product that is created out of a very real living history shared differently by different groups. Each person is the product of a specific social environment. Because different classes experience life differently, they develop conflicting interests and opposing values. The oppressed want change that will end their oppression. The oppressed look to the future with their utopian dreams. The liberal looks to preserve the current social inequality by allowing only those reforms that will safeguard the status quo. The romantic looks longingly at the existing conditions of the past in the hope of reestablishing those golden days of yesteryear.

The predominant patterns that are socially arranged provide the raw resources for shared culture. Thinking, accepted wisdom, reasoning, imagining, judgment, conclusions, opinions, and beliefs can be radically transformed through ever-changing social conditions. However, the new patterns of thought are formed out of the obsolete and altered outlines of previous thought.

In every historical period, knowing is given birth from genuine existing phenomena. All elements of meaning in a given situation are interconnected causally and have reference to each part and to the whole. When a shared, collective set of circumstances changes, the arrangement of norms, customs, and values ceases to be in harmony with real life and a rupture arises with reference to traditional beliefs.

A crisis arises within the traditional philosophy of wisdom and its corresponding historical perspective. This forms a new reciprocal interrelated framework of thought. People themselves change as does basic human nature, both of which are culturally distinct. People are always adapting and regenerating through the awareness of a new body of knowledge and are consequently generating innovative factions. There are new compositions of groupings of intellectual categories, leading to changes in patterns of social stratification in the larger society and ever-changing debates between antagonistic segments of society and their differing views of that society.

Competing social theories are always being redefined and reinforced to offset potential criticism. The theories once articulated directly inform the participants of what needs to be done. Then, they act in ways that change the social environment and the corresponding political culture.

The statement of any scholar may be true or false, valid or invalid, but it is so only in the context of a specific social, cultural, and historical context. Because of continuously changing social environments, categorical forms of knowledge are always changing. What is right in any one period of time will be wrong in another. Validity is determined within the context in which categories themselves are changing. Consequently, theory must continuously be updated to be valid.

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• Published: 06 June 2024

Widespread horse-based mobility arose around 2,200 BCE in Eurasia

• Pablo Librado   ORCID: orcid.org/0000-0001-5974-2189 1   nAff2 ,
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• Xuexue Liu 1 ,
• Stefanie Wagner 1 , 7 ,
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• Christoph Schwall   ORCID: orcid.org/0000-0002-6310-4056 24 , 25 ,
• Éric Barrey 26 ,
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• Liora Kolska Horwitz 28 ,
• Lutz Klassen 29 ,
• Uffe Rasmussen 30 ,
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• Jan Romaniszyn 34 ,
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• Marta Verdugo 38 ,
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• Armelle Gardeisen 50 ,
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• Magdolna Vicze 53 ,
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• Elina Ananyevskaya 59 ,
• Irina Shevnina 60 ,
• Andrey Logvin 60 ,
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• Petr K. Dashkovskiy 64 ,
• Alexander S. Graphodatsky 5 ,
• Ilia Merts   ORCID: orcid.org/0000-0001-9066-9629 65 , 66 ,
• Viktor Merts 65 ,
• Aleksei K. Kasparov 67 ,
• Vladimir V. Pitulko   ORCID: orcid.org/0000-0001-5672-2756 67 , 68 ,
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• Patrick Wincker 9 ,
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• Alan Outram   ORCID: orcid.org/0000-0003-3360-089X 43 &
• Ludovic Orlando   ORCID: orcid.org/0000-0003-3936-1850 1  

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• Archaeology
• Evolutionary genetics
• Population genetics

Horses revolutionized human history with fast mobility 1 . However, the timeline between their domestication and widespread integration as a means of transportation remains contentious 2–4 . Here we assemble a large collection of 475 ancient horse genomes to assess the period when these animals were first reshaped by human agency in Eurasia. We find that reproductive control of the modern domestic lineage emerged ~2,200 BCE (Before Common Era), through close kin mating and shortened generation times. Reproductive control emerged following a severe domestication bottleneck starting no earlier than ~2,700 BCE, and coincided with a sudden expansion across Eurasia that ultimately resulted in the replacement of nearly every local horse lineage. This expansion marked the rise of widespread horse-based mobility in human history, which refutes the commonly-held narrative of large horse herds accompanying the massive migration of steppe peoples across Europe ~3,000 BCE and earlier 3,5 . Finally, we detect significantly shortened generation times at Botai ~3,500 BCE, a settlement from Central Asia associated with corrals and a subsistence economy centered on horses 6,7 . This supports local horse husbandry before the rise of modern domestic bloodlines.

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The origins and spread of domestic horses from the Western Eurasian steppes

Animal domestication in the era of ancient genomics

Refining the evolutionary tree of the horse Y chromosome

Author information.

Pablo Librado

Present address: Institut de Biologia Evolutiva (CSIC – Universitat Pompeu Fabra), Barcelona, Spain

Antoine Fages

Present address: Zoological institute, Department of Environmental Sciences, University of Basel, Vesalgasse 1, Basel, Switzerland

Naveed Khan

Present address: Department of Biotechnology, Abdul Wali Khan University, Mardan, Pakistan

Mariya A. Kusliy

Present address: Department of the Diversity and Evolution of Genomes, Institute of Molecular and Cellular Biology SB RAS, 8/2 Academician Lavrentiev Avenue, Novosibirsk, Russia

Charleen Gaunitz

Present address: Lundbeck Foundation GeoGenetics Centre, Globe Institute, University of Copenhagen, Copenhagen, Denmark

Yvette Running Horse Collin

Present address: Taku Skan Skan Wasakliyapi: Global Institute for Traditional Sciences, 522 Seventh Street, Suite 202, Rapid City, South Dakota, USA

Gabriel Renaud

Present address: Department of Health Technology, Section for Bioinformatics, Technical University of Denmark (DTU), Copenhagen, Denmark

Katherine Kanne

Present address: School of Archaeology, University College Dublin, Dublin, Ireland

Authors and Affiliations

Centre d’Anthropobiologie et de Génomique de Toulouse, CNRS UMR 5288, Université Paul Sabatier, Faculté de Médecine Purpan, 37 Allées Jules Guesde, Toulouse, France

Pablo Librado, Gaetan Tressières, Lorelei Chauvey, Antoine Fages, Naveed Khan, Stéphanie Schiavinato, Laure Calvière-Tonasso, Mariya A. Kusliy, Charleen Gaunitz, Xuexue Liu, Stefanie Wagner, Clio Der Sarkissian, Andaine Seguin-Orlando, Yvette Running Horse Collin, Gabriel Renaud, Sylvie Duchesne, Éric Crubézy & Ludovic Orlando

Department of the Diversity and Evolution of Genomes, Institute of Molecular and Cellular Biology SB RAS, 8/2 Academician Lavrentiev Avenue, Novosibirsk, Russia

Alexander S. Graphodatsky

Lundbeck Foundation GeoGenetics Centre, Globe Institute, University of Copenhagen, Copenhagen, Denmark

Hugh McColl

INRAE Division Ecology and Biodiversity (ECODIV), Plant Genomic Resources Center (CNRGV), 24 Chemin de Borde Rouge – Auzeville, Castanet Tolosan Cedex, France

Stefanie Wagner

Genoscope, Institut de Biologie François Jacob, CEA, CNRS, Université d’Évry, Université Paris-Saclay, Évry, France

Aude Perdereau

Génomique Métabolique, Genoscope, Institut François Jacob, CEA, CNRS, Univ Évry, Université Paris-Saclay, Évry, France

Jean-Marc Aury & Patrick Wincker

Department of Earth System Science, University of California, Irvine, Irvine, CA, USA

John Southon

Department of Ecology and Evolutionary Biology, University of California Santa Cruz, Santa Cruz, CA, USA

Beth Shapiro

INRAE, GeT-PlaGe, Genotoul, Castanet-Tolosan, France

Olivier Bouchez & Cécile Donnadieu

The Royal Danish Academy, Institute of Conservation, Philip de Langes Allé 10, Copenhagen K, Denmark

Kristian M. Gregersen

National Museum of Denmark, Department for Prehistory, Middle Ages and Renaissance, Ny Vestergade 10, Copenhagen K, Denmark

Mads Dengsø Jessen

Museum Vestsjælland, Forten 10, Holbæk, Denmark

Kirsten Christensen & Lone Claudi-Hansen

UMR 5199 De la Préhistoire à l’Actuel: Culture, Environnement et Anthropologie (PACEA), CNRS, Université de Bordeaux, Pessac Cédex, France

Mélanie Pruvost

Museum of Natural History, Burgring 7, Vienna, Austria

Erich Pucher

Vinkovci Municipal Museum, Trg bana Josipa Šokčevića 16, Vinkovci, Croatia

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Centre for Applied Bioanthropology, Institute for Anthropological Research, Ljudevita Gaja 32, Zagreb, Croatia

Mario Novak

Ilok Town Museum, Šetalište o. Mladena Barbarića 5, Ilok, Croatia

Andrea Rimpf

Narodni muzej Slovenije, Prešernova 20, Ljubljana, Slovenia

Institute of Animal Breeding and Genetics, Department of Biomedical Sciences, University of Veterinary Medicine Vienna, Veterinärplatz 1, Vienna, Austria

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Leibniz-Zentrum für Archäologie (LEIZA), Ludwig-Lindenschmit-Forum 1, Mainz, Germany

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Department of Prehistory & Western Asian/Northeast African Archaeology, Austrian Archaeological Institute (OeAI), Austrian Academy of Sciences (OeAW), Dominikanerbastei 16, Vienna, Austria

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Ecole Nationale Vétérinaire d’Alfort, 7 Av du Général De Gaulle, Maisons-Alfort, France

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National Natural History Collections, Edmond J. Safra Campus, Givat Ram, The Hebrew University, Jerusalem, Israel

Liora Kolska Horwitz

Museum Østjylland, Søndergade 1, Grenaa, Denmark

Lutz Klassen

Moesgaard Museum, Department of Archaeology, Moesgaard Allé 20, Højbjerg, Denmark

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Moesgaard Museum, Department of Archaeological Science and Conservation, Moesgaard Allé 15, Højbjerg, Denmark

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Department of Archaeology and Heritage Studies, Aarhus University, Højbjerg, Denmark

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Institute of Archaeology, Faculty of History, Nicolaus Copernicus University, Toruń, Poland

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Faculty of Archaeology, Adam Mickiewicz University, Poznań, Poland

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Institute of Archaeology, National Academy of Sciences of Ukraine, Volodymyr Ivasiuk Avenue 12, Kyiv, Ukraine

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Smurfit Institute of Genetics, Trinity College Dublin, Dublin, Ireland

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Centre for Research on Science and Geological Engineering, Universidade Nova de Lisboa, Lisbon, Portugal

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Department of Archaeology and History, University of Exeter, Exeter, UK

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Albrecht Daniel Thaer-Institute, Faculty of Life Sciences, Humboldt University Berlin, Berlin, Germany

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Basel University, Department of Environmental Sciences, Integrative Prehistory and Archaeological Science, Basel, Switzerland

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National Institute of Archaeology, Hungarian National Museum, Budapest, Hungary

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Department of History of the Institute of Humanities, Ural Federal University, Ekaterinburg, Russia

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René Kyselý

Professional biological consultant, Moskevská 61, Prague 10, Czechia

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Department of Archaeology, University of York, c/o Kings Manor, York, UK

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Department of Archaeology, History Faculty, Vilnius University, Vilnius, Lithuania

Elina Ananyevskaya

Laboratory for Archaeological Research, Akhmet Baitursynuly Kostanay Regional University, Kostanay, Kazakhstan

Irina Shevnina & Andrey Logvin

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Alexey A. Kovalev

Department of Innovation and Technology, Ulaanbaatar Science and Technology Park, National University of Mongolia, Bayanzurkh district, Luvsantseveen street, 5th khoroo, Ulaanbaatar, Mongolia

Tumur-Ochir Iderkhangai

Zoological Institute, Russian Academy of Sciences, University Quay, 1, St Petersburg, Russia

Mikhail V. Sablin

Department of Russian Regional Studies, National and State-confessional Relations, Altai State University, Prospekt Lenina, 61, Barnaul, Russia

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Aleksei K. Kasparov & Vladimir V. Pitulko

Peter the Great Museum of Anthropology and Ethnography (Kunstkamera), Russian Academy of Sciences, 3, Universitetskaya nab., St Petersburg, Russia

Vladimir V. Pitulko

Osteoarchaeology Practice and Research Center and Department of Anatomy, Faculty of Veterinary Medicine, Istanbul University-Cerrahpaşa, Istanbul, Türkiye

Archaeology Department, Ankara University, Ankara, Türkiye

Aliye Öztan

Department of Anthropology, Alumni Building, University of North Carolina at Chapel Hill, Chapel Hill, NC, USA

Benjamin S. Arbuckle

Kh. Ibragimov Complex Institute of the Russian Academy of Sciences (CI RAS), 21 a V. Alieva (Staropromyslovskoe highway), Grozny, Chechen Republic, Russia

Ruslan Khaskhanov

Institute of Archaeology, Russian Academy of Sciences, Dm. Uljanova, 19, Moscow, Russia

Sergey Demidenko & Dmitriy S. Korobov

State Historical Museum, Department of Archaeological Monuments, Moscow, Red Square 1, Moscow, Russian Federation

Anna Kadieva

Institute for Caucasus Archaeology, Ul. Katkhanova 30, Nalchik, Russian Federation

Biyaslan Atabiev

Östra Greda Research Group, Vialmvägen 5, Borgholm, Sweden

Marie Sundqvist

Department of Animal Breeding and Genetics, Swedish University of Agricultural Sciences, Uppsala, Sweden

Gabriella Lindgren

Center for Animal Breeding and Genetics, Department of Biosystems, KU Leuven, Leuven, Belgium

Institut d’Arqueologia de la Universitat de Barcelona (IAUB), Seminari d’Estudis i Recerques Prehistoriques (SERP-UB), Universitat de Barcelona (UB), Barcelona, Spain

F. Javier López-Cachero & Silvia Albizuri

Department of Anatomy, Histology and Embryology, Faculty of Veterinary Medicine, University of Zagreb, Heinzelova 55, Zagreb, Croatia

Tajana Trbojević Vukičević

Department of Archaeology, Faculty of Humanities and Social Sciences, University of Zagreb, I. Lučića 3, Zagreb, Croatia

Marcel Burić

Institute for Anthropological Research, Ljudevita Gaja 32, Zagreb, Croatia

Petra Rajić Šikanjić

Faculty of Arts and Humanities (Archaeology), University of Southampton, Southampton, UK

Jaco Weinstock

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ICAC (Catalan Institute of Classical Archaeology), Pl. del Rovellat, s/n., Tarragona, Spain

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This Supplementary Information file contains the following sections: Section 1. Archaeological Contexts and Sample Information; Section 2. Radiocarbon Dating; Section 3. Genome Analyses; Section 4. Measuring temporal variations in the horse generation time; Supplementary References.

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Librado, P., Tressières, G., Chauvey, L. et al. Widespread horse-based mobility arose around 2,200 BCE in Eurasia. Nature (2024). https://doi.org/10.1038/s41586-024-07597-5

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Every human semen sample contained microplastics in new study

By Andrew Paul

Posted on Jun 11, 2024 4:39 PM EDT

As if last month’s news that microplastics are easily detectable in human testicles wasn’t bad enough, a new study now further confirms an unfortunately logical conclusion to the uncomfortable truth—polymer particles are increasingly being found in semen. And while previous research documented the pollutants in just some samples, the latest results are especially disconcerting.

According to a new report in the journal Science of the Total Environment , a medical team collaborating across multiple universities in China recently discovered various types of microplastics within every semen sample collected from a total of 40 males selected from a general population pool.

As The Guardian noted on June 10, a total of eight different plastics were found in the samples—the most prevalent, polystyrene, is commonly used for packaging like Styrofoam and CD jewel cases. Plastic bag’s polyethylene was the second most detected micro-particle, followed by PVC.

This is not great news. Mounting evidence indicates these now-practically ubiquitous microplastics are detrimental to human health , and appear to be tied to biological issues , hormone irregularities, and potentially reduced sperm counts . Apart from human testicles (and their contents), the pollution has been detected in people’s lungs, blood, placenta , and even breast milk .

[Related: Every human testicle contained microplastics in a new study .]

“As an emerging body of research increasingly implicates microplastic exposure as a potential factor impacting human health, understanding the extent of human contamination and relations to reproductive outcomes is imperative,” the team wrote in their study. 

Unfortunately, the news isn’t exactly shocking, since it’s difficult to find a place on the planet that doesn’t include traces of microplastics now. From the deepest depths of the ocean to Mount Everest , the toxic detritus is basically everywhere at this point. Often undetectable to the naked eye, microplastics can enter a human body through the food they eat, water they drink, and even simply the air they breathe. More investigation is needed, but early evidence the particles can cause tissue inflammation as well as elevated risks of stroke and heart attack . And then there’s the potentially specific effects on males.

“Globally… about 15-percent of couples experience infertility, among which male factor infertility accounts for 50-percent of the cases,” the researchers wrote , adding that and male infertility continues to increase in tandem with an ongoing deterioration of semen quality.

But even as more males display lower sperm counts and similar issues, “impaired spermatogenesis remains unidentified in about 40-percent of men.” And thanks to studies such as these, it is becoming increasingly likely that microplastics may have something to do with this.

Latest in Pollution

Cow poop might make cleaner hydrogen gas a reality cow poop might make cleaner hydrogen gas a reality, tracking private jets just got much harder tracking private jets just got much harder.

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• Published: 14 June 2024

Associations between deep venous thrombosis and thyroid diseases: a two-sample bidirectional Mendelian randomization study

• Lifeng Zhang 1   na1 ,
• Kaibei Li 2   na1 ,
• Qifan Yang 1 ,
• Yao Lin 1 ,
• Caijuan Geng 1 ,
• Wei Huang 1 &
• Wei Zeng 1  

European Journal of Medical Research volume  29 , Article number:  327 ( 2024 ) Cite this article

24 Accesses

Metrics details

Some previous observational studies have linked deep venous thrombosis (DVT) to thyroid diseases; however, the findings were contradictory. This study aimed to investigate whether some common thyroid diseases can cause DVT using a two-sample Mendelian randomization (MR) approach.

This two-sample MR study used single nucleotide polymorphisms (SNPs) identified by the FinnGen genome-wide association studies (GWAS) to be highly associated with some common thyroid diseases, including autoimmune hyperthyroidism (962 cases and 172,976 controls), subacute thyroiditis (418 cases and 187,684 controls), hypothyroidism (26,342 cases and 59,827 controls), and malignant neoplasm of the thyroid gland (989 cases and 217,803 controls. These SNPs were used as instruments. Outcome datasets for the GWAS on DVT (6,767 cases and 330,392 controls) were selected from the UK Biobank data, which was obtained from the Integrative Epidemiology Unit (IEU) open GWAS project. The inverse variance weighted (IVW), MR-Egger and weighted median methods were used to estimate the causal association between DVT and thyroid diseases. The Cochran’s Q test was used to quantify the heterogeneity of the instrumental variables (IVs). MR Pleiotropy RESidual Sum and Outlier test (MR-PRESSO) was used to detect horizontal pleiotropy. When the causal relationship was significant, bidirectional MR analysis was performed to determine any reverse causal relationships between exposures and outcomes.

This MR study illustrated that autoimmune hyperthyroidism slightly increased the risk of DVT according to the IVW [odds ratio (OR) = 1.0009; p  = 0.024] and weighted median methods [OR = 1.001; p  = 0.028]. According to Cochran’s Q test, there was no evidence of heterogeneity in IVs. Additionally, MR-PRESSO did not detect horizontal pleiotropy ( p  = 0.972). However, no association was observed between other thyroid diseases and DVT using the IVW, weighted median, and MR-Egger regression methods.

Conclusions

This study revealed that autoimmune hyperthyroidism may cause DVT; however, more evidence and larger sample sizes are required to draw more precise conclusions.

Introduction

Deep venous thrombosis (DVT) is a common type of disease that occurs in 1–2 individuals per 1000 each year [ 1 ]. In the post-COVID-19 era, DVT showed a higher incidence rate [ 2 ]. Among hospitalized patients, the incidence rate of this disease was as high as 2.7% [ 3 ], increasing the risk of adverse events during hospitalization. According to the Registro Informatizado Enfermedad Tromboembolica (RIETE) registry, which included data from ~ 100,000 patients from 26 countries, the 30-day mortality rate was 2.6% for distal DVT and 3.3% for proximal DVT [ 4 ]. Other studies have shown that the one-year mortality rate of DVT is 19.6% [ 5 ]. DVT and pulmonary embolism (PE), collectively referred to as venous thromboembolism (VTE), constitute a major global burden of disease [ 6 ].

Thyroid diseases are common in the real world. Previous studies have focused on the relationship between DVT and thyroid diseases, including thyroid dysfunction and thyroid cancer. Some case reports [ 7 , 8 , 9 ] have demonstrated that hyperthyroidism is often associated with DVT and indicates a worse prognosis [ 10 ]. The relationship between thyroid tumors and venous thrombosis has troubled researchers for many years. In 1989, the first case of papillary thyroid carcinoma presenting with axillary vein thrombosis as the initial symptom was reported [ 11 ]. In 1995, researchers began to notice the relationship between thyroid tumors and hypercoagulability [ 12 ], laying the foundation for subsequent extensive research. However, the aforementioned observational studies had limitations, such as small sample sizes, selection bias, reverse causality, and confounding factors, which may have led to unreliable conclusions [ 13 ].

Previous studies have explored the relationship of thyroid disease and DVT and revealed that high levels of thyroid hormones may increase the risk of DVT. Hyperthyroidism promotes a procoagulant and hypofibrinolytic state by affecting the von Willebrand factor, factors VIII, IV, and X, fibrinogen, and plasminogen activator inhibitor-1 [ 14 , 15 ]. At the molecular level, researchers believe that thyroid hormones affect coagulation levels through an important nuclear thyroid hormone receptor (TR), TRβ [ 16 ], and participate in pathological coagulation through endothelial dysfunction. Thyroid hormones may have non-genetic effects on the behavior of endothelial cells [ 17 , 18 ]. In a study regarding tumor thrombosis, Lou [ 19 ] found that 303 circular RNAs were differentially expressed in DVT using microarray. Kyoto Encyclopedia of Genes and Genomes (KEGG) analysis revealed that the most significantly enriched pathways included thyroid hormone-signaling pathway and endocytosis, and also increased level of proteoglycans in cancer. This indicated that tumor cells and thyroid hormones might interact to promote thrombosis. Based on these studies, we speculated that thyroid diseases, including thyroid dysfunction and thyroid tumors, may cause DVT.

Mendelian randomization (MR) research is a causal inference technique that can be used to assess the causal relationship and reverse causation between specific exposure and outcome factors. If certain assumptions [ 20 ] are fulfilled, genetic variants can be employed as instrumental variables (IVs) to establish causal relationships. Bidirectional MR analysis can clarify the presence of reverse causal relationships [ 21 ], making the conclusions more comprehensive. Accordingly, we aimed to apply a two-sample MR strategy to investigate whether DVT is related to four thyroid diseases, including autoimmune hyperthyroidism, subacute thyroiditis, hypothyroidism, and thyroid cancer.

Study design

MR relies on single nucleotide polymorphisms (SNPs) as IVs. The IVs should fulfill the following three criteria [ 22 ]: (1) IVs should be strongly associated with exposure. (2) Genetic variants must be independent of unmeasured confounding factors that may affect the exposure–outcome association. (3) IVs are presumed to affect the outcome only through their associations with exposure (Fig.  1 ). IVs that met the above requirements were used to estimate the relationship between exposure and outcome. Our study protocol conformed to the STROBE-MR Statement [ 23 ], and all methods were performed in accordance with the relevant guidelines and regulations.

The relationship between instrumental variables, exposure, outcome, and confounding factors

Data sources and instruments

Datasets (Table  1 ) in this study were obtained from a publicly available database (the IEU open genome-wide association studies (GWAS) project [ 24 ] ( https://gwas.mrcieu.ac.uk )). There was no overlap in samples between the data sources of outcome and exposures. Using de-identified summary-level data, privacy information such as overall age and gender were hidden. Ethical approval was obtained for all original work. This study complied with the terms of use of the database.

MR analysis was performed using the R package “TwoSampleMR”. SNPs associated with each thyroid disease at the genome-wide significance threshold of p  < 5.0 × 10 –8 were selected as potential IVs. To ensure independence between the genetic variants used as IVs, the linkage disequilibrium (LD) threshold for grouping was set to r 2  < 0.001 with a window size of 10,000 kb. The SNP with the lowest p -value at each locus was retained for analyses.

Statistical analysis

Multiple MR methods were used to infer causal relationships between thyroid diseases and DVT, including the inverse variance weighted (IVW), weighted median, and MR-Egger tests, after harmonizing the SNPs across the GWASs of exposures and outcomes. The main analysis was conducted using the IVW method. Heterogeneity and pleiotropy were also performed in each MR analysis. Meanwhile, the MR-PRESSO Global test [ 25 ] was utilized to detect horizontal pleiotropy. The effect trend of SNP was observed through a scatter plot, and the forest plot was used to observe the overall effects. When a significant causal relationship was confirmed by two-sample MR analysis, bidirectional MR analysis was performed to assess reverse causal relationships by swapping exposure and outcome factors. Parameters were set the same as before. All abovementioned statistical analyses were performed using the package TwoSampleMR (version 0.5.7) in the R program (version 4.2.1).

After harmonizing the SNPs across the GWASs for exposures and outcomes, the IVW (OR = 1.0009, p  = 0.024, Table  2 ) and weighted median analyses (OR = 1.001, p  = 0.028) revealed significant causal effects between autoimmune hyperthyroidism and DVT risk. Similar results were observed using the weighted median approach Cochran’s Q test, MR-Egger intercept, and MR-PRESSO tests suggested that the results were not influenced by pleiotropy and heterogeneity (Table  2 ). However, the leave-one-out analysis revealed a significant difference after removing some SNPs (rs179247, rs6679677, rs72891915, and rs942495, p  < 0.05, Figure S2a), indicating that MR results were dependent on these SNPs (Figure S2, Table S1). No significant effects were observed in other thyroid diseases (Table  2 ). The estimated scatter plot of the association between thyroid diseases and DVT is presented in Fig.  2 , indicating a positive causal relationship between autoimmune hyperthyroidism and DVT (Fig.  2 a). The forest plots of single SNPs affecting the risk of DVT are displayed in Figure S1.

The estimated scatter plot of the association between thyroid diseases and DVT. MR-analyses are derived using IVW, MR-Egger, weighted median and mode. By fitting different models, the scatter plot showed the relationship between SNP and exposure factors, predicting the association between SNP and outcomes

Bidirectional MR analysis was performed to further determine the relationship between autoimmune hyperthyroidism and DVT. The reverse causal relationship was not observed (Table S2), which indicated that autoimmune hyperthyroidism can cause DVT from a mechanism perspective.

This study used MR to assess whether thyroid diseases affect the incidence of DVT. The results showed that autoimmune hyperthyroidism can increase the risk of DVT occurrence, but a reverse causal relationship was not observed between them using bidirectional MR analysis. However, other thyroid diseases, such as subacute thyroiditis, hypothyroidism, and thyroid cancer, did not show a similar effect.

Recently, several studies have suggested that thyroid-related diseases may be associated with the occurrence of DVT in the lower extremities, which provided etiological clues leading to the occurrence of DVT in our subsequent research. In 2006, a review mentioned the association between thyroid dysfunction and coagulation disorders [ 26 ], indicating a hypercoagulable state in patients with hyperthyroidism. In 2011, a review further suggested a clear association between hypothyroidism and bleeding tendency, while hyperthyroidism appeared to increase the risk of thrombotic events, particularly cerebral venous thrombosis [ 27 ]. A retrospective cohort study [ 28 ] supported this conclusion, but this study only observed a higher proportion of concurrent thyroid dysfunction in patients with cerebral venous thrombosis. The relationship between thyroid function and venous thromboembolism remains controversial. Krieg VJ et al. [ 29 ] found that hypothyroidism has a higher incidence rate in patients with chronic thromboembolic pulmonary hypertension and may be associated with more severe disease, which seemed to be different from previous views that hyperthyroidism may be associated with venous thrombosis. Alsaidan [ 30 ] also revealed that the risk of developing venous thrombosis was almost increased onefold for cases with a mild-to-moderate elevation of thyroid stimulating hormone and Free thyroxine 4(FT4). In contrast, it increased twofold for cases with a severe elevation of thyroid stimulating hormone and FT4. Raised thyroid hormones may increase the synthesis or secretion of coagulation factors or may decrease fibrinolysis, which may lead to the occurrence of coagulation abnormality.

Other thyroid diseases are also reported to be associated with DVT. In a large prospective cohort study [ 31 ], the incidence of venous thromboembolism was observed to increase in patients with thyroid cancer over the age of 60. However, other retrospective studies did not find any difference compared with the general population [ 32 ]. In the post-COVID-19 era, subacute thyroiditis has received considerable attention from researchers. New evidence suggests that COVID-19 may be associated with subacute thyroiditis [ 33 , 34 ]. Mondal et al. [ 35 ] found that out of 670 COVID-19 patients, 11 presented with post-COVID-19 subacute thyroiditis. Among them, painless subacute thyroiditis appeared earlier and exhibited symptoms of hyperthyroidism. Another case report also indicated the same result, that is, subacute thyroiditis occurred after COVID-19 infection, accompanied by thyroid function changes [ 36 ]. This led us to hypothesize that subacute thyroiditis may cause DVT through alterations in thyroid function.

This study confirmed a significant causal relationship between autoimmune hyperthyroidism and DVT ( p  = 0.02). The data were tested for heterogeneity and gene pleiotropy using MR-Egger, Cochran’s Q, and MR-PRESSO tests. There was no evidence that the results were influenced by pleiotropy or heterogeneity. In the leave-one-out analysis, four of the five selected SNPs showed significant effects of autoimmune hyperthyroidism on DVT, suggesting an impact of these SNPs on DVT outcome. Previous studies have focused on the relationship between hyperthyroidism and its secondary arrhythmias and arterial thromboembolism [ 37 , 38 ]. This study emphasized the risk of DVT in patients with hyperthyroidism, which has certain clinical implications. Prophylactic anticoagulant therapy was observed to help prevent DVT in patients with hyperthyroidism. Unfortunately, the results of this study did not reveal any evidence that suggests a relationship between other thyroid diseases and DVT occurrence. This may be due to the limited database, as this study only included the GWAS data from a subset of European populations. Large-scale multiracial studies are needed in the future.

There are some limitations to this study. First, it was limited to participants of European descent. Consequently, further investigation is required to confirm these findings in other ethnicities. Second, this study did not reveal the relationship between complications of hyperthyroidism and DVT. Additionally, this study selected IVs from the database using statistical methods rather than selecting them from the real population. This may result in weaker effects of the screened IVs and reduce the clinical significance of MR analysis. Moreover, the definitions of some diseases in this study were not clear in the original database, and some of the diseases were self-reported, which may reduce the accuracy of diagnosis. Further research is still needed to clarify the causal relationship between DVT and thyroid diseases based on prospective cohort and randomized controlled trials (RCTs).

This study analyzed large-scale genetic data and provided evidence of a causal relationship between autoimmune hyperthyroidism and the risk of DVT, Compared with the other thyroid diseases investigated. Prospective RCTs or MR studies with larger sample sizes are still needed to draw more precise conclusions.

Availability of data and materials

The IEU open gwas project, https://gwas.mrcieu.ac.uk/

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Lifeng Zhang and Kaibei Li have contributed equally to this work and share the first authorship.

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Department of Vascular Surgery, Hospital of Chengdu University of Traditional Chinese Medicine, No. 39, Shierqiao Road, Jinniu District, Chengdu, 610072, Sichuan, People’s Republic of China

Lifeng Zhang, Qifan Yang, Yao Lin, Caijuan Geng, Wei Huang & Wei Zeng

Disinfection Supply Center, Hospital of Chengdu University of Traditional Chinese Medicine, No. 39, Shierqiao Road, Jin Niu District, Chengdu, 610072, Sichuan, People’s Republic of China

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Conception and design: LFZ and WZ. Analysis and interpretation: LFZ, KBL and WZ. Data collection: LFZ, QFY, YL, CJG and WH. Writing the article: LFZ, KBL. Critical revision of the article: LFZ, GFY and WZ. Final approval of the article: LFZ, KBL, YL, CJG, WH, QFY and WZ. Statistical analysis: YL, QFY.

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Zhang, L., Li, K., Yang, Q. et al. Associations between deep venous thrombosis and thyroid diseases: a two-sample bidirectional Mendelian randomization study. Eur J Med Res 29 , 327 (2024). https://doi.org/10.1186/s40001-024-01933-1

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Differences in Physicians’ Ratings of Work Stressors and Resources Associated With Digital Transformation: Cross-Sectional Study

Authors of this article:

Original Paper

• Magdalena Katharina Wekenborg 1, 2 , PhD   ; 
• Katharina Förster 3 , PhD   ; 
• Florian Schweden 4 , PhD   ; 
• Robin Weidemann 5 , PhD   ; 
• Felix von Bechtolsheim 6, 7 , PhD   ; 
• Clemens Kirschbaum 1 , PhD   ; 
• Jürgen Weitz 6, 7 , PhD   ; 
• Beate Ditzen 8 , PhD  

1 Chair of Biopsychology, Faculty of Psychology, TU Dresden, Dresden, Germany

2 Else Kröner Fresenius Center for Digital Health, Faculty of Medicine and University Hospital Carl Gustav Carus, TU Dresden, Dresden, Germany

3 Clinical Psychology and Behavioural Neuroscience, Faculty of Psychology, TU Dresden, Dresden, Germany

4 Institute for Work Design and Organizational Development INAGO, Hamburg, Germany

5 Clinic of Internal Medicine, Krankenhaus St. Joseph-Stift, Dresden, Germany

6 Department of Gastrointestinal, Thoracic, and Vascular Surgery, Faculty of Medicine and University Hospital Carl Gustav Carus, TU Dresden, Dresden, Germany

7 Center for Tactile Internet with Human-in-the-Loop (CeTI), TU Dresden, Dresden, Germany

8 Institute of Medical Psychology, Heidelberg University, Heidelberg, Germany

Corresponding Author:

Magdalena Katharina Wekenborg, PhD

Else Kröner Fresenius Center for Digital Health

Faculty of Medicine and University Hospital Carl Gustav Carus

Fetscherstraße 74

Dresden, 01307

Phone: 49 0351 45819581

Email: [email protected]

Background: The emergence of the COVID-19 pandemic rapidly accelerated the need and implementation of digital innovations, especially in medicine.

Objective: To gain a better understanding of the stress associated with digital transformation in physicians, this study aims to identify working conditions that are stress relevant for physicians and differ in dependence on digital transformation. In addition, we examined the potential role of individual characteristics (ie, age, gender, and actual implementation of a digital innovation within the last 3 years) in digitalization-associated differences in these working conditions.

Methods: Cross-sectional web-based questionnaire data of 268 physicians (mean age 40.9, SD 12.3 y; n=150, 56% women) in Germany were analyzed. Physicians rated their chronic stress level and 11 relevant working conditions (ie, work stressors such as time pressure and work resources such as influence on sequence) both before and after either a fictional or real implementation of a relevant digital transformation at their workplace. In addition, a subsample of individuals (60; n=33, 55% women) submitted self-collected hair samples for cortisol analysis.

Results: The stress relevance of the selected working conditions was confirmed by significant correlations with self-rated chronic stress and hair cortisol levels (hair F) within the sample, all of them in the expected direction ( P values between .01 and <.001). Multilevel modeling revealed significant differences associated with digital transformation in the rating of 8 (73%) out of 11 working conditions. More precisely, digital transformation was associated with potentially stress-enhancing effects in 6 working conditions (ie, influence on procedures and complexity of tasks ) and stress-reducing effects in 2 other working conditions (ie, perceived workload and time pressure ). Younger individuals, women, and individuals whose workplaces have implemented digital innovations tended to perceive digitalization-related differences in working conditions as rather stress-reducing.

Conclusions: Our study lays the foundation for future hypothesis-based longitudinal research by identifying those working conditions that are stress relevant for physicians and prone to differ as a function of digital transformation and individual characteristics.

Introduction

The COVID-19 pandemic convincingly demonstrated the urgent need for employable physicians for the functionality of many aspects of society. Given this crucial role of physicians in society, the widespread prevalence of chronic stress among them [ 1 ] is alarming. Chronic stress is experienced when perceived resources are enduringly outweighed by demands [ 2 ]. Keeping in mind that chronic stress and its sequelae (ie, burnout symptoms) have been associated with risks for patients (eg, heightened risk for medical errors [ 3 ]), as well as a significant increase in rates of sickness absence and incapacity for work [ 4 ], chronic stress poses a serious threat to the health and employability of physicians [ 5 ].

In theory, the increasing digital transformation of the health system could help to reduce the chronic stress of physicians because the potential of improvement of working conditions of health care professionals by IT has been emphasized repeatedly [ 6 ]. Thereby, digital transformation defined as an automatization of tasks [ 7 ] can be distinguished from digitization (ie, technical process of converting analog signals into a digital form [ 7 , 8 ]) and digitalization (ie, the process of adopting and using this technology in broader contexts [ 9 ]). As described in a review by Topol [ 10 ], the importance of top digital health care technologies, namely, digital medicine (eg, telemedicine), genomics (eg, reading the genome), artificial intelligence (AI), and robotics (eg, automated image interpretation using AI), for the work of physicians will increase significantly within the next decades.

Indeed, theoretically, digital transformation offers a variety of ways to reduce workplace stress for physicians, including simplifying time-consuming bureaucracy and relieving certain tasks and responsibilities through digital decision-making tools [ 6 ]. Empirically, there is evidence for the stress-reducing effects of digital innovations, for example, with respect to robot-assisted surgery on surgeons’ stress load [ 11 ] and mental effort and workload [ 12 ].

However, the few existing empirical studies do not consistently support the stress-buffering effects of digital transformation on perceived stress in physicians. Particularly, electronic health records (EHRs) and comparable information systems have been implicated as a factor that might enhance physicians’ chronic stress, both in cross-sectional [ 13 - 15 ] and longitudinal studies [ 16 ].

Although EHRs receive significant attention, research indicates that increased use of other digital technologies, such as new surgical technologies in operating rooms [ 17 ] and telemedicine [ 18 ], may also contribute to chronic stress among physicians. These findings implicate that very different types of digital transformation can have stress-enhancing effects for the user.

One of the most established models to explain the development of stress as a consequence of digital transformation is the technostress model, which was originally introduced by Brod [ 19 ]. On the basis of the transactional model of stress and health [ 2 ], Brod [ 19 ] defined technostress as the result of an inadequate ability to cope with the requirements of the use of computer technology. More precisely, he defined the following 5 components crucially related to the development of technostress, namely, techno-invasion (employee can be contacted at any time), techno-overload (technology forces one to work harder), techno-complexity (complexity requires learning efforts), techno-insecurity (one is afraid of losing one’s job because of technology), and techno-uncertainty (continuous changes requires constant relearning).

The technostress model by Brod [ 19 ] has undoubtedly made a decisive contribution to the description and study of the phenomenon. However, its further development is highly relevant for a better understanding of the process by which digital transformation affects stress. Although there have been important expansions to the original model (eg, by Gimpel et al [ 20 ] and Ragu-Nathan et al [ 21 ]), empirical evidence on which particular stress-relevant working conditions mediate the association between digital transformation and enhanced stress is still lacking. Identifying the working conditions that contribute to physician stress and are susceptible to change would be highly relevant for monitoring and designing health care digitalization.

When it comes to the selection of these stress-relevant working conditions, different theoretical conceptualizations and empirical evidence exist [ 22 - 26 ]. Thereby, the working conditions identified by Rau and Buyken [ 27 ] within a meta-analysis appear to be especially suited with regard to the aim of this study, as they have been shown to be relevant in physicians [ 27 , 28 ]. The working conditions identified by this meta-analysis can be roughly subdivided into work resources potentially reducing stress load at work (eg, learning new skills and job control) and work stressors potentially enhancing stress load at work (eg, time pressure).

To complement existing models on technostress in physicians and enabling future hypothesis-based research, this study set out to examine (1) which of those working conditions identified by Rau and Buyken [ 27 ] are stress relevant for physicians and (2) which differ as a function of digital transformation. Thereby, in contrast to the prevailing approach in prior research, our study acknowledges stress as a biopsychological phenomenon. We do this by operationalizing stress using both self-report measures as well as a biological marker of stress, namely, hair cortisol concentrations (hair F). Shortly summarized, hair F has been shown to be a valid and solid index of the functional status of one of the central stress pathways of the body, the hypothalamus-pituitary-adrenal (HPA) axis, with high intraindividual stability and test-retest reliability, which, in contrast to other forms of cortisol quantification, represents an aggregated measure of chronic stress over a period of months [ 29 ].

To answer these research questions, the following hypotheses are tested:

• H1 : The selected working conditions are associated with psychological and physiological markers of chronic stress in physicians. More precisely, work resources (ie, influence on sequence of activities; influence on workload and procedures; learning new skills; use of knowledge, skills, and abilities; visibility of task accomplishment ; and consideration of employee input ) are associated with reduced levels of chronic stress in physicians, and work stressors (ie, workload, time pressure, excessive complexity of tasks, excessive demands on concentration , and interruptions of workflow ) are associated with enhanced levels of chronic stress in physicians..
• H2.1 : Age and gender influence differences in these ratings.
• H2.2 : Finally, we were interested in how actual experiences with digital transformation at the workplace might moderate differences in the ratings of these working conditions before and after digital transformation.

Recruitment

Physicians were recruited throughout Germany via social networks, web-based platforms, and medical associations with a special focus on the University Hospital Dresden. Practicing physicians from all disciplines were included in the study.

A total of 437 participants started the web-based questionnaire. Of the 437 participants, 271 (62%) completed the questionnaire. Of these 271 participants, 3 (1.1%) defined their gender as “diverse.” They were not included in the analyses of the core sample because gender was included as a control variable in all subsequent analyses, and this number is too small for statistical processing, leaving a final sample of 268 participants (core sample: mean age 40.79, SD 12.3 y; n=150, 56% women). Hair samples were available from 24% (60/268) of these participants (subsample). Sample characteristics of the core sample as well as the subsample that provided hair samples are presented in Table 1 .

a Most frequently mentioned specialties.

b PSS-4: Perceived Stress Scale 4.

c Hair F: hair cortisol concentration.

The most commonly reported medical specialty was by far internal medicine, followed by general medicine, anesthesiology, surgery, psychiatry, and pediatrics.

Overall, 57.1% (153/268) of the participants reported that a digital innovation was implemented at their workplace within the last 3 years, whereas 21.3% (57/268) of the individuals referred to a digital transformation that would be presumably implemented within the upcoming 3 years, and 21.6% (58/268) of the participants used our provided fictional example. Facing the large variety of different digital health care technologies mentioned by our study participants, we used three categories introduced by Topol [ 30 ] to categorize them: (1) digital medicine (ie, digital products and services that are intended for use in diagnosis, prevention, monitoring, and treatment such as EHRs and wearables), (2) robotics (ie, construction, operation, and application of intelligent machines, eg, robot-assisted surgery), and (3) AI (ie, methods that can be used to analyze, interpret, and make predictions using these data source, for example, AI-based diagnostics). Figure 1 presents the participant flow.

This study had a cross-sectional, quantitative research design. The main part of the study was web-based questionnaire that was administered via LimeSurvey, encompassing questions regarding stress-relevant working conditions, sociodemographic factors (age, gender [men, women, nonbinary]), occupational characteristics (eg, specialization and years of work experiences), the actual implementation of a digital innovation at the workplace within the last 3 years (yes or no), and chronic stress. Sociodemographic factors and occupational characteristics were assessed using self-generated items. In addition, participants could send in self-collected hair samples as a biological marker of chronic stress.

Stress-relevant working conditions identified by Rau and Buyken [ 27 ] were assessed with the Short Questionnaire for Workplace Analysis (KFZA [ 31 ]). The KFZA seems especially suited as it fulfills the recommendations of the Joint German Occupational Safety and Health Strategy [ 32 ] for psychosocial workplace risk assessment and has been empirically proven to be generally applicable in hospital settings [ 33 - 36 ]. The KFZA originally consists of 26 items.

To take into account its applicability in a sample that is characterized by constant presence of time pressure, we shortened the KFZA to 11 items to enhance its applicability in physicians. Selection of items was based on the findings of Appel et al [ 33 ] as well as consensus of several experts. Within the original KFZA, the 26 items can be subsumed under 4 aspects of work. For each of these work aspects ≥1 items of the KFZA were included within this study: (1) “Job Content” (items in this study: learning new skills ; use of knowledge, skills, and abilities ; and visibility of task accomplishment ), (2) “Resources” (items in this study: influence on sequence of work activities and influence on workload and procedures ), (3) “Stressors” (items in this study: workload, time pressure, excessive complexity of tasks, excessive demands on concentration, and interruptions to workflow ), and (4) “Organizational Culture” (item in this study: consideration of employee input [adjusted by referring to “clinic management” instead of originally referring to company management]). Items that are summarized under the work aspects 1, 2, and 4 have been theoretically and empirically associated with reduced work stress experiences (referred to as work resources in the following sections), whereas items that are summarized under work aspect 3 have been associated with enhanced stress experiences (referred to as work stressors in the following sections) [ 31 , 33 ]. Participants rated the extent to which they agree with each of these items on a 5-pont Likert scale, ranging from 1 (fully disagree) to 5 (fully agree). The internal consistencies (ie, Cronbach α) of the work aspects were calculated based on the current rating of the respective KFZA items (ie, preimplementation ratings of individuals without the actual implementation of a digital innovation and postimplementation ratings of individuals with the actual implementation of a digital innovation at one’s workplace) and ranged from acceptable to very good (work aspect 1: α=0.71, work aspect 2: α=0.89, and work aspect 3: α=0.77). No Cronbach α could be calculated for “Organizational Culture,” as this work factor was operationalized using only 1 item. As recommended by the authors of the KFZA, no sum scores over the different work aspects were calculated [ 31 ]. Instead, all items were analyzed separately.

Chronic self-reported stress was assessed using the German version [ 37 ] of the short form of the Perceived Stress Scale 4 (PSS-4 [ 38 ]). Respondents answered the 4 items on a 5-point Likert scale, ranging from 0 (never) to 4 (very often). Two items were reversed coded; thus, they were recoded before a total score was calculated, with higher values reflecting more stress (range 0 to 16). The internal consistency of the PSS-4 was, in accordance with the original publication [ 39 ], acceptable (Cronbach α =0.66).

Psychobiological indicators of stress were assessed via levels of the central hormone of the HPA axis, namely, cortisol, in the scalp hair. Cortisol mediates a number of biological, cognitive, and behavioral stress responses such as enhancing metabolic actions that increase energy level. These responses are necessary for adequately dealing with stressful situations and inhibiting stress-irrelevant body functions (eg, digestion [ 40 ]), making accumulated cortisol level a valid marker of HPA axis activity and therefore the chronic stress level of an individual [ 41 ]. In contrast to traditional measures of cortisol (blood, saliva, or urinary samples), the assessment of relevant HPA axis hormones in scalp hair retrospectively reflects an integrated secretion over several months [ 41 ], making hair F a valid and reliable biological marker of chronic stress [ 42 ]. Hair F concentration was determined from the 3 cm segment most proximal to the scalp. Given an average hair growth of 1 cm per month [ 43 ], this segment represents the cumulated cortisol secretion over a 3-month prior sampling episode. In the laboratory, handling and extraction of hair F were conducted in accordance with the laboratory protocol by Gao et al [ 44 ]. All samples were analyzed by liquid chromatography coupled with tandem mass spectrometry. The lower detection limit of the liquid chromatography coupled with tandem mass spectrometry protocol was 0.3 pg/mg for cortisol. All samples were processed in a single batch. The intraassay coefficients of variance was 8.2%.

Ethical Considerations

The study was designed according to the ethical standards of the relevant national and institutional committees on human experimentation and with the Helsinki Declaration of 1975 (revised in 2008) and approved by the ethics committee of Technische Universität Dresden (identifier EK222052019). All participants provided informed consent. Data were pseudonymized during data collection using individually generated codes and anonymized after the data collection period.

After opening the link to the web-based questionnaire, participants were presented information about the study, and the participants provided informed consent. They were then asked about their medical specialty.

Next, participants read a short text, which explained the term digital transformation in medicine and included some examples. They were then asked to name and briefly describe a digital innovation at their workplace, which had either been implemented within the last 3 years or would be presumably implemented within the coming 3 years and which affected them personally and significantly altered their work. If no digital transformation matching these criteria existed, they were provided with a short description of the EHR, as EHRs are particularly widespread in all medical specialties. As depicted in Figure 1 , most participants described digital health care technologies from the category of digital medicine (within the last 3 years: n=142, 53% and within the next 3 years: n=44, 16.4%); AI was the second most common category (within the last 3 years: n=7, 2.6% and within the next 3 years: n=10, 3.7%), ahead of robotics (within the last 3 years: n=4, 1.5% and within the next 3 years: n=3, 1.1%).

Thereafter, participants were asked to rate each of the KFZA items, regarding the situation both before and after the introduction of the respective digital transformation (exact wording: “Please rate how strongly the following statements apply to your work. As you do so, take turns imagining that the digital innovation you have just described does or does not affect you.”). In a final part of the web-based questionnaire, participants responded to items assessing perceived chronic psychological stress, sociodemographic variables, and further constructs, which are not part of this study.

Afterward, participants could receive information on how to self-collect hair samples, store them, and send them to the laboratory via mail. Previous research indicated that the self-collection of hair in domestic settings is a viable and economical method for measuring long-term steroid concentration in hair [ 45 ]. All individuals with hair >3 cm were invited to send in hair samples and were instructed to cut hair strains as close as possible to the scalp from the posterior vertex position.

As compensation, all participants were eligible to enter a lottery for 5 activity vouchers, each valued at €200 (US $215), and received personalized feedback on their chronic stress levels.

Data Processing and Statistical Analyses

Hair F turned out to be positively skewed and was transformed on the natural logarithm scale to approach a normal distribution. For descriptive purposes, hair data in text and tables are reported in original units (pg/mg); however, for statistical analyses, log-transformed hair data were used.

First, we calculated descriptive statistics of study characteristics. Second, we examined potential differences in the chronic stress level between physicians from the most frequently mentioned medical specialties using an analysis of covariance (ANCOVA), with the PSS-4 as dependent and the medical specialty as independent variable, while adjusting for age and gender. We chose an ANCOVA as it allowed adjustment for the covariates gender and age. Due to the small number of hair samples per medical specialty, we abstained from calculating a respective ANCOVA for hair F. Third, we tested our first hypothesis that our selected KFZA items were stress relevant for physicians by investigating their associations with biopsychological markers of chronic stress. More precisely, we used nonparametrical partial correlation analyses controlling for age and gender to examine the association between the PSS-4, hair F, and the current rating of the respective KFZA items independent of any digital transformation. We opted for nonparametric partial correlation analyses to account for the different scale levels of the included variables. The ANCOVA and the nonparametrical partial correlation analyses were conducted using SPSS Statistics (version 28; IBM Corp).

Fourth, we tested our research hypotheses 2, 2.1, and 2.2 with multilevel linear mixed effects models nested within the person using the nlme function implemented in R (R Foundation for Statistical Computing) [ 46 ]. In all these models, time was included as within-subject variable, and age, gender, and the implementation of a digital innovation at one’s workplace within the last 3 years were included as level 2 predictors (model 1). To test our hypothesis 2 of differences in the rating of stress-relevant working conditions associated with digital transformation, separate multilevel linear mixed effects models were calculated for each KFZA item (dependent variable) to account for high collinearity (model 1). To test our hypothesis 2.1 on the influence of demographical variables on differences in the rating of stress-relevant working conditions associated with digital transformation, interaction terms for age and time as well as gender and time were added to model 1 (model 2). Here too, separate multilevel linear mixed effects models were calculated with each of the KFZA items serving as dependent variable. Hypothesis 2.2 on the influence of actual experiences with digital innovations at one’s workplace on differences in the rating of stress-relevant working conditions associated with digital transformation was tested by including an interaction term for this variable and time in model 2. We decided to use multilevel linear mixed effects models for testing our research hypotheses 2, 2.1, and 2.2 mainly because they provide a powerful method for examining complex data structures, which in our case enabled to differentiate between trait-like (intercepts) and digitalization-associated state-like (slopes) individual ratings of the KFZA items. In addition, multilevel linear mixed effects models allow for the consideration of covariates, and they provide better handling of missing values than most other common statistical methods.

For all analyses, we used the standard P <.05 criteria for determining if the results are significantly different from those expected if the null hypothesis were correct.

Descriptive Results

In terms of chronic stress levels, these medical specialties significantly differed ( F 5,167 =2.43; P =.04; η²=0.068), with highest perceived stress levels (PSS-4) in internal medicine (mean 7.03, SD 2.87) and the lowest in anesthesiology (mean 5.24, SD 3.14).

An overview of the before and after ratings of all stress-relevant working conditions is given in Figure 2 [ 31 ]. Following the specifications made by Prümper et al [ 31 ], mean ratings >3 indicate a high perceived presence and mean ratings <3 indicate a low perceived presence of the respective working condition. Applying these criteria, the perceived working environment of the physicians in this sample is generally characterized by a relatively high amount of interruption of their workflow ; a relatively high perceived workload ; a relatively high perceived visibility of task accomplishment ; and a relatively high perceived use of knowledge, skills, and abilities . In contrast, the physicians in the present sample perceived the possibilities for their participation in modification processes as rather low.

Associations Between Chronic Stress and the Selected Working Conditions (H1)

To test our first hypothesis regarding the stress relevance of the selected working conditions, associations between the current rating of the KFZA items and chronic self-reported stress as well as hair F were evaluated. We operationalized the current ratings of KFZA items by comparing preimplementation ratings of individuals without the digital innovation and postimplementation ratings of individuals with the innovation in their workplace. These ratings reflect their current work situation. As expected, work stressors were positively associated with biopsychological markers of chronic stress, and work resources were negatively associated with biopsychological markers of chronic stress ( Table 2 ). Thereby, chronic self-reported stress, operationalized using the PSS-4, was significantly associated with all working conditions, except for visibility of task accomplishment , which, however, only narrowly missed statistical significance ( P =.05). Hair F depicted significant positive associations only with excessive demands on concentration and consideration of employee input . H1 can therefore be retained.

a PSS-4: Perceived Stress Scale 4.

b Hair F: hair cortisol concentration.

Digitalization-Associated Differences in the Perception of Working Conditions (H2)

Our hypothesis 2 was that digital transformation would be associated with differences in the perception of stress-relevant working conditions, operationalized using the KFZA. Separate mixed linear effects model for each of the selected KFZA items were conducted. Results are depicted in Table 3 ( work resources ) and Table 4 ( work stressors ).

a Impl dig: implementation of a digital innovation at one’s workplace within the last 3 years.

b χ² compares the lower level model with the respective next level model (ie, model 1 vs model 2).

* P <.05.

** P <.01.

a Impl dig: implementation of a digital innovation at one’s own workplace within the last 3 years.

Significant main effects of time were revealed for 8 (72%) of the 11 KFZA items (refer to Table 3 for work resources and Table 4 for work stressors ; model 2), which implies that H2 can, at least partly, be retained. For 6 (55%) of these 8 KFZA items for which significant main effects of time were revealed, digital transformation was associated with potentially stress-enhancing effects. More precisely, 5 work resources were rated lower (ie, influence on sequence of work activities : t 267 =−4.67; P <.001; influence on workload and procedures: t 267 =−3.21; P =.002; use of knowledge, skills, and abilities: t 267 =−3.49; P <.001; visibility of task accomplishment: t 267 =−2.92; P =.004; and consideration of employee input: t 267 =−2.41; P =.02), and one work stressor was rated higher (ie, excessive complexity of tasks: t 267 =3.14; P =.002) after the digital transformation compared to before. With regard to the KFZA item consideration of employee input , it should be noted that the effect does not stand up to a conservative Bonferroni correction ( P <.005).

With respect to the 2 remaining KFZA items for which significant main effects were revealed, digital transformation was associated with potentially stress-reducing effects, as these work stressors (ie, workload : t 267 =−3.04; P =.003; time pressure: t 267 =−3.63; P <.001) were rated lower after the digital transformation compared to before. No significant main effects of time were revealed for the work resource learning new skills and the 2 work stressors excessive demands on concentration and interruptions of workflow .

Influence of Age and Gender on Digitalization-Associated Differences in the Perception of Working Conditions (H2.1 and H2.2)

Results regarding our hypotheses H2.1 and H2.2 are depicted in Table 3 for work resources and in Table 4 for work stressors (model 3).

With respect to age, significant main effects on the rating of stress-relevant working conditions were revealed (model 1; Tables 3 and 4 ). More precisely, a higher age was associated with a less stressful perception of work, as indicated by higher ratings of work resources (ie, influence on sequence of activities ; influence on workload and procedures ; use of knowledge, skills, and abilities ; and visibility of task accomplishment ; model 1; Table 3 ) and lower ratings of work stressors (ie, excessive complexity of tasks and interruptions of workflow ; model 1; Table 4 ).

The examination of our hypothesis H2.1 revealed significant interaction effects of time and age on all work resources and all work stressors (model 2; Tables 3 and 4 ). Thereby, a higher age was associated with lower ratings of work resources and higher ratings of work stressors after the digital transformation compared to before ( Figure 3 [ 31 ]), indicating that older individuals rated differences associated with digital transformation in a stress-enhancing way compared to younger individuals.

No significant main effects of gender on ratings of stress-relevant working conditions were revealed (model 1; Tables 3 and 4 ).

The testing of our hypothesis H2.1 revealed one significant interaction effect of time and gender on the rating of the KFZA item consideration of employee input (model 2; Tables 3 and 4 ). More precisely, compared to women, men rated this work resource lower after the digital transformation compared to before, indicating that men perceive differences associated with digital transformation in a stress-enhancing way ( Figure 4 [ 31 ]).

In summary, it can be concluded that hypothesis 2.1, stating that age and gender influence the perceived differences in ratings of stress-relevant working conditions before and after the digital transformation, can be retained.

Influence of the Actual Implementation of a Digital Innovation at One’s Workplace on Digitalization-Associated Differences in the Perception of Working Conditions

No main effect of the actual implementation of a digital innovation at one’s workplace within the last 3 years on the rating of stress-relevant working conditions was revealed (model 1; Tables 3 and 4 ).

The testing of our hypothesis H2.2 revealed significant interaction effects between time and implementation of a digital innovation at one’s workplace on the ratings of 4 work stressors (ie, workload , time pressure , excessive complexity of tasks , and interruptions of workflow ; model 2; Table 4 ). On the basis of these results, our hypothesis H2.2 that the actual implementation of a digital innovation at one’s workplace is associated with differences in the perception of working conditions can be, at least with respect to 4 of the examined working conditions, retained. Thereby, individuals who actually experienced the implementation of a digital innovation at their workplace rated these work stressors higher post compared to pre digital transformation ( Figure 4 [ 31 ]), indicating that actually experiencing the implementation of a digital innovation is associated with a rather stress-enhancing perception of digital transformation, compared to individuals who only imagined how these work stressors would differ in dependence of digital transformation.

Principal Findings

The main goal of this study was to identify stress-related working conditions in physicians (H1), which are potentially prone to differ as a function of digital transformation in physicians (H2). In addition, we tested if these potential differences would be influenced by demographic variables (ie, age and gender; H2.1) and the actual experience of the implementation of a digital innovation at one’s workplace within the last 3 years (H2.2).

With respect to our first hypothesis, our results support, at least partly, the theoretically derived assumption that the selected working conditions (ie, KFZA items) were stress relevant for physicians, as 10 (90%) of the 11 KFZA items were significantly associated with either a psychological or a biological stress marker. Moreover, the direction of the revealed correlations confirms our categorization of the selected working conditions into work resources and work stressors . Our finding of associations with working conditions being found mainly with the psychological (PSS-4) and not with the biological (hair F) markers of chronic stress is consistent with a constantly revealed divergence between questionnaire-based measures and cortisol with respect to both hair F (for review, refer to the study by Stalder et al [ 29 ]) as well as other, more traditional cortisol measures, such as the cortisol awakening response [ 47 ], and cortisol (stress) reactivity [ 48 , 49 ]. Study-specific reasons for the lack of significant associations between the selected working conditions and hair F could be the reduced power in these analyses, as only a small number of participants could be included in these analyses, as well as shared method variance between the rating of the selected working conditions and the PSS-4.

In addition, our hypothesis H2 can be, at least partly, maintained, as our data suggest that digital transformation is associated with significant differences in the perception of 8 (73%) out of 11 stress-relevant working conditions. However, when interpreting these findings, it should be noted that one of these effects did not hold up to a Bonferroni corrector for multiple testing. Interestingly, the vast majority of these differences indicated a stress-enhancing effect of digital transformation (ie, enhanced work stressors and reduced work resources post compared to pre digital transformation). It should be noted, however, that we also found stress-reducing effects associated with digital transformation (ie, reduced perceived workload and reduced time pressure ). In line with previous research [ 50 , 51 ], this finding contradicts single-sided views that describe processes of digital transformation at work either as an unambiguous savior from chronic stress or a fundamental negative occurrence with mainly negative effects. The stress-enhancing effects associated with digital transformation observed in this study were mainly conveyed by reductions in the perception of work resources post compared to pre digital transformation (ie, reduced perceived own influence possibility on sequence of work activities ; lower influence on workload and procedures ; less use of knowledge, skills, and abilities ; less visibility of task accomplishment ; and less consideration of employee input ) and not by enhanced perception of work stressors (ie, only excessive complexity of tasks was rated higher post compared to pre digital transformation). This overall pattern is in line with previous research that suggested that digitalization-associated stress at work might rather be the result of a loss of resources than an increase in workplace stressors [ 13 , 16 ]. Moreover, our results reaffirm previous findings regarding the significance of resources in shaping how individuals perceive and cope with workplace stress [ 52 , 53 ].

Our findings provide important implications for the further development of theoretical models explaining the emergence of technostress [ 19 , 20 ]. They suggest that digital transformation is associated with differences in specific stress-relevant working conditions. Those working conditions should, if confirmed by larger longitudinal studies, be considered as potentially mediating variables. Furthermore, our data provide important insights on which working conditions to focus on for the health-promoting design of implementation processes of digital innovations. In this study, the types of digital transformation differed between participants. This suggests that very different types of digital transformations (ie, digital medicine, robotic, and AI) might result in similar differences in the perception of stress-relevant working conditions.

The Role of Age and Gender

Our hypothesis 2.1 focused on the influence of central demographic variables on the perception of differences in stress-relevant working conditions associated with digital transformation.

Independent of digitalization, a higher age was associated with a general tendency to perceive working conditions in a less stressful way (ie, higher ratings of work resources and lower ratings of work stressors). Prior research on age-related work stress attributes this phenomenon to several factors. These include the progression of career development, with older workers typically occupying more favorable positions associated with lower chronic stress levels, as well as the development of enhanced stress coping skills over time. In addition, there may be a selection bias favoring stress-resistant employees, as individuals who perceive their work as stressful are more likely to withdraw from their jobs over the years compared to those who do not [ 54 ].

In terms of age-dependent differences in the perception of digital transformation at work, the results of this study indicate that older age was linked to a perception of working conditions as more stressful after the digital transformation compared to before. Finding age differences in technostress is in line with previous studies outside the medical context [ 55 ]. However, findings regarding the direction of this age effect are mixed, with some studies supporting our findings by revealing a positive association between an increasing age and an increasing technostress [ 56 , 57 ], whereas others showed the opposite pattern [ 21 , 58 ]. Several explanations for an age-dependent increase in technostress have been suggested, such as a diminishing acceptance and use of technology [ 59 ], a reduced ability to adapt to new technologies [ 60 , 61 ], less computer experience [ 55 ], less computer self-efficacy [ 55 ], or enhanced appraisal of difficulties to use digital applications [ 56 , 62 ] in older age.

With respect to gender, our findings indicate that men perceived differences in working conditions in a rather stress-enhancing way compared to women (ie, reduced rating of the work resource consideration of employee input ). At first glance, this finding conflicts with the cultural tendency to understand technology as a masculine area [ 63 ], which would logically result in a more favorable perception of digital transformations for men compared to women. However, the findings of this study are in line with previous notions of women being more positive about the potential of digital transformation [ 64 - 66 ]. As the perception of digital transformation has been shown to influence the willingness to use these technologies [ 60 ], the results of this study might as well make an important contribution to accelerate the digitalization of the health system in a gender- and age-adapted manner.

The Role of One’s Experience With Digital Innovations

With respect to our hypothesis 2.2, our results suggest that personal experiences with the implementation of digital innovations at one’s workplace resulted in a rather stress-enhancing evaluation of digital transformation (ie, higher ratings of 4 work stressors post compared to pre digital transformation) compared to only imagining these consequences. To the best of our knowledge, no previous study investigated differences between expected and experienced differences in the rating of stress-related working conditions. Therefore, further research is needed to evaluate the general validity of this finding. If confirmed, our finding suggests that, at least partly, the actual experiences with digital innovations was more negative than the expectations of physicians with no such experience, which would underline the need to evaluate the usefulness of digital innovations, preferably before they are introduced.

Strengths and Limitations

The following limitations challenge the generalizability of the revealed results.

First, the cross-sectional design of this study (pre- and postdigital transformation ratings of the stress-related working conditions were collected at 1 time point only) does not allow to draw conclusions about the causality and the long-term stability of the revealed associations. The conclusion of the literature review by Berg-Beckhoff et al [ 50 ] that positive associations between digital technologies at work and stress being mostly found in cross-sectional studies instead of intervention studies underlines the importance of validating the revealed effects within methodically sound longitudinal field studies.

Second, to ensure the highest possible ecological validity, we chose not to focus on one single medical discipline and one specific type of digital transformation, which resulted in a relatively heterogeneous sample composition. The fact that significant effects were found even in such a heterogeneous sample basically speaks for the robustness of the revealed effects. One explanation for these cross-disciplinary effects could be that in everyday medical work the medical disciplines show a similar work distribution, workflows, and workload. For example, surgeons and urologists both operate using similar approaches (open, laparoscopic, and robotic-assisted surgery), both disciplines treat emergency patients additionally to elective cases, and both disciplines manage wards with inpatients. In addition, digital innovations such as the EHR are usually the same for all medical disciplines hospital wide. However, due to the small sample size in the respective conditions or subgroups, we were unable to examine stress-relevant effects of more specific types of digital transformation and specific medical disciplines. Future research with larger sample sizes is needed to examine possible differences in the effects with regard to these variables.

Third, data collection via a web-based survey might have influenced sample composition. More precisely, it seems plausible that the general attitude toward and familiarity with information technologies influences the willingness and capability to participate in a web-based survey, thereby limiting the generalizability of our results.

Conclusions, Implications, and Outlook

Digital transformation processes are omnipresent and substantially alter work in medicine and physician-patient interactions. Therefore, it seems important to systematically evaluate the consequences that these processes may have for stress in physicians. In this regard, our study makes an important contribution by identifying those work stressors and resources that are potentially prone to differ between pre- and postdigital transformation in physicians, depending on age, gender, and previous experiences. If confirmed by comprehensive longitudinal studies, our results not only serve as a valuable addition to theoretical models elucidating the development of technostress in physicians but also carry significant practical implications for effectively navigating digital transformations. First, our findings hold concrete recommendations on which working conditions to focus on during design and implementation of digital innovation to reduce chronic stress in physicians. Moreover, our finding of a rather stress-enhancing effect of digital transformations emphasizes the importance of carefully evaluating in advance which digital innovations are truly beneficial for the user and which are more likely to deteriorate the working environment. Furthermore, our observation that this potentially stress-enhancing impact is largely driven by reductions in resources could imply the necessity for workplace interventions aimed at conserving resources during digital transformation processes and beyond. Finally, the age- and gender-dependent variations in the perception of digital transformation at work, revealed by this study, suggest that digitalization-associated training and support opportunities at work tailored to specific subgroups might be beneficial.

Acknowledgments

MKW was funded by the Postdoc Starter Kit of the Graduate Academy, Technische Universität Dresden. FvB was funded by the German Research Foundation (Deutsche Forschungsgemeinschaft) as part of Germany’s Excellence Strategy—EXC 2050/1—Project ID 390696704—Cluster of Excellence “Centre for Tactile Internet with Human-in-the-Loop,” Technische Universität Dresden. The authors would like to thank Josi Harzbecker, Annika Walz, Hanna Singer, Anna Katharina Metzler, Pia Grabbe, and Elisabeth Eisele for their contribution to manuscript preparation.

Conflicts of Interest

None declared.

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Abbreviations

Edited by G Tsafnat; submitted 02.06.23; peer-reviewed by J Cecil, K Muroi; comments to author 20.02.24; revised version received 20.03.24; accepted 06.04.24; published 17.06.24.

©Magdalena Katharina Wekenborg, Katharina Förster, Florian Schweden, Robin Weidemann, Felix von Bechtolsheim, Clemens Kirschbaum, Jürgen Weitz, Beate Ditzen. Originally published in the Journal of Medical Internet Research (https://www.jmir.org), 17.06.2024.

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