Research Methods in Politics-2

Research Methods in Politics
A practical guide
Roger Pierce
Los Angeles London New Delhi Singapore
To
David, Kate and Tom Pierce
Roger Pierce 2008

First Published 2008
Apart from any fair dealing for the purposes of research or private study, or criticism or
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Enquiries concerning reproduction outside those terms should be sent to the publishers.
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Contents
About This Book
Preface
PART I INTRODUCTION
Introduction
Power in Research, Ethics, Data Protection and Bias
The Philosophy and Principles of Research
PART II METHODOLOGIES
4
22
39
Qualitative Versus Quantitative Methods: A Relevant

Argument?
41
Collecting Data Sets: Case Studies, Experimental,

Comparative, Longitudinal and Action Research Methods
51
PART III COLLECTING INFORMATION
67
Critically Evaluating Published Research
69
Evaluating Information: Validity, Reliability, Accuracy,

Triangulation
79
10
Completing a Literature Review: Accessing Published ()

Information
100
Asking Questions: Effective Elite Interviews, Other Interviews,

Vignettes, Projective Questions, and Focus Groups
117
Questionnaire Surveys
140
iv
Contents
11
Observation
161
PART IV DATA ANALYSIS
173
12
175
Analysing Research Data: The Process
Part IVA Quantitative Analysis
181
13
Calculating and Interpreting Descriptive Statistics
183
14
Using and Understanding Inferential Statistics
197
15
Testing for Association
206
16
Applying Factor Analysis and Other Advanced Techniques
220
PART IVB Qualitative Analysis

17
239
Analysing Qualitative Information: Classifying, Coding

and Interpreting Information
241
18
Using Content Analysis
263
19
Understanding and Adopting Discourse and Narrative

Analysis
279
PART V COMMUNICATING RESEARCH
307
20
309
Writing-up
Glossary of Terms
319
Key Formulae and Symbols
329
Bibliography
330
Index
335
About This Book
This textbook has been written for students and researchers in Departments of
Politics at UK and other western universities where English is the language of
instruction.3 It is designed to provide an introductory text for undergraduates, an
intermediate text for graduates following taught Masters programmes and rstyear postgraduate researchers. It is also designed to provide an additional teaching
resource for busy teachers especially those for whom teaching research methods is
a duty rather than matter of choice. It seeks to meet the wide variety of readers prior
training and training needs by adopting a multi-level approach. In this way, it seeks
to bridge the present gap in the literature between the good introductory texts and
the more advanced texts requiring substantial mathematical training, knowledge or
sociolinguistics.4,5 It also seeks to be inclusive by including and giving equal coverage
to quantitative (numeric) and qualitative talk and text methods. It recognises the
criticism of research methods texts of eurocentricity by acknowledging that, while
the underlying principles of research may be (almost) universal, the underlying
philosophic roots and techniques must vary between different contexts.
The book assumes a mixed readership of home English-speaking students and
overseas students for whom English is a second language. Similarly, it assumes that
some students especially of taught courses may come from other disciplines
and be unused to terms more specic to Politics. To meet the special needs of some
students without patronising others, a system of comprehensive endnotes has been
used to explain terms and to cite references fully.6 (Regrettably, todays printing
software precludes the use of footnotes.) Technical terms are written in italics. Where
key technical terms are introduced for the rst time, they are displayed in bold text,
dened and discussed. Briefer denitions of terms are given in the glossary. Whilst
the Harvard system of referencing is used, this has been augmented by providing
the date of rst publication so that the chronological signicance is retained, e.g.:
Hobbes, T. (1651/1996) Leviathan. Oxford, Oxford University Press.
Teaching and learning strategy

Teaching and learning are often conceived as two sides of the same coin. Some
students still prefer to learn passively from teaching through formal lectures. Others
prefer to gain (arguably deeper) insights through a combination of individual study
vi
About This Book
(including reading and writing), exploration and heuristic learning (including direct
practical experience). Most benet from collective discussions at seminars or informal
discussions with colleagues.
The pedagogic 7 principle underlying this textbook is that we all learn best in terms
of acquiring knowledge and skills through a mix of formal teaching, independent
study, experience, and practice, in which the proportions will vary from student to
student. So a blended (or distributed) teaching and learning strategy has been adopted.
This offers readers a mix of:
1. text (supplemented by diagrams and other illustrations) communicating the underlying
principles and to introduce various techniques
2. worked examples demonstrating how approaches and techniques can be applied
3. sources for independent study
4. topics for seminar and informal discussion
5. case studies providing practical assignments for individual or group work.
To assist readers, supplementary case studies and packages of PowerPoint slides for
each of the chapters are available via the website www.sagepub.co.uk/pierce.
How to use the book

Readers are not expected or encouraged to read this book from cover-to-cover.
You are unlikely to really assimilate knowledge for its own sake. You are more
likely to assimilate best what and when you need to know. So a strategy of timely,
selective reading is recommended. And while this book seeks to be inclusive and
authoritative, it makes no claims to be a denitive text. Users are therefore expected
to follow the principles of best scholarship by considering and comparing other
narratives before rming up their views. The relevant additional literature includes:
Burnham, P., Grillard, K., Grant, W. and Layton-Henry, Z. (2004) Research Methods in
Politics. Basingstoke: Palgrave Macmillan. This 308-page textbook has been written by
members of the Department of Politics at the University of Warwick. It draws on their
experience as teachers of research methods and their critique of the limitations of the
application to politics of the many research guides written by sociologists.
Harrison, L. (2001) Political Research: An Introduction. London: Routledge.This 180-page
textbook has been written by Lisa Harrison, senior lecturer in Politics at the University of
the West of England. As its title states, it has been written primarily as an introductory
text for students.
Marsh, D., and Stoker, G. (eds.) (2002) Theory and Methods in Political Science.
Basingstoke: Palgrave. This 368-page textbook contains separate chapters by leading
About This Book

academics in Politics at universities in UK, US and Australia. Its strength lies in the
coverage which it offers of the main approaches and issues and their implications for
research methods.
Where best to begin?

A three-stage approach is recommended using the following proforma. You can
copy this from www.sage.co.uk/pierce. It lists the chapter titles, topics and degrees
of knowledge:
1. Assess your starting research skills.
2. In conjunction with your research supervisor, identify your research training needs. You
can skip or skim those chapters and topics with which you are already familiar.
3. Concentrate on those other chapters and topics where your research training needs
are greatest. This will enable you to choose and develop the research skills which best
serve your research interests.
Training needs self-evaluation proforma

Chapter Chapter Title
Existing Knowledge and Understanding
No.
None
Topics
0
1
2
PART I INTRODUCTION
1
Introduction
Political science/ politics/political
0
1
2
studies
2
Ethics in research
0
1
2
Data protection
0
1
2
The Research Effect (Hawthorne)
0
1
2
Bias
0
1
2
3
Positivism
0
1
2
Empiricism
0
1
2
Behaviouralism
0
1
2
Naturalism
0
1
2
Feminism
0
1
2
Marxism
0
1
2
Inductive research
0
1
2
Substantial
3
3
3
3
3
4
4
4
4
5
5
5
5
3
3
3
3
3
3
3
4
4
4
4
4
4
4
5
5
5
5
5
5
5
(Continued)
vii
viii
About This Book

Chapter Chapter Title
No.
Topics

None
0
0
0
Substantial
1
1
1
2
2
2
3
3
3
4
4
4
5
5
5
Deductive research
Grounded research
PART II METHODOLOGIES
4
Qualitative versus Quantitative Methods: A Relevant Argument?
Qualitative methods: claims and
0
1
2
3
4
5
criticisms
Quantitative methods: claims and
0
1
2
3
4
5
criticisms
Mixed methods
0
1
2
3
4
5
Research design(s)
0
1
2
3
4
5
5
Collecting Data Sets: Case Studies, Experimental, Comparative, Longitudinal
and Action Research Methods
Case studies
0
1
2
3
4
5
Comparative research
0
1
2
3
4
5
Longitudinal research
0
1
2
3
4
5
Action research
0
1
2
3
4
5
PART III COLLECTING INFORMATION
6
Critically Evaluating Published
0
1
2
3
4
5
Research
7
Evaluating Information: Validity, Reliability, Accuracy, Triangulation
Validity, reliability and accuracy
0
1
2
3
4
5
Primary and secondary sources
0
1
2
3
4
5
Triangulation
0
1
2
3
4
5
Sampling
0
1
2
3
4
5
8
Completing a Literature Review: Accessing Published () Information
Information search
0
1
2
3
4
5
Completing a critical literature
0
1
2
3
4
5
review
9
Asking Questions: Effective Elite Interviews, Other Interviews, Vignettes,
Projective Questions, and Focus Groups
Elite interviews
0
1
2
3
4
5
Group meetings
0
1
2
3
4
5
Vignettes
0
1
2
3
4
5
Focus groups
0
1
2
3
4
5
10
Survey sampling
0
1
2
3
4
5
Designing and coding
0
1
2
3
4
5
questionnaires
Projective questions
0
1
2
3
4
5
Designing vignettes
0
1
2
3
4
5
11
Observation
0
1
2
3
4
5
About This Book
Chapter
Chapter Title
No.
Topics
None
Substantial
0
1
2
3
4
PART IV DATA ANALYSIS
12
Analysing Research Data: The
0
1
2
3
4
Process
IVA
Quantitative Analysis
13
MS Excel
0
1
2
3
4
SPSS
0
1
2
3
4
Descriptive statistics
Mean, median, mode, outliers,
0
1
2
3
4
range, deviance
Grouped frequency distribution
0
1
2
3
4
Standard deviation
0
1
2
3
4
14
Standard error of the mean
0
1
2
3
4
Confidence limits
0
1
2
3
4
15
Correlation
0
1
2
3
4
Significance
0
1
2
3
4
Linear regression analysis
0
1
2
3
4
16
Applying Factor Analysis and Other Advanced Techniques
Factor analysis
0
1
2
3
4
Bernouli distribution
0
1
2
3
4
Time series analysis
0
1
2
3
4
IVB
Qualitative Analysis
17
Analysing Qualitative Information: Classifying, Coding and Interpreting
Information
Coding text
0
1
2
3
4
18
0
1
2
3
4
19
Understanding and Adopting Discourse and Narrative Analysis
0
1
2
3
4
PART V COMMUNICATING RESEARCH
20
Writing-up
0
1
2
3
4
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
ix
Preface
This book encourages researchers to begin their reports with a personal statement in
the form of a preface. This serves several purposes. First, it tells the readers why
the researcher has (really) chosen the research topic: what it means to the author
and their identity. Second, it discloses (the inevitable) starting biases, prejudices and
hunches the intellectual and emotional baggage that the researcher carries. Third,
the preface acknowledges those other people who have inuenced the work.
Writing the preface is a difcult task. It requires reexivity (intellectual selfawareness) and honesty. Overall, the personal statement should clarify matters at
the beginning for both the researcher and the reader. In particular, it underlines the
personal the identity of the researcher that, in the discipline of Politics and other
social sciences, exerts a major inuence on the choice of research, the ndings and,
crucially, their interpretation. The researcher is therefore, in the language of research,
an independent variable (a causal factor or driver which affects the outcome).
In this case, the textbook has been written to close the chapter on my tenyear career as a mature graduate, doctoral student and, latterly, teacher of research
methods in the Department of Politics at the University of York. It seeks to bring
together in a single volume materials developed from many sources and academic
specialities over many years. In my previous work in urban regeneration, I helped
shape new environments and policies. They provide enduring evidence of effort and
success or otherwise. Hopefully, this book serves a similar purpose. Si monumentum
requiris, etc.8
My baggage is essentially that of a practitioner as distinct from an academic.9 So
my approach seeks to be eminently practical: to show readers how to carry out
different types of research and techniques to high standards of scholarship. But it is
not a-theoretical: the various methodologies are grounded in theoretical principles
that must be properly understood if the tools are to be applied correctly. After all,
There is nothing as useful as a good theory.10
My particular research interests are: power, deference and complicity and the explanations
of Gramsci, Lukes, Bourdieu and Foucault.
This textbook has been shaped by many other people. Special thanks are due to:
my former mentor, Professor Mark Evans; to Dr Adrian Leftwich who provided the
original brief; to Dr Roger MacGinty and Dr Simon Parker who encouraged me to
develop this text from my module guides. To Liz Harrison who proof-read the drafts;
Preface
and, to Patrick Brindle of Sage who encouraged me to submit a proposal. However,

the greatest inuence has been exerted by the consumers: the students who provided
formal course evaluation and informal comments; the graduate teaching assistants11 ;
and the research subjects (people) with whom (rather than on whom) the research
methods were developed.
However, any errors or omissions are entirely my own.
Dr Roger Pierce
York
Notes
1 Panegyric, public speech.
2 Pasquinade, lampoon, libel, satire.
3 Politics is used throughout this book to refer to the subject otherwise called political science,
political studies, politics and government etc. A capital P is used throughout to distinguish the
discipline and study of Politics from its more general use to describe everyday activity by
politicians and electors.
4 For example, Harrison, L. (2001) Political Research: An Introduction. London: Routledge.
5 For example: Pennings, P., Keman, H., and Kleinnijhuis, J. (2006) Doing Research in Political
Science: An Introduction to Comparative Methods and Statistics. London: Sage.
6 footnotes [and endnotes] are the humanists rough equivalent of the scientists report on data:
they offer empirical support for the stories told and arguments presented . . . Grafton, A. (1997)
The Footnote. London: Faber. p.vii.
7 From pedagogy, the science of teaching.
8 Si monumentum requiris circumspice, If you seek his monument, see around you inscription in
St Pauls Cathedral London to its architect, Sir Christopher Wren.
9 Dictionary definitions of academic include: of no practical use.
10 Kurt Lewin (18901947), US-naturalised German psychologist, founder of action research and
mentor to Carl Festinger (cognitive dissonance).
11 Especially Fiona Aspinall, Christine Hamieh and Sharleene Bibbings.
xi
The Researcher
He will have views and prospects to himself perpetually soliciting his eye, which he can
no more help standing still to look at than he can y; he will moreover have various
Accounts to reconcile;
Anecdotes to pick up;
Inscriptions to make out;
Stories to weave in; Traditions to sift
Personages to call upon;
Panegyrics1 to paste up at his door; Pasquinades2 at that
Rev. Laurence Sterne (1996/1760) Tristram Shandy. Ware: Herts.,
Wordsworth., p. 27.
Part I
Introduction
Chapter 1
Introduction
This chapter begins, like the others that follow, with a clear statement of the teaching
and learning objectives (or purpose). They are shown below:
Teaching and learning objectives:
1. To answer the question: What is research?

2. To identify key features of research specific to Politics.
3. To set out the structure and contents of the textbook.
What is research?
Research is essentially a process of systematic inquiry. Its core activities are:
goal orientated and purposeful

inquisitive searching for answers to specific questions especially why? and how?
careful, systematic and methodical
original.
Additionally, we can claim that academic research can be distinguished from other
research by
its central concern for theory involving either testing or extending existing theory
(deductive research), or developing new theory (inductive research).
Academic research essentially involves a systematic process. It begins with a

research question. This is followed by a literature review, the collection or discovery
of information, analysis, interpretation and conclusions. It can be both inventive
and creative in terms of designing the research process and framing new theory.
However, research may also involve serendipity the happy knack of making
discoveries by accident. For example, penicillin was discovered in 1928 when
Fleming noted that a petri dish had been contaminated by mould. However, rather
than throwing out the dish, he rst examined the contents and discovered that the
mould had prevented the formation of Staphylococcus bacilli. The discovery thereby
evidenced Pasteurs earlier remark that chance only favours the prepared mind
(Greeneld et al, 2001: 302).1 Today, specialist serendipity software is available
to search and compare data sets to identify potential associations for subsequent
investigation.
Similarly, research on research has shown that intellectual curiosity is the main
driver of effective research which, in turn, stimulates and sustains the essential
concentration and motivation (Mace, 1962: 29).2 In a post-modern world, it
may also be argued that scepticism (the doctrine of the Philosophic School of
Sceptics that real knowledge of the world is unattainable) is also an essential
component. There is therefore a new readiness to challenge accepted theories, truth
and facts.
At a time when so much is already known, the question has to be asked: why
undertake research? In particular, what real contributions can a single-semester,
undergraduate research project make to the knowledge and understanding of our
world? In reply, it can be argued that the real benet of undergraduate, graduate
and doctoral research lies in the contribution the research activity makes to your
intellectual and personal development in terms of:
testing the applicability and relevance of theory to new contexts

promoting a better understanding of theoretical concepts
developing analytical and interpretative skills
learning how best to design investigative processes and manage projects
uniquely, the opportunity given via undergraduate group research projects to gain
experience of effective team-working the mantra of modern management.
In other words, research provides an opportunity and arena for education for both
academic or non-academic careers.
But, what is Politics? Does the discipline require or pre-suppose a unique approach to
research training that favours specialist, in-house, faculty-wide, generic research training?
Politics is a relatively new academic discipline in the family of social sciences. It has roots in philosophy, history, law, geography, economics, sociology,
psychology and, in the sub-eld of voting behaviour, quantitative (statistical)
analysis and mathematical modelling. It has therefore been described as: the
junction subject of the social sciences (Burnham et al, 2004: 8).3 Alternatively,
it can be seen as a mongrel subject or crossover discipline that draws on
others promiscuously. It can be both prescriptive (normative) and descriptive. Two
broad and six constituent approaches have been identied in the diverse and
cosmopolitan discipline: the formal operation of politics in government (and
other arenas) embracing: behaviouralism; rational (public) choice theory and
(new) institutional analysis; and, politics as a social process pervading all levels of
Introduction
society (associated with feminism); interpretative theory (anti-foundationalism); and,

Marxism (Marsh & Stoker, 2002: 3).4 While there is no ofcial denition of Politics,
an ofcial view was negotiated by a committee of academics to provide a benchmark
statement:
[Politics is concerned with] developing a knowledge and understanding of government
and society. The interaction of people, ideas and institutions provides the focus to
understand how values are allocated and resources distributed at many levels, from
the local to the sectoral, national, regional and global. The analyses of who gets what,
when, how, why and where are central, and pertain to related questions of power, justice,
order, conflict, legitimacy, accountability, obligation, sovereignty and decision-making.
Politics encompasses philosophical, theoretical, institutional and issue-based concerns
relating to governance.
(QAA, 2000: 2)5
This overarching view of Politics might, at rst sight, be seen to imply that all
available research approaches and techniques can be adopted in Politics and that the
researchers tool bag is vast. But this is not the case. In particular, power (which
many commentators regard as central to the discipline) is not readily quantiable or
measurable.6 It as another essentially contested concept (Lukes, 1974: 9).7 Indeed,
power may not be observable (Bachrach & Baratz, 1962).8 Similarly, conict need
Illustration 1 Ask yourself, Father, what do we really mean by power?
not necessarily be overt. And historic events cannot be re-run. So, those laboratorybased, scientic research approaches and techniques which rely on the repeated
observation of phenomena under controlled conditions are largely inappropriate to
Politics.
This textbook concentrates on those research methods which seek to discern and
interpret the underlying meanings, causes and consequences of conict and power
at the level of supra-state, state, government, party, class and other identity groups,
and people in either the past or present-day. So a special characteristic of research
in Politics is that it collects information from both archives (historical records) and
eldwork (eld research).
Textbook structure and contents

The textbook is structured in ve parts and their associated chapters which, generally
speaking, follow the research process and degrees of complexity.
Part I (Introduction) begins with this scoping chapter. It is followed, in Chapter 2,
by a review of power in research, ethics, data protection and the research
effect. It concludes, in Chapter 3, with a review of the underlying philosophy
and principles of research, including the concept of causality, provided by the
main schools of positivism, empiricism, behaviouralism, naturalism and feminism
newly mentioned and distinguishes between inductive, deductive and grounded
research.
Part II (Methodologies) identies the underlying principles and theories from
which various methods have been developed. It begins, in Chapter 4, with a review
of the dualism of qualitative and quantitative research, the claims and counter-claims
of their disciples and the role of mixed methods. This concludes by identifying
the main approaches to research design. This is followed, in Chapter 5, by a
critical review of case studies, experimental, comparative, longitudinal and action
research.
Part III (Collecting information) begins, in Chapter 6, with advice on how to
critically evaluate published research. This is followed by guidance on how to test
the quality of information in terms of the gold standards of validity, reliability
and accuracy, the distinction between primary and secondary sources, and the use
of triangulation and sampling in Chapter 7. The next chapter (8) concentrates
on accessing secondary sources and completing an effective literature review.
This is followed, in Chapter 9, by guidance on how to organise and complete
interviews with political elites and other individuals, group meetings and focus
groups, projective questions and vignettes. Chapter 10 provides practical advice on
designing and conducting questionnaire surveys. Part III concludes with a critical
review of other observational methods including the role of the new popular science
of body language in Chapter 11.
Introduction
Part IV introduces methods for analysing and interpreting the information

collected. It begins, in Chapter 12, by reviewing the generic process of analysis,
introducing a hierarchy of analysis and distinguishing between predominantly
quantitative and qualitative methods of analysis.
Quantitative methods start, in Chapter 13, by reviewing the main descriptive
statistics (mean, standard deviation, etc.) and their use. It is followed, in Chapter 14
by a review of the main inferential statistics (standard error of the mean, etc.) in
which conclusions about populations are inferred from samples. The next chapter
introduces the concepts of association, correlation, signicance and regression
analysis. The quantitative methods conclude, in Chapter 16, by introducing cluster
and factor analysis (which enable underlying factors to be identied and labelled),
time series analysis and the binomial distribution. The formulae built into MS
Excel are used in the early chapters to calculate descriptive and inferential statistics.
SPSS statistical software is used for the more sophisticated calculations in the later
chapters.
Qualitative methods begins by offering guidance on how to transcribe and code
talk and text in Chapter 17. Chapter 18 introduces new approaches to content
analysis. The section ends by introducing discourse analysis and narrative analysis
and demonstrating their use in Chapter 19.
Finally, Part V provides advice on communicating research. In particular, it
considers, in Chapter 20 the writing-up process from the initial research proposal to
the nal research report. Despite its (traditional) location at the end of the book, it
argues that research begins by writing the research proposal and continues in parallel
with the research process. So writing-up is both the alpha (beginning) and omega
(end) of research. The text is supported by three appendices: a glossary of terms,
statistical formulae and bibliography.
Questions for discussion or assignments
1. What is Politics? Is political science more appropriate, a misnomer or an

oxymoron?
2. What is research?
3. What is the current research agenda of Politics? What topics would you wish to
see added? Why?
4. Is power central to Politics?
5. Which research methods are generic to social science? Which others, if any, are
specific to Politics?
6. What are the implications of post-modernism for academic research? Is there a
distinction between truth and facts?

FURTHER READING
Burnham, P., Grillard, K., Grant, W. and Layton-Henry, Z. (2004) Research
Methods in Politics. Basingstoke: Palgrave Macmillan. pp. 129. This very
readable introduction identifies and discusses the origins of the discipline of
Politics, the dominant paradigms and their main methodological implications.
Held, D. and Leftwich, A. (1984) Chapter 8: A Discipline of Politics? In Leftwich, A.
(ed.) What is Politics? Its Activity and Study. Oxford: Blackwell. pp. 139159.
This book provides an excellent collection of essays providing different
perspectives on Politics. In the final chapter, Leftwich assesses these
interpretations with particular reference to the centrality of conflict.
Leftwich, A. (2004) Thinking Politically: On the politics of Politics. In Leftwich, A.
(ed.) (2004) What is Politics? Cambridge: Polity Press. pp. 122. This textbook
offers new and additional essays on Politics. Leftwich introduces the debate
with a scoping review which concludes that: what unites political analysts is a
concern for the provenance, forms, distribution, use, control, consequences
and analysis of political power. What separates them is the difference of focus
and the levels and frameworks of analysis p. 20.
Marsh, D. and Stoker, G. (eds.) (2002) Theory and Methods in Political Science.
Basingstoke: Palgrave. pp. 116. This short introduction by the editors seeks to
get readers into the foothills of understanding the political science range, p. 16.
Table 1 provides a very good summary of the characteristics of the main
approaches, pp. 67.
Notes
1 Greenfield, S., Singh, S., Tallack, P. et al (2001) The Science Book. London: Cassell & Co. p. 302.
2 Mace, C.A. (1962) The Psychology of Study. Harmondsworth: Penguin. p. 29.
3 Burnham, P., Grillard, K., Grant, W. and Layton-Henry, Z. (2004) Research Methods in Politics.
Basingstoke: Palgrave Macmillan. p. 8.
4 Marsh, D. and Stoker, G. (eds.) (2002) Theory and Methods in Political Science. Basingstoke:
Palgrave. pp. 311.
5 QAA (Quality Assurance Agency for UK Higher Education) (2000) Politics and International
Relations Benchmark Statement. QAA, Gloucester cited in Leftwich, A. (ed.) (2004) What is
Politics? Cambridge: Polity Press. p. 20. Note how this constipated official view draws centrally on
Lasswell, H. (1958) Who Gets What, When, How. New York: Meridian.
6 For example, Robertson, D. (1993) Politics. London: Penguin.
7 Lukes, S. (1974) Power: A Radical View. London: Macmillan. p. 9.
8 See Bachrach, P., and Baratz, M. (1962) Two Faces of Power. In American Political Science
Review, 56: 94752, and Lukes, S. (1974) Power: A Radical View. London: Macmillan.
Chapter 2
Power in Research, Ethics, Data

Protection and Bias
The researchers take, hit, and run. They intrude into their subjects privacy, disrupt
their perceptions, utilise false pretences, manipulate the relationships, and give little in
return.
(Reinharrz, 1984: 95)1
1. To develop an understanding of the asymmetric power relations between

researcher and those researched and the scope for harm.
2. To recognise the types of potential harm.
3. To understand the context and scope of the Nuremberg Code.
4. To identify the implications for researchers of data protection legislation.
5. To gain knowledge of the different types of research effects.
6. To understand how the researchers own values can be a source of bias
requiring reflexivity.
Asymmetric power relations in research

The researcher (you) choose the topic, research question, design and means of data
collection and its interpretation. You will choose sources selectively for accessibility,
validity, reliability and accuracy. You will seek to exploit the resources and, for that
matter, the prestige and goodwill of the university. Some feminists likened traditional
research to a rape model. As you will see, the major resources in political research
are archives and people. The people may be agents, actors or bystanders. You seek
their collaboration on the basis of the benet to society of the research and the
benets of the interviewees (the subjects). But within the survey or interview
situation, power relations between the researcher and those researched are unequal.
Any process of question-and-answer favours the questioner. In particular, you are
likely to be more experienced and can leave the eld at the end of the interview or
10
research project. So the potential for causing real harm, however unintentional or
as agent provocateur, is very great.
Types of potential harm

Harm may be physical, nancial, social and psychological
Physical harm can be caused where you reveal the subjects identity to repressive
groups. They may be agents of the state, criminals, terrorists or relatives. You
may name subjects or enable others to identify them through details of your
journey, eldwork notes, photographs, or apparently casual, chance conversation
with other people. Alternatively, you may promote a new recognition by subjects
of circumstances or institutions which they previously accepted as natural. This
new consciousness may lead to conict between and within groups. Financial harm
can be caused where the subjects identication leads to loss of their job, home,
support or reputation. Social harm can be caused where the subjects position or role
within the family and wider social networks is affected adversely. Psychological harm
can be caused where you unlock painful memories or feelings of guilt, or create a
false memory. Raising false expectations, altering identities, or imposing western,
middle class values can cause great harm.
But, conversely, you can also be harmed or exploited (particularly by elites). You
may also face dilemmas when, for example, you uncover instances of child abuse,
sexual exploitation or conspiracies to carry out acts of criminality or terrorism.
What should you do especially where you have given the subjects undertakings
of condentiality? One dubious practice is to use the dont ask, dont tell caveat
where you warn them that you do not wish to hear of, or see, any illegal activity
which you are obliged to report to the authorities. But, in this way, you may allow
their abuse of others to go undetected.
Research can therefore pose important ethical challenges especially where the
researcher and the subjects are members of different cultural groups. Some universal
framework and local institutions are desirable.
The Nuremberg Code (1947)

The trial of the Nazi war leaders at Nuremberg in 1947 was followed by the trial of
scientists, doctors and administrators who had carried out experiments on prisoners
in the concentration camps. They were charged with crimes against humanity.
Their defence was threefold: rst, that they had not undertaken acts which were
contrary to German law at the time; second, that the practices were consistent with
the prevailing national ideology that Jews, Gypsies and Slavs were anti-state groups;
and, third, that the experiments were justied by their scientic value to mankind.
One example cited in their defence was the immersion of prisoners in cold water to
determine the effect of lack of heat, body mass, age and gender on survival times.
The defences were dismissed. The argument of scientic value was thrown out on
the grounds that the prisoners were not representative of the population: they had
been systematically starved and beaten to the point that their very will to survive
had been extinguished. The defendants were executed or imprisoned.
During the trial, a group of US philosophers, doctors and lawyers was tasked to
provide a universal ethical code for medical experiments. The Nuremberg Code was
adopted by the Great Powers in 1947. It is reproduced in Box 2.1. The code has since
BOX 2.1
The Nuremberg Code
The Nuremberg Code (1947)

Permissible Medical Experiments
The great weight of the evidence before us to effect that certain types of medical experiments
on human beings, when kept within reasonably well-defined bounds, conform to the
ethics of the medical profession generally. The protagonists of the practice of human
experimentation justify their views on the basis that such experiments yield results for
the good of society that are unprocurable by other methods or means of study. All agree,
however, that certain basic principles must be observed in order to satisfy moral, ethical and
legal concepts:
1. The voluntary consent of the human subject is absolutely essential . This means
that the person involved should have the legal capacity to give consent; should be
so situated as to be able to exercise free power of choice, without intervention of any
element of force, fraud, deceit, duress, overreaching, or other ulterior form of constraint
or coercion; and should have sufficient knowledge and comprehension of the elements
of the subject matter involved as to enable him to make an understanding and
enlightened decision. This latter element requires that before the acceptance of an
affirmative decision by the experimental subject there should be made known to him
the nature, duration, and purpose of the experiment; the method and means by which
it is to be conducted; all inconveniences and hazards reasonably to be expected; and
the effects upon his health or person which may possibly come from participation in
the experiment.
The duty and responsibility for obtaining the quality of consent rests upon each
individual who initiates, directs, or engages in the experiment. It is a personal duty and
responsibility which may not be delegated to others with impunity.
(Continued )
11
12
2. The experiment should be such as to yield fruitful results for the good of society ,
unprocurable by other methods or means of study, and not random and unnecessary
in nature.
3. The experiment should be so designed and based on the results of animal
experimentation and a knowledge of the natural history of disease or other problem
4.
5.
6.
7.
8.
9.
under study that the anticipated results justify the performance of the experiment.
The experiment should be so conducted as to avoid all unnecessary physical
and mental suffering and injury .
No experiment may be conducted where there is an a priori reason to believe that
death or disabling injury will occur; except perhaps in those experiments where the
experimental physicians also serve as subjects.
The degree of risk should never exceed that determined by the humanitarian
importance of the problem to be solved by the experiment
Proper preparations should be made and adequate facilities provided to protect the
experimental subject against even the remote possibility of injury, disability or death.
The experiment should be conducted only by scientifically qualified persons. The
highest degree of skill and care should be required through all stages of the experiment
of those who conduct or engage in the experiment.
During the course of the experiment the human subject should be at liberty
to bring the experiment to an end if he has reached the physical and
mental state where continuation of the experiment seems to him to be
impossible.
10. During the course of the experiment the scientist must be prepared to terminate
the experiment at any stage, if he has probable cause to believe, in the exercise of
good faith, superior skill and careful judgement required of him, that a continuation
of the experiment is likely to result in injury, disability, or death to the experimental
subject.
been strengthened by other codes, e.g., the Helsinki Code, to provide additional
guidance to scientists. It established four principles for research for whatever purpose:
voluntary informed consent; benet to society; protection from unnecessary harm of subjects;
and, the right of subject to end experiments.
Today, UKs ESRC2 and other research funders ask for research proposals to
include a statement identifying the specic ethical problems likely to be encountered
and how they will be resolved. Ideally, the applicants statement should cite the
university and departments family of ethical research codes, and the value of frequent
supervision.
Data protection legislation and academic research

The experiences of World War II and the post-war fears of totalitarianism (captured
in George Orwells Animal Farm and 1984) led to the United Nations Declaration of
Human Rights and the European Convention of Human Rights & Fundamental Freedoms
to protect the individual from government.3 However, fears were heightened again
by the increasing use of computers by government and business from the early 1960s
and their capacity to hold vast amounts of data on individuals. There was widespread
concern for the accuracy and security of that information (especially HIV and other
medical records) and its use for purposes for which it had never been intended.
Growing concerns for political freedom and privacy led to the convergence of human
rights and data protection protocols at supra-national level which were brought into
effect as national legislation.
The use of personal data for research was the subject of Article 108 of the Treaty
of Rome, 1957 and EEC Directive 95/46. Article 6 of the Directive provided
derogations for processing and long-term storage of data for historical, statistical or
scientic purposes subject to compatibility with the original purpose of collection.
Specic issues that member states were asked to resolve were, on one hand, the right
of access by individuals to information held on them, and, on the other, restrictions
on their use of the data, considerations of national security, and the use of data
generated by medical research by private organisations. In Britain, the directive was
given effect by the Data Protection Act, 1998. This required all persons who process
or use personal data in electronic, paper, tape or video formats to follow eight data
protection principles. The principles were that all data must be:
obtained and processed lawfully

obtained for a lawful purpose
adequate, relevant and not excessive
accurate and kept-up-to-date
not kept longer than is necessary
processed in accordance with the subjects rights
kept safe from unauthorised access, loss or destruction
not transferred outside the European Economic Area (i.e. EU and EFTA) unless
safeguards are as adequate.4
S.33 of the Act gives exemptions for personal data kept for research purposes.
S.33(5) allows permitted disclosures to others for research purposes, to the subject
or their agents, or at the subjects request. But data need not be disclosed where it
would require disproportionate effort or where the risk to the rights and freedoms
of subjects is low. The implications for academic research were considered by the
13
14
Association of Colleges in 1999 who advised members that:

Data collected for the purpose of one piece of research can be used for other
research without breaching the regulations on incompatible purposes and can be kept
indefinitely. This means that staff and students involved in research can keep records
of questionnaires and contacts so that the research can be revisited at a later date, or
so that a research project looking into an associated area, could reanalyse the data.
However, in order to avoid breaking subject access rules, researchers must ensure that
the final results of the research do not identify the individual.
British universities must register with the regulating authority: the Data Protection
Registrar. A senior university ofcial must be designated as the Data Protection
Co-ordinator and submit annual returns to the Registrar. Generally speaking, the
head of department is designated as Data Protection Ofcer. They may delegate
administrative responsibility to a Data Protection Manager. Researchers should
notify the Data Protection Co-ordinator of:
the title of the research project

name and contact address of the researcher
data to be collected
purpose of the research
with whom the data will be shared
content
format
data security (including anonymity).
The implications for the UK-based researcher are that:
data must be held securely. This means that data on subjects and interview transcripts
must be stored separately in lockable cabinets or, if held on PCs or laptops etc. passwordprotected
personal data on subjects should only be held where essential
individuals should be anonymous or not otherwise identifiable; strategies include:
anonymisation, e.g., Mr. A said
positional descriptions, e.g., minister A said
deception, e.g. Ms A said (where sex is not relevant)
replacing place names by generic pseudonyms, e.g. Northtown
changing descriptions slightly
personal data should not be disclosed, transferred or copied (including by email),
especially outside the EEA, without prior agreement by the recipient to confidentiality
and authorisation
potentially reusable data should be archived centrally, e.g. at ESRCs archive at The
University of Essex.
The penalties for negligence may include nes and the withdrawal of funding support
for the research. The greatest penalty will be the loss of the researchers, departments
and universitys reputation and loss of future research opportunities as subjects refuse
to co-operate.
The research effects
You will inevitably change your behaviour in the presence of power. You are
unlikely to maintain the same tone of voice and general manner in all situations,
for example, teachers do not speak to their head teacher in the same way that they
address schoolchildren. Your actual language and tone will vary according to whom,
when and where you are speaking. In the same way, researchers and their subjects
will also change their behaviour, especially in face-to-face situations. This change
of behaviour is termed theresearch effect. The main types of research effect are
the Hawthorne effect, the Placebo effect, the John Henry effect, the Halo effect, Experimental
effects, the Pygmalion effect and the Peacock effect.
Hawthorne effect
The Hawthorne effect takes its name from the Hawthorne Plant of the Western
Electric Company in Cicero, Illinois. There, in the relay assembly room, engineers
experimented in 1927 with the effects on productivity on the introduction
of improved lighting, mechanical ventilation and humidity control. Separate
workspaces and groups were designated as experimental or control areas,where
the lighting conditions etc. were varied in the experimental areas and unchanged
in the control areas. The engineers were delighted when productivity in the
experimental areas increased as lighting and ventilation were improved. However,
when sceptical colleagues challenged the experimenters to reduce lighting and
ventilation, they found that productivity remained high. And it had also increased
in the control area. The help of the Harvard Business School was sought. The senior
investigator, Elton Mayo wrote that:
A highly competent group of Western Electric engineers refused to accept defeat when
experiments to demonstrate the effect of illumination on work seemed to lead nowhere.
The conditions of scientific experiment had apparently been fulfilled experimental
room; control room; changes introduced one at a time; all other conditions held
steady. And the results were complexing: Roethlisberger5 gave two instances lighting
improved in the experimental room, production went up; but it also rose in the control
room.
15
16

The opposite of this: lighting diminished from 10 to 3 foot-candles in the experimental
room and production went up again; simultaneously in the control room, with illumination
constant, production also rose.6
(Mayo, 1949: 60)
The explanation given by Mayo was that productivity had increased in both the
experimental and control workspaces because the workers there were the focus of
the researchers attention. The research was subsequently extended until 1932. Mayo
and his colleagues also argued that the research showed that aptitude is only weakly
related to performance, and that the workplace is a social system in which informal
organisation of work-groups and their attitudes are critical to production. In effect,
the work-group decided what was a fair-days work.
Mayo termed this behaviour change as the research effect. It has become better
known as the Hawthorne effect. However, his explanation has been challenged. Some
industrial psychologists argue that Mayos ndings were wishful thinking: Mayo and
his colleagues were biased in their interpretation by the researchers promotion of
the (softer) human relations school of industrial relations (which favoured humane
treatment of worker and workplace democracy) in the face of the (harsher) scientic
management prevailing in the US.7 While the studies were extensive, the samples
were relatively small and not representative. The generalisability of their ndings
could therefore be challenged. By re-analysing the data, critics argued that changes
in performance should better be attributed to the Depression, the substitution of
two particular workers and the threat of disciplinary action.8 Whether or not this
challenge to the Hawthorne folklore can be sustained, the episode does illustrate
the potential impact of the researchers own values on the research proposal, the
collection of data and its analysis (which is considered later in this chapter).
Placebo effect
The Placebo effect pre-dates Hawthorne. The term is derived from the Latin word
placebo meaning I shall be pleasing which was used by physicians to describe inert
remedies to which some patients responded by meeting their psychological needs for
medical attention. The term has been extended to describe the practice in medical
drug trials, and other experiments, of giving placebos to the control group so that
the real efcacy of the trial drug can be calculated. In these cases, random, double-blind
trials are conducted in which the patients and medical observers are unaware who
is receiving the trial drug and who is receiving the placebo.
John Henry effect
The John Henry effect is the converse of the Hawthorne effect. It happens when the
control group compete with the experimental group and achieve greater changes in
behaviour or outcomes. It can be seen as a super-placebo effect.
Halo effect
The Halo effect is the response of subjects to novelty where the press and other media
(including advertising) have created an expectation.
Experimental effect
The Experimental effect is similar. Here expectations are raised by the researcher.
Pygmalion effect
The Pygmalion effect is a sub-type of expectancy change. It can be a form of selffullling prophecy. It is most often cited in education where the teachers expressed
expectations of pupils, whether high or low, can greatly affect their performance.
It may also occur where, in an interview, the questioner implies that specic
responses are to be expected because they reect prevailing norms, i.e. male, white,
middle-class values.
Peacock effect
The Peacock effect is the name given to the behaviour of some male birds among
females when they display their plumage or attributes. Some young men may behave
similarly in the presence of young women.
How can the impact of Hawthorne and other research effects on research be
reduced? Four strategies can be adopted:
anticipating and discounting it

reducing expectations
adopting a longer timescale (so the subjects become inured to observation)
adopting covert observation (however, covert observation is contrary to the principles of voluntary, informed consent and control by the subject). This raises ethical
dilemmas.
Research effects will inevitably bias the research. Bias is essentially a predisposition
or prejudice for or against a theory, person, group or institution which may distort or
skew cognisance and interpretation of phenomena. However, your greatest source
of bias may be your very own researchers bias.
Researchers bias
You are unlikely to begin your with an open mind. Your choice of research
topic, question and starting hypothesis will reect deep-seated values and prejudices.
17
18
The greatest danger is of wishful thinking or self-fullling prophecies in which

you see what you want to see and infer conclusions. But, on the other hand, your
biases can also motivate and sustain the research. Remember Beatrice Webbs advice
that:
Finally, [the researcher] must realise that he is biased, and somehow or other he must
manage to discover this bias
Know thyself is the maxim uniquely imperative on the investigator of social institutions.
For the greatest obstacle to the advancement of knowledge is an obstacle in the mind
of the student, the presence of biases.
(Webb, B., and Webb, S., 1975: 31 and 44)9
Minimising bias requires reexivity intellectual self-awareness through selfexamination. You should record the outcome of this examination at the beginning
of the research report so that the reader can learn from the outset where youre
coming from and discount the bias. But then your readers will also have their own
biases and pre-judge the text accordingly.
1. Identify the extent of your own prejudices using the Table 2.1 below. You can
copy the full table from the web-site www.sagepub.co.uk/pierce. Add your own
categories. Distinguish between your immediate (private) feelings and your (public)
thoughts. Try to identify their source. Are they derived from others (e.g. parents
or friends), intellectual inquiry or experience? How have they changed over the
years? Why?
2. You have been asked to undertake a survey of electors to find out whether nonvoters in general elections differ in their (other) characteristics from voters and
whether they are serial abstainers. What ethical difficulties do you anticipate? How
would you tackle them? What are your own starting prejudices?
3. In the course of your fieldwork, you discover a continuing case of child sexual
abuse. You have given an undertaking of confidentiality. What should you do?
4. Obtain a copy of your own departments code of research ethics. What criticisms
would you make? How should it be improved? OR, if a code is pending, write a
draft.

Table 2.1 Prejudices: a self-completion proforma
To what extent are you
prejudiced in favour or
against the groups listed
below?
University students
University teachers
University administrators
Social scientists
Scientists
Doctors
Police officers
Members of the armed
forces
Unemployed people
Disabled people
Conservative party
Liberal-Democrat party
New Labour
Old Labour
Green party
British National Party
Communist party
Republican party
Democrat party
President George W Bush
Prime Minister Tony Blair
Prime Minister Gordon
Brown
Bill Clinton
Hillary Clinton
Iraq war/invasion
UN
USA
EU
UK
Scots people
Irish people
English people
The British Empire
Imperialism
Freedom
Strongly
Against
Against
Neutral
In Favour
Strongly in
Favour
+1
+2

(Continued )
19
20

Table 2.1 Contd
To what extent are you
prejudiced in favour or
against the groups listed
below?
Strongly
Against
Against
Neutral
In Favour
Strongly in
Favour
+1
+2
Democracy
Liberty
Terrorism/armed struggle
Atheism
Agnosticism
Deism
Roman Catholicism
Protestantism
Islam
Buddhism
Hinduism
Secularism
Nationalism
Patriotism
Conflict
Competition
Markets
Regulation
Trade unions
Children
Middle-aged people
Older people
Young adults
Marriage
Divorce
Other people
Yourself

FURTHER READING
Berg, B. (2001) Chapter 3: Ethical Issues. In Qualitative Research for the Social
Sciences. London: Allyn & Bacon. pp. 3965. Berg reviews the historical
development of ethical concerns in research from a US perspective with
particular emphasis on the role of Institutional Review Boards (IRBs). He
identifies how and why disadvantaged groups are more accessible to
researchers than privileged elites.
Burnham, P., Grillard, K., Grant, W. and Layton-Henry, Z. (2004) Chapter 11:
Ethics and Political Research. In Research Methods in Politics.

Basingstoke: Palgrave Macmillan. pp. 25069. The authors provide a synoptic
review of the specific ethical issues in Politics research including the role of
gatekeepers, fraud and professional codes of conduct. They compare the codes
of the Social Research Association, American Political Science Association and
the UK Political Science Association (PSA). They also raise the ethical issue of
whether an institution should impose its own code on researchers.
De Vaus, D.A. (2001) Chapter 19: Ethics in survey research. In Surveys in Social
Research. London: Routledge. pp. 33050. The author reviews the principles of
ethical research with particular emphasis on the decisions required by
informed consent and duties and responsibilities to sponsors, funders and
research colleagues.
Notes
1 Reinharrz (1984) p. 95 cited by Oakley, A. (2000) Experiments in Knowing: Gender and Methods in
the Social Sciences. Cambridge: Polity Press. pp. 378.
2 The Economic and Social Research Council (ESRC) funds research and training in social and
economic issues. It claims an international reputation both for providing high-quality research on
issues of importance to business, the public sector and government and for commitment to training
excellence, which produces world-class social scientists. ESRC is an independent organisation,
established by Royal Charter, but receives most funding through the Governments Office of
Science and Innovation. Its budget of 181 million (2007/2008) funds over 2,500 researchers in
academic institutions and policy research institutes throughout the UK.
3 Significantly, whilst the British (Labour) government supported the application of The Convention to
recently-liberated, continental states, it resisted its application to the UK on the grounds that history
had shown that it was unnecessary and that it might impede the governments programme of
post-war regeneration including large-scale nationalisation and economic planning. The
Convention was finally only adopted by the Human Rights Act, 1998. Jacobs, F.G. (1978) European
Convention on Human Rights. Oxford; Clarendon Press. p. 214.
4 EFTA: European Free Trade Area: formerly a seven-state free trade area now reduced to the
non-EU states of Iceland, Liechtenstein, Norway and Switzerland.
5 Roethlisberger, F.J. and Dickson, W.J. were Mayos principal associates.
6 Mayo, E. (1949) Hawthorne and the Western Electric Company. London: Routledge.:p. 60
7 Scientific management was originated in the 1890s by Taylor, W.F. who argued that productivity of
workers could be increased by the marriage of science, engineering and classical economics to
achieve greater organisation, specialisation, de-skilling of tasks and the use of bonuses. It is
associated with time-and-motion regimes.
8 Franke, R.H. and Kaul, J.D. (1978) The Hawthorne experiments: first statistical interpretation,
American Sociological Review, 43: 62343.
9 Webb, S. and B. (1932/1975) Methods of Social Study. LSE: Cambridge University Press. The
Webbs were founder members of the Fabian Society and the London School of Economics.
21
Chapter 3
The Philosophy and Principles

of Research

1. To develop an understanding of the main philosophic and theoretical principles underlying research approaches including positivism, empiricism,
behaviouralism, naturalism, feminism and postmodernism.
2. To introduce the concept of causality.
3. To introduce and distinguish between inductive, deductive and grounded
research.
Introduction
Qualitative and quantitative methods are regarded by many practitioners as simply
alternative sets of designs and techniques for carrying out research. However, both
qualitative and quantitative methods stem from fundamentally divergent ontological
and epistemological paradigms having their roots in philosophy. Ontology is, simply
expressed, the branch of philosophy (thinking about thinking) devoted to the nature
of being. It considers such questions as: do minds exist? In contrast, epistemology
is the branch concerned with theories of knowledge. Theory is, simply stated,
a statement of general principles of the underlying relationships in phenomena or
events. Theory may be expressed as laws, propositions, arguments or hypotheses
(tentative explanations). Historically, theory has generally been descriptive in
terms of describing and, therefore, explaining relationships. Some descriptive
theories have been elevated to the status of laws (for example, Newtons law of
universal gravitation) when they are accepted as having been universally veried
by observation. Newtons law was subsequently superseded by Einsteins theory of
relativity. The title law is therefore rarely given to theories. Alternatively, theory
may be normative where it proposes what ought to be the relationship. For example,
the theory of egalitarianism is that all people should be treated equally regardless of
origin or circumstances. A proposition is an unproven, generalised explanation.
An hypothesis is a specic proposition which is presented for testing by research.

It can be derived from other theory or a researchers hunch (informed guess based
on theoretical insights or observation).
Arguably, the essential operational distinction between quantitative and qualitative research is whether the researcher is a neutral, objective observer studying a
person as an object, or as an independent variable engaging subjectively the person
as a subject or client. Positivism and naturalism are prototypical of the competing
ontologies.
Positivism
Until the Age of Enlightenment (Eighteenth century), signicant events were
attributed to God, his miracles, or magic. So Hobbes and other philosophers were
forced to invoke God and king to legitimate their writings. While David Hume
challenged this practice, the French philosopher, Auguste Comte (17981859) while
developing the ideas of Saint-Simon is credited with secularising philosophy and
developing a religion of humanity.1 He sought to place the French Revolution
whose Terror undermined British support for the Enlightenment into an historical
context as an intermediate phase of the development of knowledge. He argued that
all societies were fated to move from a theological stage of ctitious knowledge
(in which all otherwise inexplicable phenomena were attributed to spiritual forces)
via an intermediate, metaphysical stage to a positive stage. The underlying beliefs
of the theological stage were medieval faith and custom in which the family was
the social base.2 Those of the metaphysical stage were Enlightenment philosophy,
the scientic revolution and the nation state. The state of knowledge of the
positivist stage was scientic when rational logic and humanity prevailed. When
these purer forms of explanations were reached, there would be no miracles or
magic: phenomena would be explained by physical causes. Explanation would
be conned to veriable and measurable correlations between phenomena which
revealed universal laws.
The essence of positivism is the application of natural science methods (i.e. those
used in astronomy, maths, physics, chemistry and quantitative biology) to social
sciences.3 Comte advocated a value-free form of enquiry which would eliminate
any bias. However, his work has been criticised for accepting the dominance of
white society and providing opportunities for social engineering.4 Positivism would
therefore enable Man to control all other forms of nature. In its time, positivism
was progressive. It became the dominant paradigm in the social sciences until the
1960s when it became increasingly a pejorative term (i.e. a term of abuse).5
Comtes work was developed by John Stuart Mill, Emile Durkheim, Ernst Mach
(whose name is commemorated in aerodynamics) and the interwar Vienna Circle
of logical positivists including Wittgenstein and Popper (author of The Poverty
of Historicism) and other, mainly Jewish, mathematician-philosophers. These positivists
23
24
sought to apply scientic measurements and objectivity to generate causal laws.

They relied on specic assumptions about social reality. Social reality was ordered
rather than random: cosmos rather than chaos. This ordered system was based on
the rationality of self-interested individuals who, ceteris paribus (other things being
equal), behaved in the same way. The reasoning capacity of individuals (i.e. their
rationality) enabled them to distinguish fact from ction. So positivist explanations
could only be entirely logical and derived from the facts observed. Observable facts
were entirely different and a better foundation for understanding behaviour than
abstract theories, ideas and feelings. Positivist researchers are entirely objective and
without political or religious bias.
It was the application of positivism which enabled the study of social life to claim
the title of social science and the study of politics to legitimate nineteenth century
claims to the title Political Science.6 Poppers major contribution to positivism was
to replace the test of veriability (an early, central doctrine of the Vienna Circle) by
falsiability, falsication or fallibilism. No theoretical generalisation could be nally
veried as truthful or certain: a single unexpected outcome could challenge an
hypothesis. Mere prima facie (at rst sight) proof was insufcient: absolute certainty
was essential. This could never be attained. A researcher could never claim or show
that they could not be wrong. Furthermore, an hypothesis could not be accepted
until the alternative hypothesis were dismissed. After initial claims to inductivism,
positivism became essentially deductive (moving from the general to the particular),
hypothesis-testing research which tended to rely on numeric data to make objective
claims. This change reected the recognition that researchers could never collect
the universe of information potentially available. Furthermore, selecting a research
question or topic implied a theoretical starting position; the researchers mind was
rarely a tabula rasa (Lockes empty slate). Subsequently, positivism has been criticised
for adopting a mechanical model of man. More recently, it has also become
criticised for being heavily gendered, i.e. perpetuating the historic dominance of
men and the subordination of women.
Types of positivism include logical empiricism, behaviourism and behaviouralism.
Empiricism
Empiricism is, simply stated (and at its most extreme), the doctrine that the only
source of real knowledge (the facts) is experience gained by the senses through
observation and experiment. Only the observable can be observed and measured.
Emile Durkheim (18581917) is widely regarded as a foremost empiricist in his
advocacy of the scientic study of social facts (objects of analysis particular to a
social science discipline). The empirical research for which he is best known is his
comparative study of suicide to determine its causes (Suicide, 1897). He regarded
suicide as the ultimate outcome, an event unique to the individual. Using ofcial
records and by analysing these for empiric regularities (patterns and correlations),
he sought to replace the traditional explanations of moral weakness or sin, by societal

explanations. He identied three common factors as potentially causal: religious
denomination; membership of rural or urban society; and existence of dependents.
These explained four main types of suicide: altruistic; egotistic; anomic; and fatalistic.
He later developed a functionalist view of religion whereby ministry reproduced
institutions, e.g. marriage.
Behaviouralism must be distinguished from Behaviourism.
Behaviourism
Behaviourism is a school of psychology associated with Harvard professor B.F.
Skinner (190490). He was the architect of the controllable Skinner box and
programmed learning. Its key tenet is that only observable behaviour may be
scientically studied. So, while behaviour may include speech, intentions and
mental processes must be disregarded as unobservable. Behaviourism is associated
with animal experiments and the application of causal relations, e.g. Pavlovs
dogs, to operant conditioning and behaviour modication. This emphasis on
experimentation and statistical analysis led some empiricists to subscribe to the ideas
of eugenics (the science of heredity associated with proposals for scientic breeding
to reproduce higher intellectual characteristics and to exclude genetic weaknesses)
promoted by Darwins cousin, Galton (whenever you can, count). Indeed, the
UCL professor, Professor Spearman, who devised the widely used Spearmans
coefcient of correlation, r, was a leading eugenicist (and early socialist). Today,
Skinners contribution has become superseded by greater support for cognitive
learning.
Behaviouralism
Behaviouralism (note special spelling) was the term adopted by social and political
scientists for the application of positivism and empiricism to test and extend
explanatory theory at the level of state, party or other group, or individual.
In particular, the new approach offered a progressive approach to those academics
critical of the disciplines obsession with the old institutionalism of the study of the
structures of government. It became the dominant approach of politics especially
in the US in the post-war period. The approach is characterised by its greater
use of: theoretically derived hypotheses; sampling; early use of computers for data
collection and analysis; statistics; and belief in replication. Its principal exponent
remains Robert Dahl whose 1950s study of New Haven, Connecticut (described in
Who Governs?) remains the classic example of behaviouralist research. It demonstrates
the strengths and weaknesses of the approach.7
Dahl sought to explore two, rival hypotheses: the elite theory view (of European
origin) that a unied oligarchy governed US cities (as argued by Hunter from his
study of Atlanta and C. Wright Mills Power Elite); and the (alternative) pluralist
25
26
theory that urban political systems were polyarchic. In his introduction, Dahl
noted the extreme variations of income and educational attainment, property
ownership and material environments in the US and asked: Given the existence
of inequalities like these, who actually governs in a democracy?. The research
problem which Dahl faced was how to observe and measure power and inuence.
He chose what he called an eclectic approach which spread the risk of unreliability of data over six separate sources of information and methods of analysis,
namely:
1. To study changes in the socio-economic characteristics of incumbents in city
offices in order to determine whether any rather large historical changes may
have occurred in the sources of leadership;
2. To isolate a particular socio-economic category and then determine the nature
and extent of participation in local affairs by persons in this category;
3. To examine a set of decisions in different issue-areas in order to determine what
kinds of persons were the most influential according to one operational measure
of relative influence, and to determine patterns of influence;
4. To survey random samples of participants in different sub-areas in order to
determine their characteristics;
5. To survey random samples of registered voters in order to determine the
characteristics of those who participate in varying degrees and in varying ways
in local affairs;
6. To study changes in patterns of voting among different strata in the community.
(Dahl, 1969: 331)8
The cornerstones of his research were observation of what actually happened

in terms of the decisions made at meetings, and interviews with business and
political leaders. Dahl concluded that different, separate groups dominated different
policy areas. Furthermore, power, in terms of decision making, was openly
exercised by elected ofcials who were accountable and thereby sensitive to
public opinion. Therefore political power was not organised into a single pyramid
with a ruling elite at its apex. Instead, political power in New Haven was
marked by pluralism, openness and competition. But Dahls conclusions were
confounded by the riots which destroyed inner areas of New Haven in 1965.
This raises wider questions of research: are answers the results of the methodology
used?
Dahls approach was famously criticised by Bachrach and Baratz (after Schattschneider) who argued that there was a second, unobservable dimension of power: the
power to control the agenda (Bachrach and Baratz, 1962).9 So, Dahls observation
that the ofcers recommendations to the City Planning Commission were generally
approved overlooked the possibility that other reports were excluded from the
agenda. Critics argued that potentially-controversial reports were withdrawn by

non-elected ofcials at their private, agenda-setting meeting with the senior ofcials.
Alternatively, other recommendations were never aired because they would be likely
to be rejected and harm relations between commissioners and advisers.10 Stephen
Lukes argued (drawing on Gramscis writings on hegemony) that there was a third
dimension of power:
the most supreme and insidious use of power which prevents grievances by shaping
peoples perceptions, cognitions and preferences in such a way that they accept their
role in the order of things.
(Lukes, 1974: 24).11
Furthermore, the counterfactual (what you would have expected to happen but
didnt) was - like Sherlock Holmes dog that didnt bark in Conan Doyles Silver
Blaze evidence of the exercise unseen of third-dimensional power.12 But the
de-bunking of Dahls empiricist, behavioural model was not accomplished alone
by new, theoretical argument. As a noted pluralist and supporter of the American
dream, he has been criticised for wishful thinking and seeing what he wanted to
see. More recently, a systematic re-analysis of Dahls data has suggested serious
methodological and interpretative weaknesses. These were that: the survey samples
were not representative; Yale University was a much greater power-player than
(its professor) reported; he too readily accepted the truth of interview statements
by the mayor and others which other documentary evidence contradicts; and he
was not sufciently sceptical (Domhoff, 2005).13
Behaviouralism has become widely criticised in recent years. Three main criticisms
have been made. First, the emphasis on deduction meant that research became
boxed-in from developing new theory. Second, it tended to concentrate on
more readily measurable phenomena rather than other, more relevant topics
(Sanders, 2002: 52).14 And, third, important theoretical concerns and nuances were
unexplored or overlooked.
Naturalism
Naturalism has two, almost uniquely, contradictory conceptualisations. The rst,
the minority view held by Giddens, is that naturalism refers to the adoption in
the social sciences of models of inquiry from the natural sciences. So naturalism is
effectively a new, non-pejorative name for positivism. But the dominant view is that
naturalism rejects positivism in favour of a free-standing method of inquiry which
is essentially humanistic and hermeneutic (after Hermes, interpretative) and concerned
with social meanings, actors beliefs, motives, purposes and reasons, which lead
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28
to social actions, rather than frequency. While positivism emphasises scientic,

controlled, replicable experimentation, naturalism seeks to study everyday life in
naturally-occurring situations. Naturalism is experiential: researchers seek to see the
world through the eyes of the subject and to understand what people feel, interpret
and do. Moods, ideas, identity and beliefs are the stuff of naturalistic research. People
have a capacity for language and use it to construct and reproduce their social worlds.
Society, unlike inanimate material, is always changing. But individuals are neither
bound by universal rules nor independent of their contexts; they are structured by
institutions. Because there can be no universal organising principles, then there can
be no research hypotheses. Naturalistic research is primarily inductive. The ve main
principles of naturalistic research are therefore:
meeting subjects in their own habitats of home or work, etc
asking them their views and meanings
asking them in such a way that they can reply in their own language, dialect and words
achieving depth of inquiry
addressing their social context and situation.
Feminism
Feminism offers another, additional critique of positivism: that the concern with
measurement and control underlying quantitative, experimental ways of knowing
developed is part of the same social process which enables men to exercise power
over women (Oakley, 2000: 16).15 Feminists point to the historical association
between quantication and masculinity. Social science dened society in terms of
male values which reected historic power relations in society where women were
simplistically categorised. Feminists argued that the relation between researchers
and researched reproduced the power relations between men over women. They
argued that relations between researchers and subjects should be consensual and that
greater weight should be given to ethical considerations. The subjects should be
empowered by the research process. Research should therefore be an emancipatory
project: research for women not about them. Feminist perspectives of research were
strengthened by increasing public opposition to experimental research, especially
involving animals, to which women were the main opponents. But the eminence
of qualitative methodology has been marked paradoxically by the divergence
between those traditional and new feminists. The traditionalists continue to promote
exclusively qualitative method. The new feminists (and others) argue that the real
conditions of women and other exploited, powerless groups can be more effectively
exposed by greater use of quantitative data, especially by harder, objective data on
the distribution of low pay, poverty and unwaged work (especially parenthood).
Prototypical examples of new feminist research in Politics are the published works
of Norris (1995, 1999) and Lovenduski (1995).16
Post-modernism
Post-modernism initially developed in the 1970s from a critique of modernism
and positivism by intellectuals in the arts and architecture disenchanted by the
failure of modernity. This critique was given a stronger intellectual core by social
scientists, drawing on existentialism, nihilism and anarchism, who argued that
the founding concepts of the Modern Movement, industrialisation, urbanisation
and the individual as producer, were fast becoming obsolete. They saw instead a
new, post-industrial age in which the old divisions between economic classes had
become eroded by new lifestyles in the information societies when the individual
had become a consumer able to exercise choice in the market. Post-modernism
challenged universal truths and the meta-narratives of Marxism, liberalism and other
utopian ideas. There is no certainty: any knowledge is local, contingent and partial.
The scientic researcher is unable to be objective. The individual is not rational.
Language is not neutral: meaning is modulated by dominant interests. There is
no division between the arts and social sciences. The complexity of the social
world cannot be captured by research or causality deduced. Intuition, emotion and
imagination should not be discouraged. Instead, research should engage, stimulate
and evoke (Neuman, 2003: 89).17 On the other hand, post-modernism in the
discipline of Politics has been criticised as relativist, pessimistic and anti-progressive
(Heywood, 2001: 10103).18
The signicance of postmodernism for research in Politics has been the impetus
given to the closer study of talk and text and interpretative social research with
its emergent disciplines of hermeneutics, ethnography and qualitative sociology.
It therefore favours participative eldwork and real involvement of researchers
with their subjects. It revives the tradition of trying to see the world through the
subjects eyes by verstehen (empathetic understanding) advocated by Max Weber
(18641920).
Causality
Post-modernism does not entirely dismiss the concept of causality (cause and
effect or causation) as a basis for explanatory theory: it argues that the world
is chaotic, rather than a closed system, in which causes and consequences cannot
be identied. Many post-modernists therefore adopt functional, structural, historical
or interpretative explanations where, for example, a functional explanation of poverty
might be because it works. But causality is central to all the main approaches used
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30
in Politics research where causes are sought to explain effects. In emergent, everyday
English, causes are often referred to a drivers. But, in academic research, causes
and effects are generally called variables where:
causes are termed independent variables or causal events

effects are termed dependent variables, consequent events, or outcomes.
Cause and effect appears straightforward. For example, from the report or observation: A knocks over B, then you can claim that A is the cause of Bs falling over. But
how do you know that A is not responding to Bs behaviour or seeking to protect
C? The social world and political world are incredibly complex. Unlike, say, nuclear
physics, the subjects of Politics research are sentient human beings exercising some
agency (personal autonomy) within a structure (rules of the game). The degree of
agency will vary with the individual context. Assume, for example, that a university
teacher, A, appears increasingly exasperated by student B. A raises a clenched st
directly to Bs nose. What will happen? Well, you dont know what will happen.
You can only speculate. A may or may not hit B. B may adopt a passive response
and accept whatever happens next. Or B may take pre-emptive action by either
moving or striking rst. They may strike back if hit. But the choices of A and
B are both contingently structured by the teacher-student power relation, gender
relations, academic regulations and criminal law.19
There is therefore a substantial risk that the researcher may identify, incorrectly,
causes merely because they appear to immediately precede apparent effects. This
fallacy is termed post hoc, ergo propter hoc (after this, therefore because of this). This
problem was considered by the Scottish Enlightenment philosopher, David Hume
(171176). He dismissed the claim that causes necessitate the events that are their
effects. He also refuted the argument that cause could be determined by reason alone.
The belief that ames are hot can only be based on sensory experience, custom and
practice. He developed eight general rules which must be met before probable
causation could be claimed.
1. The cause and effect must be contiguous in space and time.
2. The cause must be prior to the effect.
3. There must be a constant union betwixt cause and effect. Tis chiefly this quality,
that constitutes the relation.
4. The same cause always produces the same effect, and the same effect never
arises but from the same cause
5. Where several different objects produce the same effect, it must be by means of
some quality which we discover to be common amongst them.
6. The difference in the effects of two resembling objects must proceed from that
particular, in which they differ
7. Beware not to draw such a conclusion from a few experiments

8. An object which exists for any time in its full perfection without an effect, is not the
full cause of that effect 20
After Hume, ve precise conditions have been specied for causation: covariation;
constancy of association; cause must take place before the effect; independent and dependent
variables must be discrete (rather than continuous); and non-spuriousness.21
Covariation describes the phenomenon where two variables appear to change
at the same time, for example, unemployment and poverty appear to increase or
decrease at the same time. The covariation can be plotted graphically and tested for
association (the degree of consistent relationship) by the statistical test of correlation.
However, association does not necessarily equal causation.22 And association does
not identify the independent and dependent variable. There are several ways that
variables may change at the same time. In social science, the cause is normally
indicated as x (from the Greek xenon meaning unknown) and the effect y. The causal
effect of independent variable x, on the dependent variable y, can be represented as
shown by the diagram:
xy
However, another, independent variable, x2 may also be affecting y by the process
termed addivity:
x1 y
x2
Alternatively, x2 may be affecting x1 directly by the process of intervention:
x1 y
x2
Or x2 may act as a type of catalyst on x1 and y. This is termed interaction:
x1 y
x2
Finally, the association between x1 and y may be a spurious relation where they
are both being affected by x2 :
x1
x2
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32
In practice, few causal relations in Politics research involve only one cause. Most
effects have many causes; and these causes will affect many effects. There is also the
argument that, even so, causes are only the tangible manifestation and agent of the
underlying distribution of power within society:
The flaw in the pluralist heaven is that the heavenly chorus sings with a strong upperclass accent.
(Schattschneider, 1961: 35).23
Hume explained cause and effect in terms of billiard balls in which moving ball A
hits static ball B which is then propelled along the green baize. However, today
we would claim that, in Politics, the baize is not level and smooth but furrowed and
pitted, structured by institutions that affect the trajectory of the ball and frustrate the
trajectories of A and B.
Inductive, deductive and grounded research

These methodologies generally follow the explanatory theory adopted.
Inductive research has been dened as: the inference from the particular to the
general (Honderich, 1995: 403).24 It is used to build theory and is traditionally
the methodology used in the natural sciences where observation of phenomena
is followed by a search for new explanatory theory, e.g. the behaviour of superconductors at low temperatures. Inductive research can also be adopted to nd
answers and then explanations for questions of what if ? For many years, the
problem of induction attracted the attention of philosophers like Hume who argued
that all inferences from observation relied on the premise of the future always
resembling the past. But the roots of modern-day induction lie in the philosophy of
idealism which sees the mind as the only true source of ideas. The methodology is
widely used by sociology researchers where they are trying to understand the social
meanings (beliefs, attitudes, and reasons) of their subjects exhibited through their
behaviour. These researchers adopt Webers verstehen and interpretative methods.
The idealised inductive research process may therefore be illustrated as:
1.
2.
3.
4.
5.
6.
7.
select the topic

choose the research question
collect data (through repeated observation of phenomenon)
interpret the data
develop a theoretical explanation of data
collect modified data to test initial explanation
reiterate (repeat) until conclusions can be made which best meet the test of falsifiability.
Conversely, deductive research can be explained as seeking inferences from the

general to the particular. It is the methodology adopted by positivist, empiricist and
behaviouralist researchers. While this methodology is associated with quantitative
enquiry, it is widely used in Politics research (especially by undergraduates, and
taught graduates) to apply and test the application of theoretical models to new
(often overseas) contexts. Examples include the application of policy transfer theory
to the transfer between developing states, and Stones urban regime theory to UK
cities. The idealised model is therefore:
1. select the theory, e.g. urban regime theory
2. frame the research question: e.g. can the regeneration of UK cities be attributed to
urban regimes?
3. state the hypothesis: (This might be:No: in practice many regimes have been concocted
of the usual suspects to meet government criteria for aid; other factors are more
significant.)
4. collect selected data relevant to the research question: e.g. urban regimes in successful
and unsuccessful urban regeneration
5. analyse and interpret the data
6. confirm or infirm (disprove) the hypothesis.
However, in practice, the distinctions between deductive and inductive research are
blurred. In particular, the claim by inductive social researchers that their research
is a-theoretically grounded may be questioned. Can social scientists ever really rid
their minds of the grand theories that they acquired in their earlier years? If they
really had no preconceptions or hunches, then how or why did they come to select
the phenomena for study? Can a young, white, male, middle-class, western social
researcher ever really see the world through the eyes of an old, white, workingclass western woman let alone a Third World subject speaking an entirely different
language?
Grounded research was proposed by Barney Glaser and Anselm Strauss of
Columbia University in the 1960s as a new third way derived from their critique
of the dominant tradition of deductive research in US sociology (Glaser and Strauss,
1995).21 In their judgement, US social researchers were pre-occupied with testing
hypotheses derived from the grand masters of sociology: Marx, Weber, Tonnies
and Durkheim. Consequently, new researchers were not developing new theory to
explain the new social dynamics of a fast-changing, urban society. Most research
added only detail or embellishment. Social research had become insular and was
effectively overlooking new concerns. They were also critical of some of the claims
of a-theorocity of inductive researchers. At the same time, they were critical of
the cost and resource demands of large-sample quantitative data. They wanted to
33
34
develop a new approach which harnessed the skills and other resources of social
researchers to generate new, exciting, relevant and imaginative research.
The solution they devised was grounded research where the ndings would
be entirely grounded in the data collected. The essence of grounded theory lay in
the selection by researchers of almost semi-randomised variables (for example, by
examining the contents of the returned book trolley in the university library).
Rather than hypothesise specic causal relations, the researchers should rst seek
out evidence of any relation. The initial sample and data would be limited. Their
ndings would be grounded in that data, tested and re-formulated in further samples
until theoretical saturation were reached, when the additional data failed to reveal
any further signicant ndings. Importantly, less was more. It would no longer be
necessary to collect, at vast nancial and opportunity costs, all the data before analysis
were attempted (with the temptation to overstate the ndings to justify the costs).
One noted variant of grounded research is its application to deductive research by
adopting small, iterative samples to test hypotheses. However, despite the appealing
propositions put forward by Glaser and Strauss for ground-breaking quick and dirty
research, the criticism remains that, in practice, the selection of variables for scrutiny
invariably reects the values and theoretical biases of the researchers. Additionally,
how can the researcher claim that the process is a-theoretical without reviewing
existing theory and the associated literature? How can they know that their research
is new and original?
The idealised grounded research model is:
1.
2.
3.
4.
5.
6.
select the variables

collect data from a small sample
advance an explanation
test against larger samples
revise the initial explanations
reiterate until theoretical saturation is reached.
Grounded research has great appeal to most British Politics researchers because it
avoids number-crunching and can be cited to justify a thin theoretical review and
limited immersion in the eld. Most researchers develop variants appropriate to their
research question.
1. What is positivism? What are its strengths and weaknesses?

2. Critically compare positivism and naturalism.

3. Explain Poppers concept of falsifiability. In what circumstances might it be
employed in Politics research?
4. Grounded research: another useless American import? Defend.
5. You have been asked to explore the relationship between social class, party
identification and turnout in the UK. Which research methods would you adopt?
Why?
6. What is verstehen? Is it ever possible? In what circumstances is it most likely and
least likely to be achieved?
FURTHER READING
Dahl, R. (1969) Who Governs? Democracy and Power in an American City. New
Haven: Yale University Press. pp. A new edition was published in 2005, ISBN
03001 03921. This is a well-written and detailed account of Dahls research
method and his interpretation of its findings. It remains a seminal work and
model for present-day researchers.
De Vaus, D.A. (2001) Chapter 2: Theory and Social Research. In Surveys in
Social Research. London: Routledge. pp. 1126. This short account
summarises the interaction of theory and research, the process of theory
building and testing, and the sources of theory.
Glaser, B.G. and Strauss, A.L. (1967/1995) The Discovery of Grounded Theory:
Strategies for Qualitative Research. New York: Aldine de Gruyter. This very pacy
account provides the critique of contemporary research in the early 1960s from
which grounded theory was developed. As the American Sociological Review
claims: The authors successfully transmit the sense of adventure, air of
excitement and of positive apprehension over what is discovered as one tracks
down clues and sorts [them] among attractive alternatives.
Gubrium, J.F. and Holstein, J.A. (1997) The New Language of Qualitative Method.
Oxford: Oxford University Press. pp. 1994. This 244-page textbook provides
incisive chapters on naturalism, ethnomethodology, emotionalism and
post-modernism including extracts from many case studies.
Marsh, D. and Furlong, D. (2002) Chapter 1: A Skin is Not a Sweater: Ontology
and Epistemology in Political Science. In Marsh, D. and Stoker, G. (eds.) Theory
and Methods in Political Science. Basingstoke: Palgrave Macmillan. pp. 1741.
This chapter reviews the centrality of ontology and epistemology and the
divergent perspectives of positivism, interpretivism, and constructivism, and
demonstrates their application to case studies of globalisation and multi-level
governance.
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36

Neuman, W.L. (2003) Chapter 4: The Meanings of Methodology. In Social
Research Methods: Qualitative and Quantitative Approaches. London: Allyn
and Bacon. pp. 6894. This chapter describes the historical development of
methodologies in social science. The author identifies the differences between
the main approaches by asking eight questions. They include: what is the basic
nature of human beings? What is the relationship between science and
common sense? The answers are tabulated on Table 4.1 on p. 91. This will be
of particular values to researchers new to Politics and seeking to understand
the complex approaches.
Smith, M.J. (2003) Chapter 3: The Emergence of the Social Science. In Social
Science in Question. London: Sage. pp. 75116. This is a core text of the Open
Universitys social science modules. It describes and evaluates the origins of
positivism and its contribution to emergent social sciences and the
development of empiricism. A section is devoted to explaining Poppers
falsificationist solution to the problem of induction. The chapter ends with a
rich collection of readings from Comte, Bentham and Eysenck.
Notes
1 Lacey, A. (1995) In Honderich,T. The Oxford Companion to Philosophy. Oxford: Oxford University
Press. pp. 145, 7056.
2 Smith, M.J. (2003) Social Science in Question. London: Sage. p. 79.
3 The natural sciences are generally considered to be astronomy, physics, maths, chemistry and
quantitative biology.
4 Smith, M.J. (2003) Social Science in Question. London: Sage. p. 812.
5 Williams, R. (1983) Keywords: A Vocabulary of Culture and Society. London: Fontana. pp. 2389:
[positivism] becomes a swear word, by which nobody is swearing.
6 The first school of political science was established at Columbia in 1880: Burnham, P.,
Gilland, K., Grant, W. and Layton-Henry, Z. (2004) Research Methods in Politics. Basingstoke:
Palgrave Macmillan. p. 12.
7 Dahl, R. (1969) Who Governs? Democracy and Power in an American City. New Haven: Yale
University Press. A new edition was published in 2005, ISBN 03001 03921.
8 Dahl, R. (1969) Who Governs? Democracy and Power in an American City. New Haven: Yale
University Press. p. 331.
9 Bachrach, P. and Baratz, M. (1962) The two faces of power. In American Political Science Review,
56. Dahl thereby excludes the possibility that in the community in question there is a group
capable of preventing contests from arising on issues of importance to it [Dahl is] unable
adequately to differentiate between a key and routine political decision.
10 This authors own experience supports the claim that, in UK local government, the real decisions
on planning policy (but not planning applications) are made at the pre-agenda meeting between
the (elected) executive members and the officers (unelected officials).
11 Lukes, S. (1974) Power: A Radical View. London: Macmillan.
12 I experienced a counterfactual in my research on hegemony and social exclusion in rural England
where I note that the estate villages appeared to lack the war memorials that were characteristic
13
14
15
16
17
18
19
20
21
22
23
24
of the greens or crossroads of villages elsewhere. I found that the memorials had actually been
located inside the village churches despite most of the casualties having been members of
Methodist chapels.
Domhoff, D.W. (2005) Power in America: Who really ruled in Dahls New Haven.
http:/sociology.ucsc.edu/whorulesamerica/power/new_haven.html (20.06.2006).
Sanders, D. (2002) Chapter 2: Behaviouralism. In Marsh, D. and Stoker, G. (eds.) Theory and
Methods in Political Science. Basingstoke: Palgrave Macmillan. p. 52.
Oakley, A. (2000) Experiments in Knowing: Gender and Methods in the Social Sciences.
Cambridge: Polity Press. p. 16.
Evans, G. and Norris, P. (1999) Critical Elections. London: Sage, and Norris, P. and, Lovenduski, J.
(1995) Political Recruitment: Gender, Race and Class in the British Parliament. Cambridge:
Cambridge University Press.
Neuman, W.L. (2003) Social Research Methods. Boston: Pearson Education. p. 89. Neumann
develops an alternative classification of social science into three paradigms: positivist, critical
social science and interpretative social science. He explains the latter as: the systematic analysis
of socially meaningful action through the direct detailed observation of people in natural settings
in order to arrive at understandings and interpretations of how people create and maintain their
social worlds (p. 71).
Heywood, A. (2000) Key Concepts in Politics. Basingstoke: Palgrave Macmillan. pp. 1013.
In UK criminal law, assault in assault and battery refers to the perceived threat of battery by the
victim.
Hume, D. (1739) A Treatise on Human Nature. 1: 4678.
Glaser, B.G. and Strauss, A.L. (1967/1995) The Discovery of Grounded Theory: Strategies for
Qualitative Research. New York: Aldine de Gruyter.
Voight, P. (1999) Dictionary of Statistics and Methodology. London: Sage. p. 58
Schattschneider, E.E. (1961) The Semisovereign People: A Realistss View of Democracy in
America. New York: Holt, Rinehart and Winston. p. 35.
Honderich, T. (ed.) (1995) The Oxford Companion to Philosophy. Oxford: Clarendon Press.
pp. 4056.
37
Part II
Methodologies
Chapter 4
Qualitative Versus Quantitative

Methods: A Relevant Argument?
Quantitative research is hard and reliable qualitative research is deep and rich
(Bryman, 1996:94)1
Qualitative and quantitative methods are more than just differences between research
strategies and data collection procedures. These approaches represent fundamentally
different epistemological frameworks for conceptualising the nature of knowing, social
reality, and procedures for comprehending those phenomena.
(Filstead, 1979:45)2
1. To understand the origins, merits, strengths and weaknesses, claims and

counter-claims of qualitative and quantitative research.
2. To consider whether mixed methods are incompatible with best research
scholarship.
3. To enable each student to reach and defend their own preferences.
Introduction
Qualitative and quantitative methods have historically been portrayed as mutually
exclusive research approaches promoted by competing specialists appealing to the
hearts and minds of new students.
The arguments and antagonisms have become very tired over the years as each
new cohort of students is asked to critically compare the competing claims. However,
the traditional divergence of opinion has been challenged by the increasing
interest expressed by Politics researchers in mixed methods and the availability
of sophisticated CAQDAS (Computer-Assisted Qualitative Data Analysis System)
software. This uses quantitative methods to analyse qualitative data.3 These include
programs which systematically analyse talk and text. However, they depend
42
on systems of coding designed and applied by the researcher. So the analysis is

not therefore automatic. They also rely on assumptions, especially content analysis
software, about the signicance of the frequency and regularity of words which are
essentially positivist.
The full, denitive discussion of the claims and counter-claims of qualitative and
quantitative methods is provided by Alan Brymans Quantity and Quality in Social
Research, London, Routledge, 1996/88. Read it.
This chapter seeks to summarise briey the origins, characteristics, merits,
strengths and weaknesses, claims and counter-claims of qualitative and quantitative
methods. You will already be aware of the particular pitfalls and incoherence
of comparing two or more concepts. The conventional method of comparative,
descriptive narrative can become easily weighed down with repeated use of on one
hand and on the other hand. A weakness of text is its linear, one-dimensional
presentation of information. This makes ready comparison difcult and timeconsuming. An alternative approach, which this book advocates for writing research
reports, is to tabulate (set out in a table) for ready comparison the core characteristics
of the concepts. Tabulation enables specic aspects to be extracted for detailed
discussion. This approach is used in Table 4.1 to highlight the essential differences
between the two methods.
The strengths and weaknesses of the two research methods are not mirror-images
of each other and are best considered separately.
Quantitative methods: strengths

The greatest strength of quantitative method lies in its general acceptance by others
as being rational, logical, planned and systematic. The ndings are regarded as
credible. This method is therefore particularly favoured by public, research-funding
bodies keen to justify their investments to a sceptical public. It is also preferred
by news media whose audiences, they claim, regard percentages as hard news.
Therefore quantitative method, however complex the statistical methods employed,
is regarded as being straightforward and providing the facts. The researcher is seen
as dispassionate, objective and, therefore, trustworthy. It employs very large samples
designed to reect and be representative of the population being studied. The use of
questionnaires ensures that every member of the sample is asked the same question in
the same manner. Supporters argue that attitudes can be measured by using scales, e.g.
the Likert scale of strongly agree, agree, etc. (see Chapter 9). Face-to-face contact
is not necessary and may contaminate the data. Research objects are best kept at
arms length. Geographically remote or immobile people can be surveyed by postal
survey, telephone or internet. Quantitative method makes best use of computers
and other new technology. So the time-scale for data analysis and the publication of
ndings can be relatively short. Furthermore, the data can be re-examined, audited
Qualitative Versus Quantitative Methods: A Relevant Argument?

Table 4.1 Characteristics of qualitative and quantitative methods
Characteristics
Quantitative Research
Qualitative Research
Origins
Philosophic roots
Research design
Natural science
Positivism
Deductive
Systematic
Theory testing
Seeks explanation and
universal laws
Observer, outsider
Objective
Objects
Research centre or
laboratory
Random
Large
Focus on universes
The individual
Social science
Naturalism, feminism
Inductive
Flexible
Theory building
Seeks explanation and solutions
Contribution to theory
Researcher
Researchers attitude
People are regarded as:
Location
Samples or cases
Focus
Records
Data
Data collection
Represented by
Analysis
Generalisability
Costs
Findings
Frequency
Numeric concept indicators
Surveys and structured
questionnaires
Tables and charts
Statistical
High
High
Nomothetic (general laws)
Participant, insider
Subjective, empathetic
Subjects
Field based
Non-random
Small
Focus on minorities
The group (family, clan, peer group,
work group)
Social meanings
Non-numeric concepts
Personal interviews and
unstructured interviews
Transcripts
Non-statistical
None claimed
Low
Ideographic (specific to historical
and cultural context)
and re-analysed or used for other purposes. The process of analysis is overt in which
the scope for bias by the researcher is deliberately minimised. The method enables
research projects to be carried out by teams in which specialist talents can be properly
exploited and work sub-contracted to agencies. Quantitative research effectively
conforms to the modern-day business model.
In terms of academic research, quantitative method is particularly suited to
the development of grand, meta and micro theory by testing logical hypotheses.
Applying Poppers tests of falsiability ensures that the research hypothesis can only
be accepted after all alternative hypotheses have been disproved. It offers the best
means of identifying and comparing the distribution between people, places and
times of phenomena such as party membership, voting, income, poverty, housing
conditions, and changing attitudes. It can also be used to identify clusters of
relatively small-scale phenomena and to analyse these statistically to identify whether
43
44
particular concentrations may be attributed to chance or potentially localised causes.

Quantitative method can mine and analyse existing data banks, for example,
census data and voting records. It is particularly useful in electoral research which
focuses increasingly on the problem in western states of declining turnout in what
commentators have termed the period of post-democracy (Crouch, 2004).4 One
notable study used the data available from the British Election Study (BES) and
local government records to explain potential causes of the drop in UK turnout
in the 1997 general election (when, after 18 years in opposition, Labour replaced
the Conservative party in government). The drop, from 77.9% (in 1992) to 71.6%,
could be attributed mainly to the combination of the closeness of party ideology
and the extent to which the outcome was in no doubt (Heath and Taylor, 1999).5
The apparent certainty of the result was reported by news media using the evidence
of opinion polls another quantitative device. In this way, hard news became
self-fullling.
Weaknesses and criticisms of quantitative methods

These are mainly vefold. First, the underlying doctrine of positivism is, as already
stated in Chapter 3, contestable in its application to the social world. Second, it is too
detached, remote and clinical to really understand and explore the complex social and
political world. Quantitative research is amoral. Third, its use by the social sciences
does not meet the high standards of the natural sciences in which its reputation
and claims lie. It is bad science. The samples, despite claims of randomness, are not
statistically reliable. There are too many variables for causality ever to be determined,
especially when the measures are supercial. Measures of strength of attitude are
fallible: is strongly object twice the value of object? Fourth, quantitative research
in Politics research relies on the ability to express concepts as measurable indicators.
But, as already discussed, how can power be measured? Furthermore, ofcial data
is often doctored to serve government interests. To what extent are records of,
say, civil disturbances and arrests really representative of underlying dissent? Can we
really weigh an iceberg by measuring its tip? The necessity for measurable conceptindicators means that quantitative research is conned to researching measurable
variables rather than more important issues. Lastly, the reliance on observation limits
the range and depth of research to what is both observable and measurable.
The stereotypical quantitative researcher is a clean-shaven, male, white-coated,
ascetic, Times-reading Dr Strangelove working in an established university.
Defence and counter-claims

Advocates of quantitative research rebut the criticisms by defending the applicability
of positivism and empiricism to most aspects of the social world. It is less imperfect
than qualitative research. In purist terms, it is the evil of two lessers. But samples
can be devised and statistical analysis applied to produce ndings within specied
condence limits. Questionnaires can be designed with sufcient checks and controls
to identify bias by respondents and questioners. Most concepts are capable of being
represented by measurable indicators. Subconscious feelings and motivations can be
identied by using projective questioning (see Chapter 9). Quantitative method accepts
its own fallibility which its users consciously seek to minimise. Most variables are
capable of observation by trained researchers using modern technology. At the end
of the day, quantitative research is reliable and concrete and has put the science
into Politics to create political science.
Qualitative methods: strengths

This is the dominant approach adopted in UK Politics research. This choice reects
in part the lack of condence of many UK researchers in their quantitative skills.
In the main, qualitative method is preferred because it is considered best suited to
the study, understanding and explanation of the complexities of social and political
life. The strength of this method lies in its unique capacity, through in-depth
interviewing and observation, to learn and understand the underlying values of
individuals and groups. It better enables theory to be created by induction. By
learning the social meanings that the subjects apply to their world, researchers
are better able to see the world through the subjects eyes. So researchers can
identify and understand the interpretative lens that subjects adopt, and, therefore,
the dominant powers and institutions that frame the view and tint the lenses.
Essentially, politics takes more than one person: it is an intra- and inter-group
activity. Qualitative method enables the focus to be shifted from the individual
to the group(s) and to learn (following the theories of Goffman and others) how
meanings are negotiated between members and the group dynamics involved.6
It allows comparisons and distinctions to be drawn between what the individual
says in the privacy of a personal interview and what they say, or dont say, in
a group. Furthermore, the varied opportunities for participant observation, along a
continuum between thresholder and full member, allow degrees of access to the group.
The method also enables minorities to be researched who would otherwise be
missed by sample surveys because they are either small in number or might be
unwilling to identify themselves. Covert groups include homosexuals, drug-users,
gang-members, and terrorists and their supporters. The method avoids distance and
objectivity by seeking verstehen (empathetic understanding). Many of the researchers
are also (critical) activists. They seek to expose exploitation and to improve the lives
of their subjects through policy change. They want to assist their subjects to see
their circumstances through other perspectives and lenses, and to develop their own
interpretations. They seek to empower their subjects through the research process.
There is therefore a normative dimension to qualitative method that quantitative
45
46
method lacks and, for that matter, avoids. The method also offers a greater focus on
verbal and other communications and the application of linguistics to the analysis.
Sophisticated (digital) recording devices enable the data to be shared with other
researchers. New, miniaturised technology allows eldwork to be carried out in the
homes and workplaces of their subjects in a more surreptitious way. So the subjects
are not inhibited by the equipment and contingent variables are less affected.
Criticisms and weaknesses of qualitative methods

The archetypal criticism of qualitative methods is that the data collected is largely
anecdotal or exaggerated. The method is also soft: it lacks the intellectual and
operational rigour of quantitative method. The researcher is likely to go native
(over-identify with the subjects) or, alternatively suffer, from observer drift (where
obvious deviances become accepted norms that are under-recorded). So the data and
ndings are highly unreliable. The claims to induction are spurious: the research
question and choice of issues and concepts must be inuenced by prior learning.
The researcher is weighed down by bias. By participating with their subjects, the
researcher will inevitably contaminate the social eld and determine outcomes, or at
least inuence them in some way, rather than observe them. Furthermore, despite
their distaste for concept-indicators, qualitative researchers inevitably adopt concepts
which involve some form of proxy to make them intelligible to the subjects. Verstehen
is elusive. How can a young, white, middle-class male researcher see the world
through the eyes of a female with the same background let alone a person from a
wholly different culture? But, even if the data is sound, there is the insurmountable
problem of interpretation. The researcher must interpret in turn the interpretation
by the subject of their world. The scope for misinterpretation is huge. How can the
researcher know or show that their interpretation is inaccurate? There is also the
ethical danger that, by participating closely in oppressed minorities, the researcher
may act as an agent provocateur who leads the group into harms way and then retires
to the sanctuary of their university.
The stereotypical qualitative researcher is seen by critics as long-haired, earringwearing, leather and denim-clad, Guardian-reading, smoking, Dr Howard Kirk
(The History Man) in a new university. Or, worse still, he is a woman.
Defence and counter-claims on behalf of qualitative

research
Advocates reject the criticisms made as wholly exaggerated. The social sciences are
not a soft option. Qualitative research is intellectually demanding and rigorous.
Researchers are fully aware of the weaknesses and dangers of close identication
between subject and researcher. Protocols and close supervision are required. Data is
not anecdotal. It is no longer accepted on trust: the researcher is required to make
Illustration 2 The great divide: Quantitative versus Qualitative Research. The

stereotypes
available full transcripts and other records of interviews and group meetings for
corroboration. There is a full paper trail available for audit purposes and external
examination. The research method provides the only means by which overlooked or
concealed minorities can be studied. In this way, their needs for special recognition
can be addressed by policy-makers before continued rejection leads to outright
dissent. The emphasis on studying subjects in their own habitat means that contingent
factors can be identied and the research effect (see Chapter 2) minimised. It recognises
that language is never neutral: every word is a bias (Nietzsche). The normative
opportunities should be welcomed rather than criticised: research should improve
the circumstances of its subjects. The method acknowledges the central role of
the researcher in the research rather than pretending that this can be eliminated.
Quantitative method does not readily enable group behaviour to be studied. Overall,
qualitative research provides high quality data and ndings, and deep, meaningful
insights into underlying values, fears and motivations of agents and actors in the
political world.
Mixed methods
Given the separate strengths and weaknesses of quantitative and qualitative methods,
then using them together mixed methods would appear to offer the best of
47
48
both worlds. But, given their opposing ontology and epistemology (see Chapter 3),
the criticism could be made of the lack of scholarship and the inevitable theoretical
weaknesses of seeking to mix oil and water. Alternatively, the criticism could be
rebutted as being too esoteric and academic and of overlooking the advantages,
especially of time and other costs, of bringing the two methods together when
the opportunities arise. The justications cited for a mixed approach could include
synergy, corroboration of sources and data triangulation (see Chapter 7).
The received view among research practitioners tends to be that the differences
between the methods have been exaggerated. However, there remains strong
objection to a mix and match approach. Instead, the use of combined methods
can be better accepted as appropriate where one method dominates and the other
is used in a secondary, supportive way.
Two examples of appropriate combined methods can be given. Both concern
research into voting behaviour.
EXAMPLE 1: Election turnout

UK election turnout has fallen since 1951.The research question is: why has turnout fallen? It
adopts a positivist, deductive approach in which Crouchs theory of post-democracy is used
and tested. The research seeks to test Crouchs argument that turnout has fallen because
globalisation and the decline of industrial production have loosened the previous sense
of antagonistic social identity and class. So the appeal of unions and political parties has
weakened and reduced support for active participation. Instead participation has once again
become an elite activity by self-referential political class more concerned with forging links
with wealthy business interests (Crouch, 2004).7 In this case, the proxy-indicators of active
participation selected are: membership of parties and unions; attendance at political etc.
meetings; holding office; and, voting. The data will be collected from national published
records of voting and party, etc., membership since 1951. This population data will be
augmented by a national, postal questionnaire sample of a stratified sample of say 2,000
electors (following a pilot survey). It may offer hard, reliable evidence of changes in voting
behaviour, class consciousness and party identity and participation. Analysis is likely to
show a strong correlation between the decline in participation and loosening of political
identity. But it will lack compelling evidence of causal relations. In this case, the data could
be supported by interviews with a small sample of activists and non-activists to learn of their
personal experiences and to tease out their changing motivations. This qualitative data could
either be sought before the questionnaire survey to help frame the questions and alternative
answers, or afterwards to explore particular findings. In either event, quotable quotes could
be incorporated into the research report to illustrate the findings and to create interest. The
report is likely to conclude with a discussion of the implications of the findings for democracy
and electoral reform.
EXAMPLE 2: Increasing abstention

The second example also concerns the fall in UK turnout since 1951. The research question
remains the same although expressed in a slightly different way: why are more people
abstaining from voting? But this time, the research is inductive: there is no hypothesis to be
tested. The researcher is not seeking one explanation but a number of reasons applicable
only to the persons concerned. In this case, the researcher will interview a sample of people
in depth to learn what participation and voting means to them. The sample will not seek to
be representative of the population. Whilst the researcher will hope to build explanations
there is no expectation that a law of electoral behaviour will emerge. The researcher will also
interview and observe meetings of groups of people to learn how and if group norms are
negotiated and peer pressure exerted. In this case, these interviews could be supported by
evidence of the extent of abstention and classifications drawn from official records and the
British Election Survey. This quantitative data will quantify the incidence and extent of the
behaviour rather than to give explanations.This research is unlikely to stop at the explanations
gleaned. It will consider the implications for the individual and groups and to suggest how
the processes of participation and articulation should be improved to benefit abstainers.
1. What do you understand by quantitative and qualitative methods?

2. Summarise the main claims and counter-claims of quantitative and qualitative
methods. Which do you regard as more appropriate to research in Politics? Why?
3. You are asked to carry out research to test Galbraiths culture of contentment
thesis.8 Which method would you use? Why?
4. Mixed methods: can they be logically consistent? Are they ever justified? Choose
and defend two examples which support your position.
FURTHER READING
Bryman, A. (1988/96) Quantity and Quality in Social Research. London:
Routledge. This text provides the most authoritative review of qualitative and
quantitative methods, their claims and counter-claims and learned discussion
on mixed methods.
Harrison, L. (2001) Political Research: An Introduction. London: Routledge.
pp. 747. This book includes a very concise analysis of the research methods in
49
50

terms of whether they produce different results and answers to research
questions.
Reed, M. and Marsh, D. (2002) Chapter 11: Combining Quantitative and
Qualitative Method. In Marsh, D. and Stoker, G. (eds.) Theory and Methods in
Political Science. Basingstoke: Macmillan, pp. 23148. This book follows
separate critical accounts of qualitative methods (pp. 197215) and quantitative
methods (pp. 21630) with an authoritative discussion of mixed methods
(a false dichotomy?) including two case studies.
Seale, C. (1999) The Quality of Qualitative Research. London: Sage.
Notes
1 Brymam, A. (1998/96) Quantity and Quality in Social Research. London: Routledge.
2 Filstead, W.J. (1979) Qualitative Methods: a needed perspective in evaluation research. In Cooke,
T.D. and Reichardt, C.S. (eds.) Qualitative and Quantitative Methods in Evaluation Research.
Beverly Hills: Sage. p. 45.
3 Popular software includes Nud*st and ATLAS.ti.
6 Erving Goffman (192282) Canadian-US sociologist who specialised in studying face-to-face
interaction within the social interactionist tradition in which he identified the significance of ritual in
everyday activity
7 Crouch, C. (2004) Post-Democracy. Cambridge: Polity.
8 Galbraith, J.K. (1992) The Culture of Contentment. London: Penguin. Galbraith argued that US
voters were predominantly socially and economically advantaged electors who voted in favour of
groups which offered to reduce taxation and therefore welfare provision for others in need of
intervention.
Chapter 5
Collecting Data Sets: Case Studies,

Experimental, Comparative,
Longitudinal and Action Research
Methods

1. To consider the distinctive characteristics of case studies, experimental,
comparative, longitudinal and action research methods.
2. To identify their strengths and weaknesses.
3. To learn where each is best used.
Introduction
Case studies, experimental, comparative, longitudinal and comparative research are
all different methods that you can use to gather data. This data may either be
existing, documented information, or new information which is required to test
your (deductive) hypothesis, or develop (inductively) new theoretical explanations.
Simply described, a case study method is a sample of one event, instance, state
or sub-unit at one point in time. Experimental method involves a sample of two:
a control sample and an experimental sample drawn (ideally randomly) from
the population under study. The experimental sample is made subject to a change
in some independent variable whilst conditions are held constant in the control
sample. For example, the independent variable may be new, additional forms of news
information, nancial incentives or cost reductions by way of, say, postal voting.
Comparative method involves obtaining data from a population or sample of
equivalent states or sub-units, sectors or groups, at the same points in time. It is the
principal method used in comparative politics and international relations. Longitudinal method seeks data from the observation of a cohort, a group of people, states
or organisations, etc. sharing one or more common characteristics, over an extensive
period of time. The common characteristics may include age, education, place or
52
specic condition. Action research method essentially involves the researcher

obtaining data through direct participation in a group of actors experiencing
particular conditions. The method therefore allows you to share and experience the
institutional and other barriers the group faces in the struggle towards transformation.
Choice of method
The choice of research method will generally be determined by ve factors:
1.
2.
3.
4.
5.
academic or other institutional requirements

the time and other resources available to the researcher
the sub-discipline of Politics
accessibility of the data sets
whether (mainly) quantitative or qualitative data is sought.
Generally speaking, university regulations for nal-year, single-term research

projects by undergraduates and taught graduates will be satised by a single
case study. This will provide sufcient opportunity for students to complete original
research which demonstrates their theoretical understanding and their ability to
obtain and analyse high-quality, in-depth data and offer profound insights. However,
doctoral research generally requires data to be sought from a number of sources
which combine both depth and extent. In this way, the set of multiple sources should
demonstrate whether the particular ndings are unique or, hopefully, universal and
the impact of contextual variables.
A single-term or single-semester timescale will normally limit the method
employed to a single, in-depth case study, or to a comparative study of either a
limited number of variables from a large sample, or a larger number of data from a
smaller sample. At the other end of the scale, longitudinal research will require the
necessary time to track and observe members of the sample over the longest possible
periods.
Different data collection methods are better suited to particular sub-disciplines of
Politics. Comparative politics, international relations and development studies tend
to use comparative method. Gender studies are more likely to use action research.
Students of conict studies are more likely to adopt an in-depth case study of a
particular geographical area.
Accessibility will also inuence the choice of method. It means both access to
the group or set under study and to the relevant information about them. Groups
may be inaccessible because they are physically remote, concealed, nomadic, or lack
sufcient identity amongst themselves. Even when the groups are readily contactable
it may be difcult to access information about them. For example, information on
income, health, participation, exclusion and illegal activities is difcult to access.
Collecting Data Sets
Additionally, the specic phenomenon or indicator may not be readily observable

or measurable.
Pre-disposition to quantitative or qualitative method will also inuence, if not
entirely determine, the choice of method for collecting data. The limited availability
of numeric information from a single case and the requirements for generalisability
(the wider applicability of its conclusions) will generally require a large sample of
comparable cases to be used to achieve the law of large numbers.1 Conversely, the
requirements for deep and rich data in qualitative method are more likely to be
met by a single case study or, if resources permit, a small group of cases selected for
their apparent similarity or difference.
The single case study

The single case study is the essential building block of empiric research. It must
provide the basic minimum of information to enable the research question to be
answered and the research hypothesis to be tested. It is a sample of one. Historical
research may dene the case study and its scope. For example, the research question
why did the TUC halt the British general strike of 1926, will concentrate on the
specic events leading to the general strike and its conduct. The difculty here
will be to decide when the events leading to actually began and the main actors
involved over this timescale. The law of diminishing returns may be evidenced when
the marginal cost of further interviews becomes greater than their benet to the
research, and where opportunity costs are high. On the other hand, research into, for
example the causes of strikes in the UK car industry post 1997 may focus, in the
rst instance, on a single company or a plant within that company.
Self-containment and typicality are important requirements for an effective case
study. Self-containment means that the variables being researched should be clearly
distinguishable and be relatively unaffected by complex external factors. The case
study should also be typical of the range of other potential case studies. So conscious
choice rather than blind or random selection is required. It is therefore important
that the initial preferred case study should itself be carefully researched before the
choice is conrmed. This initial examination should show that the case is not affected
by other, exceptional factors. It should also show whether the necessary access to key
individuals and other sources of data is likely to be achievable. You should also nd
out whether the group or location has been researched before: frequent prior research
may have poisoned the well of information and left people uncertain of their social
reality. Insertion and immersion (i.e. prolonged exposure) in the proposed case study
early in the research process is therefore essential if disappointment, or even failure,
is to be avoided.
However good the eldwork, the quality of data and its analysis, the great
weakness of a single case study remains that its generalisability and therefore its
53
54
signicance remains unproven. The explanation may be unique to that case.

A solution may be to adopt a thick/thin approach or case study and a quarter. Here,
the ndings of an in-depth case study are tested against another typical group or
situation. For example, suppose that a case study of large-scale voluntary transfer
of council houses in a northern, English, industrial town had concluded that the
high support by tenants there could be attributed to the involvement of a national
housing charity as a mediating body.2 In reaching this conclusion, the researchers
had established that other factors such as rents, repairs backlogs, key personalities and
support by tenants for the council, were much less signicant. The ndings of this
study could then be tested by a thin study of another, similar case where a mediator
had been appointed to nd out whether their involvement was regarded as critical
to the outcome. Alternatively, the ndings could be tested against a similar thin
case where a mediator had not been appointed to see whether support was lower.
The use of this solution may be particularly effective for taught masters students.
Experimental research
Experimental research is rarely used in politics research. Here, the necessary
observation of an experimental group and control group under laboratory-type conditions let alone the gold-standard of random double-blindness is difcult to
achieve. To be successful, large-scale institutional support may be required.
One particular type of experimental research is the pilot project where a change
of policy is tested on a particular group or area before the initiative is rolled-out
(extended). A good example of pilot testing is the research carried out by the UK
Electoral Commission in 20024 into the effect of introducing all-postal voting
to replace previous forms of ballots. This initiative was introduced to counter the
decline of electoral turnout since 1951, especially in local government elections
where this had fallen to less than a third of electors. Low turnout was considered to
undermine the legitimacy of councillors in government/local government relations.
The traditional form of voting required electors to vote in person at the specied,
local polling station on a single date unless the elector could justify the necessity for
a proxy vote (on grounds of disability) or postal vote (on the grounds of absence).
All-postal voting meant that the ballot paper was delivered direct to the elector well
in advance of the election and could be returned by post before the polling day or
delivered to the polling station.
Following a selection process, 32 local authorities were chosen to test the
practicality of all-postal voting and its effect on turnout. Each was the subject
of a statutory report by the Commission. The reports show that, overall, the
level of turnout in the pilot areas increased to 50%. For example, turnout in the
City of Newcastle upon Tyne increased from 32% (in 2003) to 49.9%.3,4 Similar
increases were reported in the other pilot areas. On this evidence, the (unstated)
hypothesis that the change from traditional to all-postal balloting would increase
turnout appeared conrmed. The outcome supported the rational choice
interpretation of voting behaviour (in which reducing barriers and costs of voting
would increase participation). However, other factors may have contributed to the
increase in turnout. In particular, the local authorities undertook substantial publicity
campaigns in the local press, radio, television, billboards and additional mail-outs to
electors. So signicant Hawthorne and Pygmalion effects cannot be discounted. I also
suspect that pilot tests generally tend to realise higher improvements beyond those
likely to be attained when the initiatives are extended nationally. This pilot effect
may be attributed to the original selection of the pilots for their greater suitability
and the additional resources made available including the greater involvement of
leading ofcials. Subsequently, complaints were made to the police that applications
for postal voting in marginal wards had risen by 500%. The police investigations
led to trials and convictions in a small number of cases. Subsequently, in August
2004, the Commission recommended that the system of all-postal voting should be
discontinued because, in the absence of the reforms it had recommended for voter
registration, postal voting was vulnerable to abuse.5 Yet its earlier statutory reports
had stated that it was unaware of any allegations of fraud and malpractice .
Comparative research, or comparative method, is the approach most widely adopted
by comparative politics, international relations, public policy and developmental
politics. Indeed, in North America, comparative politics is regarded as essentially the
study of foreign states. The underlying principle of comparative research is that, by
comparing two or more cases, researchers can identify causal variables which could
not be deduced from a single case. It is essentially positivistic and relies on the system
of analysis afforded by J S Mills methods of difference and similarity (Mill, 1843).6 But
whilst comparative research is positivistic, it need not necessarily be quantitative.
A good example of early comparative research is Engels The Condition of the
Working Class in England (1845).7 After reviewing the contemporary development
of the main industrial sectors and creation of the proletariat, he examined in turn
the great towns. He described conditions in the working mens housing areas
in, for example, London, Dublin, Edinburgh, Glasgow, Birmingham, Salford and
Manchester, Nottingham, Leeds and the smaller industrial towns of Yorkshire and
Lancashire. He concluded that:
To sum up the facts thus cited. The great towns are chiefly inhabited by working people,
since in the best case there is one bourgeois for two workers, often for three ; these
workers have no property of their own, and live wholly for wages, which usually go from
55
56

hand to mouth every working man is therefore constantly exposed to loss of work
and food The dwellings of the workers are everywhere badly planned, badly built, and
kept in the worse condition, badly ventilated, damp, and unwholesome The average
is nearer the worst case than the best.
(Engels, 1993/1845: 856)
His comparison of the great towns enabled him to conclude that the conditions
were universal within British industrial towns and cities. The causes were therefore
not local, specic to different sectors of industry or otherwise contextual. He
concluded that the cause of these common conditions were state-wide: competition
between workers and Irish immigration. He then investigated these causes in turn,
extending his research to the mining proletariat and the agricultural proletariat
and concluded that The war of the poor against the rich will become direct and
universal [i.e. not conned to Britain] (Engels, 1993: 302).
Engels research demonstrates many of the purposes (reasons) for undertaking
comparative politics research:
1. to provide rich, contextual descriptions which identify clearly the observed similarities
and differences between cases and places
2. to identify and develop systems of classification and typologies which generate data
sets appropriate to the research question
3. to distinguish independent variables (causes) from other variables
4. to test hypotheses and, thus, the validity of explanatory theories
5. to develop predictive capacity where, for example, there is evidence of stages of
development.
The selection of cases for comparative research depends on the number of variables
to be examined, the availability and access to related, comparable data, data format
(numeric or non-numeric) and the means of analysis to be adopted. Elementary
algebra has taught you that the value of two variables cannot be found from a single
equation: two, simultaneous equations are required. At least one case is required
per variable. Similarly, algebra and logic has taught you that you cannot compare
apples and pears: the data to be compared must be measures or descriptions of the
same variable. They must also be equivalent to the variables being examined. The
cases to be selected must offer the same data sets over the same periods. But data
need not be numeric or quantiable. It can equally well be binary (e.g. yes/no,
democracy/non-democracy, etc.) or nominal (e.g. the name of the state).
The method of comparison to be adopted will determine the cases to be selected,
and the size of the sample relative to the size of the population. The three most
widely-used methods of comparison are Mills method of agreement, method of difference
and method of concomitant variations.
Where the method of agreement is to be used, different cases which have

the same outcome (result, effect) are selected. The potential independent variables
(causes, contributory factors) are sought and listed. Where one (or more) variable is
common to each case, then the researcher will conclude that this is the independent
variable. This can be demonstrated below:
Case
1
2
3
Variables
a
b
c
a
c
d
a
b
d
Outcome
y
y
y
In this group of cases, only a is common to all cases where the outcome is y. So
a appears to be the cause/independent variable.
The method of difference is the converse of the method of agreement. It is
generally regarded as more practicable (easier). Here, similar cases are chosen for
their different outcomes, e.g. single-party or coalition governments. The potential
variables are sought and listed. Where the absence or presence of one variable is
associated with specic outcomes, then that variable may be concluded to be causal:
Case
1
2
3
4
Variables
a
b
a
b
a
b
p
b
c
c
c
c
d
d
d
d
Outcome
y
y
y
z
In this example, variables b, c and d can be seen not to effect the outcome whereas
variable a appears to be the cause of outcome y and variable p appears to cause
outcome z.
The method of concomitant variations is used where the magnitude of the
potential cause appears associated with the magnitude of the outcome. For example:
Case
1
2
3
Variables
a
b
2a
b
3a
b
c
c
c
d
d
d
Outcome
y
2y
3y
In this group of cases, the magnitude of a appears to inuence the magnitude of y.

In all these examples, the ndings are qualied by saying appears to be. Firm
conclusions can only be drawn when other explanations e.g. spurious correlations
or chance have been eliminated.
The individual cases must also be comparable. So samples of states may be drawn
from the EU (or EEA if comparison between EU and other European states is
sought), OECD, G8, states sharing a geographical area (e.g. South America), or states
having a similar history (e.g. former British colonies). Or alternatively, a comparison
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58
can be made between ofces (e.g. foreign ministers), events (e.g. devaluations, civil
wars), policies (e.g. privatisation), organisations (e.g. NGOs) and ideologies.
The size of sample will also have a bearing on the degree of certainty to be attached
to the ndings. Ideally, the entire population of, say, OECD states should be chosen.
Population-wide data is now more readily available especially via the internet. Where
a sample of the population is used, then there may be a suspicion that cases which
do not support the hypothesis have been deliberately excluded. For example, the
comparative research carried out by Przeworski et al (to answer the research question
what makes democracies endure?) used a large sample of 135 states over the
period between 1950 and 1990 (Przeworski et al, 1996).8 But a comparatively small
number of UN member states were omitted. They included the oil-producing Gulf
states, where, with western support, feudalism continued to prevail. The necessary,
compelling defence against criticisms of selection bias was not made.
The potential samples can be categorised as small-n or large-n, i.e. a small or
large sample of the population, N. As previously noted, the size of sample must be
no less than the number of potential independent variables to be investigated. A
small-n sample is more appropriate for qualitative research where a more intensive
level of investigation is proposed, generating rich, thick descriptions, and where the
focus of analysis is differences or similarities of outcomes. The small sample enables
Mills method of similarity or difference to be used. These methods are termed
most similar systems design (MSSD) or most different systems design
(MDSD). Comparative research using small samples is called case-orientated
analysis. Generally speaking, the optimum size for small-n samples is 15.
In contrast, a large-n sample is used to enable a limited number of potential
independent variables to be identied by statistical methods (including regression
analysis and discriminant analysis) from a very large number of cases. It is termed
variable-orientated analysis.
The decision whether to adopt small or large samples for comparative politics
research will, as ever, depend upon time and other resources and access to reliable
data. Each has its strengths and weaknesses. Large samples enable computer-driven
statistical techniques to be adopted and levels of condence to be determined.
A higher level of abstraction is permitted. Unusual cases are more likely to be readily
identied for further examination. However, the level of abstraction may be too
high and supercial and the available data may not properly represent the variables
under consideration. Data collection standards may also vary between cases. A more
profound understanding of advanced statistical analysis may be required. At the end of
the day, the acceptance of the research ndings will depend on the readers readiness
to accept statistical methods. By comparison, small samples offer thick description, a
lower level of abstraction, intensity and analysis of differences and similarities which
the reader is more likely to follow and accept. But the suspicion of selection bias
may be difcult to refute. One solution may be to combine both methods in which,
say, a large sample is rst used to identify apparently key variables, which are then

Table 5.1 Selected average annual rates of growth of GNP per capita,
196590
Democratic State
Jamaica
Venezuela
Senegal
Trinidad
Costa Rica
India
Sri Lanka
Mauritius
Malaysia
Singapore
Botswana
Change GNP
per Head (%)
1.3
1.0
0.6
0.0
1.4
1.9
2.9
3.2
4.0
6.5
8.4
Non-democratic Regime
GNP Change
(%)
Libya
Zaire
Zambia
Nigeria
Algeria
Brazil
Thailand
Indonesia
China
Taiwan
South Korea
3.0
2.2
1.9
0.1
2.4
3.3
4.4
4.5
5.8
7.0
7.1
Source: Council for Economic planning and Development (1992); World Bank (1992) cited by
Leftwich, 2000: 132i9
tested against a smaller sample from which the inuence of the variables may be
more properly understood.
One topic of intensive comparative politics research is the relationship between
democracy and development. This is illustrated in Table 5.1.9
The democracy-development link is the holy grail of western, comparative
politics and development research. The ndings thus far vary. For example, Moores
comparative qualitative study (1966) of the paths to modernisation of Britain, USA,
France, India, Japan and China concluded that, where the new bourgeoisie and
progressive landowners combined, then democracy was more likely (Britain and
USA).10 But where the traditional elites were unable to meet the peasants demands,
then communism would prevail (China). Finally, where traditional elites were
able to frustrate democratic institutions, then fascism was possible (Japan). In the
post-war period, the prevailing view, especially among colonial powers, was that
democracy would hinder development. Democracy (decolonisation) would best
be the child of development only when higher levels of literacy, civil society and
class formations had been achieved. Indeed as Table 5.1 shows, states achieving
higher levels of economic growth 196590 included China, Taiwan and South
Korea. A critical, comprehensive review of the published comparative research is
provided by Landman (2003).11 He distinguishes between large-n and small-n samples
and qualitative and quantitative inquiry. He shows that the large-n studies carried
out by such luminaries as Lipset, Dahl and Przeworski support both weak and
strong conclusions where, respectively, democracy is associated with development
and development causes democracy. Wealthy democracies are more likely to endure.
Small-n, quantitative research either supports the weak version (i.e. association) or
59
60
no relationship. Small-n, qualitative research generally concludes that democracy is

the product of discrete historical events. Single-country studies conclude that: casespecic factors, particularly political culture, condition the relationship (Landman,
2003: 91, Table 4.5). So, the variance among the conclusions reached would
suggest that the type of comparative research undertaken can inuence the ndings.
However, Landman rejects this view. He argues that the variations can be attributed
to the absence of a contemporaneous trajectory of development, selection bias and
selection. The different comparative methods should be regarded as complementary:
inferences from large samples should be investigated by an analysis of a smaller
sample of states. Deviant cases should then be examined separately by single-case
studies (Landman, 2003: 902). But Landmans prescription is a counsel of perfection
(unattainably high standards) which is unlikely to be achieved by a single, doctoral
researcher working alone.
Longitudinal research also called panel survey research or tracking
research enables researchers to monitor changes in behaviour or opinion over
time. Statistical time series analysis can be used on quantitative longitudinal data,
e.g. unemployment data, to distinguish between long-term trends, seasonal variations
and irregular events (see Chapter 16). The magnitude of irregular events enables the
impact of policy change (or other intervention) and the time-lag involved (between
announcement, introduction and effect) to be identied, e.g. the impact of New
Deal-type job creation initiatives on unemployment.
Longitudinal research essentially involves obtaining data over time. It may take
the form of personal life histories or narratives when an individual is asked to
describe life events from earliest memory. Whilst this can be a rich source of data,
access can be difcult and necessary condence and empathy (rapport) difcult
to develop. It can be very time-consuming especially when recordings have to be
transcribed. The data may suffer from faulty memory, selective memory, constructed
memory and the tendency for subjects to select unrepresentative, exceptional or
dramatic events to maintain the researchers interest. They may also exaggerate their
own role. Constructed memory occurs when you describe events which you
cannot remember but of which you have been frequently reminded by parents, e.g.
your rst steps. Alternatively, personal life histories can be augmented or rely on
personal diaries, letters or other records.
Longitudinal research may be retrospective or prospective. Retrospective research
looks back over previous periods of time whereas prospective research studies
changes from the present-day onwards. The ideal model of longitudinal research
involves the cross-sectional interviewing or surveying of a cohort or panel of
subjects. A cohort is a group of subjects sharing some common characteristic, e.g.
date of birth, or membership of a particular school class. In this type of survey, each
of the subjects is interviewed separately for every year or period of years. Those
who leave (by death or migration) are not replaced. You will nd it very difcult
to complete successfully in urban areas where the residents frequently move homes
and jobs, or change family names on marriage or divorce.
The most widely-used longitudinal research data is collected by panel surveys.
A panel is a set of subjects chosen to be representative of the population under
study. For example, the government-sponsored British Household Panel Survey
(BHPS) begun in 1991 involves an annual survey of all the adults within 5,000
randomly selected British households.12 However, the term panel can be misleading:
unlike common usage, the members of the panel do not meet together. Each
is interviewed separately using a highly-structured questionnaire. When children
in the selected households reach 16 they are added to the panel to replace those
who are lost through death, illness or disappearance (which may include either
withdrawing consent or moving contact address without telling the researchers).
BHPS is carried out by the Institute for Social and Economic Research incorporating
the ESRC Research Centre on Micro-Social Change at Essex University. Each
cross-sectional survey is termed a wave. The BHP survey for 2006 was called
Wave 14. Ideally, a panel survey should seek to ask the panel members the same
core questions at every wave to enable comparison to be made of changes of
attitude or behaviour over time. However, new questions can be added. The panel
may also be increased to ensure better representation of minorities. For example,
in Wave 9, the membership was increased in Wales to enable attitudes towards
the Welsh language and national identity to be monitored. The data gathered
by BHPS is available for inspection and use at the ESRC Data Archive at Essex
University.13
Another authoritative source of longitudinal research data is the British Election
Survey (BES) funded by ESRC and the Electoral Commission, and carried out at
each British general election. A new panel is recruited by random sampling at every
general election. Members of the panel are interviewed before and after the election.
BES 2005 interviewed 4,700 British electors. It gave special attention to the issue of
(falling) turnout and (increasing) abstention.14 Panel survey data is also collected on
a near-monthly basis - by the EU commission and published in the Eurobarometer.
New panels are recruited by stratied, simple, random sampling (see Chapter 7).
Eurobarometer 65.2, published in Spring 2006, included data from a British panel of
1,312 electors.15 A particular concern for the EU is tracking the movement of proand anti-EU sentiment among nationalities in the 25 member states. Elsewhere, the
Panel Study of Income Dynamics (PSID) provides a comparable example of US
longitudinal research.
Longitudinal Politics research can be time-consuming and costly. Sponsorship
by some government research agency is therefore likely to prove essential in order
to provide a panel large enough to produce good, representative data. The great
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62
advantage is that this data is available for re-analysis and use by the Politics researcher.
Why collect new information when good data is already available?
Action research
Action research is derived from critical social theory whose central aim is
the emancipation of society (rather than mere description or explanation). The
researcher focuses on the myths and contradictions, e.g. womens work. A common
maxim is: reports dont change policies it is people who will change them.
Action researchers therefore tend to seek out underprivileged groups and work
with and among them to enable them to recognise and overcome the institutional
barriers which prevent them from self-actualising (achieving self-fullment). The
groups may be Travellers, migrant families, illegal immigrants, gays and lesbians,
former prisoners, and other, pariah groups. The researcher is a passionate, committed
activist. Researching the group means sharing their lives, experiences and indignities.
It can be a high-risk undertaking for you and for your co-participants. The risk is
particularly great for the participants when they challenge the institutions which
have served dominant groups. The danger is that you may lead the group into
harms way or raise expectations which cannot be achieved. The involvement of an
experienced supervisor is therefore essential if some form of emancipation, rather
than repression, is really to be achieved.
The task facing the action researcher is difcult. You will face problems obtaining
access to the subject group and establishing mutual trust. Funding is problematic.
The UK Community Development Programmes lost funding when they criticised
the governments funding ministry and its local allies. Your task is to enable the
subject group to think (and discuss) the unthinkable, to identify potential actions
and to implement change.The arena of action research is the group meeting. Your
role here is to facilitate (enable) group identity to form and a new consciousness
of their social reality to emerge. In particular, you should gently prod the group
to re-examine institutions which have become regarded as natural or for the
best. Examples may include the disproportionate burden of childcare borne by
women, restricted opportunities to education, or the classication and exclusion of
groups from mainstream programmes. Another role for you will be to carry out
those tasks which the group is unable, as yet, to accomplish. They may include
researching similar groups and activities, arranging meetings, taking notes, printing
and distributing leaets, lobbying elites and representing the group at meetings with
dominant others. You should also train the group to carry on these activities for
themselves as part of the essential capacity-building exercise. This should form
part of your exit strategy which should also include a celebration of the groups
activities. This event, like other social ritual, marks and announces to all the transfer
of responsibility to the group.
Because action research focuses on outcomes rather than process, there are
relatively few research reports. Publication is an anathema to many social action
researchers who would regard their own preferment as further exploitation of those
they seek to assist. However, writing-up and publishing action research projects is
justiable for the insights they provide into the whys and hows of domination and
the success (or otherwise) of action to dismantle barriers. The increasing emphasis
in western polities on participation has led to a widening of research interest in
and funding for quasi-action research. A recent publication, Effective participation in
anti-poverty and regeneration work and research (Beresford and Hoban, 2005), assesses
the lessons drawn from UK initiatives to involve people with direct experience of
poverty in anti-poverty programmes.16 The study concluded that:
Powerlessness is central to peoples experiences of poverty and disadvantage
capacity building to develop peoples confidence, self-esteem and understanding
supports their empowerment and participation. It is not the same as skill development
But there remains a strong suspicion that increasing western government interest in
public involvement seeks to smooth the process of policy change by co-opting and
thus neutralising potential losers.
1. You are researching the causes of local government corruption in England. Your
case study has identified new causes which are not included in the current
literature. What steps should you take to establish whether these causes were
unique to your case study or more widespread?
2. Can experimental research be wholly discounted in Politics? How might the impact
of various electoral innovations on turnout be evaluated?
3. You wish to carry out comparative research on the relationship between democratic
reform, economic policy change and changes in GNP per capita in the former
Warsaw Pact states in Eastern Europe after 1991. What sample and method of
analysis would you use? Why?
4. Gypsies in your locality are widely criticised for their exploitation of welfare services.
You regard the basis for this criticism and related hostility as a myth. A national
charity offers funding for social action research to improve the conditions of
Gypsies and other Travellers. Draft a research proposal setting out how you
propose to access this group, what roles you expect to pay, indicators of success
and your exit strategy.
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64

FURTHER READING
Hopkin, J. (2002) Chapter 12: Comparative Methods. In Marsh, D. and Stoker, J.
(eds.) Theory and Methods in Political Science. Basingstoke: Palgrave
Macmillan. pp. 24967. This chapter provides a good introduction to the
development of comparative politics, the comparative advantages of small-n
and large-n samples and the competing claims of quantitative and qualitative
comparative research.
Landman, T. (2003) Issues and Methods in Comparative Politics: An Introduction.
London: Routledge. This 292-page textbook is devoted to comparative research
in Politics. It begins by identifying and examining the reasons for using
comparisons, theory and method, units of analysis, and levels of analysis. This
is followed by comparing comparisons where the comparative research on a
range of significant topics is compared and evaluated. The topics are: economic
development and democracy, violent political dissent and social revolution,
non-violent political dissent and social movements, transitions from democracy,
institutional design and democratic performance, and human rights. It ends by
identifying the new challenges facing the sub-discipline.
Leftwich, A. (2000) States of Development: On the Primacy of Politics in
Development. Cambridge: Polity. pp. 12751. This excellent, rich chapter uses
comparative data and published comparative research to abstract and examine
five main conditions for democratic consolidation: legitimacy; adherence to
rules-of-the-game; policy restraint by winning parties; poverty as an obstacle;
and ethnic, cultural or religious cleavages as constraints. He concludes
controversially by arguing that: democratic politics is seldom the politics of
radical economic change (p. 150).
Mayer, L.C. (1989) Redefining Comparative Politics: Promise versus Performance.
London: Sage. pp. 146. The author identifies the epistemology of social
science and its implications for comparative research. The role of comparative
research is to suggest explanation of differences and similarities at state level.
He argues that the unique role of comparative research lies in its capacity to
identify two distinct objects for analysis: the attributes of individuals and the
attributes of whole systems (p. 42).
Pennings, P., Keman, H. and Kleinnijenhuis, J. (2006) Doing Research in Political
pp. 151. Pennings et al is a challenging text. However, it uniquely provides
hard, technical explanation of the concepts behind comparative methods within
the discipline of Politics.

Przeworski, A., Alvarez, M., Cheibub, J.A. and Limongi, F. (1996) What makes
democracies endure? In Journal of Democracy, 7(1): 3555. This is a very good
example of the application of comparative methods to international data sets.
However, as previously noted, the exclusion of Gulf-states from the large-n
sample compromises the generalisability of the conclusions.
Gilbert, N. (2003) Researching Social Life. London: Sage. pp. 2759. This short
extract provides an authoritative explanation of panel, longitudinal and cohort
studies and an introduction to the main data sets available from US, UK and EU
sources.
Pennings, P., Keman, H. and Kleinnijhuis, J. (2006) Doing Research in Political
pp. 16679. This extract provides a higher-level introduction to the mathematics
of time series analysis and ways of diagnosing and reducing the potential
problems of autocorrelation and heteroscedasticity.
Robson, C. (1993) Real World Research. Oxford: Blackwell. pp. 501. This very
brief extract outlines the design of effective longitudinal research.
Action research
Harvey, L. (1990) Critical Social Research. London: Unwin Hyman. pp. 1932.
Lee, R.L. (1995) Dangerous Fieldwork. London: Sage. pp. 113. In this
introduction, Lee scopes the types of danger that researchers face when
working with outlaw bikers, youth gangs, people infected with HIV, and
informants in inherently dangerous occupations. He argues that proper risk
analysis can effectively minimise the dangers facing researchers and prevent
them from being inhibited or even paralysed by their fears in the research
setting.
Stringer, E. (1996) Action Research: A Handbook for Practitioners. London: Sage.
pp. 14260. Stringer has become a foremost authority on participatory or
community-based action research especially in the discipline of education. In
this extract, he sets out strategies for effective action research to practitioners.
Notes
1 The Law of Large Numbers states that the probability that a sample shares the characteristics of
the population increases as the size of sample (i.e. number of cases) increases.
2 The Thatcher government introduced large-scale voluntary transfer of housing stock in 1989 as
an extension of its right-to-buy policy of assisting tenants of council houses (municipal social
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3
4
5
6
7
8
9
10
11
12
13
14
15
16
housing) to buy their own homes (at a discount). This policy was retained by the New Labour
government.
www.electoralcommission.org.uk/about-us/statutoryreports.cfm 25/07/06
Elections staff at the city council reported that, at the all-seats all-postal voting local council and
EU elections in May 2004, turnout was 46.8%. The results ended the Labour partys hegemony
over the city council when the Liberal-Democrats took control.
Delivery democracy? Postal voting. Executive summary.
www.electoralcommission.org.uk/files/dms/Deliveringdemocracy 4473-10934 E S W.pdf
Mill, J.S. (1843) A System of Logic. London: Longman.
Engels, F. (1845/1993) The Condition of the Working Class in England. Oxford: Oxford University
Press.
Przeworski, A., Alvarez, M., Cheibub, J.A. and Limongi, F. (1996) What makes democracies
endure? In Journal of Democracy, 7 (1) pp. 3555. The research concluded that democratic
government is more likely to endure where per capita income is high, income inequalities
moderate or falling, economies maintained or increased levels of growth, and there is no recent
history of democratic government being overthrown. Furthermore, parliamentary democratic
governments are more likely to endure than presidential systems (where deadlock between
president and parliament can lead to paralysis and a coup detat by the defence forces).
Leftwich, A. (2000) States of Development; On the Primacy of Politics in Development.
Cambridge: Polity.
Moore, B. (1966) Social Origins of Dictatorship and Democracy. Boston: Beacon Press.
Landman, T. (2003) Issues and Methods in Comparative Politics: An Introduction. London:
Routledge.
For more information on the British Household Panel Survey, see www.esds.ac.uk
www.data-archive.ac.uk
The survey questions and data can be inspected at www.essex.ac.uk
Eurobarometer data can be accessed at http://ec.eurpoa.eu
Beresford, P. and Hoban, M. (2005) Effective participation in anti-poverty and regeneration work
and research. York: Joseph Rowntree Foundation. The full report can be accessed at
www.jrf.org.uk/knowledge/findings/social policy/0395.asp
Part III
Collecting Information
Chapter 6
Critically Evaluating Published

Research

1. To learn how to critically evaluate published research using research component analysis.
2. To apply Roses ABCDE model (1982) for deciphering research.1
Introduction
As a child and student, you are likely to have developed and improved your own
writing skills consciously or otherwise by reading books and other publications
recommended to you. Similarly, reading others research reports will help you
to develop your own research report-writing skills. However, going further, by
consciously, critically evaluating others research reports, you can draw valuable
lessons into effective research design, data collection, analysis and interpretation,
and how best to communicate your ndings. Critical capacity is an essential part of
academic scholarship (which owes its origin to its original function of training priests
to identify heresies). In this way, you can therefore appreciate better the successes or
otherwise of other researchers before you begin your own research. In any event,
the literature review of texts and research reports is an essential rst step in research
(which is considered later in Chapter 8).
Some overseas students are inhibited from criticising published works especially
by great authors because they have been taught to respect authority and the
expert opinion contained within university libraries. However, in the UK and
other western universities, you must offer justied criticism of the literature relevant
to your topic. But, as an overseas student, you may also be concerned that your
criticisms of your own governments policy or accepted textbooks may lead to you
or your family being punished. In this special case, you can ask for those criticisms
to be excluded from public copies of your dissertation.
This chapter introduces two ways of evaluating published research: research
component analysis (RCA); and, Roses ABCDE validity analysis.
70
Research component analysis

Research component analysis dissects the published research into 15 or more
components which are assessed separately. The absence or weakness of any one is
likely to be signicant but not necessarily fatal. The analytical components are:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
when
where
who
abstract
research question and rationale
theory and literature review
hypothesis
methodology
data collection: what, when, how
data presentation
11.
12.
13.
14.
15.
data analysis, interpretation and discussion

conclusions
implications
style
referencing and bibliography.
When concerns the data of publication. The assumption is that recently-published

research is more likely to incorporate the latest data, thinking and state of the art
than earlier research, say, published ten years ago. Research with a publication date
pre-2000 is now last century. Ceteris paribus (all other things being equal), most
recent research can be considered more valuable than older publications.
But where can be more signicant than when. Research published in a refereed,
academic journal is likely to be of greater quality and authority than research, say,
published as a departmental working paper. The process of refereeing means that,
before the research is published, it will have been sent to two or more academic
referees for their assessment. They will have been chosen for their reputation as
commentators or researchers in the eld of research. Their anonymous evaluations
will have been forwarded by the editor to the researcher who will be told whether
the research is accepted for publication, refused or whether changes are sought in
the light of the referees observations. Refereed UK journals of political science
include: British Journal of Politics & International Relations, British Journal of Political
Science, Comparative Politics, European Journal of Political Research, Journal of Public Policy,
Party Politics, Political Quarterly, Political Research Quarterly, Political Science Quarterly,
Political Studies, Political Studies Review, Governance, Politics, Politics and Policy, Public
Administration, Journal of Theoretical Politics, Public Administration and Development. PhD
dissertations will have been subject to a similar process of examination by leading

academic specialists and modication; although unpublished, they will be a rich,
authoritative source. You can inspect these at the university libraries where they are
held, request copies or microlm, or, in some cases, read on-line.
Who refers to the provenance and attribution of the research, i.e. claimed authors.
Many journal articles are attributed to more than one author. They can be a
leading academic researcher and a research associate (normally named last). In those
circumstances, then it is likely that the leader won the funding whilst the associate
undertook and wrote-up the research. The source of funding may also be signicant.
Funding by government research agencies ESRC, AHRB, MRC2 signies
that the research topic is considered of national signicance. Similarly, EU or UN
funding is indicative of higher status research. Funding by these bodies means that
the researchers are likely to have been given access to decision-makers and other
privileged sources of information that may not have been available to others. The
academic department may also be signicant. Research undertaken within a UK
department given a 5* rating in the most recent RAE is likely to be of a higher
standard than that of another with a lower rating.3
The abstract provides a synopsis of the research undertaken and its conclusions.
It should ideally attract your attention and stimulate your interest. Are the topic and
conclusions relevant to your proposed research?
Research question and rationale. The centrality of the research question
distinguishes and elevates research from essays or other scholastic activities. The
research question should be clearly identiable and unambiguously stated. The
rationale the reason(s) for undertaking the study should also be given. They should
show that the research question relates to a topic of acknowledged importance which
should ideally be topical and a signicant problem, i.e. a barrier to policy objectives.
The rationale should also set out the context.
The theory and literature review should demonstrate that the researcher has
taken the necessary steps to cite and critically evaluate the relevant explanatory
theories and the main literature. The review should pick out contradictions, overlaps
and gaps. The review should justify the selection of any theory which is to provide
the conceptual lens of inquiry and identify any uncertainties which the research
should address.
The hypothesis the researchers initial answer to the research question
must be given where a deductive methodology is to be adopted. It should cite
the causal, independent variables inferred from the theoretical and literature review
and their relationship with the outcome. The hypothesis may be single or doubletailed. A single-tailed hypothesis will specify the directional relationship of the
independent variables x, and the outcome y, e.g. as x increases, y will also increase.
A double-tailed hypothesis will merely assert that, as x increases, y will change.
The methodology should state and show consistency between the underlying
philosophy (positivistic or otherwise), inductive or deductive approach, quantitative
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or qualitative method, and method of data collection (case study, comparative

study, etc.).
Data collection should identify what data was collected, why, by whom and
when (date and duration). The selection of data is critical. Where the variables
and concepts are not directly measurable, then the selection of the indicators
used must be justied. A number of indicators may be adopted to represent the
concept under scrutiny. For example, overseas aid may be expressed either as the
donors budget allocation, locally purchased goods and services, technical assistance,
etc. This may show that, whilst state A allocated most funds to overseas aid, state
B invested a higher volume of aid locally. Indicators will also have been chosen
to reect local changes, e.g. changes in infant mortality. No single measure is
likely to be sufcient. The description of the data collection process should also
describe and justify the choice of samples made, questionnaires designed and elites
interviewed.
Data presentation concerns how key data is presented in the research report
and how it is illustrated and supported. Sufcient data must be given to enable the
reader to share and have condence in the researchers analysis and conclusions.
Graphs and diagrams are particularly helpful. Quotable quotes from interviewees
are especially useful.
Data analysis, discussion and interpretation should be considered separate
from its presentation. The method of analysis should be described and its selection
justied. Where appropriate, the condence limits should be made clear. The discussion
should review the potential relations and explanations between variables leading to
their interpretation by the researcher.
The conclusions should summarise the research and state whether the initial
hypothesis was conrmed, qualied or inrmed. Other important ndings should
be given. Research that entirely conrms the starting hypothesis must be treated
cautiously.
The implications should say what the research means, the lessons learned and
advances claimed, overall signicance and the scope for follow-on research projects.
Style refers to the general readability of the research. Does the report do justice
to the research undertaken? In plain English, is it boring? How does the author
maintain (or lose) pace and interest? Does the researcher exaggerate the signicance
of the research or their role?
Referencing and bibliography should provide proper acknowledgement of
others earlier works and a paper trail of texts which others can follow. The type
of referencing system adopted Harvard or footnotes etc. is less important than its
consistency of application.
Finally, re-read the abstract. Does it fairly reect the contents and importance of
the research report?
Research component analysis can be criticised for its checklist approach and
its greater concern for the individual components than their linkages and overall
coherence. By comparison, Roses ABCDE deciphering method offers a more holistic

approach.
Roses deciphering model (1982)
Theory: an explanatory statement about social phenomena.
Theoretical Proposition: specific propositions to be
investigated in the study.
Operationalisation: decisions made on how to carry out
empirical work; techniques of data collection;
sampling; concepts and indicators; variables; units.
Fieldwork: collecting data; practical problems of
implementing Stage C decisions.
Results: data analysis leads to findings; interpretation leads back
to C, B, and A
Figure 6.1 Roses model for the research process

Source: (Rose, 1982: 14)4
Despite its longevity (1982), Roses deciphering model has not been bettered.
It is premised on a Weber-type ideal model of empiric research. This model has ve
stages and elements named somewhat prosaically in an era before memorable
acronyms became widely adopted A, B, C, D, E. The model for theory-testing
research is:
A is the theory which is being tested. The propositions in B are the hypotheses
in the form of testable statements about the causal relationships between the
independent variables and the outcome. Rose classies stage C as the pivotal stage in
the research process. Here, the theoretical concepts are transformed into measurable
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indicators (concept indicators) on which data is collected in Stage D and analysed in

Stage E
The concept-indicator link is highly problematic. For example, Downs applies
rational choice theory in his Economic Theory of Democracy (1957) to develop three
hypotheses.5 His second hypothesis is that:
every citizen rationally attempts to maximise his utility income, including that portion of
it derived from government activity.
(Downs, 1957: 297).
From this hypothesis, he derives 15 testable propositions. They include the

relatively straightforward proposition (19) that:
the percentage of low-income citizens who abstain in elections is higher than the
percentage of high-income citizens who abstain (ceteris paribus).
(1957: 299).
This proposition can be tested at micro- and meta-levels. A large sample of voters
could be randomly selected and asked details of their income and voting. But,
income data can be a very sensitive area. The prospect of a high level of response
is poor. A more acceptable means of asking peoples income might be to adopt
thresholds of, say, less than 12,000 for low income and more than 35,000 for
high incomes. In those cases, the thresholds have become indicators of income. The
meta-level of analysis would compare the (readily available) data on ward turnout
with socio-economic data from the census. In this case, turnout (or its absence)
could be used as an indicator of abstention whilst census data on house tenure, social
class, education and occupation, etc. would be used as indicators of income. Using
multiple regression analysis, the relationship between turnout and socio-economic
variables, and the power of the equation can be calculated.
Rose uses his model of the research process to provide a three-stage framework
for critically evaluating research:
Central to this method of evaluation is the concept of validity. Derived from
the Latin, validus meaning strong, validity in the context of research means:
the extent to which a measure, indicator or method of data collection possesses the
quality of being sound or true as far as can be judged. in the social sciences generally,
the relationship between indicators and measures and the underlying concepts they are
taken to measure is often contested.
(Jary & Jary, 1995: 714)6
Relationship to other theory and research

External validity
A
Theory:
Theoretical Proposition
Operationalisation
Fieldwork
Internal theoretical validity
Internal empirical validity
Results
Figure 6.2 Research Evaluation

Source: Rose, 1982: 32, Figure 2.2
Rose suggests that the rst stage involves evaluating the internal empirical
validity by assessing the extent to which the conclusions are fairly drawn from
the data collected. The second stage involves assessing the internal theoretical
validity. This examines whether the theoretical propositions have been fairly drawn
from the chosen theory and whether the stated concepts are fairly represented
by the indicators chosen. The nal stage examines the external validity the
strength of the relationship between the research, the wider literature and the real
world.
A criticism of this method of evaluation is that, by working backwards through
the research process, it puts the cart before the horse, i.e. if the research does not
relate well to the literature (or the indicators to the concepts, etc.) then the internal
empirical validity doesnt really matter.
Rose develops separate strategies for evaluating research reports based on
quantitative and qualitative data. The strategy for evaluating theory-testing,
quantitative research has six steps:
1. summarising the research into ABCDE stages
2. assessing the operationalisation in C: concept-indicators, samples, units and variables
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3. adding further descriptive details of: the researchers theoretical exposition and theoryevidence linkages; and tables of data presented, reliability and accuracy, and interpretation
4. assessing the internal empirical validity by examining the fit between the data and its
interpretation
5. assessing the internal theoretical validity, i.e. the relationship between A (theory ) and
B (hypothesis)
6. concluding with a general assessment which consolidates the separate assessments
made and makes an assessment of the overall contribution of the research to the
discipline. (Rose, 1982: 1045)
The strategy for evaluating theory-building research utilising qualitative

data is very different. It can be reduced to three steps:
1. summarising the research report into its ABCDE stages stating: its natural history
(origins and development); the data and methods of collection; sampling; method of
analysis; and presentation of results
2. evaluating in turn the validity of: the concept-indicator links; theory; and sampling and
generalisation
3. concluding by reviewing the consistency (or otherwise) of the various validities and other
factors and assessing of the overall contribution of the new theory to the discipline.
(Rose, 1982: 1302)
Rose can be criticised for the assumptions made about the neat dichotomy of theorytesting/quantitative and theory-building/qualitative research and for unnecessarily
complicating the evaluation strategy.
Both research component analysis and Roses ABCDE provide good, highlystructured methods for analysing research which are particularly useful for rst-time
or inexperienced researchers. With practice, you will learn how to home directly
on the strengths and weaknesses of published research and to answer the question:
does it do what it says on the tin?
Questions for discussion and assignments
1. Consider the concepts of: conflict; freedom; liberty; hegemony; and consciousness
of identity. What concept-indicators would you suggest for these? Why? What data
would you collect?
BOX 6.1
UWUK
Department of Politics
University of Watersea
Dr Adrian Helvetica
Editor
New Politics Digest
[date]
Dear Arial
[title of draft research report]
Thank you for inviting me to referee this paper.
Overall, my view is that, whilst this excellent paper breaks new ground, there is a number
of areas where minor revisions and additions would be helpful.
Let me begin by summarising what I believe are the research question, theoretical
framework, the hypothesis and the key concepts involved. The research question etc., is .
[200300 words].
The strengths of the paper are [300400 words].
The weaknesses are [300400 words].
I would also like to comment on the style of the paper [200300 words].
The paper is, of course, suitable for publication in your journal in its present form. However,
I would suggest that a number of small changes are made. They are [200300 words].
I look forward to meeting you at the Washington conference.
Best wishes,
Prof [your exam number]
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2. [For undergraduates] You are a distinguished academic. You have been asked by
the editor of a refereed journal to act as a referee for a draft research report. Select
one of the two published reports:
Bevir, M. and Rhodes, R.A.W. (2006) Prime Ministers, Presidentialism and
Westminster Smokescreens, Political Studies, 54 (4): 67190
Chaney, P. (2006) Critical Mass, Deliberation and the Substantive Representation
of Women: Evidence from the UKs Devolution Programme, Political Studies, 54 (4):
691714.
Write your assessment using the letter (above):
3. [For graduates] Select a research report on a subject that interests you from
a refereed journal in your university library. Evaluate it critically using research
component analysis or Roses strategies. Attach a copy of the research paper
to your assignment showing what you concluded were the various analytical
components. How could the research and the report be improved?
FURTHER READING
Rose, G. (1982) Deciphering Sociological Research. Basingstoke: Macmillan.
pp. 155.
Notes
1 Rose, G. (1982) Deciphering Sociological Research. London: Macmillan.
2 ESRC, AHRB and MRC are the acronyms of the government-funded Economics & Social
Research Council, Arts & History Research Council and Medical Research Council.
3 RAE: Research Assessment Exercise: a process of academic review which concentrates on
research performance and which provides ratings which determine allocations of government
funding. 5* is the highest rating.
4 Rose, G. (1982) Deciphering Sociological Research. London: Macmillan. Figure 2.1, p.14.
5 Downs, A. (1957) An Economic Theory of Democracy, New York: Harper & Brothers.
6 Jary, D. and Jary, J. (1995) Sociology, Glasgow: HarperCollins.
Chapter 7
Evaluating Information: Validity,

Reliability, Accuracy,
Triangulation
Do not feel absolutely certain of anything.

Bertrand Russell, 19511
1. To consider why information should be assessed

2. To understand the distinction between primary and secondary sources of
information
3. To learn what is meant by the validity, reliability, and accuracy of information
4. To consider some warnings about official data
5. To consider further the distinction between facts and truth
6. To understand the origin of triangulation and its application to research
7. To consider methods of sampling which can be used to collect data.
Introduction
In Chapter 6, you read how published research reports can be assessed. The
research component analysis and Roses ABCDE model examined the completeness
and coherence of the research process adopted. They also considered the validity
or otherwise of the relationships between theory and hypothesis, concepts and
indicators, empiric data and analysis, and conclusions. Research essentially involves
the gathering or collection of data that addresses the research question and enables
theory to be tested or developed. So the data from which answers to the research
question are to be drawn must be appropriate in terms of its relevance and efcacy
tness for purpose. Much of this information will be drawn from published sources
80
that will be supplemented as necessary by new information specially collected for the
research project. So this chapter therefore suggests how best you can assess existing
data and seek additional material.
Many textbooks use information and data interchangeably. Some complicate
matters by treating data as a plural noun and therefore writing the data are .
While this is grammatically correct (for data is indeed the plural of the datum), it can
sound odd to students untrained in Latin conjugation. The author, Kingsley Amis
notably described such Latin correctness as the practice of wankers as opposed to
berks who used slipshod English (1977).2 So this book follows everyday practice of
treating data as singular. Politicians also tend to use the word evidence to describe
what they would wish us to regard as conclusive, compelling information which
either proves or, in its absence, disproves allegation.
But is there a real difference between data, information and evidence? Certainly, the
dictionary meanings are similar. But some distinction is useful. Researchers tend to
speak of data as the mass of disordered, raw material from which information
(knowledge) is abstracted to provide evidence to support argument and conclusions.
(Information technologists adopt a similar distinction by dening information as
processed data sets attaining meaning.) Information informs. Evidence supports
conclusions.
So it is helpful to conceive of research as involving three stages. First, the raw
data is gathered. Second, the data is organised and distilled into information. Third,
evidence is abstracted from the information through processes of analysis and testing.
But neither information nor evidence is self-evident: the material seldom speaks
for itself. Some interpretation is required. However, when interpretation is reinterpreted, some distortion of the original is inevitable. So some distinctions, criteria
and tests are useful to weed out distortions and untruths. The distinctions adopted
are between primary and secondary sources of information. The criteria used are validity,
reliability and accuracy. The main test adopted is triangulation.
Primary and secondary sources

The value of this distinction depends on which of the different denitions of
primary and secondary is adopted. Some authorities adopt the denition that primary
information is data generated specically for the research project whilst secondary
information is data collected for other research. But, in this book, the majority view
prevails: that data is distinguished at the outset by its provenance (source). Primary
data is original, unedited and rst-hand whilst secondary data is second-hand,
edited and interpreted material. However, the distinction between the information
that you generate in the course of our research and that which you have abstracted
from other sources is valuable. I will therefore term this (after Huxley) data
and data.3 Wherever possible, Politics researchers prefer to use primary, eyewitness data recorded at the time by participants or privileged observers. The main
sources of primary data used by Politics researchers are fourfold:
1. contemporary documentary (written) records including minutes, letters, emails and
diaries
2. your interviews with key individuals, agents and actors
3. numerical records, e.g. election results, census data
4. your own observation and records of interviews, etc. and other events.
Other sources are popular songs, poems, paintings and cartoons, photographs,
grafti, murals (e.g. N. Ireland), T-shirts and videos. But beware, all records,
however primary incorporate some degree of bias, perception, interpretation, and
editing, whether contextual, cultural, curatorial or deliberate.
Written primary records include accounts of meetings, minutes, diaries, letters,
reports, telephone transcripts, telegrams, emails, and newspaper reports, etc. But
how reliable, accurate and truthful are they? Who actually prepared them and why?
Arguably, all accounts are partial because they are functional, i.e. designed to full
a purpose. But whose purpose? Most public records reect the interpretation of
those holding power. Foucault argued that the victors write history. Alternatively,
how reliable are the diaries of (former British Labour Cabinet ministers) Richard
Crossman, Barbara Castle or Tony Benn? Did their cabinet colleagues know that
they were keeping diaries and change their behaviour accordingly?
Crossman offers telling insights into ofcial records:
Thursday, 28 July 1966
One of the disconcerting features of the recent crisis has been the Cabinet Secretariats
habit of suppressing whole sections of the minutes on the grounds that they are too
secret to circulate. But this morning they didnt do that.The section on prices and incomes
was reported at enormous length and most of what we said has been very adequately
summarised. Of course, this means that the Cabinet Secretariat regards the whole
subject as fraught with danger and was careful to record the arguments of the opponents.
Cabinet minutes are highly political and the way they are written has enormous effect.
By eliminating whole sections from the discussion and reporting other sections in full,
the Secretariat can greatly affect the way a decision is interpreted in Whitehall.
(Crossman, 1976: 590)4
But the BBCs former Political Editor, John Cole wrote of Crossman that:
[Crossman] had a brilliant mind, was a great polemicist, and a subtle though
sometimes self-defeating operator. But if you were Constable Plod seeking a reliable
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witness, he would not be your first choice. I sometimes wondered if he knew how
to distinguish what he said to the Prime Minister from what the Prime Minister said
to him.
(Cole, 1996: 64)5
But even PC Plod can be an unreliable witness: Churchills bodyguard, Detective

Inspector Walter Thompson was criticised by Churchills biographer, Roy Jenkins
for exaggerating his importance in events (Jenkins, 2001: 552).6
Inspector Thompson in his two volumes of reminiscences is good at capturing the heart
of the matter but less reliable on exact dates, times and places than might have been
hoped for a meticulous detective.
(Jenkins, 2001: 562)
As a general principle, all primary information in the form of records other than
those that you make through your own observations should be treated with
caution. A health warning is necessary. You should always ask yourself:
1.
2.
3.
4.
5.
6.
who prepared the record?

why?
for whom was it prepared?
for whom was it intended?
for what purpose was it made?
who would have corrected or otherwise altered the record before it was finalised?
A common misconception is to believe that numeric information is more trustworthy than other formats because it is less vulnerable to spin. But, because
numeric records are generally regarded as trustworthy, they attract manipulation.
For example, the TUC and ILO accused the Thatcher government of changing
the denition of unemployment 23 times (between 1979 and 1991) to reduce
the headline gure and therefore conceal the true extent of unemployment.
The government responded to the criticism by saying that each new denition
distinguished further between genuinely unemployed people and others claiming to
be unemployed to obtain benets. A similar charge was levied later against the New
Labour government that the lower levels of unemployment recorded and reported
had been achieved by accepting more readily claims (on mainly health grounds) for
the (higher) incapacity benet. You should therefore check numerical records for
any changes of denition and any selective use of periods to enable worst records
to be omitted.
By implication, data that is not primary must be secondary after the event, secondhand. But it should not be discarded. Secondary information will include records
gathered from a number of separate, primary sources and may contain authoritative
commentary and analysis. The sources interpretations and bias are important
especially of evidence of how events were interpreted at the time and later, and the
moral relativism of value-judgements.
Validity, reliability and accuracy

As you learned in Chapter 6, social science research confers a special meaning to
validity:
the extent to which a measure, indicator or method of data collection possesses the
quality of being sound or true as far as can be judged. in the social sciences generally,
the relationship between indicators and measures and the underlying concepts they are
taken to measure is often contested.
(Jary & Jary, 1995: 714)7
In effect, the validity of information is its relevance and appropriateness to your

research question and the directness and strength of its association with the concepts
under scrutiny. Often you will have to use best available information whose
validity may be weak. For example, to what extent, if any, does the decline
in sectarian violence in N. Ireland post-2001 reect a lessening of antagonisms
between conicting groups? Does the election of an opposition party reect
popular support for its manifesto or criticism of the outgoing government? Do
declining rates of party membership reect a lessening of interest in health and
education? One measure that intrigues Politics researchers is the counterfactual
events that dont happen as evidence of hegemonic domination.8 But how can
researchers be condent that the absence of an event can be attributed to the
omnipresence of another? One solution to this particular problem of problematic
validity is for you to adopt a wider range of measures to reduce dependence on
any one.
Reliability is, literally, the extent to which you can rely on the source of the data
and, therefore, the data itself. Reliable data is dependable, trustworthy, unfailing,
sure, authentic, genuine, reputable. Consistency is the main measure of reliability. So,
in literary accounts, the reputation of the source is critical. In John Coles view,
Richard Crossman was not a reliable diarist. Indicators of reliability will include
proximity to events, (whether the writer was a participant or observer), likely
impartiality, and whether, as the police say, the record was really contemporaneous
or an eventide reection on the days events. Very few politicians admit to
real failings: all too often, their own agenda appears to justify their actions or
to criticise others. Tony Benns diaries seek to portray the inner workings of
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cabinet government. But Dennis Healey claimed (playfully) that Tony Benn always
seemed to be on the toilet every time a difcult decision had to be made (BBC2
interview). Accounts may have been sexed up to promote sales. Biographies
may be hagiographic. For example, Michael Foots biography of Aneurin Bevan
uncritically portrays the Welshman as a wholly heroic gure, whereas my father
a fellow native of Blaenau-Gwent told me how, after 1948, some local trade
unionists called the Ebbw Vale MP Urinal Bevan. This epithet followed Bevans
assertion that:
it is for the [Party] Conference to lay down the policies of the Parliamentary Party, and
for the Parliamentary Party to interpret those policies in the light of the parliamentary
system.
(Foot, 1973: 236)9
In contrast, Griggs biography of another, Welsh hero, Lloyd George, provided a

warts and all portrait (Grigg, 1978).10
Numeric data need not necessarily be reliable. The source even ofcial statistics
may not be wholly impartial. Populations may be undercounted (e.g. 2001 census).
The samples used may be insufcient or not randomly selected. Condence limits
(margin of error) may be omitted. The rate of non-responses to questionnaires may
be disguised. Respondents may not have been wholly truthful in their replies. For
example, on the basis of replies to their questions, most opinion polls (wrongly)
predicted a Labour victory in the 1993 general election. Inappropriate statistical
techniques may have been used. But reliable witnesses may also be inaccurate on
occasions.
Andrew Marr, John Coles successor as the BBCs Political Editor and a former
editor of The Independent is very sceptical of the reliability of modern-day news
reporting by the newspapers and TV news services (Marr, 2004). He blames this
on the competition to drive down costs, consequent reductions in the number of
journalists, and their being conned to their desks where they must too readily
accept the stories fed them by professional press ofcers. He recommends readers
(and researchers) to:
Know [which newspaper] youre buying. Reporting is so contaminated by bias and
campaigning, and general mischief, that no reader can hope to get a picture of what is
happening without first knowing who owns the paper, and who it is being published for.
The Mirror defines its politics as the opposite of the Suns, which in turn is defined by
the geo-politics of Rupert Murdoch hostile to European federation and the euro It
is ferociously against Tony Blair, this is because Number Ten has been passing good
stories to the Sun.
(Marr, 2004: 251)
He also warns against news of research from:

hundreds of dodgy academic departments put out to impress busy newspaper people
and to win themselves cheap publicity which can in turn be used in their next funding
applications.
(2004: 254)
Similarly, Marr explains that TV news editors are:

biased towards exciting or unusual pictures; news that is refreshing or odd; and news
that bears some relation to viewers lives.
(2004: 291)
So anything that looks dull, stories about northern European countries, about
buses, about old people, about infrastructure, banking, manufacturing, Whitehall
and regeneration, is unlikely to be televised. Marr argues that a task of TV news is
to increase viewing gures which means also retaining the viewers of the preceding
programme usually popular light entertainment of the soap or chat show genre.
Accuracy is sensitivity to change especially of detail, e.g. dates, numbers,
persons present, etc. Remember that some biographers deliberately add false detailed
information to trap and sue plagiarisers.
Facts and truth

Once again, you will nd that adopting a critical distinction between facts and
truth is useful. Facts are the available data. They present incomplete snapshots of
events. Truth is the reality behind the facts. Sometimes the facts may obscure
the truth perhaps deliberately so. A good example was provided to me by a
leading academic. He privately described how he had critically reviewed a bestselling account of British rural life where the author had misrepresented the facts by
combining material from a number of interviews to represent a composite gure.
The author had replied to the effect that his critic was unable to distinguish between
the facts and truth.
Interviews
Interviews with political elites provide a major source of information in Politics
research. They may be undertaken by the researcher or, where personal access is not
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possible, by watching video recordings of interviews in TV news and documentaries.

But you must never assume that what you are told or hear is reliable and accurate.
For example, a former Prime Minister told me that he strongly supported a specic
White Paper. However, the Minister of State who claimed to have instigated the
new policies told me that the Prime Minister had opposed the White Paper. You
must always question (implicitly) the answers to your questions and look for signs
of deception or self-deception by informants, e.g. the coping strategy of long-term
prisoners who are guilty but believe that they are innocent, i.e. in denial. TV
interviews (i.e. secondary sources) are highly edited especially eld interviews
where a single camera is used or where the interviewee has been granted some
editorial control.
Triangulation is the means adopted by researchers to secure effective corroboration.
However, before this method is described, consider the case study below:
Case Study
Harold Nicholson provides a detailed narrative of the fall of the second Labour government in
1931 and its replacement by a National Government which was to last effectively until 1945
(Nicholson, 1953: 453469).11 The Labour Prime Minister, Ramsay MacDonald, became the
leader of the National Government in what became named by Labour Party members as the
great betrayal.
Nicholson describes the relevant background as the rapidly deteriorating public finances
caused during the worst years of the Depression when the demand for public expenditure
on unemployment benefit etc. grew whilst income from taxation fell. In response to demands
by the Conservative and Liberal parties (amplified by the Tory press), the Government formed
an independent committee under Lord May. On 31 July 1931, May recommended substantial
cuts of up to 20% in public sector salaries, 20% cut in unemployment benefit and reduction
in the pay of the armed services to 1925 levels. But two of the six May members issued a
minority report dissenting from Mays recommendations on the basis that the costs of the
cuts would fall mainly on the working classes. Nicholson wrote that The rank and file of the
Labour party agreed whole heartedly with [the Minority Report]; MacDonald and Snowden
[Chancellor of the Exchequer] did not (1953: 455). Nicholson reports how, later that day,
MacDonald formed a five-man, special, Cabinet Economy Committee to consider how May
could be implemented. The Big Five consisted of MacDonald, Snowden (Chancellor), J. H.
Thomas, Arthur Henderson and William Graham.The likely continuing withdrawal of deposits
held in London meant that the government would be unable to fund the public sector deficit
without support from bankers in Paris and New York. The bankers were unwilling to lend the
money unless and until firm proposals were made to balance the UK budget. On 19 August,
the Cabinets Economy Committee proposed cuts similar to the May report. Half the deficit
would be met by reductions in unemployment benefit and public sector pay and the other by
increasing taxation etc. According to Nicholson, the proposals were reluctantly approved by a
majority of the Cabinet with the exception of transitional unemployment pay (1953: 457).They
suggested an additional revenue tariff which MacDonald told them would not be accepted by
the Liberals.The TUC which had created and funded the Labour party met MacDonald on
20 August. The Council refused to accept cuts in unemployment benefit or public sector pay.
On 22 August, MacDonald proposed a modified version of the programme including a 10%
reduction in unemployment pay to the Cabinet. He obtained Cabinet support to enquire
of the Opposition leaders whether the revised proposals were acceptable. The Opposition
leaders responded that the overseas bankers support was critical to wider support for the
package.
The King (George V) had been kept informed by MacDonald of the increasing crisis. He
returned from Balmoral to London on 23 August when he was told by MacDonald that leading
members of the Cabinet would not support the latest proposals (being considered by the
bankers). The King decided that the correct constitutional course would be to meet the
leaders of the three main parties: MacDonald (Labour), Baldwin (Conservative) and Samuel
(Liberal, as Lloyd George was in hospital). Nicholson describes how the King stated his
preference for MacDonald and the Labour government to stay in office and to implement
the cuts. If that were not practicable, then the best alternative would involve the formation
of a National Government headed by MacDonald with a Cabinet drawn from three
parties and commanding a sufficient majority in the House of Commons to approve the
necessary legislation. The King met the three leaders separately who agreed to join a
National Government if necessary. Once the crisis had been resolved, then new elections
should be held.
Later that day, the Labour Cabinet met. After a long adjournment, they were advised by
telegram from the Governments agents (the bankers, J. P. Morgan) that the necessary US
public support for a public loan would be problematic until Parliament had approved the
proposals. They suggested a short-term treasury loan. Finally, they enquired whether they
were correct in assuming that the package proposed by the Cabinet had the support of
The Treasury and City. But the Cabinet had not and would not approve the programme.
MacDonald told them that he would report the divisions (eleven in favour: eight opposed) to
the King whom he would ask to convene a meeting of the three party leaders. He would tell
the King that the Cabinet had placed their resignations in his hands. He immediately reported
to the King. Acting unilaterally, MacDonald began that night to plan the new Government
Continued
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with what Snowden described an enthusiasm which showed that the adventure was highly
agreeable to him (1953: 465). On 24 August, the King met the three party leaders who agreed
to form a National Government. MacDonald tendered his resignation. He was then invited
to lead the National Government. He asked them to prepare a communiqu saying that
the formation of the new Government was being considered. The party leaders agreed that
the new Government would not be a coalition but a co-operation of individuals. MacDonald
described the proposals to his Cabinet and invited them to join a new Cabinet of Individuals.
With the exception of J. H. Thomas, Lord Sankey and Philip Snowden, they declined.
Following the resignation of the Labour Cabinet, the new Cabinet was formed on 26 August
with Baldwin as Vice-Premier.
There are a number of other accounts of this episode. One central dispute
among them is whether the King or MacDonald rst raised the proposal for a
National Government, i.e. whether MacDonald accepted the Kings proposal to lead
a national government out of patriotism and loyalty, or, proposed the arrangement as
a means of continuing in ofce and increasing his power whilst appearing to follow
the constitutional requirements of the King. For example, the celebrated Labour
historian, G. D. H. Cole wrote that:
The exact method of the split is vehemently disputed. The Labour Cabinet was still
discussing the outrush of gold and the threat to the pound under the influence of the
deliberately exaggerated menaces of Philip Snowden, when it came. They had agreed
to enormous concessions but jibbed (it is stated) at penalising the unemployed. Then it
was put to them that arrangements had already been made, with the Kings consent but
clearly on MacDonalds initiative for the formation of a National Government of Labour,
Conservatives and Liberals.
(Cole, 1938/66: 593)12
So how much importance should the researcher apply to Nicholsons account

where it differs from others in critical respects? Obviously, the researcher will
seek corroboration from other sources and assiduously compare the various clues.
But just how reliable is Nicholsons account. Who is Nicholson? What was his
book about? Why did he write it? What documents and witnesses did he have
access to?
The answers are that Sir Harold Nicholson (18861968) was a distinguished
diplomat, historian and biographer. He was educated at Wellington and Balliol
College. He attended the Paris Peace Conference (1919) as a diplomat. He retired

from the service to become a writer. In 1931, he stood as an MP for Harold
Mosleys New Party but left when Mosley formed the British Union of Fascists.
He became a National Labour MP in 1935 but was defeated in 1945. He became
a governor of the BBC. He was a man of independent means who married
Vita Sackville-West. They lived at Sissinghurst Castle. Both were bi-sexual and
practised an open marriage. However, their life-style was not unusual amongst
the upper classes. We can therefore regard Nicholson as an Establishment gure
albeit on its arts and literary wing. His book was entitled King George V and
published in 1953, i.e. 27 years after the Kings death in 1936. He had been
appointed by the Royal Family to write an authorised biography. So Nicholson
had access to the Kings diaries and the ofcial papers kept by his secretaries. He
also interviewed the Kings secretary, Lord Samuel, Herbert Morrison and other
participants. However, we are unaware of the editorial control exercised by the
Royal Family.
Clearly, the overall purpose of the biography was to make public King Georges
hand in the making of history. But Nicholson could not be accused of presenting
a wholly attering picture of the King. For example, he observed that George
was neither very clever nor witty: he was a relatively dull man who was
therefore entirely representative of the British people. Overall, we can probably
conclude that Nicholsons account is probably very accurate in terms of the
detail. However, we cannot be entirely sure about its reliability: the biography
is more likely to portray King George V as a central gure, imposing wise,
constitutional solutions, rather than acquiescing to what other commentators
(like Cole) saw as MacDonalds devious scheme. No single account can ever be
regarded as wholly reliable or accurate. Other sources must be sought and used.
However, the number of competing sources may be huge. The most widely
used method of selecting sources and materials from the range available is termed
triangulation.
Triangulation
Triangulation is a method developed over the centuries for navigation and surveying.
It provides the basis for satellite navigation. Its origins lie in geometry. A point
can be precisely dened in space by the angle it subtends to a line joining two
other points by the application of the Law of Sines. Any geographical area could be
mapped by rst selecting two trig points (triangulation points) that are a measured
distance apart and then recording the position of any other point in terms of
the angle subtended. In this way, a third trig point could be established and the
exercise extended. In navigation, triangulation is used to establish a ships precise
position by taking bearings on three or more known landmarks. The position is
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most accurately determined when the three points are equally located around the
ship, namely
Lighthouse A
Lighthouse B
Ship
Lighthouse C
The same method is used in Politics research to obtain an efcient corroboration

of any crucial account. Triangulation involves seeking accounts from three or
more perspectives.
So, for example, a researcher investigating the General Strike of 1926 would
seek to obtain accounts from the TUC, the Government and at least one source
independent of the two adversaries. Politics researchers face a special challenge:
the two main parties and their perspectives are often diametrically opposed to
each so that any, third-party, independent views are gained from only one side.
To overcome this difculty, they seek as many independent sources as possible.
Furthermore, Politics researchers seek to triangulate at each level of data media. So
you should seek to triangulate between contemporary written records and news
reports, autobiographies, personal interviews with participants, and other research
narratives. You should also try to nd new angles. However, given that each party
will adopt different perspectives, then the truth of the matter may be unique to
each participant. You may be able to repudiate some accounts but you may nd
that you are unable to offer a denitive version of events. Indeed, the participants
may be unsure of their real motivations or involvement. At the end of your
triangulation, you may well know more about and understand better the particular
event than the participants because you will have accessed records unavailable to
them. But remember the adage that, whilst success has many parents, failure is
an orphan. However, by demonstrating the application of triangulation, you will
be able to show the reader the process by which corroboration has been sought.
You should also be able to pinpoint both gaps in and inconsistencies between the
accounts.
Sampling
You will quickly nd that, even when you adopt triangulation, the volume and
potential sources of data in terms of people and records can still remain vast. So
a selective approach is essential. You simply cannot interview every member of
a union or examine every council minute. The age-old solution to this particular
problem is to concentrate your activity on a sample of the population. These everyday
words have special meanings in academic research which warrant explanation. The
population is the universe of all the subjects or cases under study. You must dene
your population. It may be all the members of a union, the residents of a city or
town, states of Africa, a particular ethnic or age group and so on. The population
is a set of individuals, cases, states, etc., which share a common characteristic. The
sample is a selection of individuals, cases, states, etc., made from the population.
The sample is, therefore, a subset of the population.
You must dene your research population in a sample frame. Your sample frame
is a list or schedule of the population from which the sample will be drawn. It may
be a membership list or a directory of engineering rms.
You can use either probability or non-probability samples.
Non-probability samples
Non-probability samples are samples where members of the population do not
have an equal chance of being selected. They are not statistically reliable. They
cannot generate generalisable data. You select the members of the sample. Nonprobability samples include nomination, snowballs, volunteers, case studies and theoretical
samples (used in grounded research). Non-probability samples will not generate
generalisable information. You have already been introduced to case studies and
theoretical samples in Chapter 5. Non-probability samples are very small. They are
used for qualitative research.
Nomination is the most widely-used form of recruiting a non-probability
sample. Essentially, you ask a local social gatekeeper or intermediary to nominate
(name) a group of people who meet your requirements for a research sample.
A social gatekeeper exercises control over who enters a community. They may
be head teachers, village headmen, employers or heads of family (if you want to
interview children). Essentially, you search them out, write to them explaining who
you are and the nature of your research, and ask them to nominate a cross-section of
local people to interview. Often, they will offer to arrange the meetings. But this offer
of assistance is incompatible with the ethical ideal of voluntary consent. The people
nominated may feel as if they have been commanded to attend. This will inhibit
your meeting: they will feel obliged to say what the gatekeeper would like them to
say. It is better if you contact the named people individually (preferably in writing).
Again you should introduce yourself, explain the nature of your research and its
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benets to them. You should say why you want to speak to them individually or at
a (focus) group meeting, and add that X (the local social gatekeeper) has suggested
that they might be able to help. Intermediaries are not social gatekeepers but
trusted outsiders or thresholders who are respected by the community. Typically,
they are ministers of religion, teachers, nurses or local leaders of voluntary agencies
or NGOs (Non-Governmental Organisations) like Oxfam.
Snowballs grow larger as they are rolled across snowelds. The term snowball
sample is therefore used to describe samples which become larger as each contact
suggests more people to contact. They are particularly useful for researching groups
whose identity is concealed. For example, say you wish to research the likely impact
on crime of a greater liberalisation of laws against illicit hard drug use (crack, meth,
etc.). You would be unlikely to make contact with drug-using criminals through
a probability sample of, say, 1000 from the UK population. First, the incidence
of drug-using criminals is relatively small. And, second, they would be unlikely to
reveal themselves to you. The two problems you face here are access and trust. These
can be overcome by using a snowball sample. In the example above, you could
begin by contacting a person who is publicly known to have had some contact
with these criminals. They might be a specialist doctor, a prison visitor, shelter
manager or journalist. Your rst task would be to meet them to establish your
bona des (Latin, meaning good faith) as an academic researcher and, therefore,
trustworthy. Several meetings might be required. You would ask them to refer
you to other people who might be able to assist you. They might refer you on
to recovering addicts, their relatives, or organisers of self-aid groups. In turn, you
would hope that they would nd you sufciently genuine and trustworthy to provide
further contacts. You would hope that your research trail would end in clandestine
meetings with practising addicts who funded their drug purchases through petty
crime or wider involvement in criminal networks. At the end of your research,
you will not be able to claim that your ndings applied to addicts beyond those
you had met: however, you can claim that they apply to all the subjects in your
sample.
A volunteer sample is one where members of the research population volunteer
to take part in your research. You are most likely to seek volunteers where your
sample is likely to undergo a period of discomfort, pain or nancial cost. You will
have received emails from university departments especially Psychology asking
for volunteers for lab-tests. They may offer a small cash payment to volunteers. For
example, you might seek volunteers from colleagues if you wished to pre-test and
compare the possible impact of positive and negative political advertising in the
UK. But appeals for volunteers need not necessarily be made only to people. You
can also ask for volunteers from organisations. For example, to pursue research on
political networks, you could write directly to each unitary authority asking them
to take part in your research. The great advantage of seeking volunteer samples is
that they can be relied upon to co-operate fully. Conversely, because the volunteers
are self-selecting, then they are more likely to be especially interested in the topic
and therefore may be less likely to be representative of the population as a whole.
Probability Samples
Probability samples are samples in which every member of the dened population
has an equal likelihood of being selected for inclusion. So, in a population of 1,000,
each person has a 1/1000 probability (also expressed as 0.1% or p = 0.001) of
being selected. Probability samples are statistically reliable. This means that they
are capable of generating data which is representative of the population. In other
words, if the average age of members of a probability sample is 30, then you can be
condent that the average age of the population as a whole is also 30. This capacity to
generate accurate representation is called generalisability. Probability samples are
large. They are used in all quantitative research where the population is very large.
The reliability of the data obtained from a sample will increase as the sample
increases in size towards that of the whole population. But it is the size of the
sample which determines its accuracy: the size of the population is less relevant. But
doubling the size of the sample will not double the reliability of the information.
Accuracy is proportional to the square root of the sample size. So, to double the accuracy,
the sample size must be increased fourfold which will greatly increase the cost of
the sample survey.
There is, therefore, a trade-off between cost and reliability and time. This is
an example of the so-called law of diminishing returns (or diminishing marginal utility).
It explains why most samples are relatively small, e.g. national opinion polls rarely
use more than 1,500 people, whilst even national, life-or-death medical surveys
rarely exceed 60,000, i.e. a 0.1% sample.
There are many types of probability samples: simple random samples (entirely
random); systematic samples (every nth person); stratied samples (e.g.
50:50, men: women, etc.); multi-stage cluster samples, and, probability
proportionate to size (PPS) samples. Essentially, stratied, multi-stage cluster
and PPS involve pre-designing the sample to reect the known characteristics of the
population under study, e.g. by gender, age group, ethnicity, social group, residence.
They are also used to make the sample more readily contactable and thereby reduce
costs. For example, if you were proposing to carry out a face-to-face survey of
10,000 people in England, then you could choose 1,000 electoral wards randomly
and then 10 addresses within each (or 200 wards and 50 addresses in each). A further
renement would be to select randomly 125 wards within each of the 8 standard
regions and 10 residents in each ward. But some regions have larger populations than
others. So you could vary the number of wards pro rata so the likelihood of any ward
being chosen was more equal. But wards also vary signicantly in size (depending
on whether they elect one, two, or three members). So the list of wards from which
the sample is to be chosen should reproduce multi-member wards twice or three
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times, and so on. In this way, you are constructing a sample with a probability
proportionate to size. In this case, you would have constructed your sample frame
in three layers: region, ward, population. These layers are termed strata.
The more strata employed, the smaller the size of each group and the lower
the reliability of the data. One statistical survey rule rarely followed is that the
smallest group should not be lower than 1,000. In practice, a rule-of-thumb is
adopted in which the group should be at least 50100 (Hoinville et al, 1977: 61).13
There is a particular problem with very small minorities, e.g. non-whites in UK rural
county towns. A group of, say, 100 educated males 2635 may well include less than
ve members of minority ethnic communities. But ve people are unlikely to be
representative of the many minority ethnic communities. In this case, you should
seek a higher number of participants from these communities and scale down the
data accordingly. Alternatively, if ethnicity is a critical variable, then a very much
higher stratied sample should be sought.
Tables have been developed which relate sample size to the degrees of acceptable
sampling error and levels of condence (CL). Most Politics research adopts levels of
condence of 95%. This means that you are condent that, in 95 out of every 100
cases, the characteristic (e.g. party preference) shown by the sample will be shared
by the research population. The sampling error is the inaccuracy arising from the
use of a sample. So, as Table 7.1 shows, if you are willing to accept a sampling error
of 5% either way, you can use a sample of 400. But, if you insist on a sample error
as low as 1% either way, then you must use a sample of 10,000.
For example, say you have adopted a random sample of 2,500 people whether
they support or oppose NATO forces, involvement in Afghanistan. Of these, 36%
say they are supportive. What the table above tells you is that, in this case, you can
be condent that, in 95 out of every 100 members of the population, 36% will be
supportive 2%. So, at 95 condence levels, support will lie between 34% and 38%.
Table 7.1 Sampling errors/sample size of random

samples at 95% confidence levels.
Sampling Error %
Sample Size
1
2
3
4
5
6
7
8
9
10,000
2,500
1,100
625
400
277
204
156
123
Abstracted from De Vaus, 2001: 71, Table 5.4
Therefore, if you want to reduce the sampling error by half (to 1%), then you
will have to increase your sample to 10,000.
The greatest difculty in using probability samples is designing the sample frame.
The sample frame is the list of the population from which the sample will be
drawn. Say, for example, you want to carry out questionnaire research of residents
of a city. Twenty years ago, you could have used the electoral roll or telephone
directory. However, to protect the privacy of the public and to encourage more
people to register and therefore to vote, the full electoral roll is no longer publicly
available. The telephone directory is now much less representative than previously
now that a third of subscribers choose to go ex-directory. In any event, the
telephone directory lists heads of household and not their partners. Additionally,
young people are more likely to use only mobile telephones which are unlisted.
Large-scale probability sampling is very expensive. One practicable means
available to (fully-funded) researchers to obtain very large samples is to buy into
one of the very large (100,000) sample omnibus questionnaire surveys undertaken
by market researchers acting on behalf of commercial clients notably superstore
grocers and nancial services. They use random samples obtained from a sample
frame of a national gazetteer of postal addresses. The disadvantage is the relatively
low completion rates and the bias arising from the use of prize incentives.
For these and other reasons (especially costs and the lack of life-or-death
consequences for the population), Politics researchers rarely use probability samples.
Instead, like most private rms, you are most likely to use quota samples.
Quota sampling
Despite being the most widely-used, quantitative sampling technique, quota sampling
is non-probabilistic. However, for calculation purposes, custom allows you to analyse
the data using the same statistical techniques as if it had been obtained using simple
random sampling. A quota sample is a sample of the population which is predesigned to be representative. So, for example, if you know that 69% of your
population of UK electors voted in the last general election, then you will design your
sample to have a quota of 69% voters. How do you know whether a person voted?
You ask them. Quota samples are usually recruited in town centres by researchers
who select passers-by to complete their quota of interviews. It is non-probabilistic
because the interviewers select individuals to meet their quota. So each passer-by
does not have the same probability of being selected. Furthermore, because the
weekday city centre contains higher proportions of some groups of the population
and less of others, then the probability of each member of the research population
being selected is unequal. This also explains why you may not have been interviewed
by the ever-present pollsters in your city centre. Their quota of people like you had
already been lled. Or, alternatively, your type of person did not form part of the
sample frame of, say, pensioners. Or, importantly, they may have felt uncomfortable
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by your appearance. You will nd out when you carry out your own quota sampling
that you are likely to select people with whom you believe that you are likely to
develop rapport. You will nd more detailed guidance on administering (carrying
out) an on-street survey in Chapter 8.
Designing a quota sample

You will nd that the simplest way to design and use a quota sample is to start by
setting up a 10 by 10 matrix of 100 cells.
For example, suppose you require a representative sample of the research
population in which age, gender and socio-economic group are considered
relevant as potential independent variables to your research question. You nd
from published sources that:
1. the breakdown of population between males and females is 50:50%
2. between 1834, 3559, 60+ years old, the relative distribution is 20:50:30%
3. as a proxy indicator of socio-economic group, the percentage ratio of owner-occupations
to tenant is 60:40%.
Then you can sub-divide the 100-cell matrix into columns for sex and socioeconomic group (assuming the owner/tenant distribution is uniform between
genders and ages) and into rows for age bands, namely:
In this matrix, the highest, right-hand cell (marked X) will be a woman, aged
1834 and living in rented accommodation whereas P will be a man, aged 3549
who is an owner-occupier.
You can then scale-up the matrix to provide the optimum sample size on the basis
of weighing the advantages of accuracy, reliability and representativeness, against
the resource costs. You can, of course, add further sub-divisions, for example, of
ethnic origin. But remember that, each time you subdivide the sample further, the
sub-groups become smaller and potentially less representative.
So armed with your quota matrix and questionnaire, you can begin your quota
sampling. As you recruit each member of the quota sub-group, you tick them off
from the matrix. Beginning is easy. However, the technique becomes more difcult
as the number of vacant cells in the matrix reduces.
1. What do you understand by the essential difference between validity, reliability and
accuracy, in terms of data? Why are the distinctions useful?

Table 7.2 Quota sample matrix (100 cells)
Men
Women
1834
3559
60+
Tenants
Home-owners
Tenants
2. Discuss the case study of the formation of the National Government in 1931,
drawing on other accounts which, together with Nicholsons biography of George
V, enable an appropriate triangulation to be achieved.
3. Consider your universitys prospectus. Identify examples where numeric or other
authoritative data may have been used selectively to create a best-case presentation to potential students.
4. Arthur Scargill attracted both strong supporters and critics for his role as leader
of the NUM (National Union of Mineworkers) during the miners strike of 19834.
You have obtained documentary sources from the NUM and the autobiographies
of government ministers and advisers of the day. What other sources would you
seek out to achieve triangulation?
5. Design a quota sample of 400 adults to represent your research population of
adult residents of your university city, or town.You wish to test the potential causal
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relationship between green practices and age, class and sex. You have learned
that 60% of households separate and sort recyclables from their household refuse.
Find the data on age, class and sex from the census data for your city or town.
What are the advantages and disadvantages of this method?
FURTHER READING
Harrison, L. (2001)Political Research: An Introduction. London: Routledge.
pp. 259, 10612. In the first extract, Harrison discusses and distinguishes
between validity and reliability, and provides additional material on types of
validity including construct validity and content validity. In the second extract,
she examines and discusses alternative sources on existing political data
including the mass media, party resources, biographical, autobiographical and
political memoirs and the internet.
Neuman, W.L. (2003) Social Research Methods. London: Pearson. pp. 17887,
1378. The first extract discusses reliability and validity in the separate contexts
of quantitative and qualitative research. Table 7.1 on p. 183 summarises the
measurement reliability and validity types identified. The second extract
provides a very readable discussion of triangulation of which he provides an
example of four types in Box 6.1 on p. 138.
De Vaus, D.A. (2001) Surveys in Social Research. London: Routledge. pp. 5479.
This extract begins with a discussion of reliability and validity. The author
introduces three means of assessing validity: criterion validity; content validity;
and construct validity. He also discusses the special problem of how people
may interpret indicators in different ways. The second part of the extract
provides good, practical advice on the separate types of probability and
non-probability samples.
Notes
1 Russell, B. (1971) A Liberal Decalogue. In The Autobiography of Bertrand Russell, 3. 194467,
London: George Allen & Unwin. pp. 6001.
2 Amis, K. (1997) The Kings English A Guide to Modern Usage, cited by Mount, H. (2006) Amo,
Amas, Amat and All That: How to Become a Latin Love, London: Short Books. p. 40.
3 Huxley, A. (1932) Brave New World.
4 Crossman, R.H. (1976) The Diaries of a Cabinet Minister 1. Minister of Housing 196466.
London: Hamish Hamilton and Jonathan Cape. p. 590.
5 Cole, J. (1996) As It Seemed to Me: Political Memoirs. London. Weidenfeld & Nicolson. p. 64.
6 Jenkins, R. (2001) Churchill: A Biography. London: Macmillan.

7
8
9
10
11
12
13
Jary, D. and Jary, J. (1995) Sociology. Glasgow: HarperCollins. p. 714.

Lukes, S. (1974) Power: A Radical View. London: Macmillan. p. 51.
Foot, M. (1973) Aneurin Bevan: A Biography, 2. 194560, London: Davis-Poynter.
Grigg, J. (1978) Lloyd-George: The Peoples Champion. London: Eyre Methuen.
Nicolson, N.(1953) King George V. London: Routledge. Chapter XXVII. pp 45369
Cole, G.D.H. (1938/66) The Common People. London: Methuen.
Hoinville, G., Jowell, R. et al (1977) Survey Research Practic, London: Heinemann. p.61, cited in
De Vaus, D.A. (2001) Surveys in Social Research. London: Routledge. p. 73
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Chapter 8
Completing a Literature Review:

Accessing Published ()
Information

1. To understand why researchers undertake literature reviews.
2. To learn how to structure and present a literature review.
3. To consider the various search processes to access published () information.
Introduction
The literature review is a major part of any research. But many literature reviews
are done badly. Poor reviews often consist of one description of a text after another.
They lack any original criticism or evidence that the student has actually pondered
what they have read. There remains a suspicion that some students havent actually
read the texts they cite, but merely summarised the abstracts or dust-covers. They
are also very boring especially to the external examiners who will have been
chosen because they are authorities on the research topic. Perhaps the fault lies in
the expectation by higher education that students will have been taught how to do
a literature review at secondary school and vice versa. There is also the view that
doing a literature review is common sense which requires no preliminary guidance.
I strongly disagree with these views.
Why do a literature review?

The review is not undertaken for its own sake, or as a kind of academic penance
(although it may feel that way at times). The primary purpose of the literature review
is to establish the state of current knowledge or argument about your research topic.
Knowledge includes views, concepts, theories, understanding, evidence, schisms
and schools, and the main authors. In the rst place, it involves you nding out
what has already been written (or said). It also involves nding out what you dont
know and possible unknowns. As Donald Rumsfeld famously said:
Reports that say that something hasnt happened are always interesting to me because,
as we know, there are known knowns; there are things that we know we know. We also
know that there are known unknowns; that is to say we know that there are some things
that we do not know. But there are also unknown unknowns the ones we dont know
that we dont know.
(Donald Rumsfeld, US Secretary of State for Defense, 2003)
Reaction against Rumsfelds part in the Iraq war has meant that his statement was
widely ridiculed, whereas, in hindsight, it is worthy of Foucault.
Reviewing the literature prevents you from reinventing the wheel and enables
you to contribute to new knowledge or understanding. However, in Politics,
there are few uncontested, knowledge claims. Instead, there are a number of
often competing explanations of phenomena which reect opposing paradigms,
information and periods of time. But those explanations are not beyond criticism.
Your task as a Politics researcher is, therefore, to identify: who are the main
theorists, commentators and texts; how the arguments have developed over time; the
areas of agreement and disagreement; the overlaps and the gaps in the literature. The
literature review should also summarise and evaluate published criticism and, most
importantly, offer fresh, original criticism. Your criticism should identify loopholes,
illogical deductions and conclusions, which are not supported by the information
from which they are allegedly derived. A literature review is not merely a chronicle
of who wrote what and when, but a forensic examination of texts to identify one
or more critical elements where current understanding is unclear or contested and
which the new research can address. After all, it is this lack of clarity or information
that is the justication for you undertaking the research and for the reader spending
their time.
The explosion of text, in the form of books, journals and the Internet, makes
literature reviews more difcult than before. Conversely, the Internet has made
searching for publications very much easier. But you will be unable to read every
available text. A selective approach is essential in terms of what texts and which
parts of those texts you should read and what records you should make. The law
of diminishing returns applies to literature. And, conversely, reading ever more
texts can become a displacement activity to justify putting off the start of eldwork.
A good supervisor can spot when you are blaming the literature review for general
lack of progress (or effort). As a rule-of-thumb, the literature review is likely to
occupy between a quarter and a third of the time available for the research project.
A quarter of the research report is likely to be set aside for the theory and literature
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review. Traditionally, the rst year of a three-year PhD research project was devoted
to reading the literature. Whilst the proportion of time remains the same, current
practice is to integrate the literature review with the search for empiric data in a
type of grounded research with a near-continual process of writing-up-as-you-go that
begins with the original research proposal. The objective of the review is to identify,
criticise and synthesise the most recent, relevant, authoritative texts. Authority is critical.
It generally means those texts that are widely accepted by the academic community
as works of considerable scholarship. Finding and accessing these texts requires a
systematic search of literary sources.
Searching the literature

The literature search necessarily precedes the literature review. So, where should you
begin to search for authoritative texts? A starting point is your course modules, your
core texts and the bibliographies provided by their authors. Then you must (not
should) move on to the bibliographic databases of journals (and their predecessors the
printed bibliographies) provided by the university library. As already noted, journals
are much shorter and more concise than books, and will have generally been vetted
before publication by referees selected from the leading academic specialists in the
topic eld. Bibliographic databases allow you to search for articles which include
specic words in the title or abstract or, alternatively, written by a particular author.
You can limit your search to a specic range of years, a particular set of journals, and
so on. The database is likely to have been designed to enable you to follow a link
directly from the database entry to the article itself, where the journal is available in
electronic format. Useful databases for UK-based Politics researchers include (listed
alphabetically):
ASSIA (Applied Social Sciences Index and Abstracts) www.csa.com/factsheets/
assia-set-c.php
BIDS (Bath Information and Data Services) www.bids.ac.uk
British Humanities Index www.csa1.co.uk/factsheets/supplements/bhi.php
IBSS (International Bibliography of the Social Sciences) www.ibss.ac.uk
PAIS International (Public Affairs Information Service) www.pais.org
Social Sciences Citation Index (SSCI) www.isinet.com
Each journal article will also contain its own bibliography. The Social Sciences Citation Index allows you to move from the details of one article to all the other articles
that have been cited and also to identify which articles are cited most often. You must
log in to use these databases. Many have been acquired by the US information rm,
CSA based in Maryland, or other commercial providers. But researchers based in UK
universities can normally access the databases free-of-charge by registering at their

university with ATHENS which will provide the necessary password etc. Others
can use the databases by taking advantage of the free, short-term trial membership
provided by CSA and others.
Other relevant material on your topic may have been published on the Internet
without having been submitted to an academic or professional journal. When using
a commercial search engine like Google or Yahoo, it can be difcult to identify
which web sites carry authoritative texts or other information. A general health
warning is necessary. To overcome this problem, some UK academic institutions
have established their own searchable directories of web sites that meet acceptable
standards of scholarship. These include RDN (Research Discovery Network,
www.rdn.ac.uk), Intute (www.intute.ac.uk) which includes an excellent virtual
seminar on how to make electronic searches, and its social science sub-set SOSIG
(Social Sciences Information Gateway, www.sosig.ac.uk).
Masters and doctoral dissertations should also be revealed in RDN, etc. searches.
But, they are unlikely to be made available on-line. Some universities will on
request send your university library a microlm copy (on short-term loan) which
you will be able to print at your university library using a special photocopying
machine. Where microlm is not available, then you will have to visit the university
library where the dissertation is held and where you may be allowed to photocopy it.
Access to official records

Government and local government maintain extensive records of periodic surveys
including the decennial census and electoral rolls and records of policies and
decisions. Original census returns for 18411901 are now available for inspection
and copying at the relevant local reference libraries. The 1901 census returns can
now be examined on-line at www.1901census.nationalarchives.gov.uk/. For 1911
onwards, individual census returns are not yet available. However, aggregate data
is available from 1911 onwards at: county; local authority; electoral ward; parish
and enumeration district (ED). EDs are the basic building block of the UK census
and consist of around 200 households. Whilst county, district and ward boundaries
change, ED boundaries can endure and therefore provide a basis for historical
comparison. Census data includes: households, household sizes, age of residents,
housing and facilities, socio-economic class, economic activity and, from 2001,
ethnicity and health. The census is supplemented by a 10% household survey that
includes information on type of employment. The 2001 census can be examined
on-line at www.statistics.gov.uk/census.
The Freedom of Information Act, 2000 enables UK residents regardless of
nationality to seek specic information from public bodies including: central
government; local government; NHS trusts; police authorities and advisory bodies.
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You must make the request in writing (which may include email) to the organisation
which you believe holds the information. The organisation is required to answer in
20 working days (i.e. four weeks). A small charge may be made for photocopying.
However, where the cost of providing the information is more than 600 to
central government or 450 for other bodies, then the request can be refused.
Some records will be protected from scrutiny on grounds of necessary secrecy,
or the Data Protection Act. Where a request is refused, then you can appeal
to the independent Information Commissioner. The onus remains on the body
holding the information to justify not making it available. For further details, see:
www.dca.gov.uk/index.htm.
Local councils, NHS trusts and Police authorities are required to open their
meetings to members of the public. So you can attend and note what happens.
However, cameras and tape-recorders, etc. are not allowed. But you should be
issued with a copy of the agenda papers (if not, ask the committee clerk/democracy
ofcer). Reports will identify the relevant background papers which you can ask
to inspect. But you will be excluded from hearing those exempt items concerning
commercially sensitive or personal information.
The UKs national archives are held at the National Archives for England, Wales
and the United Kingdom (formerly the Public Records Ofce) at Kew, London,
where they are available for public inspection. The records held cover the British
Isles, former British Empire colonies and Commonwealth states. The National
Archives includes the Family Records Centre (at Islington). A new search engine
at www.nationalarchives.gov.uk/search enables you to search all ofcial and private
archives in the UK. Researchers do not have to register or obtain permits before
they visit Kew or Islington.
All other states maintain comparable systems. The US national archives are held by
the National Archives and Records Administration in Washington (www.archives/gov)
which also maintains regional archives. US states and city authorities have archives.
Alliances and supra-state groups also maintain records. For example, EU archives
can be accessed via ec.europa.eu/historical_archives/
UK county councils (and some unitary authorities) keep extensive local archives.
These are a valuable source of information. The professional archivists know their
records and are generally very helpful. It may be worth making an appointment
before a visit to arrange for the specialist member of staff and relevant records to be
made available. Trade unions, large companies, the churches, etc. all maintain large
archives. The county councils and unitary authorities also have specialist research
and information units who may be able to run cross-tabulations of census data etc.
using SASPAC and other software.
The Land Registry is also available for public inspection. This holds records of
the titles, extent and ownership of all properties that have been sold. A small charge
(currently 3.00) is made for each title search. The Land Registry remains the only
current authoritative record of land ownership in the UK. However, information on
land that has never been sold for example, the core estates of the great aristocratic
landowners is not available.
Companies House in Cardiff holds information on all current and some past public
companies, including their annual reports and accounts. Records can be obtained
on-line at www.dupont.co.uk/companies-house.htm. A small charge (currently
1.99) is made for each search.
Reading the literature

Whether your search has revealed a very large number of texts or otherwise, you
will have to be selective in your reading and note taking. Consider the advice given
to historian William Woodruff in his rst tutorial in Oxford. He was asked to write
an essay on Inclosure. He asked his tutor which books he should read. Eight volumes
were recommended. When he asked whether it was really necessary to read all of
them, his tutor replied:
Gracious me no, Woodruff. Youd be mad to. You dont read books; you gut them; its the
gist youre after. If you feel that an author has nothing important to say, drop him. Youll
get the nub of things pretty quickly. Anyway, you wont find half the books Ive given you.
There are other students preparing essays, you know Even looking for a book you
cant find will teach you something what you are after is the gist, remember.
(Woodruff, 2003: 1301, my emphasis)1
You gut the literature by reading the abstract rst. If this is relevant, then read the
introduction and conclusion and only if necessary individual chapters. Learn to
skim the text to identify relevant passages for slow, careful reading.
You will need to make a rolling bibliography of texts that you have read and those
that you intend to read. You will also need to make a record of those texts to be cited
in your theory and literature review. A traditional method is to record the relevant
information for each publication author, year of publication, title, publishers
address and name and a summary of the main arguments and page references on a
standard 150 100 mm (6 4) record card. The cards can be kept in an alphabetical
index where they can be abstracted and grouped into themes, topics or approaches.
But there is a limit to the information that can be held on a single record card.
An alternative approach is to keep an electronic record of each text in a separate
le within a bibliography folder and a hard copy. These records are, therefore, not
limited by space to bibliographic citation and key arguments. They can include key
passages identied by their page numbers. In this way, a key text can be reduced to
four pages (or less) of quotations (which, incidentally, can be traded with colleagues
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for similar records of their summaries). The passages can then be copied and pasted
directly into the research report or discussion paper.
Writing the literature review

Having reduced the literature to a series of records, abstracts and summaries, you
can now begin the literature review. The trend among inexperienced students is
to write-up the literature as a series of descriptions of what each author wrote
in chronological order. Such approaches are over-long; at best overly descriptive
and, at worst, obvious plagiarism, confusing and boring. In particular, they lose the
interest of the writer and reader, and tend to give least attention to the most recent
texts. Instead, a critical synthesis is required which focuses on the ideas and arguments
rather than the authors. Indeed, I would argue that, with the exception of the grand
theorists Marx, Weber, etc. the names of the (lesser) authors should generally
be omitted from the text, and given in Harvard references or footnotes. You must
give references to acknowledge the sources of information and to show where readers
can nd them. They should be clear, consistent and follow an ordered structure.
A guide is given in Box 8.1.
BOX 8.1
Referencing: a guide
A reference consists of two parts: a notation or insertion in the text; and a full description of
the source.
There are two systems for notations and insertions: the footnote system and author-date
(Harvard ).
The footnote system uses a supertext notation in conjunction with footnote or endnote,
e.g.1 (In MS Word you would use the Insert/Reference/Footnote routine.) You can either
insert the footnote number immediately after the source or quotation to be referenced or
at the end of the sentence (after the full stop). The full description of the source should be
given in the footnote or endnote. When you use the number system of referencing, the full
description of the text in the footnote or endnote should follow the convention of:
Author, Initials (Year of Publication used) Title of Book. Place of Publication: Publisher.
Pages.
The Harvard system is more widely used than the numbering system. It consists of:
(Name of Author, Year of Publication used: page number) e.g. (Smith, 2007: 57). Harvard
is particularly useful where you want to acknowledge several texts and authors, e.g. (Smith,
2007: 57; Waterman, 2007: 1325).
In all systems of referencing, you must provide a full description of the text or other source in
the Bibliography (list of sources) at the end of your research report.The convention is Author
name, Initials. (Date of Publication) Title and sub-title. Place of Publication: Publisher, e.g.
Burnham, P., Gilland, K., Grant, W. and Layton-Henry, Z. (2004) Research Methods in
Politics. Basingstoke: Palgrave Macmillan.
Where you draw your reference from an edited textbook, then the full description given
should be:
Budge, I. (1997) Chapter 1: Party Policy and Ideology: reversing the 1950s? In Evans, G.,
and Norris, P. (eds.) Critical Elections: British Parties and Voters in Long-Term Perspective.
London: Sage.
Where a journal is cited, then the reference should be:
Author of Article, Initials (Year of Publication) Title of Article, In Title of Journal, Volume,
Number: Pages, e.g.:
Przeworski, A., Alvarez, M., Cheibub, J.A., and Limongi, F. (1996) What makes
democracies endure? In Journal of Democracy, 7 (1): 3555.
Where you cite an Internet source then the reference given should be:
Retrieval Method, e.g. http://, host and domain name, Path and File Name (Date of Visit).
Example
In 2003, I completed a short literature review on power. The rst pages are
reproduced at the end of the chapter.
Ideally, the literature should be brought together in distinct groups or typologies.
One very effective way of communicating these is to tabulate the arguments by
schools or sub-topics. In this way, you can clearly distinguish the major differences
between groups of texts. The review can therefore concentrate on the main
arguments between the schools on key topics that you can then make the subject
of detailed scrutiny. In this way, you can achieve real depth especially in terms of
original criticism and show your mastery of the material. But remember that you
must justify your criticism: to argue that a text is fundamentally awed, you must
demonstrate how. Where the synthesis reveals that the arguments have developed
over the years between and within schools of thought, then this relationship can be
mapped diagrammatically. Table 8.2 in the Questions for discussion or Assignments
shows how I was able to map the development of western philosophies on property.
Remember that tables and diagrams (and photographs) drastically reduce the word
count and add interest.
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The literature review can be the most difcult part of the research project and the
most likely to be re-written as you seek to reduce its length. Three drafts are likely.
At the end of the rst draft, ask yourself:
Has the literature search revealed all the main sources? How do you know?
Has the search identified those texts that are the most relevant, authoritative and
recent? How?
Have you gutted the most important texts and uncovered their gists?
In writing the literature review, have you been able to organise the texts into distinct
schools or approaches?
Have you clearly identified the agreements between different schools, their disagreements, overlaps and, crucially, gaps in the literature?
Have you identified and evaluated the key criticism already made by commentators?
Have you provided original, penetrating and pungent criticism?
In your criticism, have you clearly identified what is known, contested and unknown?
Have you clearly identified the theoretical perspective to be adopted, the contested area
or gap in the literature to be addressed in the fieldwork, and a refined hypothesis to test?
If the answer to any of these questions is no, then you must revise or wholly
rewrite your literature review. Where the research is taking place over several
years, then you will have to revisit your literature review to identify any new
texts and amend your review accordingly. Your bibliography will also need
revising.
Plagiarism
Plagiarism is failing to acknowledge the source of material used in your research
report or assignment, and therefore taking credit for other peoples work. It is a form
of cheating and can attract heavy penalties. Wherever you include part of another
textbook or other source, you must use single quotation marks at the beginning and
end of the passage and a full footnote or Harvard reference. Where the passage is
greater than thirty words, then it should be placed in an indented paragraph and use
a smaller font. In both cases, you may italicise the text.
Plagiarism can be detected readily by supervisors primarily because the language
is very different in style and vocabulary, strikingly error-free and is likely to be
of a higher standard than your previous work. There are many other signs. Most
universities now ask that written work is also submitted in electronic format so that
it may be searched by plagiarism-detecting software.
A similar offence is to include references to textbooks and sources which you
havent actually read. Once again, this is readily identiable. Dont do it.
Table 8.1 Property ownership: the evolving arguments

Common Ownership
State
God & Church
God & king
Private Ownership
Plato 375BC (Republic)
Plato 360BC (Laws)

Aristotle (348322BC)
Cicero (10643BC)
Seneca (48)
Early Christian Church
St Augustine (354430)

Albert Magnus (120680)
Rufinus (1158)
St Thomas Aquinas (122474)
William of Ockham (12851347)
Melachton (1521)
Moore (1516)
Erasmus (1516)
Fortesque (1470)
Luther (1535)
Calvin (1559)
Ponet (1556)
Grotius (1625)
Levellers (1646)
Filmer (1680)
Hobbes (1651)
Locke (1690)
Rousseau 1755
Hume (1739)
Paine (1796)
Smith (1776)
Jacobins (1797)
Burke (1790)
Proudhon (1840) Owen (1840)
Hegel (1821)
Marx/Engels (1848)
Mill 1873
Mill (1848)
Maine (1873)
George (1880)
Spencer (1884)
Communism
Fascism
Libertarianism
Capitalism
Free Markets
Property-Owning Democracy
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1. You have been asked to undertake a literature review on social exclusion in the
UK (or another topic set by your teacher). Describe how you would undertake the
literature search and the priority to be given to particular sources. How would you
read the relevant texts? What records would you make of the key texts and how?
Describe the structure of your literature review.
2. Select a literature review from a journal article. Review it critically. How would you
improve how it was written and presented?
FURTHER READING
Hart, C. (1998) Doing a Literature Review: Releasing the Social Science
Research Imagination. London: Sage. This 230-page textbook remains the
premier guide for Politics researchers seeking to take a disciplined approach to
their literature reviews. It provides practical guidance on how to: search out
existing literature on a topic; effectively analyse arguments and ideas; and map
out arguments. Hart advocates the use of network diagrams to map out the
development of ideas and philosophy by different schools and authors. He
provides a good example of DNA development on p. 169. I followed his advice
to demonstrate how different and competing concepts of property had
developed in western society since Biblical times. This is shown in Table 8.1.
BOX 8.1
Example of a literature review
Power
Introduction
Power is a universal experience. Sometimes it is recognisable, tangible, noisy. At other
times, it is silent, barely discernible, scarcely felt. So, what is power ?
Lukes famously described power as an essentially contested concept(Lukes, 1974: 9). But
power might better be called an essentially contestable concept. It is not under-theorised:
there are many theories and theorists. They include Hobbes, Hume, Machiavelli, Marx
and Gramsci. More recent theorists include Bourdieu, De Jouvenel, Foucault, Clegg, Mann,
Wrong and the authors of what have been called the three dimensions of power : Dahl;
Schattschneider; Bachrach and Baratz; and Lukes. But whilst there are many theories,
most are either partial or offer views from different perspectives which reflect the normative
values or disciplines of the authors. Given the proliferation of theories and perspectives,
then exceptionally in this dissertation, their authors are identified in the text. Arguably, the
perspectives are also culturally and historically eurocentric (Foucault, 1973). But many of
the conceptualisations are supportive or compatible. For example, most support the view
that power is relational and relative. There is no absolute power. There is usually some
resistance conscious or unconscious, overt or covert to the exercise of power. There is
also complicity. Power is contingent. It is contextual. It is also fluid. It is generally a means to
objectives rather than an end in itself (which raises the question whether all means of attaining
objectives are forms of power). Power is a generalising medium, a characteristic akin to
but different from a resource and money (Parsons, 1963: 23262). But the argument that
power, like money, is a circulating medium (Pareto, 1935; Parsons, 1963; Habermas, 1987)
is not widely supported.
Power can be held and exercised by and between individuals, groups of individuals,
by organisations (embodied institutions), and states (geopolitics). Power can be either
extensive, comprehensive or intensive (De Jouvenel, 1958: 15969) where, as extensiveness
increases, comprehensiveness and intensity fall (Arendt, 1951). Power is exercised within
realms or scopes (Wrong, 1997: 10). Society is stratified by power where the strata reflect
the distribution of power.
Power may be distributive (conflictual involving zero-sum outcomes), or collective
(co-operative, non-zero-sum outcomes), (Parsons, 1963). Distributive and collective powers
are dialectical : organisation is the manifestation of collective power which is inherently
oligarchic, where leaders exercise distributive power over members (Michels, 1949; Lowi,
1971; Mann, 1998). One consequence of collective power is that, paradoxically, individuals
become subordinated by the delegation they extend to officials (Bourdieu, 1999: 10716).
However, the individual rarely belongs to only one organisation (Truman, 1951: 508).
Similarly, organisations rarely act alone: organisations are functionally promiscuous:
organisational outflanking is a common strategy contributing to the turbulence of power
relations (Mann, 1998: 7).
Collective power is the product of size (membership), solidarity and organisation (Wrong,
1998: 237). Solidarity derives from mutual identity, consciousness of kind and rituals of
belonging. But, as membership increases, intensity of common identity may diminish and
organisational diseconomies of co-ordination may multiply. The organisations created are
living machines, sui generis characterised by their own objectives and internal conflicts
among members and officials (Weber, 1947: 140). Political mobilisation is the ultimate form
of collective power where the organisation seeks control of the state (Wrong, 1998: 144).
Alternatively, parties or unions are seen as class persuaders providing the structural cement
Continued
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of class reality rather than as an organisational expression, class or other groupings (Sartori,
1969 in Wrong, 1998: 167).
By most accounts, power over is a special (distributive) type of power to (of which
power against is a defensive type of power to). There is also general agreement on
the bases and forms of power. The bases sources or domains (Dahl, 1961), power
resources (Wrong, 1997) include collectivity (the greatest), wealth, reputation, fear,
respect, success, nobility and excellence (according to Hobbes, 1651/1996: 5859). Others
have added legitimate position derived from office, personal appeal, skill or specialised
knowledge (Dahl, 1961). Additional power (re)sources include property, class, credentials,
capacity for reasoning, information and knowledge, control of discourses, historiography
and discursive media (Foucault, 1978), systematic luck (Dowding, 1996: 170), speech,
bearing, accent, clothes, how the mouth is pursed (Bourdieu, 1999: 17) and legitimacy
moral, traditional or rational-legal (Weber, 1986). Thus power can be original (intrinsic)
or instrumental (acquired) (Hobbes, 1651/1996: 58). However, postmodernists argue that
knowledge, rather than being a source of power, is its product (Foucault, 1978).The argument
appears compromised by the secrecy of the modern state. Alternatively, the counterargument can be made that the state gathers, screens and guards the data from which
knowledge is fabricated to reinforce its dominant discourse; the stem of the word statistics is
state.
Authority is problematic. The essential characteristic of authority is the general approval
and acceptance of those over whom it is exercised (Weldon, 1953 in Friedrich, 1958: 31).
But some argue that authority can only be derived from credentials or received wisdom
which confer evidence of a capacity to reason, weigh alternatives and exercise delegation:
authority is a source of power (Friedrich, 1958: 31; De Jouvenel, 1958: 15969).
They believe that the quality of communication is the essence of authority (Friedrich,
1958: 347). Thus authority can be exercised without power, e.g. Roman Senate, or
vice versa, e.g. Nero (Friedrich, 1958). Context may be instrumental (Bourdieu, 1999).
Most regard authority as a special form of power (Wrong, 1997) inseparable from
legitimacy (Weber, 1986). Others regard legitimacy as consent to authority in which
authority is a legitimate use of power and therefore different from power (Giddens,
1998: 339).
Power is a universal experience. Most people exercise power over others at some time
especially as parents and are also the subject of others power (although they may not
recognise its source or influence). Perhaps this universality explains the broad compatibility
of distinguished definitions: an intuitive idea of power, is A has power over B to the
extent that he can get B to do something that he would otherwise not do (Dahl, 1957:
20105); the probability that an actor within a social relationship will be in a position to
carry out his own will despite resistance, regardless of the basis on which this probability
rests (Weber, in Lukes, 1986: 2836); the capacity of persons or collectivities to get
things done (Parsons, 1963: 232); the production of intended effects (Russell, in Lukes,
1986: 1921 ); the capacity to achieve outcomes to make a difference (Giddens, 1984
in Clegg, 1984: 138 ); the capacity to produce intended and foreseen effects in others
(Wrong, 1997: 2);the ability to pursue and attain goals through mastery of ones environment
(Mann, 1998).
Power is, therefore, widely held to be primarily a capacity. Power can thus be
dispositional (capacity) or episodic (exercise of power) (Ryle, 1949, In Clegg, 1998: 73).
Intentionality is considered by many commentators to be a requisite of the exercise of
power (Russell, 1986: 1921; Wrong, 1997, In Clegg, 1998: 73). Others argue that a law
of anticipated reactions is evident where subjects anticipate and comply-in-advance which
makes redundant the exercise of power (Friedrich, 1937). This phenomenon challenges
the classical notion of power as necessarily observable in the sequence of stimulusdelay response push-and-shove (Hobbes, 1691; Dahl, 1957). Intentionality is therefore
contested.
Power can be negative (prohibitory) or positive (especially Foucault) or both. But the
issue of overt and covert power is contested. Behaviouralists argue that only the observable
exercise of power is verifiable and substantive (Dahl, 1957). Others criticise this view as
one-dimensional. They argue that power has two faces and can also be exercised unseen
by non-decisions and by preventing issues from reaching agenda (Bachrach and Baratz,
1962: 94752 after Schattschneider, 1961). Those with power determine both the rulesof-the-game and which game is played (Schattschneider, 1961). Some argue that power
can be exercised unseen and unknown through hegemony - the cultural domination of civil
society by discourses which lead subjects unquestioningly to carry out activities which are
contrary to their interests (Gramsci, 1935 In Forgacs, 1988: 192; Lukes, 1974; Foucault,
1978). Lukes termed this: three-dimensional power . . . the most insidious use of power . . .
by influencing, shaping and determining the very wants of those over which it was exercised
(Lukes, 1974: 23).
But others argue that three-dimensional power is unachievable (How is it done? With
mirrors? Clegg, 1998: 165). This challenges a major tenet of psychology that the major
determinants of personality, identity, attitudes and behaviour are the family, the state and
the economy. The (arrested) development and resource-dependence of children on the
institutions of parents and school makes them subject to exceptionally long periods of
control. However, brain-washing has no enduring efficacy and may be a coping strategy
(Brown, 1983: 24). Foucault alternatively argues that control of thought and attitudes
is first achieved through control of physical behaviour, e.g. children being seated at
desks, soldiers marching, etc. (So, forms of dress which surround the body ties and
rings are, after Saussure, signs of others control.) Supporters of three-dimensional
power argue that this can be evidenced paradoxically through counter-factuals (Lukes,
1974) or counter-actuals (Dowding, 1996), e.g. Conan Doyles dog that didnt bark in
Silver Blaze. In any event, the consequences of the intended exercise of power will
generally have unforeseen or counter-intended consequences (Friedrich, 1937; Foucault,
1978).
Continued
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114
The dissension concerning hegemonic or three-dimensional power arises from opposing

views on the existence or otherwise of objective interests or moral relativism and the
incidence of internalisation of (other) norms (Gramsci, 1971; Lukes, 1974). Critics argue
that there are no real or objective interests but only alternative interests or discourses
(Clegg, 1998; Foucault, 1978). Alternatively, hegemony is regarded as more akin to business
leadership than cultural domination (Whitt, 1979: 81100). The paradox of emancipation
describes how the oppressed are so propagandised as to be incapable of any emancipation
(Benton, 1981: 16184). These arguments challenge the classical view that interests are
derived primarily from needs (after Smith, 1776). They are universal and absolute in a
hierarchy extending from survival to self-actualisation (Maslw, 1954: 80106). Alternatively,
the argument is made that needs and, therefore, interests reflect the subjects existential
perception of dominant norms and experience which are themselves the product of dominant
discourses (Bohin, 2002). Hence, self-sacrifice rather than self-preservation can counterintuitively become the highest form of self-actualisation (e.g. Sartres The Roads to Freedom,
1950). Hence also the prisoners complicity in his own incarceration because of his learned
helplessness. Prisoners and guards are incarcerated alike by Benthams panotpicon and by
themselves (Foucault, 1980: 156).
There is more agreement on the forms of power. These are generally accepted to include
force, persuasion, manipulation and (among those who do not see it as a source of
power) authority (Wrong, 1998). Force may be physical or psychic (ritual degradation) and
violent or non-violent. Manipulation is hidden persuasion. The power-holders intentions
are concealed or disguised; the subjects believe that they are exercising a free choice. In
contrast, persuasion is overt involving appeals and arguments. It is less likely than force to
provoke resistance by the subjects. Whilst persuasion involves the tested acceptance of the
power-holders judgement, authority involves the untested acceptance of the power-holders
views: source and reputation are significant determinants. The outcome is identification
which is likely to be ephemeral rather than enduring internalisation. Authority is power ex
cathedra. In this account, authority rests on the subjects acceptance of the power-holders
claim to legitimacy (Wrong, 1998; Weber, 1986).
The sub-types of authority (as power) are: coercive authority, induced authority, legitimate
authority, competent authority and personal authority. Coercive authority is the most
extensive form of power. It depends on the subjects conviction of the power-holders
capability and readiness to use force. It is a major component of political power and of
state institutions who have (only comparatively recently) monopolised control of the forces
of coercion. Both the Mafia and terrorists challenge the states monopoly of violence.
States emphasise the growth of organised crime to justify the growth of (their) statewide forces of coercion (Foucault, 1999). But coercion stimulates both opposition real
or imagined and development of systems of surveillance. Induced authority involves
offering inducements to subjects. Whilst there is little or no resistance initially, diminishing
marginal utility (law of diminishing returns) progressively undermines the effectiveness
of the inducement. Indeed, the practice may provoke resistance if the value of the
inducement is not raised and especially when inducements are withdrawn. Hence the
combination of coercive and inducive authority used in the form of throffers (Dowding,
1996: 568).
Legitimate authority requires a bilateral acceptance by power-holder and subject of the
right-to-command and duty-to-obey, whereas competent authority (by this account) arises
from the subjects belief in the superior knowledge or decision-making of the power-holder,
e.g. Socrates patient-doctor relationship. Personal power is unique to the power-holder and
subject; its bases are love and admiration or predispositions to dominate or submit. A special
type of extensive personal power is charismatic authority (Weber, 1986). Arguably, all forms
of authority are overlain by personal authority which power-holders craft to bolster their
power.
Each form of authority is unstable and subject to decay or de-mystification. Powerholders must develop strategies of metamorphosis and diversification.The conquerors initial
coercive authority metamorphoses into legitimate authority as the conquered adjust to the
new power-holder. Arguably, the adage that political power grows out of the barrel of a gun
(Mao, 1938/72: 61) refers principally to the long-term consequences of coercion. However,
acceptance by subjects of the power-holders legitimate use of force is greatest when they
are likely to be unaffected by its use and where its use will be directed against others. The
professor who gives an incomprehensible lecture increases his academic authority (Foucault,
1999).
Power can be considered as a type of influence or, alternatively, all influences can be
considered as power. Understanding is obscured by the polyvalence of words (De Jouvenel,
1958). Power has no transitive verb. Whilst its ultimate causality agency or structure may
be contested, its ultimate purpose must be the achievement of the power-seekers mastery
of the present and future environment in its widest sense social, economic, political,
technical, physical. Arguably, the ultimate power is social power mastery over other
people and, thus, their resources (Mann, 1998: 6). The ultimate means is through control
of the state which territorialises, institutionalises and regulates its population (Mann, 1998)
(although others have seen the state as the instrument of international capitalism (Marx)
and globalisation (Cerny, 1999). Power, unlike money, is hierarchical (Parsons, 1963). The
state stands at the intersections of ideological, economic and political systems and has
sole control of coercive military power (which has internal and external application). Until the
late eighteenth century, ideological (especially religious) and military power were dominant in
Europe (Mann, 1998). Now economic and political systems of power prevail. States have both
despotic power and, increasingly, infrastructural power especially through state education
(Mann, 1998).
Who exercises the power of the state is contested. Pluralists argue that power is either
widely diffused within the systems or, where elites develop, no single elite dominates
(e.g. Dahl. 1961/89:). Elitists now emphasise the distributive power of a centralised elite
Continued
115
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and the geopolitics between states. Institutional statists argue that states not elites
institutionalise social conflict in organisations which develop autonomous interests which
structure future conflicts (e.g. Skocpol, 1979 in Clegg, 1998: 259). The institutions provide
regulatory passage points (e.g. Parliament) in fields of force (Lockwood, 1964: 24457).
Alternatively, these views are rejected because they fail to recognise the disunity of
state institutions, confederalism, the empty centre, globalisation and polymorphism (the
way states crystallise at different centres in power networks). Instead a cock-up/ foul-up,
organisational materialist model of the state is argued (Mann, 1998: 41). However, these
views embrace a variety of normative and descriptive viewpoints of a range of divergent
states.
These views also incorporate polarised perspectives of where, in the final analysis,
power lies and who initiates power. Modernists, after Hume and Hobbes and extending
to Dahl and Lukes, have developed primarily mechanistic concepts of power and causality.
They emphasise individual agency and autocracy and accept the centralising power of the
state through the social contract to achieve protective social order. Power is zero-sum; the
negation of power of others (Clegg, 1998).
The alternative view is that structure prevails. The baize over which Humes billiard balls
move is already marked by folds which channel them along pre-determined pathways. The
modern individual is institution-ridden and institution-supported (De Jouvenel, 1958: 164).
There was no original social contract. Marxists argue that the interests of the dominant
mode of production will prevail. The lives of people are written by those who frame the
dominant discourses and exploit the social sciences to create bio-power and systems of
surveillance (Foucault, 1978, 1995). Self-surveillance is the most effective. They construct
nodal points which fix meanings essential for political articulation (Laclau and Mouff, 1985).
Individuals are also caged by the past: Men make their only history under circumstances
directly encountered, given and transmitted by the past (Marx, 1851/1977: 300). They are
also caged by whoever constructs that history: Who controls the past controls the future;
who controls the present controls the past (Orwell, 1949/1989: 37).
Alternatively, agency and structure interpenetrate to form a duality of structure in which
power can be analysed as relations of autonomy and dependence between actors in
which they draw upon and reproduce structural powers of domination (Giddens, 1981: 29).
Within organisations, power relations reflect (mutual) resource-dependency, e.g. work-pay
(Mintzberg, 1983: 172). Whilst these and other power relations are asymmetric, subordinates
can extract benefits by emphasising the reciprocal obligations of power relations, e.g. the
deferential (farm) worker (Newby, 1977: 381432).
Note
1 Woodruff, W. (2003) Beyond Nab End, London, Abacus.
Chapter 9
Asking Questions: Effective Elite

Interviews, Other Interviews,
Vignettes, Projective Questions,
and Focus Groups

1. To distinguish between the different types of questions and structures of
interviews.
2. To understand who are political elites, why we interview them and how to
secure an appointment.
3. To consider how the interview should be carried out and recorded.
4. To learn how interviews with other people differ from those with political elites.
5. To learn what is meant by projective questions and when they can be used.
6. To consider why, when and where vignettes can be used and how they can
be framed.
7. To understand the value of focus groups and other group meetings, and how
to organise and facilitate them.
Questions
Questions are a means to an end: obtaining information in the form of answers.
The answers are rarely straightforward. The subject (interviewee, respondent) may
be evasive. You may also want to question the answers which you have received.
Asking questions is central to both qualitative and quantitative research methods.
They are used to corroborate background and secondary sources, and to collect
new primary information. While face-to-face questioning is, of course, ideal, it is
not necessarily essential. Indeed, physical access and security considerations may
prevent on the spot interviews being held. Many overseas students on MA courses
are unable to access directly elites or others in their own countries to provide data for
their dissertations. So, in order to replace or supplement face-to-face questioning,
118
increasing use is made of the indirect telecommunications media. Traditionally,

researchers have used surface mail and, to a lesser extent, telephone.1 Now, email
or voice-over-internet protocol (VOIP) is widely used. In practice, a combination
of media is employed. They all begin with the researcher establishing their bona
des2 as an academic researcher (rather than say, a muck-raking journalist posing
as a university researcher) and setting out fully the objectives of the research, its
signicance and the contribution that the subject (also termed interviewee and
respondent) can make.
Questions can be categorised across a continuum with closed questions and open
questions at each pole. Closed questions essentially seek or receive closed
answers. Closed answers are generally short and conned to yes, no or dont know
or specic answers, e.g. date of birth. Open questions seek open, lengthy
answers. They are concerned with why and how, beliefs, opinions, forecasts and narratives
(i.e. stories, biographies, etc.). Another similar categorisation of questions concerns
the structure of the interview. Sets of questions constitute interviews. They can
be classied on a continuum of highly-structured to unstructured encounters. In
highly-structured interviews, you must follow a tight pre-designed schedule of
questions. Where comparisons are necessary, then you must ask the same questions to
different subjects in an identical way in terms of wording, inexion and other aspects
of delivery. At the other extreme, the entirely unstructured interview will follow
the course of general conversation in which the next question follows from the
preceding answer, and where the roles of questioner and respondent interchange.
In Politics research, the most widely-used type of interview especially in elite
interviews is the semi-structured interview. Here you use a schedule of a limited
number of topic-related questions and, pre-determined, alternative supplementary
questions (which question further aspects of the answer received). For example, you
may ask: and how did you feel about this? The format of the semi-structured interview
is essentially one of question-and-discussion. It is the type of interview adopted in
news reviews where both interviewer and subject have their own agendas.
In practice, most productive interviews follow the pattern of good conversations
in which rapport (mutual empathy and condence) develops. You will nd that,
where rapport is achieved, your subject will share their intimate thoughts and
feelings. They therefore make admissions which they might otherwise withhold.
Such interviews will generally range across the continua described.
Generally speaking, qualitative researchers tend to ask open questions in semistructured interviews of a small number of people. They may ask their questions
of individuals or groups. In contrast, quantitative researchers are more likely to ask
closed questions in highly-structured interviews of large numbers of respondents
one-at-a-time. The most common type of quantitative interview uses questionnaires
which may be administered (carried out) directly (face-to-face), indirectly (voice-tovoice) or remotely (by self-completion questionnaire via post or email). Advice on
questionnaire design is provided in Chapter 10.
Asking Questions
Elite interviews
Interviews are generally dened as: conversations with a purpose (anon). Interviewing
members of the political elite often shortened to political elites as a routine
activity is unique to Politics research. But it can prove difcult, especially for
rst-time or young researchers to gain access to the most appropriate elite or
useful information from the encounter. Whilst gaining access to the most senior
elites may better serve your research interests, you may well be overawed and
inhibited by the combination of their personal presence, the presence of their
minders and the surroundings (which are often designed to create a sense of
power and prestige). Effective interviewing requires sound preparation, planning
and condence. So class-based simulation and individual practice can be very valuable
to prepare you for the interview. Remember that the best way to learn is often from
other peoples mistakes in class exercises.
The whole process of arranging and conducting the interview is bound by
institutions (traditions, customs and rules) that vary signicantly between states and
cultures. For example, ofcials in the Peoples Republic of China will rarely agree
to be interviewed unless their superior has given formal approval. Even so, they
are obliged to re-state ofcial policy. So, before you seek to interview elites from
a different state or culture to your own, nd out from a fellow student from that
country or from your diplomatic service what the institutions are, how they have
developed and what purposes they perform. The advice given below is written for
students seeking to interview UK political elites. However, much of the advice will
apply to students seeking to interview elites in other western states.
Who are the members of UK political elites?

Arguably, political elites are people who exercise disproportionately high inuence
on the outcome of events or policies in your research area. They may be ministers,
MPs, senior civil servants, business leaders, union leaders, members of think tanks
or nancial institutions, learned commentators, journalists, local councillors, chief
executives, gatekeepers etc. They may inuence outcomes without becoming
directly involved through what Friedrich (1937) termed the law of anticipated
reactions.3
Why do we interview them?
to confirm (our understanding of) documentary material

to fill gaps or clarify grey areas
to check Have I got the story right?
to try to understand their perceptions, beliefs, mindsets, i.e. underlying psychology
to obtain quotable quotes
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to help identify other actors involved

to identify networks
to facilitate: to open the way to interviews with others
to triangulate, i.e. to corroborate (check, test) accounts from other interviews
Triangulation is often best achieved by interviewing the subjects opposite number,

shadow or parliamentary pair4 (who is likely to know the subject well and
may provide a penetrating analysis of personalities and precipitating events), a
commentator (e.g. journalist) and a subordinate. Retired individuals are likely to
be more accessible and open but not necessarily more honest: self-justication
often sincere is ever-present. Remember what Enoch Powell said: all political
careers end in failure. You will nd that few political elites appear to admit their
failures.
Why do they agree to be interviewed?
because the potential benefits are attractive and outweigh the costs (indeed, you can ask
them why they agreed to be interviewed)
because you have persuaded them of the importance of your research and their potential
contribution
because it-goes-with-the-territory and underlines their status
because their family and colleagues, etc. have heard it all before
because they want to set the record straight
because they welcome the opportunity to be reflective
the rules-of-the-game have been agreed in advance.
The rules of the game for interviews cover whether the interview will be on a oneto-one basis, whether the replies will be treated in condence, attribution, circulation
of drafts, publication and recording. Subjects may ask for advance (written) notice
of questions to be asked. Paradoxically, there is some confusion as to what the
various terms in condence etc. actually mean. You are recommended to adopt a
conservative interpretation unless the subject agrees otherwise. Here, in condence
means what it says: that whatever is said remains a secret between the interviewer
and subject. Off-the-record similarly means that no recording or note is kept
of the interview and that the information is provided to enable the researcher to
understand the context and background better. On-the-record means that the
comments can be recorded, used and attributed to the speaker. Subjects may switch
between off the record and on the record comments. Attribution means to
whom the comments are attributed. Unattributable means that the source is not
identied. However, agreement may be sought to attribute comments to a former
minister to underline the authority of the source. Alternatively, sources may be
Asking Questions
anonymised, e.g. a northern Labour MP, A argued that Minister Bs comments had
been reported out of context.
How should you first approach them to arrange

an interview?
The approach will depend upon the cultural context. Always follow local conventions and protocol. In the UK, the procedure is generally:
1. Select the target political elites on the basis of their recorded involvement in your
research topic. Do not rely on any one elite providing you with an interview or all the
information: adopt a multi-track strategy. Aim high rather than low by approaching the
A-list elites rather than lesser elites whom you may consider to be more approachable.
2. Access personal details from the Internet or parliamentary etc., directory. Telephone
their PA (personal assistant or secretary) to confirm their full title and preferred form
of address (e.g. Dr, Mr, Mrs, Ms, Minister, etc.). Then write a personal letter on your
Departmental University letterhead. Ask for their help: help is a so-called hook word to
which people have become conditioned to respond positively. Describe the importance
of your research and their potential contribution. Ask for an interview. Emphasise that the
research is for academic purposes. Reassure them that their comments can be treated
entirely in confidence, off-the-record or, alternatively, not individually attributed if they
wish. Ask them for an interview preferably before Add how grateful you will be and end
by saying how much you look forward to meeting them. Offer a contact and reference
(your research supervisor) so that their staff can authenticate your identity and status.
Say that you will telephone their PA on a specific date to agree a time and date for an
interview. Describing your intention to call on a specified date means that the PA who
will normally screen and triage their mailbox into immediate, acknowledge/pending or
acknowledge/bin will have to classify your letter as immediate to seek instructions
(or give advice) whether the interview is to be granted or not. Retain the initiative: dont
expect them to contact you first. When you telephone, you may be told that the elite is
unable to see you. In this case, ask why in a casual way: the PA may let slip information
that may be useful, e.g. Oh, he wants to forget about that: it wasnt his finest hour.
Paradoxically, a non-interview can be a good source of useful material. An example of
an initial letter is shown in Box 9.1.
3. When you speak to the PA, try to obtain a late-morning appointment. This will allow your
elite interviewee to extend a good interview by inviting you to lunch where you are likely
to be introduced to other contacts. Confirm the appointment in writing (email will suffice).
4. If you are unable to speak to the elite or their PA after several attempts, write again.
Attach a copy of your earlier letter. Be gently persistent. Exploit contacts and leverage.
For example, if the subject is an MP, attend their constituency surgery. Or ask your own
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BOX 9.1
Example of introductory letter

UWUK
Department of Politics
University of Watersea
Watersea
WA3 7HU
Rt Hon Tina Atkins MP, PC

House of Commons
London SWIA 0AA
Dear Ms Atkins
Im writing to ask for your help.
Im a local government practitioner studying for an MA in Urban Policy at the University
of Watersea. The subject of my dissertation is policy change theory. Ive chosen public
participation in the National Health Service for my case study. My special interest is the
apparent contradiction between the publics readiness to comment as patients on their own
experiences of NHS services, and unwillingness to become involved as members of the
public in broader consultation exercises. I know that, when you were Minister of State at the
Department of Health (20056), this was a specific area of your responsibility. I understand
that, despite the successful introduction of YCTP, your wider ambitions were frustrated by
(what the Guardian described, 22 August) as the opposition to reform from the medical
profession and leading foundation hospital trusts.
I would therefore welcome an opportunity to meet you in London to learn at first hand
of your experiences and insights of promoting policy change. Your contribution will be very
significant. I can assure you that information gained will be used for academic purposes
only although I hope that my research can be published in Policy Research Quarterly.Your
contribution can if you wish be entirely off the record or unattributable.
I will phone your PA on Wednesday to hopefully arrange a date, time and place
where we can meet. Ideally, I would like to see you in JuneJuly and, in any event, before
12 August. I look forward to meeting you.
Yours sincerely
Ted Smith
Email address: ted.smith@watersea.ac.uk Mob: 07790432111
Authentication (if required): Dr Mona Lott (supervisor) Tel: 01903 366 042 (direct line)
Asking Questions
MP to arrange an interview. Ask your MP or local councillor to help set up meetings with
reluctant civil servants or local government officers. Remember that serving Ministers,
civil servants and local government officers are likely to be less willing to be interviewed
than others because of the heavy demands on their time and the risk of loss-of-office
from unanticipated disclosure. They will want to ensure deniability of any material that
inadvertently reaches the public domain. So only one researcher will be allowed to attend
the interview. Retired ministers, MPs and officials are likely to have more time on their
hands and may welcome the renewed attention and the opportunity to set the record
straight. But, whilst they may be less discreet especially about former colleagues
they will not necessarily be more truthful.
How should you get the best out of the interview?
Prepare well in advance. Research the subject using the latest edition of Whos Who in
the university or public reference library (or local equivalents), Internet search or seek
a CV from the subjects PA. Look for points of common interest (e.g. birthplace, school,
university or support for a particular football team) and publications for prior reading.
Read the opening chapter and conclusion of their latest publication. Also use the Internet
to search for recent press coverage.
Find a photograph of the elite so that you recognise them at first sight. Having written to
say how much you admire their contribution to your topic, it can be very embarrassing to
be unable to identify them in a crowded room.
Look and dress the part, i.e. conform to the setting. Observe the setting closely. What
can we learn from the subjects choice of books or CDs? Which books look well read?
Who are in the photographs? Why does C have photographs on their desk of pets
rather than the customary partner-and-children? What image is the subject trying to
convey by their habitat: gravitas or person-of-the-people? Conspicuous consumption
or thrift?
Come prepared with a semi-structured interview proforma, an audio-recorder and
clipboard. Politicians generally welcome a recorder as a symbolic acceptance of their
authoritative, recordable voice. It will also enable eye contact to transfix you with their
gaze to be maintained. But civil servants and local government officers will decline
(refuse) to be recorded: they want to retain deniability. If the interview is particularly
important, use two recorders.
Try to avoid an eyeball-to-eyeball arrangement which is more likely to become an
adversarial interrogation. Instead, seek a more relaxed setting where you and the subject
are seated at an angle (see Figure 9.1 below). Ideally, place the recorder to one side so
that you and the subject can ignore it.
Accept the hospitality provided. The offer of coffee is a social convention in an office or
home environment. Dont insist on Fairtrade decaffeinated. Adopt normal good manners:
expect and reply to questions about the weather and travel. How are you? is a form
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Avoid if possible
Seek . . .
Figure 9.1 Alternative interview seating
of greeting to which the expected reply is fine, thank you (rather than a recital of your
current medical conditions).
Follow Elton Mayos advice:
1. Give your whole attention to the person interviewed, and make it evident that
you are doing so.
2. Listen dont talk.
3. Never argue; never give advice.
4. Listen to:
(a) What he wants to say.
(b) What he does not want to say.
(c) What he cannot say without help.
5. As you listen, plot out tentatively and for subsequent correction the pattern
(personal) that is being set out before you. To test this, from time to time
summarise what has been said and present for comment (e.g. Is this what
you are telling me?) Always do this with the greatest caution, that is, clarify but
do not add or distort.
(Mayo, 1949: 64)5
Seek to develop and maintain rapport.

Respect silence. What you are seeking is profound disclosures. Use the psychologists
prompts to help the subject cross barriers, e.g. go on . . . , can you tell me more?, how
did you feel?, etc. Act as a mirror. Dont answer the subjects questions, reflect them.
Ask questions like the psychiatrist Professor Anthony Clare did not a sneering Jeremy
Paxman (BBC2 Newsnights feared interrogator). So dont retort (like Paxman): Surely
you dont expect me to believe that, do you? But dont be over-eager to ingratiate yourself.
Asking Questions
And dont agree with (and thereby reinforce or lend credence to) irrational prejudices,
fantasies or self-beliefs.
Try to maintain eye-contact. Minimise note-taking. If you take verbatim notes then you will
be unable to study the subject. They are also likely to slow down their speech so that it
becomes too well-considered.

Dont be intimidated. Be gently assertive.
Watch the subjects body and look out for differences between what the subject is saying
and what is being communicated in body language. Touching the face around the mouth
or averting gaze can indicate a less-than-truthful response. Conversely, much waving
of open palms a sign of openness and honesty may be more evident of a learned
attempt to simulate sincerity (see Chapter 11).
Retain control (which is difficult with authority figures).You must terminate the interview
generally ten minutes before the hour likely to have been set aside. This early end is
likely to lead to apparently unimportant comments by the interviewee which may be very
significant. (GPs [UK family doctors] are told that the most important remarks by patients
are made when they are opening the door to leave the consulting room.) Conclude by
asking if there is anything that you should have asked but missed out and what would
have been the subjects reply.
Write up your field-notes as soon as possible after the interview. Accurate recall fades
quickly (which is why wartime bomber crews were de-briefed immediately after they
landed, even after very long flights).
The structure of the elite interview

Generally speaking, a successful elite interview will last 50 minutes and consist of
ve open questions and ve supplementary questions. Your aim is to obtain depth
to reach the subjects innermost and private thoughts (of which they may perhaps be
unaware). I call this level 5. The interview can therefore be likened to a funnel. So
the sequence of questions should ideally begin from the inoffensive level 1 question
through levels 2, 3, 4 before level 5 is reached. What you are trying to do is to win
the subjects trust and interest before asking the most intrusive questions. But you
may never reach level 5. It may be necessary to return to a less intrusive question
when you sense resistance. By the same token, you may nd that the obvious rapport
established early in your meeting enables you to ask more difcult questions from
the start.
Consider the example of the interview with former minister, Tina Atkins about
her involvement with the governments programme for greater public participation
in the NHS (National Health Service). What you are really trying to nd out is
whether the governments apparent commitment to greater public participation
is genuine, or (as you suspect) a stratagem to counter the power of the medical
professions and hospital managers who oppose further reform. But, if you ask
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that question rst, shes likely to repeat government policy about greater public
involvement in shaping government policy. So a possible sequence of questions and
supplementaries might be:
1. Minister, your (Labour) party founded the NHS 60 years ago. It has been described
as the jewel in the crown of your partys record in government. More recently, your
government has substantially increased the funds provided for health services. What do
you consider has been the NHSs greatest success?
This is a non-adversarial question which is designed to flatter, to place the government
minister at ease and to give her the opportunity to be enthusiastic and, thus, open.
Her answer may well cite the success of NHS services for children where mortality
rates have been drastically reduced. Your supplementary question may therefore be:
Why do you think that the NHS has been so successful with childrens services?
2. Many GPs and hospital consultants objected to the founding of the NHS. The minister,
Aneurin Bevan famously said that he had obtained the consultants agreement by
stuffing their mouths with gold. Despite very generous new contracts, many doctors
remain critical of the NHS. How best can the government win their support? Or as
Denis Healey said is acquiescence sufficient?
(Possible supplementary) What lessons have you learned from the new contracts?
3. Demand by patients for emergency and other health services continues to grow as do
the costs of new drugs and equipment. Commentators have referred to a crunch time
when either services will have to be rationed, or taxes or charges increased. Whats your
view of the future?
(Possible supplementary) How can your own MPs historic opposition to increased
charges be overcome?
4. The government favours greater delegation of decision-making to local NHS trusts and
greater public participation in the process. But this can lead to different practices being
adopted in different areas which the news media describe as a postcode lottery. The
government also sets national policies in the form of national frameworks specifying
standards of care. Given this complexity, what therefore is the real scope for public
participation?
(Possible supplementary) I think I understand. But then why did the government scrap
the Community Health Councils and the replacement Forums for Patient Involvement?
5. A final question: some critics claim that the governments new support for greater
participation by the public, is merely a cynical ploy to disguise its necessary strategy
of wholesale reform of the NHS. They say that you enlist the support of the public only
when it suits you, and then as a counter-balance in a force-field to the opposition by the
medical professions, hospital managers and unions. I understand that you had some
Asking Questions
reservations to the high priority given by your colleagues to Patient Choice. What do
you think?
(Possible supplementary) Your constituency has two district hospitals providing the
full range of services. The government now favours a mix of larger, locality hospitals
offering full services, and more localised walk-in and GP surgeries. How will you square
the circle of defending both government policy and your constituents?
6. Minister, thank you for your time. Are there any questions which you believe that I should
have asked but didnt. Can you recommend other people I should speak to?
Remember to remain exible: dont continue to ask your pre-arranged questions

regardless. Be prepared to use your quick intelligence, charm, humour, guile and
cunning to get the most from the interview. Note that you must show technical
mastery of your subject if you are to be regarded as a credible interviewer and if you
are to achieve any depth. So dont waste interview time by asking for information
that the elite will have expected you to have obtained before the interview.
One contentious subject is whether you should mention your own hypothesis
during the course of the interview and, if so, when. You must weigh the balance
of advantage of disclosure. My experience is that, where rapport is very good, then
there are advantages in giving the elite the opportunity to dissuade you from your
hypothesis.
Post-interview
transcribe the recording and apply the format of commentary-transcript-analysis

separate out quotable quotes
summarise the answers to your original questions
triangulate with other sources
follow-up leads
write thanking the subject and forward a copy of your abstract at a later date. You may
want to interview your source again for other research. Use this opportunity to seek
confirmation of unexpected replies to important questions.
Interviews with other people

You are also likely to want to interview other people non-elites to provide
perspectives from users or practitioners. For example, if you are researching
social exclusion, then you will need to interview a cross-section of sociallyexcluded people and those responsible for implementing government policy. They
may include homeless people, unemployed people, single-parents, older people,
JobCentrePlus staff, social workers, voluntary agencies and council ofcers. Unlike
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political elites, they are more likely to be:
inaccessible or not readily identifiable

apathetic, wary or hostile.They may suspect that you are a police or council officer, benefit
inspector, journalist, salesman, crook or confidence trickster, or (worse of all) a university
type exploiting their dire circumstances to gain a degree or academic reputation

unused to expressing their innermost beliefs and personal experiences especially to
outsiders
not able to fully understand what you are saying and vice versa either because you
speak a different language, or because their use of your common language is highly
nuanced.
The issue of communicability is critical to understanding. Schramms model of

communication is useful here (Schramm, 1961: 56).6 He argued that individuals
have elds of experience which include language, culture, conventions, institutions
and life experience. So people can only communicate effectively in those parts of
their elds which overlapped:
Figure 9.2 Schramms Fields of Experience (1961: 56)
So, to really see the world through the subjects eyes, you must, rst, identify
your cultural and communications overlap and, second, expand your own eld of
experience. Living in the locality and carrying out pilot interviews can be very useful
to develop the local vocabulary and to understand local discourses.
You should be able to access the research subjects using either the snowball or
nomination methods described in Chapter 8.
The interview should follow the same semi-structured interview schedule of
open-ended questions and supplementary questions used for elite interviews.
However, the general style will be gentler and softer. You are more likely to engage at
a closer, personal level and gain enduring friendships. Indeed, interviewing members
of the general public can be the most enjoyable and rewarding part of the research
process. Members of the public are more likely to make admissions and confessions
to complete outsiders than to members of their own family. The interview may
prove a liberating experience for them.
Asking Questions
BOX 9.2
Twelve commandments for interviewing non-elites
1. Dont start cold (Berg, 2001, 99100)7

2. Dont talk too much (Smith, 1993: 401)8
3. Use open-ended questions; vary voice and gestures (Smith, 1993)
4. Dont use stress tactics (but try to avoid feel-good interviews) (Smith, 1993)
5. Dont emphasise status differences (Smith, 1993)
6. Interview in a comfortable place (comfortable to subject, e.g. their office or home) (Berg,
2001)
7. Use comments (active listening), summaries and transitions (giving opportunities
for interviewee to correct) but do not state initial analysis which will otherwise bias
responses to following questions (Smith, 1993)
8. Use mirroring to copy the subjects body language and, more importantly, use their
words and terminology to build a key vocabulary (Bergman, 2003)
9. Be respectful, cordial and appreciative (Berg, 2001)
10. Respect silence: the subject is likely to break-in with important admissions (Bergman,
2003)9
11. Remember the likelihood that subject will also make significant admissions at the end
of the interview in hand on the door comments once the tape-recorder is switched off.
When this occurs, seek a follow-up interview (Bergman, 2003)
12. Take notes (or appear to take notes) (Smith, 1993)
Various guidelines are offered by leading commentators. These can be consolidated into twelve commandments for researchers (set out in Box 9.2 above).
Payment
In the UK, payment is not expected for interviews. Indeed, its offer may offend.
But, in other countries, some reciprocity is expected. You will therefore need to
nd out local custom and practice. In the UK and elsewhere, the offer of a gift of
a small memento in the form of a university key-ring or letter-opener at the end of
the interview is likely to be appreciated. Where a subject has been especially helpful,
then sending a relevant paperback book may be appropriate.
Recording interviews
Interviews should generally be audio-recorded which should be supplemented by
notes of key non-verbal events or observations. Ideally, the audio-records should be
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Table 9.1 Three-column transcription of interview
Interview A01
Notes
Questions, Responses
and Line Number
Analysis
Q.001 And what was your

002 reaction to the news?
4 sec pause, rubs

chin
7 sec pause
looks up to see
reaction
telephone rings in
outer office
A. [coughs]
003 I rushed to the House
004 immediately to . .
wary of expressing real intention?

support ? Was he really a strong
supporter of Ken or did he regard him
as most likely winner and wish to see
what advantage he could gain? Or did
he lie low until the outcome became
clearer?
005 offer my support to . .

006 Ken
transcribed into text using the three-column format shown in Table 9.1. Note how
you should give each subject and interview a unique reference and add line numbers
to enable accurate references to be given, e.g. (A01: 003).
A 50-minute interview generally takes a whole day to transcribe. Audio-tapes can
be transcribed using a pedal-operated player. Digital recordings can be transcribed
direct to your PC. Voice transcription software is now available (Dragon Naturally
Speaking Professional 9 from Nuance Communications) which claims to be able to
transcribe one voice without extensive calibration. This may be very useful for
transcribing narratives. However, voice-transcription software is not yet able to
automatically transcribe several voices at the same time (although this appears likely
in the future). Full transcription is therefore generally conned to selected parts of
elite interviews where a detailed textual analysis is proposed. A supplementary or
alternative approach (which I prefer) is to write-up an ethnographic account which
combines observations, events and quotable quotes. An example is given in the
box (9.3) overleaf.
Difficult questions and subjects

Every community has its own pariah or difcult topics where special care is required
in introducing, framing and expressing questions. British people have many. One
explanation of why British people discuss the weather at their rst meeting is that
it is the only common, safe topic in a repressed society where religion, politics, sex
Asking Questions
BOX 9.3
Ethnographic account of an interview
The Landowner (2001)

The big house was a modest, weathered, stone-built, seventeenth century long-house
separated and screened from the village below. The only access was a narrow metalled
road which terminated in the shadow of the main building. Access was limited to a single
archway separating the house from its former coach-house.Two general-purpose family cars
stood inside the small yard. A green, woollen sportsmans tie twisted in the wind from the
long washing-line. The main frontage of the house had been rendered and painted white. It
looked down a private vista of banked, grazing land bordered by copses of birch.
Three, black, Labrador gun-dogs guarded the small child playing outside on the terrace in
the unseasonable February sunshine. They barked furiously until stayed by the neat, small
woman who introduced herself as the landowners wife. He was waiting in the office at the
west end of the house which he shared with a teenage secretary.
He was short, stocky, boundlessly energetic and, contrary to local reports, very likeable.
He wore a green woollen jumper, checked-shirt and light-green moleskin trousers. He led the
way into the small, painted dining-room so that he could snatch a lunch whilst he answered
the questions. The whole style of the interior of the house was well-maintained, ordered
simplicity.
He explained that the estate consisted of 7,000 acres of moorland, 300 acres of forestry,
1,500 acres of enclosed land let as agricultural land to ten tenants and eight houses etc.
Hed come into the estate 15 years ago on the death of his aunt. Since then he had always
sought to square the circle on a daily basis of traditional obligations and responsibilities
with the present-day needs of modern estate management. Its a matter of getting the
balance right.When he took over, he had inherited a workforce consisting of a house-keeper,
gardener, two foresters and a game-keeper. He couldnt justify a house-keeper or gardener
and the wages paid to the foresters greatly exceeded the net value of timber produced - for
which prices had remained static for 20 years.
Asked whether his style of estate-management was traditional-stewardship-paternalistic
or modern-exploitative-impersonal, he answered: both getting the estate economically
viable is the overriding consideration if something isnt viable, then it must be changed
putting it off will only let everyone down. His approach was to make the assets sweat
to realise their full potential and to provide only good jobs where the men can recognise
their own self-worth and contribution. Similarly, he granted tenancies, not on the basis of
sentiment, but to whoever offered the highest price subject to references to ensure that
the land would be kept in good heart. He was therefore opposed to subsidy or any other
distortion of the market which was likely to prove unsustainable and would prejudice rather
than protect peoples futures, etc.
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and even sport are regarded as essentially difcult and therefore private matters. The
pariah topics in western society have been categorised as:
illness and disability especially sexually transmitted diseases and mental illness
illegal and contra-normative behaviour including crime, tax evasion, drinking and sexual
practices
financial status including income and savings.
(Foddy, 1993: 115)10
There will also be some people who are unwilling or unable consciously or
subconsciously to answer your questions.
In all these circumstances, projective techniques or vignettes may be appropriate.
Projective techniques and vignettes

Projective techniques are designed to prompt answers. The main types are:
Quick-fire word association, e.g. night/day, tea/biscuits, etc. Blair/?

Quickfire yes/yes/yes a set of questions followed an inadvertent yes which are
designed to undermine the arrogance or self-confidence of hostile interviewees: e.g.
Is your name XX?
yes
Youre a student at Watersea?
yes
In Politics?
yes
You stole the photocopier?
yes, er, I mean no
Well, is it yes or no?
Its no
Youre sure?
[pause] yes
Well, although youre unclear about simple matters, let us move onto more complex
issues. This technique is used by barristers and police.
Nothing unusual questions, e.g. Have you ever smoked cannabis? after all, nothing
unusual, most students do one time or another.
Substituting difficult if questions by when enquiries. For example, asking the question:
Have you ever had unprotected sex? implies that unprotected sex is bad. So the subject
is likely to answer no. However, a truthful admission is more likely when you re-phrase
the question as: When did you last have unprotected sex?
Asking comments on list or photographs, e.g. What sort of person do you think wrote this
list?
Using unexpected noises.
Using film or video, e.g. What do you think happened next? Why?
Desert Island Discs questions, e.g. If you were to be castaway on a desert island which
eight music recordings or books would you like to take with you? Why?
Asking Questions
You will appreciate that not all types of projective techniques are appropriate to all
subjects and circumstances. Tact is essential. But you will nd that many subjects
nd some of these types of question to be enjoyable and act as ice-breakers in
otherwise tense situations.
A vignette is a more subtle form of question. Vignettes are:
Short stories generated by the researcher and focussing on hypothetical characters in
particular situations. Interviewees are asked what they would do in these circumstances
or, alternatively, how they think that a third party might react. The latter mode of question
specifically distances the interviewer from the issues being studied and, in this sense,
is impersonal and less threatening.
(Arksey & Knight, 1999: 945)11
Vignettes are premised on empiric evidence that what people identify as their
beliefs are often compromised by their actions. For example, when people are asked
whether they are honest, they will generally apply afrmatively. Similarly, they are
likely to denounce racial prejudice. But actions what people actually do provide
better evidence of underlying belief systems. Indeed, small changes of behaviour
can prompt fundamental changes of belief. Good vignettes pose some form of moral
dilemma. They may also ask what the subject should do and what they would be most
likely to do. For example, most people, if asked, will say that they strongly oppose
cruelty to children or racial segregation. They will also say that they are honest.
In these circumstances, vignettes may be helpful. Consider the three examples:
1. A family has moved into the terraced house next door to you. After a few months of
heated arguments, the husband quits the house leaving the mother alone to care for
two children under six years old. The boy is a bit of a handful. But you hear him being
slapped and being told that hes stupid and just like his dad.
What should you do:
A Speak to the mother?
B Speak to the authorities?
C Do nothing: mind your own business?
What would you actually do? Why?
2. You join the queue at the bus stop. When your bus arrives, its nearly full. Youre last on
board. There are only two seats vacant. Theyre next to people of your same age and
sex. One is the same race as you. The other is a different race. They both remove their
bags. You have three options:
A Accept the place next to the person of your same race?
B Accept the place next to the person of a different race?
C Stand?
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What should you do?
What would you actually do? Why ?
3. You approach the vending machine in the refectory to buy a coffee. You are about to
insert a 50p coin when you notice that there is already one lying in the change slot.
What should you do?
A Hand the 50p coin into the porters lodge as lost property?
B Use the coin to get your drink?
C Put the coin in the charity box in the bar?
What would you actually do? Why ?
Good vignettes are difcult to write and should be pre-tested before nalising. One
useful adjunct to vignettes is to ask respondents at the end of the interview
what they actually did in memorable circumstances to calibrate their general responses.
Examples might include whether theyve always voted for the same political party.
One set of questions that Ive found useful is to ask older subjects their support (on
a scale of one-to-ten) for the mineworkers in the three-day-week (national strike
which led to the fall of the Conservative government) of 1974 and, after they have
answered, their support for the mineworkers in 19823.
In many circumstances, partners may ask if they can stay during the interview.
You must always give parents or carers of children this option. This can inhibit the
subject. But it can also provide or deny corroboration. I well remember that, when
a husband replied that he was fully behind the miners in 1983, his wife added: Oh,
no you werent. You said that Arthur Scargill should be strung up!12
Focus groups
Focus groups were initially developed largely by market researchers as a means of
nding out the potential market for new products and services and, subsequently,
blind tasting the prototype product against competitors. This type of focus group
is also known as a hall trial, consumer panel or citizen jury. Focus groups have
now become widely used in a similar way by political parties to learn how potential
leaders, topics and policies are regarded by cross-sections of the general public.
More recently, focus groups have been adopted by academic researchers in
medicine, sociology and Politics to investigate the dynamics of interpersonal
relationships, inter-group conict and how consensus (or dissensus) emerges. A focus
group is not a group interview in which the subjects are asked for their replies to the
same question. Instead, the focus group seeks to emulate the spontaneous discussion
of people who broadly share the same circumstances or identity. In particular,
the focus group should draw upon the respondents attitudes, feelings, beliefs,
experiences and reactions in a way that would not be feasible by other methods,
Asking Questions
for example, observation, one-to-one interviewing or questionnaire surveys

(Gibbs, 1997).13
Your role as the researcher is essentially as a facilitator who:
invites the participants

arranges the venue, refreshments and gifts
initiates the session
moderates the proceedings
arranges and transposes the recording of the encounter.
The optimum number of participants is usually between ve and eight. This

will ensure a variety of views and an opportunity for each person to speak. The
participants should, in the rst place, provide a cross-section of people sharing a
particular identity and location. They can be recruited by word-of-mouth, public
notice or via a social gatekeeper intermediary. Where a social gatekeeper is available
then they should be used, rst, because they are likely to be able to recruit a willing
cross-section more easily and, second, because if their help is not sought, then they
may be offended and oppose the research. They may be clergy, teachers, councillors
or the secretaries of local groups. They will advise you whether and what kind
of incentives (i.e. a small gift) should be offered to the members of the group.
However, you should personally write to or contact the people suggested to you to
invite them to the meeting and to outline your research, the benets to them, and
the rules-of-the-game.
The venue should ideally be a neutral, central location in which the group can sit
comfortably for as long as two hours. Hospitality should be offered in accordance
with local conventions. So, in the UK, tea or coffee and biscuits should be provided.
Occasionally, wine may be offered. The seating should be set out in a circle. But
many researchers nd that people feel more condent when they are sitting in a
circle of easy chairs or, if these are not available, around a defensive perimeter of
tables. You should sit down rst and allow the members of the group to sit where
they wish. The seating pattern is likely to reect their assessment of their relative
social position. So, the members considering themselves most important and capable
of speaking out are likely to sit facing you. Conversely, the least condent members
are likely to sit at each side of you.
You should start the session by explaining the nature of the meeting and restating the rules-of-the-game. Where you have a central topic, then you should
specically invite the views of the group. Alternatively (and often better), you should
ask the group which issues are most important to them. Ideally, the session should
then proceed entirely driven by its members. But, in practice, some intervention
moderation by the researcher may be necessary. This may include (tactfully)
silencing dominant members (by a nger to the lips), inviting those who have
remained silent to state their views, stopping rows emerging and moving on when
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a topic has been exhausted. So moderating requires good interpersonal, leadership

and managerial skills.
In addition to learning of individuals beliefs and experiences and how group
views emerge, the focus group should provide evidence of the language that
they use in everyday conversation and local institutions. Focus groups can also
provide important forums for change where the disparate individuals become
empowered by their new collective identity and develop solutions of their own
(Race, 1994: 738).14 In these circumstances, you must be prepared to offer to help
the group by seeking information and writing letters and reports, etc. for them.
Some practitioners strongly argue that the focus group should always be
supplemented by meetings with individual members. This enables the researcher
to learn individuals views and how these relate to the group consensus, serious
misgivings or changes of belief as a consequence of taking part in the discussions.
But the difculty here is determining what really were the individuals initial views
before the focus group was held. So, some researchers argue the case for a split-half
strategy to be adopted in which half the group are interviewed individually before
the focus group, and the others afterwards. In this way, the role of the group in
developing new perceptions or understandings can be identied better. But holding
individual interviews as well as a focus group compromises an important benet of
focus groups: their great efciency in terms of your time.
The focus group should be audio-recorded and the recording transcribed.
However, recording a long meeting and transcribing the record can be difcult
particularly where voices overlap, or where it is difcult to attribute contributions.
It is also very difcult for you to make notes and moderate the group at the same
time. So a further renement is to use a back-up researcher who will sit outside the
group, organise the recording and make notes of key contributions and any off-tape
events.
The writing-up of the focus group follow the format of an annotated, threecolumn transcription ideally supported by an ethnographic account of observations
and quotable quotes.
1. Draft letters to each of the following seeking an interview to learn their views on
the use of military options to counter terrorism:
George W. Bush
Tony Blair
President Chirac
Martin MacGuiness
Asking Questions
2. The (Labour) Leader of the city council in the north of England has agreed to
be interviewed on the subject of corruption in local government. Your research
hypothesis is that standards of public office are locally contingent and emergent
rather than absolute. A recent press report alleged that the leader had favoured
a cousin in a construction contract. Draft a semi-structured interview schedule.
Complete and video record an in-class simulation in which two students separately
interview the Leader of the council (who is best played by the course teacher or a
mature postgraduate). Contrast and compare the interviews.
3. A bacon factory in a nearby market town slaughters and packs pork in a continuous,
industrialised process. It employs over 2000 workers. The majority are young
women who are bussed in from villages in the upland areas. Union membership
is low and staff turnover high. The management recognises USDAW for pay (etc.)
negotiations.Your hypothesis is that membership is low because of a combination
of a rural culture of deference, the portrayal by managers of the union as a big
city thing and the domination of union offices by men. The HR staff and union
have nominated a cross-section of female workers for you to interview in paid time
as a group and singly. Draft a semi-structured interview schedule to be used in
individual meetings with the workers. How would you organise and structure a
focus group of the workers? Simulate, contrast and compare the interview and
meeting.
4. You have arranged to meet a newly-retired infantry major who took part in the
invasion of Iraq. He strenuously denies that torture is used by British soldiers.
Design a series of vignettes to test your hypothesis that undue pressure was
exerted by some soldiers on prisoners to obtain information with the knowledge
of their officers who turned a blind eye to these practices.
FURTHER READING
Arksey, H. and Knight, G. (1999) Interviewing for Social Scientists. London: Sage.
This textbook provides a rich variety of theoretically-based, practical techniques
for all social science researchers.
Berg, B.L. (2001) Quantitative Research Methods for the Social Sciences. Boston:
Allyn & Bacon. pp. 66--99. Chapter 4 adopts a dramaturgical look at interviewing
as variously an art, skill, science, game and face-to-face interaction. It examines
the separate roles of the interviewer as an actor, director and choreographer.
This text provides very good advice for the inexperienced interviewer.
Burnham, P., Killand, K., Grant, W., and Layton-Henry, Z. (2004) Research
Methods in Politics. Basingstoke: Macmillan. pp. 20520. Chapter 9 of this
textbook is devoted to interviewing political elites.
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138

Foddy, W. (1993) Constructing Questions for Interviews and Questionnaires.
Cambridge: Cambridge University Press. This well-established text provides
sound advice on wording and phrasing of questions and sensitive issues.
Harrison, L. (2001) Political Research. London: Routledge. pp. 89104. Chapter 6
is devoted to conducting interviews in Politics research with particular regard to
practical and ethical concerns.
McEvoy, J. (2006) Elite Interviewing in a Divided society: lessons from Northern
Island. In Politics, 26 (3) 18491. Joanne McEvoy discusses the particular
difficulties raised when the researcher is interviewing elites from ideological
extremes. She argues that researchers must consider how their identity may
effect the outcome of interviews, bias, trust and how they might seek to probe
beyond ethnic party positions based on mistrust of the other side.
Neuman, W.L. (2003) Social Research Methods. London: Pearson. pp. 390401.
The author distinguishes between typical survey interviews and typical field
interviews where the former are standardised to enable comparison and the
latter tailored to the subject and circumstances. He also discusses the role and
value of informants and the contribution of focus groups.
Richards, D. (1996) Elite interviewing: approaches and pitfalls. In Politics, 16(3)
199204. This journal article provides good analytical and perceptive advice on
the significance of elite interviewing to Politics research.
Notes
1 Note that, in the UK and many other countries, it is illegal to record telephone conversations
without the consent of the respondent.
2 bona fides, Latin, in good faith.
3 Friedrich, C.J. (1937) Constitutional Government and Politics. New York: Harper & Brothers.
4 An elites opposite number will normally be the member of the opposition party or group
nominated to lead the opposition to a particular policy area for which a minister holds
responsibility. They may be called the shadow spokesperson. A parliamentary pair is the term
used to describe a grouping of a government and opposition MPs in which, when one is unable to
vote in Parliament for unavoidable personal or parliamentary reasons, the other will abstain.
5 Mayo, E. (1949) Hawthorne and the Western Electric Company. London: Routledge.
6 Wilbur Schramm, How Communication Works. The Process and Effects of Mass Communication
ed. Wilbur Schramm (Urbana, Ill.: The University of Illinois Press, 1961) pp. 56.
7 Berg, b.l.(2001) In Quantitative Research Methods for the Social Sciences. Boston: Allyn & Bacon.
p. 99100.
8 Smith, M. (1993) Personal Interviewing: A Mini-Training Workshop In Breakwell, G.M.; Foot, H.
and Gilmour, R. (eds.) Doing Social Psychology: Laboratory Exercises. Leicester: BPS. pp. 2331,
401.
9 Dr Max Bergman, lecture to Essex Summer School as part of the course Qualitative Data
Analysis: Interpenetrative Methodologies for Analysing Text and Talk.
Asking Questions
10 Foddy, W. (1993) Constructing Questions for Interviews and Questionnaires. Cambridge:
Cambridge University Press. p. 118.
11 Arksey, H. and Knight, G. (1999) Interviewing for Social Scientists. London: Sage. pp. 945.
12 Arthur Scargill was the controversial, left-wing General Secretary of the National Union of
Mineworkers during this last, great miners strike.
13 Gibbs, A. (1997) Focus Groups. In Social Research, 19. Guildford: University of Surrey.
14 Race, K.E., Hotch, D.F. and Parker, T. (1994) Rehabilitation programme evaluation: use of focus
groups to empower clients. In Evaluation Review, 18 (6) 73040.
139
Chapter 10
Our researchers with Public Opinion are content

That he held the proper opinions for the time of the year;
When there was peace, he was for peace;
When there was war, he went
W.H. Auden (1940) The Unknown Citizen
1. To understand the special characteristics of questionnaires and where they

are best used.
2. To consider how questionnaires should be structured, designed, tested and
coded.
3. To discuss how questionnaires can best be administered.
4. To discuss issues of personal safety.
Questionnaires
Questionnaires are essentially pre-designed lists of closed questions with predesignated, alternative answers. They are used to collect data from a sample of
individual subjects (respondents, interviewees). The data can then be aggregated
(combined) to create a representative prole of the sample and cross-tabulated to
explore the relationships between classiable variables, e.g. income and education.
You can draw inferences about the research population from questionnaire responses
of representative samples. You can also use them to measure and compare attitudes
(although the accuracy of this data is contested).
The essential differences between questionnaire surveys and interviews (or focus
groups) are that questionnaire surveys:
use very large samples (e.g., opinion polls use samples of 1,500 people, medical research
can use samples of 60,000 or more)
use only closed questions
use pre-determined answers including Dont Know (DK) and No Response (NR)
take less time for the subject to complete
seek to use representative samples
can be administered (carried out) by intermediaries
similarly, the tasks of questionnaire design, administration, coding and analysis can be
carried out by separate individuals or teams
can be administered either:

face-to-face with the subject
remotely by telephone
self-administered by the subject in their own home (or workplace, etc) using selfcompletion questionnaires delivered and returned by mail
email.
are a common tool of quantitative method
are designed and coded to be readily analysed by computers
necessarily involve a trade-off between cost, reliability and time.
But another important characteristic of modern questionnaire research is declining

response rates. 50% is now considered high for commercial market research in faceto-face surveys. Market researchers reconcile low response rates with information
claims by adopting the assumption that non-respondents or non-responses (NRs)
including dont knows (DKs) are not inherently different than respondents.
So, the information continues to be typical and representative. However, this
assumption can be challenged on the basis that non-respondents may well be atypical.
Furthermore, they may share some common characteristics which makes them
unwilling to take part or complete the questionnaire.
Good response rates require good access to potential respondents, the ability to motivate
them, and effective questionnaire design to maintain their interest and co-operation.
Access
Access concerns the means by which the subject is contacted. It requires a sample
frame (a list of the research population from which the sample can be drawn),
a means by which a representative sample can be selected and some form of address
or arena where the questionnaire can be administered to them. In the UK, the two
most common forms of lists were the electoral register and the telephone directory.
So, if you wanted to research the general adult population of a city or part of a
city using a 10% sample, then you would use the electoral register to select every
tenth person. The register would also give their address where the researcher could
call on them, post the questionnaire to or, after looking up their number in the
telephone directory, phone them. However, the introduction of the community
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charge (poll tax) in 1990 led to a widespread avoidance of registration. There

were also problems in urban areas where population turnover was high. Despite
the introduction of a rolling register, the electoral list remains incomplete. Many
students are not included (although, exceptionally, they are permitted to register
both at the university and home address and to vote in both localities in local
government elections). But, access to the electoral register has become restricted as
a consequence of its misuse by stalkers and criminals to locate victims. Now, the
full register can only be inspected at local authority headquarters. Whilst a register
continues to be published, this is conned to those electors who have agreed
to their names and addresses being published. Although the telephone directory
continues to be published, a third of (mainly higher income) subscribers choose to
be ex-directory. At the same time, increasing numbers of people especially young
people use mobile phones in preference to land-lines. Market researchers have
responded to these changes by buying lists of names and addresses from commercial
agencies, by using random walks and by using on-street questionnaire surveys. Even
so, some potential subjects remain difcult to access. They include: housebound
people, people working away from home, and urban nomads who are not registered
with NHS, electoral registrar or national insurance. Homeless people, by denition,
lack a contact address. So accessing the necessary full sample frame is very difcult.
The absence of free, published lists and the limited resources of most Politics
researchers, mean that you are likely to need to use other effective, low-cost means
of accessing subjects appropriate to the research. Where you are researching a small
geographical area, then the simplest way to achieve a cross-section of the population
is to use the nth address technique. In this method, you deliver a questionnaire to
(or seek to conduct a doorstep questionnaire survey at) every, say, tenth, house in
every street. However, rather than starting at No. 1, you should choose a number
between 1 and 9 at random. If that number is 6, then the house numbers will be 6,
16, 26, 36 etc. Where the size of the geographical area is much greater, then you can
use the random walk technique. You begin at the centre calling at every nth house
in the rst street, turning left at the rst intersection, right at the second and so on.
Where the morphology of the urban area consists of the classic, concentric rings
of inner city, inner and outer suburbs it is likely that a crude representative sample
of households will be achieved. But in much Politics research, questionnaires are
conned to specic groups who may be councillors, trade unionists, party members,
etc. In this case, the best method if a list of members is not available is to ask the
secretary or other social gatekeepers to forward questionnaires to every member or
nth member.
Where a shorter, vox pop (voice of the people) questionnaire survey is useful
to nd out, say, voting behaviour or support for particular parties, then an on-street,
face-to-face questionnaire survey of a quota sample is probably the most effective
means of accessing a representative sample. Advice on the design of a quota sample
is given in Chapter 7.
Pilots
Having designed the quota sample, then the next stage is to pilot your questionnaire
survey, i.e. test it on a small sample. This is most readily done by trialling the draft
on non-teaching staff at your university. They will tell you if they nd the questions
difcult to understand or answer. They may suggest more appropriate (to the local
population) ways to ask your questions. The pilot should also help you identify or
amend your list of potential answers.
Administering the questionnaire

In this context, administering means taking the questionnaire to the people.
The full survey will generally be carried out in the local shopping centre(s) at the
weekend. You will therefore look for people who appear to correspond to each
of your quota boxes. It is relatively easy to identify potential respondents by sex
and age. The most difcult characteristic to identify is socio-economic class, where
working and leisure dress styles have become more universal. Trial, error and
intuition (learned experience) become important. One street pollster told me that
she had found the quality of shoes to be the best visible indicator. Otherwise, as the
survey proceeds, you will have greater difculty in lling your quota.
The general advice is to avoid people who are busy or otherwise fully occupied.
So, avoid parents with young children, people laden with shopping bags or rushing
about. Instead, approach those people who have time on their hands. People sitting
on benches are ideal. They may be waiting for a partner to nish their shopping and
may welcome a conversation with you. You should approach them by catching their
eye (making eye contact), smiling gently and greeting them. Your initial remarks
might be:
Hello, what a lovely/cold/awful day.You look as if your enjoying the rest Can you help?
Im a student at the university. Were trying to find out what local people think about the
EU and why . May I sit down? It wont take long Do you live in Watersea?
Motivation
Response rates and co-operation are likely to be much higher when the potential
subjects feel motivated to assist. Motivation means providing the necessary
incentives for respondents to give their time, views and personal details. This involves
appeals to altruism (concern for others welfare), public or personal benets, or
small measures of reciprocity, e.g. a pen, token, lottery ticket or donation to
charity. Motivation also involves dispelling doubts about your identity, real purpose
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and condentiality. Modern urban relations are characterised by distrust between

strangers. They may fear that you are really trying to get them to sign up for doubleglazing, or trying to steal their identity. So motivating them begins by you identifying
who you are: the importance of the research to them and how the information they
give will be used. You should display your name and university or college on a
photo-ID card and carry a letter of authorisation. Your dress and manner should
not be intimidating. In terms of privacy and condentiality, you should be able to
reassure them from the start that you do not need or want to know their names or
addresses, and that personal views and details will be treated in condence. They
dont have to answer a question if they dont want to. However, if they make a very
quotable quote in the course of the interview, you should ask if you can repeat it
as an anonymous comment.
Effective questionnaire design

Ideally, a questionnaire should optimise information collected and time involved to
enable a large sample to be questioned and representativeness maximised. But good
questionnaires are very difcult to design. The most common faults are that they
are too long, too pedantic in their use of language, difcult to understand, or ask
obvious or stupid questions, e.g. are you male/female or dont know?
The general guidance is:
make the language simple

make the language short
avoid ambiguous or double-barrelled questions
avoid leading questions: be neutral
avoid negative questions: especially double-negatives
avoid questions which assume subjects have perfect knowledge
always allow for N/R or D/Ks and continue politely
be aware that many words have different meanings to different people: e.g. cool, gay
distinguish and separate factual from non-factual questions and answers
avoid prestige bias (when you imply that certain forms of behaviour associated with high
status groups are necessarily better)
clarify the time frame, e.g. weekly or monthly income
place sensitive questions in context
dont ask very detailed or objectionable questions
dont ask too many questions: try to keep to 12 or less.
The main problem for students is framing questions in plain conversational language.
There is a tendency to use academic or technical language and to be precise
to the point of pedantry. Excessive qualication of questions tends to produce

gobbledygook (literally, turkey-talk). Verbal and written questions require very
different styles of question. Preamble to questions or examples can be helpful to
subjects. Remember that, to generate comparable data, each subject must be asked
the same question in the same way: avoid the temptation to interpret or personalise
the question.
The sequence (order) of questions is critical. Begin by checking that the potential
subject is within your sample frame. For example, if you are doing a street-survey of
support for political parties in the city centre, rst establish that the person is, in fact,
entitled to vote in UK elections. But it is difcult to ask someone their nationality.
So, instead, begin by asking Do you live locally?. They are likely then to say either
Yes, or No, I come from Leeds, or No, Im a US citizen etc. Start with questions which
are easy (and, if possible, enjoyable) and which will put the respondent at ease and
lead to good rapport (open, friendly, communicative relationship). Leave sensitive
or contentious questions to the end. Conclude by seeking key classication data for
possible determination of independent variables or cross-tabulation. Classication
data are: gender, age group, socio-economic group, education, housing tenure and
dependants. Some can be guessed by careful observation but should be checked with
the subject.
Sensitive questions should be left until nearer the end of the questionnaire, very
carefully designed and presented or omitted entirely. In the UK, people especially
middle-aged women are reluctant to tell you their age. But, older people tend
to be proud of their age. But, paradoxically, all are likely to tell you when they
were born if asked direct: theyre used to being asked the question to conrm their
identity. Income and class can also be sensitive. Political or religious afliation is now
less problematic on mainland UK. Be wary of asking questions of children without
the consent of parents or teachers, etc. Find out what questions are sensitive to UK
minorities or in countries overseas by speaking to colleagues or cultural groups rst.
Sensitive questions can be asked by using:
proxy-indicators
show-cards
post-codes.
Proxy-indicators
One way of asking sensitive questions is to use proxy-indicators where precision is
unimportant. A proxy-indicator is an alternative means of measuring or describing
a variable, e.g. using housing tenure (whether subjects own or rent their homes
and the number of bedrooms) as a proxy measure for income. The indicator is
effectively an approximation. Alternatively, you can use established classication
schemes. The social classication scheme most widely adopted by government and
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private organisations is the A, B, C1, C2, D, E. The broad denitions and percentages
of the population of England given in the 2001 census are shown in Box 10.1:
BOX 10.1 Socio-economic classification scheme, UK

Census 2001
A
B
C1
C2
D
E
Higher managerial/administrative/professional
Intermediate managerial/ administrative/professional
Supervisory, clerical, junior managerial/administrative/professional
Skilled manual workers
Semi-skilled and unskilled manual workers
On state benefit, unemployed, lowest grade workers
22%
30%
15%
17%
16%
This ABC classication is a composite of income and status developed to reect

purchasing power. University lecturers are included in A whereas students are
included in E together with others who are not economically active. Adults are
classied either by their present or last employment or occupation, or collectively
as pensioners. Children are classied by their parents occupation.
It is, of course, difcult to ask people which social class they belong to. Asking
them whether they are middle class or working class can be difcult and offers only
a crude twofold classication. In these circumstances, you can ask questions about
subjects occupation, newspaper readership, education and housing tenure. Typical
questions might be:
What do you do for a living? (If they reply that they are retired or not working, then ask:
What did you do last?)
Which daily newspaper do you normally read?
When did you leave school: at 16 or 18? (if they reply 18, you can then ask: Did you go
on to university?)
Do you rent or own your home?
Note how the questions are phrased using conversational English. Note also how
they avoid the prestige bias of implying that the respondents should go to university
and should own their own home.
The issue of newspaper readership is interesting. Currently, UK newspapers rely
on commercial advertising for over three-quarters of their income. To survive,
they must therefore sell their readerships to advertisers. The National Readership
Survey audits sales and readership using the ABC classication. Newspaper groups
seek to ensure maximum market penetration by publishing a range of titles
(newspapers) which are designed to appeal to all the major market segments.
Examples are:
Times, Guardian, Independent, Telegraph (AB)
Mail, Express (C1,C2)
Sun, Mirror, Star (C2/D)
So, asking people which newspaper they read can be an easy, inoffensive way of
gaining information into their lifestyle group and social class. In the UK, there is also
a relationship between newspaper readership and political afliation. The Telegraph,
Times, Mail and Express are traditionally associated with the Conservative Party and
The Mirror with Labour. The Guardian and Independent are more sympathetic to
Labour and the Lib-Dems whilst the (best-selling) Sun is regarded as supporting
whichever party is most likely to win the next election. Therefore, if a subject
tells you that they read The Telegraph, then, rather than asking which party they
support, you can ask (with a slight smile) whether they support the Conservative
Party.
Show-cards
Another ways of seeking information on class, socio-economic group or other
sensitive issues is to use show-cards. Here you ask the subject to look at a card and
to say which letter corresponds to your income. The card might read:
BOX 10.2
Sample show-card
Q.11 Income per year (before tax)

A
5 000
5 000
10 000
10 000
15 000
15 000
20 000
E
etc
J
20 000
25 000
Dont know
Wont say
No response
100 000 or more
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148
Postcodes
A third method is to ask subjects for their (home) postcode (similar to the US
zipcode). The housing market in the UK tends to bring together people of similar
age, income and socio-economic class. Groups of around 50 homes are classied as
enumeration districts (EDs) which form the basic building block of population census
data. The rm CACI has matched small area census data and postcodes to create
ACORN : a classication of residential neighbourhoods.
ACORN categorises all 1.9 million UK postcodes, which have been described using
over 125 demographic statistics within England, Scotland, Wales and Northern Ireland,
and 287 lifestyle variables, making it the most powerful discriminator, giving a clearer
understanding of clients and prospects.
(www.caci.co.uk)
So, a simple way of nding out social class, etc. is to ask people their postcode.
The weakness of this approach is twofold: rst, its assumption that all people sharing
the same postcode are very similar; and, second, the cost of subscribing to CACI.
However, you can avoid the subscription fee by using a map of post-codes (likely
to be held in your university library) to cross-refer to a map of enumeration areas
and the census data.
Scaling attitudes
A major claim of opinion pollsters is the ability of questionnaire surveys to nd
out peoples attitudes and beliefs by measuring these using scales. Scales are linear
representations of measurement. Three techniques are widely used: the semantic
differential, Likert scale and rating-scale.
Semantic differential
The semantic differential was developed by Good in 1957. It uses a ve- or
seven-point scale to assess respondents assessment of conditions or abilities, etc.
between pairs of words with diametrically opposite meanings.
For example:
[In your opinion] how honest is the Prime Minster?
Extremely Very
Quite Neither/Nor
2
2
2
2
Honest
Quite
Very
Extremely
Dishonest
Alternatively, you can give the respondent a list of semantic differentials for
comment, e.g. trustworthy/untrustworthy, sincere/insincere. The difculty is to
nd generally-acceptable differentials for some words like aloof etc.
Likert scale
The Likert scale (Likert, 1932) puts the question in the form of a statement with
which the respondent is asked to scale their agreement or otherwise.
For example:
How strongly do you agree or disagree with the following statements: the Prime Minister is
essentially honest, etc.
Strongly agree
agree
neither agree nor disagree
disagree
strongly disagree
One variation of the Likert scale is to use wingdings to indicate agreement or

disagreement. For example:
Guttman scale
A weakness of both the semantic differential and Likert scale is the marked tendency
for many respondents to select the central, neither/nor answer. The Guttman
scale seeks to overcome this problem by asking a series of related questions
which will determine the intensity of the respondents attitudes to a specic issue.
It can therefore be likened to limbo-dancing or high-jumping. It seeks to build a
continuum in which the respondents answer to one question is likely to be repeated.
The process begins with you drafting a series of statements referring to the chosen
topic. Ideally, you should draft as many as 100. You should ask your research
colleagues to separately consider the drafts and to say whether or not each statement
directly relates to the topic or not. The ten statements receiving the highest yes
vote are selected. A pilot study of the sample population is carried out in which
the respondents are asked whether they agree or not with the statements. The
answers are then tabulated into a scalogram in which the questions are ranked by
the highest number of positive responses received. The ranking constitutes the scale.
An example of the Guttman scale is the Bogardus Social Distance Scale which seeks
to measure respondents attitudes towards social groups in terms of the degrees of
social acceptance. For example, a Guttman scale question might ask each subject:
Would you accept Afro-Caribbean immigrants as:
close relatives by marriage (score 7.00)

personal friends (6.00)
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150
neighbours (5.00)
work-colleagues (4.00)
UK citizens (3.00)
visitors (2.00)
would exclude from my country (1.00).
Note that agreement with the rst statement indicates likely agreement with the
following statements until the last. So respondents most favouring immigrants would
achieve the highest score, 28 (i.e. 7 + 6 + 5 + 4 + 3 + 2) whereas those most hostile
would score only 1.
Another example would be attitudes to capital punishment, e.g.
Tell me whether you agree or not with the following statements:
There can never be any justification for the death penalty (score 0.00)
The death penalty can only be justified in exceptional circumstances following a trial
where evidence had shown beyond a shadow of doubt that the accused are guilty of:
crimes against humanity including genocide (1.00)
a murder following a previous conviction for murder (2.00)
the murder of two or more children (3.00)
murder and rape (4.00)
murder in the course of other criminal activity (5.00)
any murder (6.00)
lethal injection is not painful enough (7.00)
executions should be carried out in public (8.00)
In this case, abolitionists would achieve a score of 0.00 whilst hangers and oggers
would score 36.00. Note that, except for the rst statement, agreement with other
statements implies agreement with all preceding statements. The responses can then
be displayed in a frequency table and chart which show the distribution and intensity
of opposition and support for the capital punishment (see Fig 10.1).
Ideally, the statements should be scrambled before they are presented to the
respondent. But, in practice, it is much easier for the researcher and subject if the
questions are asked in accordance with the scale.
Scale-rating
Scale-rating is a new scale developed largely by the entertainment media and widely
used by younger people. It asks people to rate a particular individual or other entity
on a scale of 110 (where 10 is well cool).
Table 10.1 Guttman scale: summary of respondents and scores
Proportion of Population (%)
Support for Death Penalty (Maximum 36)

0
1
4
8
13
19
26
35
Intensity of support for

death penalty
33
18
14
10
9
7
5
4
40
35
30
25
20
15
Support for
death penalty
(max 36)
10
5
0
0
10
20
30
40
Respondents (%)
Figure 10.1 Chart of Guttman responses
So, a question might be:
Q. On a scale of 1 to 10, how did you rate John Kerry as a

Democratic Presidential Candidate?
But whilst a question might be simple and straightforward for media-savvy youngsters,
it might not be readily understandable to older people.
Ranking
Subjects can also be asked to rank the importance or signicance they give to
particular characteristics, e.g.
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152
Q. Which of these characteristics do you consider the most

important for a councillor?
honesty
B
C
D
E
F
G
H
intelligence
local knowledge
party loyalty
shrewdness
business experience
personal wealth
involvement in the voluntary sector
Q. Which do you consider to be the least important?
Whilst this technique has certain advantages, it can irritate subjects when they are asked to
rank a complete list of criteria. It is therefore best used sparingly and with a show-card and
pencil to hand where conditions or the short-term memories of respondents prove difficult.
Personal safety
Face-to-face interviewing poses potential risks to you. These can be reduced by
observing the following dos and donts:
DO
carry ID and a letter of authorisation from your course leader or tutor written on
departmental letterhead and providing a series of contact telephone numbers
carry a mobile phone
always carry out your questionnaire surveys within sight and earshot of another
student
carry out your surveys in daylight in a public place
consider borrowing or buying a personal alarm
comply with any instructions from a police officer to move on
where the survey is being carried out as part of an assignment, ask the course
leader to write to the local police commander and local authority notifying them
that you will be carrying out the survey, when and where.
DONT
dont harass or hinder members of the public

dont stand in doorways
dont get involved in arguments.
Overseas students often worry that they will have greater difculty in recruiting
members of the public to help with their surveys. However, experience in York has
been that overseas students have rather less difculty than home students because
the public are curious and want to nd out what they think of the UK.
Coding
An important feature of questionnaire design is the coding of questions and
alternative responses to enable manipulation of data and analysis by computers.
A code is the representation of any group of words (or numbers) by a unique
set of numbers or letters. The initial pilot questionnaire should establish the range of
most frequent responses (scoping). Advances in software have enabled the coding
to be simplied. A simple generic form of coding can be used which combines the
number of the question and a number allocated to each potential response.
For example, if Question 7 asks whether the respondent left school at 16 or 18
then the coding (see brackets) might be:
Left at 16 (07.1) :
Left at 18 (07.2) :
Dont know (07.3) :
No reply (07.4) :
In this example, the coding is entirely nominal: it has no mathematical signicance.

However, giving a numeric code to a semantic differential or Likert scale has
mathematical signicance and allows the average attitude to a particular topic to be
calculated simply. For example, the Likert strongly agree can be coded 2, agree
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Table 10.2 Schedule of coded responses to questionnaire survey
Respondent Ref.
A00001
A00002
A00003
A00004
A00005
A00006
A00007
A00008
A00009
Q01
Q02
Q03
Q04
Q05
1
2
1
3
1
1
2
3
4
4
1
3
2
2
2
1
4
2
2
5
4
3
2
2
3
5
2
1
2
1
2
3
2
2
2
1
3
4
4
3
2
etc
Notes
interrupted
rushed
5
2
2
coded 1, neither agree nor disagree 0, disagree 1, and strongly disagree 2.

So, if the average is 0.25 then the average view of the public is only marginally
in agreement with the statement. But there is a aw: the assumption that levels of
agreement etc, are linear and equal, so that one persons strongly agree is equal to
two peoples agree. This assumption is highly questionable.
The coding will enable the answers received to be recorded directly into a table
or spreadsheet: you do not need a separate questionnaire for each face-to-face interview. It
is usual to list the respondents in the left-hand column and the questions in the
top row. Each cell in the table will contain the sub-code for the answer given (see
Table 10.2). Each respondent should be given a unique reference which, where
a team of researchers is used, should identify who administered the questionnaire.
This can be extended to denote where and when the survey was carried out.
The best way to learn how to design a questionnaire is to complete one. An
example of a questionnaire is therefore given below as a demonstration.
Questionnaire
You have been set the assignment of answering the research question:
Why are the British so anti-EU?
Examination of the Eurobarometer site has shown that support by the UK public
for the EU has uctuated. But support is greater in Scotland and Wales. Overall
UK support reached its lowest following French and German refusal to join the
invasion of Iraq and widespread opposition to the proposed new constitution.
The UK government has deferred any decision on joining the Euro (European
Monetary System) and any new constitution which would involve majority voting.
However, the UK government continues to support further enlargement possibly

to reduce Franco-German dominance. Your theoretical and literature review
leads you to argue that UK people are indifferent towards the EU and adopt a
rational choice perspective of economic self-interest. So, when the UK economy is
performing better than continental Europe, people become less enthusiastic about
the EU. You therefore reject the argument that hostility to the EU reects an
increasing nationalism shaped by the anti-EU Murdoch press (News International
Corporation) whose front page headline was Up yours Delors (when Jacques
Delors was head of the EU commission and favouring greater EU integration at
sub-national level to create a Europe of the Regions).
Your assignment requires you to design a questionnaire to administer to a quota
sample of 100 adults in Watersea (which happens to offer a microcosm of the
UK population).
Your initial design is:
Hello, can you help me? Im a student at the university. Weve been asked to find out why
British people are so anti-EU. Id like to ask you ten questions. It will take five minutes.
I will not ask you your name or address, so whatever you tell me cant be traced back
to you.
Q1. Do you live locally?

Yes
No
Dont know
No response
Code
1.1
1.2
1.3
1.4
[This is a lter question. If the answer is no or no response, then you should

thank them for their time and move away. If they reply that they dont know, then
show them a map of the Watersea administrative area to discuss where they live and
whether or not it forms part of the city.]
Q2. How would you describe your overall attitude to the EU?
Strongly supportive
Supportive
Opposed
Strongly opposed
2.1
2.2
2.3
2.4
155
156

Neither support nor oppose
2.5
Dont know
No response
2.6
2.7
Q3. So what would you prefer the British government to do in

the future?
Become more involved with the EU, for example,
by joining the Euro at a date in the future
Leave the EU
Remain the same
Dont know
No response
3.1
3.2
3.3
3.4
3.5
Q4. Supporters of the EU claim the following benefits of

membership:
A larger common market for goods
Greater protection for workers rights
Freedom for British people to work abroad
Greater anti-pollution controls
Protection from dumping by other countries
Counter-balance to USA
[Pass show-card]
Which do you consider the two most important of these benefits?
Dont know
No response
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
Q5. On the other hand, critics of the EU say that the costs are
considerable. They argue that the disadvantages are:
Loss of UK sovereignty
Harm to Third World caused by tariff walls
High price of EU food
Common Agricultural Policy, wine lakes and butter mountains
5.1
5.2
5.3
5.4
Freedom for Poles and other EU people to enter UK to seek work
5.5
The Brussels bureaucracy

[Pass show-card]
5.6
Which do you think are the two biggest disadvantages on this list?
Dont know
5.7
No response
5.8
Q6. Id like to ask you how patriotic you feel. How proud are you to
be a resident of
The city (Watersea)

The county (Watershire)
The region (Yorkshire and Humberside)
England
United Kingdom
EU
Dont know
No response
[Classifier data]
A lot
A little
Not at all
26.1
26.4
26.7
26.10
26.13
26.16
6.19
6.20
26.2
26.5
26.8
26.11
26.14
26.17
26.3
26.6
29.9
26.12
26.15
26.18
Some people claim that age, sex and background affect peoples attitude to the EU.
Q7. When were you born? Or, how old are you?
Before 1939
194049
195059
196069
197079
198089
No response
68+
5868
4857
3847
2837
1827
7.7
7.1
7.2
7.3
7.4
7.5
7.6
Q8. Which daily newspaper do you normally read?

The Times
The Telegraph
8.1
8.2
157
158

The Independent
8.3
The Guardian
The Mail
8.4
8.5
The Daily Express
8.6
The Sun
8.7
The Mirror
8.8
The Star
The Yorkshire Post
Other
None
Dont know
No response
8.9
8.10
8.11
8.12
8.13
8.14
Q9. What do/did you do for a living? [ask them for their occupation
which you allocate to the most appropriate group below]
A
B
C1
C2
D
E
G
G
G
Male
Female
Higher managerial/administrative/professional
Intermediate managerial/administrative/professional
Supervisory, clerical, junior managerial/administrative/
professional
Skilled manual workers
Semi-skilled and unskilled manual workers
On state benefit, unemployed, lowest grade workers
(and students)
Not classifiable
Dont know
No response
9.1
9.2
9.3
9.4
9.5
9.6
9.7
9.8
9.9
10.1
10.2
Thank you for your help. Have you any questions for me or additional comments about
the EU that youd like to make?
Note how the temptation has been avoided of asking the respondents knowledge
of the research ofce by, for example, asking: who is Head of the European
Commission? A questionnaire should avoid being a quiz or asking questions which
seek to verify answers: dont be too clever.
1. Pilot the questionnaire on at least two members of the public (not students). What
improvements would you suggest and why?
2. You are asked to test the hypothesis that age and education strongly influence
the likelihood of electors voting in general elections. You must use a questionnaire. Identify the sample frame. Devise a quota sample for an on-street
survey. Design, test and revise a questionnaire of no more than 12 questions.
Administer the questionnaire to ten members of the public in the main shopping
street. Comment critically on your experiences as a questionnaire writer and
questioner.
3. Discuss critically the claim that questionnaires can measure peoples attitudes
and beliefs.
4. Most of the national opinion polls published in the lead-up to the 1992 UK general
election wrongly forecast the outcome. Critically assess the various explanations
given by analysts.
FURTHER READING
Burnham, P., Grillard, K., Grant, W. and Layton-Henry, Z. (2004) Research
Methods in Politics. Basingstoke: Palgrave Macmillan. pp. 92105. This
text provides sound, practical advice on questionnaire design and coding.
It includes memorable examples of poorly-worded or ambiguous questions
from national surveys.
De Vaus, D.A. (2001) Surveys in Social Research. London: Routledge.
pp. 80105. This textbook differs from most others by emphasising the
importance of designing the questionnaire to measure the dependent and
independent variables, test variables and background measures. It also offers
additional guidance on telephone interviews and approaches to pre-testing
questionnaires.
Gilbert, N. (2003) Researching Social Life. London: Sage. pp. 85104, 22751.
Gilbert provides more pages of advice and examples than most other texts
and offers extensive guidance on pre-coding data.
pp. 4655. Harrison discusses the methodological issues and provides rich
case studies including analysis of the errors made in the national opinion
159
160

polls leading up to 1992 when most of the pollsters forecasts (that the
Conservatives would lose) proved wide of the mark.
Yates, S.J. (2004) Doing Social Research. London: Sage. pp. 3164. Whilst
coverage of the topic may seem slight, this book excels in the rich case studies
(including the 1992 UK polls) and the discussion of model answers to the
questions asked of readers.
Chapter 11
Observation
A politician can never [lie] awlessly because their body language will always give
them away, psychologists say.
(BBC News 5 September 2006)1
1. To consider the relevance of observation to Politics research.

2. To critically assess the claims made for a new science of body language.
3. To consider other claims which consider the origins of body language and
argue that, rather than being instinctive, body language is culturally specific
and often learned.
4. To consider how to systematically observe, record and interpret behaviour.
Introduction
A senior nurse pursuing doctoral research in Politics at York argued that too
much attention is paid by Politics researchers to what people say and write and
too little to how they behave and what they do. She described the importance
given in medicine to the systematic observation of patients as part of the initial
process of analysis and diagnosis and, subsequently, in assessing the efcacy of
any intervention (treatment) and management of illnesses (which are no longer
regarded as cured). Particular attention is paid to how the patients initially present
themselves: degrees of consciousness; whether they exhibit cheerfulness, sadness,
pain or anxiety; whether their faces are pale, perspiring or orid; whether they
walk with or without difculty; whether they are obese, well-nourished or thin; the
attention they pay to their surroundings; hearing or other sensory difculties; how
they treated their carers and medical staff, and so on. These initial observations
are noted and followed by measuring the vital signs of blood pressure, pulse,
temperature, breathing and heart rate. This researcher argues that Politics researchers
should similarly observe, record and analyse how subjects present themselves as an
integral part of the data collection and analysis process.
162
Chapter 9 has already commented on the value of recording the appearance,

manner and surroundings of political elite or other subjects during elite interviews
or focus groups. But the main purpose of recording this information is to provide
richer material for your readers so that they can better share your experience.
The claim that this information can provide a basis for analysis is contestable.
The patient who presents to the medical team does so because they or others
believe that their condition is abnormal and heightened. In most cases, hopefully,
the political elites who you interview will not normally be displaying noticeably
unusual behaviour. But when they do, it is quite right and proper that you note
this and consider its signicance later. This is particularly important when you nd
yourself or others affected by their charisma (or lack of it) or loathfulness or feel
intimidated by them. My own experience is that personality does count in arenas of
power. Dominant personalities are often able to drive through policy change which
their peers recognise as disastrous but nd themselves like rabbits frozen in the
headlights of a vehicle unable to oppose. Mrs Thatcher and community charge
(poll tax) is an example of this phenomenon.
Historically, lobby correspondents (Parliamentary journalists) and political opponents have suggested that observation of the mannerisms of political elites provides
important clues to sincerity, truthfulness and real intentions. More recently, body
language has been developed and promoted as a scientic technique for the analysis
of intentions. Its disciples repeat the assertion that:
over 80% of effective communication is non-verbal.
(anon)
But what are the claims of body language? How can they be assessed? What is its
value to Politics research?
Body language: the claims

There is a large literature especially in management science which presents body
language as a science. It claims that mastery is essential for success as a negotiator,
salesperson or analyst. Duly equipped, the manager can detect liars and, as an added
bonus, simplify courtship by reading the signs (or tells from tell-tales). There
are a large number of books on the theme of Learning Body Language in a Week etc.
Body language has also attracted the attention of the news media who can use
their back catalogue of video-tapes to illustrate its application. Claims made are that:
Tony Blair unconsciously fiddles with his little finger whenever an opponent makes him
anxious George Bush bites the inside of his cheek at anxious moments Bill Clinton
Observation
tended to bite his lip when he wanted to appear emotional George Bush walks like
a bodybuilder, hanging his palms to the rear as though laden by huge muscle, to imply
that the is larger than he is [However] no amount of coaching or media training can
co-ordinate the hand gestures and facial expressions to fully cover up what a person
knows not to be true.2
You cant fake [a genuine smile]. Its too difficult.3
Expert opinion
Leading British commentators include Dr Desmond Morris: Oxford Fellow and
former Keeper of Mammals at London Zoo. His publication The Naked Ape (1967)
stimulated interest in body language and was the rst of many publications. However,
his reputation may have suffered from later over-exposure in the news media and
the popularisation of his literature. However, unlike other lite body language
publications, he presents well-argued explanations and encourages caution in the
interpretation of human behaviour.
Morris Manwatching (1977) begins with the claim that our everyday actions
postures and movements are performed unconsciously.4 In most cases, they are
a response to a perceived stimulus. He argues that the claims that all actions are
natural (innate) or all actions are nurtured (learned) are false. Blind, deaf and dumb
children will smile and cry. However, empiric evidence shows that the meanings
of other actions (e.g. crossed-ngers which historically reect the crucixion in
western societies) are unique to different cultures. He therefore begins by drawing
a distinction between genetic inheritance (innate) and discovered, absorbed, trained and
mixed actions.
Discovered actions are those which people develop as they mature. An example is
the folded arms posture which Morris suggests is derived from the ready movement
and hinging of the arms, and the comfort and protection provided.
Absorbed actions are those that are unconsciously copied. Copying is more likely
of higher than lower status groups. He cites the example of the camp posture
adopted by some adolescent homosexuals. But technology and fashion can play
a part. He attributes the informal posture of teenagers to the jeans that they have
adopted. So he argues that the same people wearing suits will adopt more formal
postures to avoid damaging the less-forgiving material. But he also attributes the
new informality to changes in philosophy and teaching which emphasise more
open styles and less overt deference, and the desexualisation and sexualisation of
dress.
Trained actions are those that require some teaching, e.g. winking, clicking ngers
and hand-shaking (although the distinction between absorbed and trained actions
seems perhaps over-stated).
163
164
Mixed actions have, as the term implies, a combination of origins. For example,
innate actions like crying are modied by social pressure to an occasional tear or
sniff in western society and wailing in other cultures. Another mixed action is the
realisation of the comfort derived from sitting cross-legged. But US culture regards
cross-leggedness as effeminate: hence, perhaps, the US practice of men sitting behind
the backs of the chairs to achieve manly postures. Social etiquette also affects the
precise form of actions.
Gestures are a sub-group of actions: they are adopted to visually transmit a signal
to the observer. Morris introduces a convenient classication of gestures as either
incidental or primary. Primary gestures are those which you perform alone. They
are non-social and convey no meaning. You rub an itch because it relieves the
discomfort. Winking, on the other hand, is an incidental gesture which provides mood
signals (in this case, collusion). Sometimes you deliberately use primary gestures as
stylised incidental gestures to convey mood, e.g. when you deliberately slump or yawn
to communicate your boredom and disrespect for the teacher.
There are six primary gestures of which ve are unique to Homo erectus (Man).
The exception is the expressive gesture. This is made by the face or hands. But, as we
mature, they can become modulated by cultural and gender inuences.
Incidental purposeful, communicating gestures include mimic gestures. They
can be social mimicry (putting on a good face), theatrical mimicry (which imitates specic
actions or seeks to emulate the imagined mood of the part), partial mimicry (where we
imitate an entirely different species like a bird or cat) and what Morris terms vacuum
mimicry which today you would call air mimicry like air-guitar-playing where,
for example, you emulate drinking to indicate your wish to drink. Other types of
signal gestures include schematic, symbolic, technical and coded gestures. Schematic gestures
are abbreviated (e.g. using two ngers to emulate cigarette smoking). Symbolic signals
are essentially local social conventions: for example, tapping the head and pointing
in western society can mean mad, whereas in Saudi Arabia this signal is given by
lowering the eyelid. Technical gestures are made by specialist minorities where voice
communication is not reliable in potentially dangerous situations. They include,
for example, the hand-signals given by construction workers to crane operators,
media directors to presenters, and those given by bat-men to pilots of aircraft on
the taxiway. Although specialised, these gestures are intuitive. Coded gestures are
the formal language of sign language (of which there are several types), semaphore
and the bookmakers assistant (tick-tack man) at race courses. Some gestures may
be relics where they imitate an action outdated by technical change (e.g. indicating
a bad smell by holding the nose and imitating the action of pulling-the-chain to
the historic overhead cistern). Morris argues that the near-universal head-shake
meaning no is derived from babies actions when they have had enough milk and
push the breast way. Similarly, the cigarette is an adult baby-comforter (dummy).
Baton signals have been called: beating time to the rhythm of words (1977:56).
They are widely used by political elites. They include the open palm, the air grasp,
Observation
the hand-chop, the air punch, the raised st and the palm back. The raised st is widely
used to add vehemence (Martin Luther King) or aggressive intent (Mohammed Ali),
whereas the lowered, tight st transmits unshakeable determination (Nixon). Guide
signs are used to indicate direction. They can indicate go there (extended hand) or
come here (beckoning, hinged hand).
Gaze behaviour (eyeballing) is complex:
when two people meet and make eye contact, they find themselves in an immediate
state of conflict. They want to look at each other and at the same time they want to look
away. The result is a complicated series of eye movements (1977: 71).
Gaze can also show dominance or submission. Passive dominance or passive

submission will involve looking away whereas active aggression or fear involves
intense looking (even glaring) at the other person. You are also likely to look away or
down when speaking to prevent other people from catching your eye and disrupting
you. So you indicate turn-taking (the alternation of dialogue between speakers) by
looking up and at the other person to show that you have nished and to give
them the opportunity to speak. But people can also lower their gaze when they are
concentrating. So a parents appeal to a child to look at me when Im talking to
you may be seeking the childs submission rather than their attention.
Postural echo refers to the social mimicry that is demonstrated by people at ease
with one another. You will probably deduce from two people whose body language
is mirroring each others that they are developing a relationship. Body-contact tie-signs
refer to the degree of exaggeration of normal greetings like shaking hands. The
bone-crunching hand shake, the grasping of the other persons hands with two
hands or gripping their arms can all be signs of special friendship or dominance
(but do close friends shake hands?). In contrast, auto-contact behaviour is the term
used to describe our actions when we touch ourselves. Common forms include
the jaw-support, chin support, hair clasp, cheek support, mouth touch and temple
support. Some like touching the mouth are popularly believed to be signs of
telling lies.
Morris includes lying as a type of non-verbal leakage: clues that you give away
unwittingly your real feelings or intentions. Like everyone else, you will lie in
your everyday life: you say that you are OK when you may be unhappy. Morris
argues that you best lie with those parts of your body with which you are most
familiar. So, because of your knowledge of your face from mirrors, you can lie more
easily by adopting a combination of words and facial expressions of, say, happiness
(putting on a brave face), etc. But you are less aware of the movements of our
lower limbs. So Morris advises that: if you have to lie, do it over the telephone or
peering over a wall. He disparages research that seeks to show that, when people lie,
they make more frequent hand movements, hand-to-face contacts, mouth-covers
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166
and nose touches. Instead, he argues that these are physiological auto-responses to
pressure. These include the increase in the sensitivity of the nasal lining which nosetouching reduces. So, these tells should never be regarded as conclusive. Similarly,
barrier signals for example, touching shirt-cuffs or crossing limbs across the body
are also more likely to be responses to a sense of nervousness. Examples of activities
stimulated by nervousness displacement activities include: jingling coins, clicking
biros and re-checking boarding passes (reportedly ten times more common among
air than rail passengers).
The most reliable indicator of mood appears to be eye-pupils. These react
spontaneously to changes of light and emotion. They cannot be controlled. Your
pupils will automatically narrow in brighter light or when you see an unpleasant
object. They will widen when you see something you like, for example, a baby or
a kitten. Pupil signals are both unconsciously given and received. (Hence, perhaps,
the appeal of dark glasses to some insecure political elites and poker players.) But
the difculty remains actually being able to detect the width of pupils beyond very
close range and without appearing over-curious (which presumably would affect the
pupils under our observation). In any event, medical sources point out that pupil
dilation can also be a symptom of illicit drugs or amphetamines, drug overdose,
certain medications, eye drops, brain injury, stroke, brain tumour or, in extreme
cases, death.5
Morris concludes by discussing threat signals, dress, body adornments, infantile signals,
sexual signals and play patterns, etc. He also discusses (and appears to support) the
claim that, as human beings are the only female primates to have both hemispherical
breasts and buttocks, the female breast shape has evolved as a mimic of the other
primates buttocks which are the principal body parts used for sexual display In two
later books, Morris explores the distribution of signs and gestures in a large sample
of European and North Africa states (Morris et al, 1979).6 They show that, whilst
the same signs are common throughout Europe, they may have entirely different
and opposed meanings. For example, the ring sign means OK in the UK, Ireland,
Spain, Germany and southern Italy. But in France and Tunisia, the ring sign means
zero. Yet in Greece, Malta and Sardinia, it means orice. In Tunisia, it means threat
(1979: 99103). The inuence of trade and cultural trade links is obvious from the
mapping.
Morris extends his study of body language worldwide by trying to identify signs
and gestures which are universal and thus more probably innate (Morris, 1994).7
Nearly 600 informal gestures are studied. Only 50 are worldwide. The gestures (G)
(and their meanings) are:
arms akimbo: (keep away from me!)

arms reach: (I offer you my embrace)
belly rub: (hunger)
Observation
body leant forward: (I am paying attention)

body leant forward with hands gripping chair: (I am about to leave)
chest tap: (me!)
chin jut: (threat)
chin lift: (I am above such things!)
chin rub: (I dont believe you: subconscious)
chin withdraw: (fear)
ear cup: (speak up!)
ear rub: (I dont wish to hear this: subconscious)
ear scratch: (I am confused)
ears block or cover: (stop the noise!)
eyebrows flash: (greeting)
eyes side-glance: (bold shyness or coyness)
eyes stare: (threat)
eyes weep: (distress)
fist punch: (forceful emphasis)
fist shake: (threat)
footlock: (discomfort)
finger beat: (moderate threat)
forefinger point: (threat)
hand chop: (I cut through argument)
hand jab: (I insist)
hand purse: (I am hungry)
hands scissor: (that is finished)
hands wring: (please, help me)
head nod: (yes!)
head support: (boredom)
knees clasp: (I am about to leave)
knees crossed: (I am very relaxed)
ankles crossed: (I am politely relaxed)
lips kiss: (love: possible relic of food passing)
mouth smile: (pleasure)
neck clamp: (I am angry)
nose flare: (anger)
nose tap: (I am unconsciously hiding something)
nose up: (superiority)
nose wrinkle: (disgust)
palm up cupped: (please give)
palm up flat: (pay up!)
palms back: (I embrace you)
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168
palms down: (calm down)

pupils dilate: (widen) (I like what I see)
shoulders shrug: (I dont know)
stomach clasp: (I am hungry)
tongue protrude: (insult)
tongue protrude slight: (I am concentrating)
Note that, in this book, Morris contradicts his earlier argument that nose-touching
could better be explained as a response to changes in the nasal lining caused by
nervousness. Conversely, some gestures that are acceptable in some cultures may
be unacceptable and insulting in others. For example, in western society, the
knees-cross is an indication of relaxation and condence. But the extended kneescross will inevitably show the sole of the raised foot to onlookers (observers).
In Saudi Arabia, Egypt, Singapore and Thailand, this gesture is interpreted by
onlookers as showing that that they are considered to be the lowest of the low and
dirt-ridden. It is therefore especially offensive and can provoke extreme violence
(Morris, 1994: 77).
Recording and analysing body language

You will nd many public meetings of many councils and health trusts, etc. and
court proceedings very dull. A useful way of spending your time is to record the body
language, and frequency and tenor of speeches. You can do this by drawing either
matchstick gures or, if you are more ambitious, sketching proles. (You are not
allowed to photograph or record meetings of UK public bodies.) But drawing in this
way enables you to analyse what you would otherwise overlook in a photograph.
So it uses your time productively. Pay particular attention to posture and the attitude
of heads and hands. My experience is that people who sit close to the table and
remain still are primarily lending support rather than taking part in the deliberations.
They are usually backbenchers or ofcials. Most of the main protagonists will
adopt literally a laid-back approach resting back in their seats. They may appear
bored. Those leaning forward are likely to be aspiring councillors or others keen to
demonstrate their attack and defence skills to their leaders. Note how in a new
tradition derived from the US the most senior party member present will often
take off their jackets and sit in shirt-sleeves. Note the exaggerated, theatrical gestures
and how they appear to lose their tempers. Watch the young male councillor who
leans back with his hands behind his head indicating his self-satisfaction. Note how,
when party leaders say something even slightly funny, the others laugh loudly. This
courtier-like behaviour is a classic sign of dominant power. Compare this to when
a junior councillor says something really amusing and no one laughs until the leader
Observation
Figure 11.1(a) Simple matchstick drawing
leads or halts the laughter. Look at the mutual dependency between the senior
councillors and the senior ofcers. Record who speaks to whom and the tenor
(volume, pitch, rhetorical style, etc.) of their voices. Show these as thick or thin
arrows in your record. Note that, despite the apparent intense arguments between
the parties, they readily enjoy one anothers company after the meeting. What you
have seen is the elaborate role play of the ritual of democracy: the real decisions are
often taken privately elsewhere.
Examples of matchstick gures and more representative drawings and annotation
are in Figure 11.1(a)-(d). These drawings and analysis were made from sketches made
at a meeting of a local council meeting. The same techniques can also be applied to
169
170
Figure 11.1(b) Simple representative drawing
Figure 11.1(c) Detailed representative drawing
Observation
Figure 11.1(d) Communication chart
focus groups although the initial sketches should best be made from memory after
the meeting.
Conclusions
The principal conclusion must be that perversely body language is an inconclusive
indicator of underlying behaviour. As a famous US movie star remarked: there is
less to this than meets the eye.8 There are relatively few innate gestures. But those
which are innate can be consciously emulated for effect. Similarly, many of the
indicators of insincerity like nose- or mouth-touching may be more readily
attributed to nervousness. They can also be restrained. It can also be argued that, in
our televisual age, body language has become learned and exploited by political elites
to enable them to communicate their own spin on events more readily. Similarly,
the news media are able to extract seconds of tape from hours of lm to illustrate
any point. So the body language of non-elites and others untrained in the artistry
of body language may be more revealing. In any event, body language is a classic
case where the observations should be recorded separately and before any analysis
is attempted or conclusions claimed. Perhaps the most important conclusion that
we should draw is of the potential for our own repertoire of gestures to antagonise
people from other cultures during eldwork. So, in the nal analysis, self-awareness
and restraint of your own body language during eldwork may be more important
than your observation of others behaviour.
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172
1. What significance should be attached to the observation and interpretation of body

language in Politics research.
2. Review the outcome of a search on the Internet for body language pictures. Using
a data projector, display and discuss your interpretation of the various catalogues
of pictures from sources including the BBC.
3. Record, project, discuss and analyse the non-verbal communications techniques
used in the most recent wave of party political broadcasts.
4. Attend a meeting of your local council or NHS trust. Note and comment on the
body language displayed by the main participants when they are speaking and
listening to others.
5. A politician can never [lie] flawlessly because their body language will always give
them away (Collett, 2006). Discuss using examples and illustrations.
FURTHER READING
Morris, D. (1977) Manwatching; A Field Guide to Human Behaviour. London:
Jonathan Cape.
Morris, D., Collett, P., Marsh, P. and O Shaughnessey, M. (1979) Gestures: Their
Origins and Distribution. London: Jonathan Cape.
Morris, D. (1994) Bodytalk: A World Guide to Gesture. London: Jonathan Cape.
Notes
1 http://news.bbc.co.uk/1/health/5316916.stm (10 October 2006).
2 http://news.bbc.co.uk/1/health/5316916.stm (10 October 2006) Quotations attributed to Dr Peter
Collett, formerly of the University of Oxford speaking to the British Associations Science Festival in
Norwich. He co-authored with Desmond Morris the book Gestures: their origins and distribution
(1979). See end-note 5 below.
3 http://news.bbc.co.uk/1/health/5316916.stm (10 October 2006) quotation attributed to Prof.
G. Beattie, University of Manchester.
4 Morris, D. (1977) Manwatching; A Field Guide to Human Behaviour. London: Jonathan Cape.
5 www.wrongdiagnosis.com
6 Morris, D., Collett, P., Marsh, P. and OShaughnessey, M. (1979) Gesture: Their Origins and
Distribution. London: Jonathan Cape. Collett and Marsh were members of the Department of
Experimental Psychology at Oxford. OShaughnessey is a language graduate.
7 Morris, D. (1994) Bodytalk: A World Guide to Gestures. London. Jonathan Cape.
8 www.centralsquare.com/quotations.html
Part IV
Data Analysis
Chapter 12
Analysing Research Data: The

Process
A single swallow doth not a summer make.

(Greek proverb cited by Aristotle in Nichomachean Ethics, I, vii, 16, fourth
century BC)
One swallow doth not a summer make. But two swallows might attract a research
grant, and three are enough to work up a paper in a marginal journal of climatology
(James Meek, The Guardian, 9 November, 2000)
Politics researchers tend to draw summers of conclusions from single swallows of data.
(Anon)
1. To understand the weaknesses and limitations of earlier methods of analysis.

2. To consider the recommendations made by authorities.
3. To develop a general hierarchy of analysis for Politics research.
Introduction
Traditionally, the analysis by Politics researchers of the information collected
especially qualitative information has been weak if not altogether non-existent.
Previously, the research has been characterised by:
a loose, implied methodology

the absence of supporting evidence (i.e. critical supporting information) in the form of:
transcripts of interviews or meetings
other accounts of meetings
records of other empiric observations
instead, generalisations are made which are sexed-up (exaggerated) with quotable
quotes (which are not cross-referenced to sources and could be entirely fictional)
176
analysis and discussion are given without cross-reference to the information on which
they rely
evidence is not compelling: acceptance is based almost entirely on trust: no opportunity
or means are given to corroborate the findings
much statistical analysis assumes an in-depth knowledge of the mathematical routines,
formulae and symbols used, and may be impenetrable to most UK students; the rationale
and meanings of the techniques adopted go without comment, explanation or indication

of confidence limits
quantitative and qualitative methods of analysis have been seen as entirely different and
lacking any common process
research findings are rarely persuasive to those readers not otherwise subscribing to the
implicit assumptions adopted
consequently, much Politics research tends to confirm or qualify existing explanatory
theory in an ever-decreasing circle
You will be familiar with the axiom: rubbish in: rubbish out.
Five guidelines for effective analysis are suggested:
1. The data never speaks for itself: all knowledge is theoretically impregnated (Silverman,
2001: 23)1 : your analysis and interpretation are always required.
2. Similarly, you must make the process of analysis transparent if the critical reader is to
share your findings: trust and belief in your scholarship and honesty are not enough.
3. Ensure that the analysis and interpretation are proportionate in depth and extent to the
information to which they are applied.
4. The means of analysis you use must be relevant and appropriate to the research
question and to the information collected; you must justify using them.
5. You must identify, consider and justifiably discount (discard) other explanations before
you claim firm conclusions.
You may have gathered the data in quantitative (numeric) or qualitative (nonnumeric) form. However, the former distinction between quantitative and qualitative analysis has been overtaken by technological development. Whilst numeric
data can only be analysed by quantitative means, you can now analyse qualitative
data by qualitative or quantitative methods.
The process of analysis

What do we mean by analysis? What does it involve? Oddly enough, the authorities
are largely silent presumably, on the assumption that, after all, we all know what
analysis means. However, the following characteristics of analysis can be inferred

from the discussion they provide:
analysis is an objective-seeking, rational process
in academic research, the objective is to answer the research question either by

confirming or infirming the explanations set out in the hypothesis, or, in inductive research,
the relationship, if any, between the key variables

analysis essentially involves deconstruction breaking down the whole into its
constituent parts
analysis involves a systematic, deliberate, planned examination of these parts, and of
the relationship between them
analysis invariably involves some comparison between variables
analysis seeks to identify patterns or rhythms of relationships
analysis also involves creative interpretation
testing is used to eliminate any spurious relationships
the analysis concludes by inferences being drawn. These are generalisations about the
research population drawn from samples or other limited information. For example, if your
study of a sample of South American states has shown a causal, contributory relationship
between, say, levels of interpersonal trust and economic performance, then how likely are
you to find this same relationship in other countries? These inferences must be followed
by discussion before firm conclusions can be drawn.
The greatly increased interest in analysis has spawned a very good literature,
including Miles and Huberman (1994), and Ritchie and Lewis (2003).2,3 However,
this emerging literature tends to concentrate exclusively on either qualitative
or quantitative data analysis and implies that they adopt divergent approaches.
Exceptionally, Neuman (2003) provides a valuable review of similarities and
differences which have been tabulated in Table 12.1.
A hierarchy of analysis
Despite the differences, it is possible and useful to suggest a general, generic model
of analysis (which draws in part from Ritchie and Lewis Analytical Hierarchy, 2003:
212, Box 8.1). The model has ve, iterative, component phases: raw data assembly,
validation and reduction; classication, coding and sorting; testing; inference-drawing; and
theory development. The process can be illustrated as a pyramid (after Maslow)4 which
reects the successive reduction and renement of the volume of raw data into
information and evidence.
177
178

Table 12.1 Qualitative and quantitative analysis compared
Similarities between Qualitative and Quantitative Analysis
1 Both involve making inferences
2 Both methods of analysis involve a public [transparent] method or process
3 Comparison is central to all analysis
4 Researchers strive to avoid errors, false conclusions, and misleading inferences
Differences between Qualitative and Quantitative Analysis
Quantitative Analysis
Qualitative Analysis
Uses standardised, statistical techniques

Delays analysis until all data collected
Tends to test hypotheses
Low level of abstraction
Less standardised
Begins earlier before all data collected
Can create new concepts and theories
High level of abstraction
Source: (abstracted from Neuman, 2003: 43940)
Theory development
Inference drawing from evidence
Testing
Information classification, coding and sorting
Raw data assembly, validation and reduction
Figure 12.1 Hierarchy of analysis
Raw data assembly, validation and reduction

This rst phase involves you bringing all the raw data together at the same place and
time. The objective here is to reduce the mass and mess of data in sheets of text,
photocopies, emails, scoping documents, transcripts, letters, memos, questionnaires,
etc., audio and video-records and photographs. You should selectively discard all
the non-relevant and duplicate data to a recycle bin, transposing the relevant
data into a common format (e.g. Microsoft Ofce) and organising it into folders
and les. The les are then validated. This involves checking the data for errors
or omissions. It may also involve you anonomysing people and places (hiding their
real identities). You should also identify and ag (mark) outlier data. Outliers are
extreme and exceptional data which lie outside the expected range. For example,
where a new leader has shown an increase in support of, say, 515% in most opinion
polls, then you might classify an increase in one poll of, say, 25% as an outlier.
But, you should check rst whether it is exceptional because of some recording
or transposition error, or may represent a signicant nding. Where outliers are
considered dubious, then you can discard them. By the end of this initial process,
you will have reduced and organised the mass of raw data into useful information
ready for coding.
When this rst stage is complete, you will be able to begin the processes of
classication, coding, testing and inference drawing. These processes are very different for
quantitative and qualitative information and are therefore described separately in the
following chapters.
1. What do you understand by analysis?

2. The suggested hierarchy of analysis seeks to reduce (raw) data to (reliable)
information, and this information to evidence. An operational distinction between
these is suggested in Chapter 7:
Commentators and politicians tend to use the word evidence to describe

what they would wish us to regard as conclusive, compelling information
which either proves or, in its absence, disproves allegation. But is there a real
difference between data, information and evidence? Certainly, the dictionary
meanings are similar. But some distinction is useful. Researchers tend to
speak of data as the mass of disordered, raw material from which information
(knowledge) is abstracted to provide evidence to support argument and
conclusions. Information informs. Evidence supports conclusions. So it is
helpful to conceive of research of involving three stages. First, the raw data is
gathered. Second, the data is organised and distilled into information. Third,
evidence is abstracted for or by analysis from the information.
Is the suggested distinction between data, information and evidence useful,

exaggerated or dangerous in the context of analysis?
179
180

FURTHER READING
Spencer, L., Ritchie, J. and OConnor, W. (2003) Chapter 8: Analysis: Practices,
Principles and Processes. In Ritchie, J. and Lewis, J. (eds.) Qualitative
Research Practice: A Guide for Social Science Students and Researchers.
London: Sage. pp. 199218. Whilst this textbook is written for a readership of
social scientists undertaking qualitative research, this chapter provides a very
succinct account of the principles underlying analysis which is of value to
Politics researchers pursuing quantitative, qualitative or mixed methods.
Notes
1 Silverman, D. (2001) Interpreting Qualitative Data: Methods of Analysing Talk, Text and Interaction.
London: Sage.
2 Miles, M.B. and Huberman, A.M. (1994) Qualitative Analysis: An Expanded Sourcebook. London:
Sage.
3 Ritchie, J. and Lewis, J. (2003) Qualitative Research Practice: A Guide for Social Science Students
and Researchers. London: Sage.
4 Abraham Maslows Hierarchy of Needs (1943), see Maslow, A.H. (1970) Motivation and
Personality. New York: Harper and Row.
Part IV
A: Quantitative Analysis
Chapter 13
Calculating and Interpreting

Descriptive Statistics
Lies, damned lies and statistics, attributed to Benjamin Disraeli by Mark Twain.
1. To understand what is meant by descriptive statistics.

2. To learn the separate functions of the mean, mode and median, range,
interquartile range, variance and standard deviation.
3. To learn how to calculate these using MS Excel.
Introduction
Descriptive statistics resolve complexity by summarising and compressing data
to identify their essential characteristics to create a brief but relatively accurate
impression to the observer. You already do this in everyday use by describing
the total number of, say, your fellow students range of ages, their average age,
male/female split and ethnic composition.
Consider this example. In reply to a question from your parents, you tell them
that your university class consists of about 20 students, half are women and six come
from the Indian sub-continent. You add that most students are about the same age.
(Twenty years old but there are three older students.) The oldest is 48. This creates
a reasonable picture in their minds. You use this rough description or numeric
shorthand to avoid having to describe each student individually.
However, more accurate statistics may be required by say, by the registrars
staff giving the precise average age. The ages of the class are (in ascending order):
18,18,18,18,19,19,19,19,19,19,19,19,19,19,19,19,20,20,20,36,45,48.
There are actually 22 students. To calculate the average, you must, of course,
add all the ages together and divide the sum by the number of students. In this
case, the total ages are 489. There are 22 students. So the average is 489/22 =
22.23 years.
So what? Well, in this example, none of the students is aged 22. So the average
is misleading. The reason for this apparent discrepancy is because the class contains
much older students. This is more obvious when the students and their ages are
individually plotted on a type of graph or chart termed a scattergram:
In this simple example, the average has been distorted by the inclusion of three
much older students. But, suppose that one of the 18-year-old students were to
drop out and an 85 year-old admitted. In this case, then the average mean would
increase to 25.3 and the graph to:
60
50
40
Ages
30
20
10
0
0
10
20
30
Individual students
Figure 13.1a Scattergram of students and their ages
90
80
70
60
Ages
184
50
40
30
20
10
0
0
10
20
Individual students
Figure 13.1b Scattergram of students and their ages (revised class)
30
In this second case, the calculation of the average has been grossly distorted by the
replacement of a more typical student by a very much older one. This is called the
outlier effect the effect of those highest or lowest terms to skew distort your
everyday, average mathematical description of complex information. (Incidentally,
some quantitative researchers argue that qualitative researchers rely on outliers; the
exceptional case is more attention-grabbing than more typical information.)
To overcome this weakness, statisticians use a set of simple statistical measures to
better describe, say, a student class. These are the arithmetic mean, median, mode, range,
variance and the standard deviation. These are termed measures of central tendency
(or measures of dispersion). As the terms imply, they describe numerically the extent
to which the individual terms cluster around the centre. The class is termed the
population: the total group of people or events being described or under study. The
population is represented by the Roman capital, N. The individual measurements
of data from the population are called terms. A group of terms which measure the
same characteristic at the same moment in time is called a series.
The arithmetic mean is what is generally called the average, i.e. the sum of the
terms divided by the number of terms. In statistics, the terms are called X and the
number of terms N . Sum of is represented by the Greek symbol (pronounced
sigma). The arithmetic mean is called X bar and represented nowadays by the symbol
X . So X = X
N
The median is the middle term when the series is ranked (normally in ascending
order), e.g. 4,10,2,8,6 becomes ranked into 2,4,6,8,10. The median is the (N+1)th
term/2. So, the series 2,4,6,8,10 has ve terms. Therefore the median is the
(5+1)/2th term = 3rd term. The third term in the series is 6. If the series were reduced
to four terms 2,4,6,8 then the median would be the (4+1)/2th term = 2.5. In this
case, the median is calculated as lying midway between the second term (4) and the
third term (6). So the median is 5.
The mode is the most frequent term in the series, e.g. in the series 1,3,6,5,1,2 then
the mode is 1. This is rarely used.
Returning to the example of the initial class of 22 students, then, whilst the
arithmetic mean may be 22.3, the median is the (22+1)/2th term, i.e. the 11.5th
term or half-way between the 11th and 12th term. In this case, the 11th and 12th
terms are both 19 so the median is 19. The mode (the most common term) is also 19.
So, in this example, the median and the mode provide better descriptions than the
mean (of 22.23). In the revised class, the median and mode remain 19 and the effect
of the (85 year old) outlier is effectively discounted. In cases like these where most
terms lie below the mean, then the data or distribution is termed positively
skewed. In many universities, the nal degree classication uses the median exam
mark rather than average mark. In this way, exceptionally good or bad exam marks
are discounted.
Another statistical measure of the data is the range the difference between the
highest and lowest term. However, as noted earlier, the range can be distorted by
185
186
exceptionally high or low outliers, e.g. the very mature student. In the revised class,
the range would be 67 (i.e. 8518). So statisticians developed the interquartile
range. This is the difference between the rst and third quartiles when the terms of
the series are placed in ranked order. So in a series of 99 terms, the interquartile
range is the difference between the 25th and 75th term. The rst and third quartiles
are identied in a similar way to the median by calculating
(N + 1)
3(N + 1)
and
4
4
For example, in our initial class of 22 students ranked by age, then the interquartile
range is the difference between the ages of the 5.75th and 17.25th students, i.e. 19
and 20 = 1.
The greatest use of median measurements probably lies in representing unequal
distributions especially in terms of resources. Income is a prime example where a
small number of people may have vast wealth and, at the other end of the scale, a
large number virtually nothing. In these cases, the inequality is shown by calculating
and comparing the income of the 10th and 90th percentiles. So, in a fair society
where incomes are equal, then the 10th and 90th percentiles will be the same
whereas, in less equal countries, the ratio of 10th to 90th percentiles may be as high
as 100. A more sophisticated descriptive statistic for measuring unequal distribution
of income and wealth is provided by the Gini coefcient. This is the ratio between
the areas above and below the Lorenz curve (of cumulative incomes) and the area
of equal distribution. The coefcient varies between less than 0.25 (Greenland)
and 0.6 (Namibia). No coefcients are calculable for Sub-Saharan Africa. The Gini
coefcient for the UK is 0.350.39.
In the UK, the ofcial (upper) level of poverty is calculated as 60% of median
household income. Deep poverty is calculated as 40% of the median household
income. The denitions reect a rejection of the historic concept of poverty being
calculable as an absolute level in favour of relative measures.
Complete income equality
Lorenz curve for a typical

income distribution
Cumulative
income
share (%)
Cumulative
income
share (%)
0
0
100
Population share (%)
100
Population share (%)
Figure 13.2 Charts of income distribution (from www.statistics.gov.uk)
However, the median itself can be misleading. Take for example, data obtained
from applying the Likert scale to the question:
Q. To what extent do you agree with the following statement:
The Anglo-American invasion of Iraq has actually increased the threat of terrorism
in both countries. Do you strongly agree, agree, neither agree nor disagree, disagree,
or strongly disagree? You code the possible answers 15 (where 1 is strongly
agree, etc.). Let us say that you ask three samples of ten people of three different
age groups (in practice, you would use much greater samples). The results (ranked
in descending order) are:
Young people
Middle-aged people
Older people
5
4
4
5
4
3
5
3
3
4
3
3
3
3
3
2
2
3
1
2
3
1
1
3
1
1
2
In each of these three groups, the median is 3 (neither agree nor disagree) although
the intensity of agreement or disagreement is signicantly higher among the sample
of younger people. To overcome this problem, mathematicians developed the
variance.
The variance
The variance is a descriptive statistic which measures the degree of concentration
or dispersal of the terms around the mean. This is found by calculating the difference
between each term and the mean, i.e. X Xi . In some cases, the difference will
be +, in others, . (Indeed, if added together they should cancel each other out,
leaving an answer of 0.) So, to overcome this difculty, the differences are squared
thus eliminating the minus quantities. The variance is then found by adding all
these squared differences and dividing by the number of terms. The formula for the
variance is:
(X Xj )2
N
where j is the number of terms in the series
This sounds more complicated than it is. Consider the example above of the Likert
scores for the sample of ten, younger people:
Young people, X
Arithmetic mean, X =
Difference between term
and mean (X X ) =
Difference 2 (X X )2 =
5
3
(53)
+2
4
5
3
(53)
+2
4
5
3
(53)
+2
4
4
3
(43)
+1
1
3
3
(33)
0
0
2
3
(23)
1
1
1
3
(13)
2
4
1
3
(13)
2
4
1
3
(13)
2
4
187
188
Sum of difference2 (X X )2 = 26

Variance
(X Xj )2
26
=
= 2.6
N
10
Standard deviation
A further development of the variance is the standard deviation, SD or which
is simply the square root of the variance. So the formula is:

(X Xj )2
where the value of is
N
N and n
You will note that, in most scientic research publications, it is the number of terms
and standard deviation which is normally given to describe experimental data, e.g.
n = 1600, n1 = 12.1.
However, the symbol n rather than N is given. Why? The answer is that the
symbol N is used to denote the number of terms people or events, etc in the
population: n is used to denote the number of terms in the sample. Similarly individual
terms in the sample are denoted by x rather than X .
The symbol for the standard deviation of the sample is also written in lower case
as n1 . But why is the n 1 notation added? The reason is that, where the series
is a sample of the population, then the number of terms may be comparatively
small. To compensate for the small number of terms and the potential experimental
error, the number of terms is notionally reduced by subtracting 1 to give a larger
standard deviation. To distinguish a sample from a population, the symbols x, n
and n1 are used. So the formula for the standard deviation of a sample of n
terms is:

(x xj )2
(n 1)
Grouped frequency distribution

Data whether populations or samples may contain a large number of terms.
To simplify their representation and analysis, the terms are translated into what is
called a grouped frequency distribution. For example, a small sample of eight
families may show the following numbers of children in each: 2,1,2,3,2,1,0,4, i.e. a
total of 15 children. These can then be tabulated in a grouped distribution as:
Table 13.1 Grouped frequency distribution table
Number of Children in
Each Family
Number of Families
Total Children
x
0
1
2
3
f
1
2
3
1
Total families, n = 8
fx
0
2
6
3
Total children = 15
The measure in which data is grouped is called an interval. In the example above,
the interval used is the number of children. The most commonly used age intervals
in Politics research are years, i.e. 1998, 1999, etc., age groups, e.g. 017, 1828,
2938, 3948, 4958, 59 +. , and incomes, e.g. $0 $999, $1000 $1999, etc.
Grouping data by frequency distribution also enables the data to be displayed as
a graph, e.g.
Number of families
(Frequency)
3.5
3
2.5
2
1.5
1
0.5
0
0
Number of children
Figure 13.3 Chart of Grouped frequency distribution table: Frequency of children in
families
In nature, charts of grouped frequency distributions of most phenomena (e.g. weight

of adults, their heights, intelligence, shoe sizes, etc.) form a normal distribution.
Examine Fig 13.4. In this case, the mean (average) number of clubs etc. to which
members of the sample (of 1,000) were members is 12. Almost 100 of the sample
belonged to 12 clubs whilst less than 10 belonged to only one club.
Note how the normal distribution (or Gaussian distribution) is characterised by a
symmetrical, bell-shaped curve in which the mean, median and mode coincide at the
most frequent term. The normal distribution is also asymptotic, i.e. the frequencies
approach but never reach zero.
189

Frequency (memberships)
190
100
80
60
40
20
0
0
10
20
30
Number of clubs joined

Figure 13.4 A normal distribution: Membership of clubs
How to calculate descriptive statistics

Most descriptive statistics can now be calculated using a good calculator, for example,
the Casio fx-83 series (which can be bought for as little as 6.99). However, most
students are more likely to have a PC or laptop readily available than a calculator.
Unlike a calculator, a computer can save the data and calculations as a le and enable
them to be pasted (copied) into a report. Whilst a wide variety of statistical software
is available, most students use the MS Ofce software package which includes the
spreadsheet Excel. Most students are also familiar with using Excel which is quite
adequate to perform descriptive statistics.
Before using Excel to perform statistical calculations, it is necessary to add the
Analysis ToolPak which contains a large number of specialist statistical formulae
bundled into the software. This is relatively straightforward. Open an Excel spreadsheet. On the menu bar, click on Tools. Then click on Add-Ins. Click on Analysis
ToolPak and Analysis ToolPak VBA at the head of the dialogue box and click OK.
You can now enter your data. Insert the term Income in cell A1. Then insert the
following data in cells A2:A11 in Column A. This is a small sample from a northern
benets ofce of the annual household income of current single-parent claimants
having three children for income support. In practice, of course, we would seek to
use a much larger sample of 35 terms or more for greater accuracy.
Claimants household income:
Cell A1: Income
Cell A2: 12,317
Cell A3: 14,861
Cell A4: 8,003
Cell A5: 11,370
Cell A6: 12,561

Cell A7: 13,889
CellA8: 15,270
Cell A9: 18,241
Cell A10: 25,279
Cell A11: 19,671
Save the data as a le titled Claimants Household Income. We want to calculate

the mean, median, tenth and ninetieth percentile, range, variance and standard deviation.
The rst step is to copy the data onto a nearby column, E using the Copy/Paste
routine. This safeguards your original data. Your next step is to critically examine
the data. This is best done by sorting the data into ascending order and by drawing
a chart (graph).
To do this, rst highlight the data (including the title income), then click on
Data and Sort. In the sort dialogue box, click OK. The data will now appear in
ascending order. Leave it highlighted. Then click on Insert and Chart. Click on XY
(Scattergram). Click on Next until the graph appears.
30,000
Income
25,000
20,000
15,000
10,000
5,000
0
0
10
12
Benefit claimants
Figure 13.5 Chart of distribution of claimants household income
This graph shows that the distribution of incomes is relatively straightforward and
that there are no outliers or other unexceptional terms.
To calculate the descriptive statistics, click on Tools, then Data Analysis, then
click on Descriptive Statistics in the dialogue box and OK. The Descriptive Statistics
menu will appear. In the box marked Input Range, insert E2 : E11. (Whilst there
is a short-cut alternative to inserting the cell numbers, it can complicate routines at
this initial stage.) Click on Grouped by columns. The Output Range is the cell where
you want the statistics to appear: insert G1. Then place a tick in the box marked
Summary Statistics. Finally, click OK. The table of statistics below will appear:
By reading this table and rounding up to one place of decimals, we can report that:
mean income
median income
= 15,146.2
= 14,375
191
192

Table 13.2 Descriptive statistics output of claimants household income data
Income
Column1
8,003
11,370
12,317
12,561
13,889
14,861
15,270
18,241
19,671
25,279
standard deviation
variance
range
Mean
Standard error
Median
Mode
Standard deviation
Sample variance
Kurtosis
Skewness
Range
Minimum
Maximum
Sum
Count
15146.2
1543.355
14375
#N/A
4880.518
23819453
1.035046
0.839166
17276
8003
25279
151462
10
= 4,880.5
= 23819453
= 17,246
In this case, the summary statistic for the standard deviation calculated is the standard
deviation of the sample. If the data were a population, then you would have to use
a different formula =STDEVP( ). Click on the cell where you want the standard
deviation of the population to appear. Insert =STDEVP(A2:A11) on the task bar
next to the fx notation. Press the Enter key. The answer 4630.066 will appear.
To record the meaning of this data you will have to enter standard deviation of the
population in the cell above or to the right. (If you use a cell to the left then the title
will be partially obscured unless you increase the column width.) Note that the
standard deviation of the population is smaller than the standard deviation of the
sample.
To calculate, the 10th and 90th percentile, click on Insert and then Function. The
Insert Function box will appear. In the rst box headed Search for a function, insert
percentile and then click on Go. PERCENTILE will appear highlighted blue on
the larger box below. Click on OK. A box marked Function Arguments will appear.
In Array, insert E2 : E11. In k, insert 0.1 (meaning 10%). As soon as you insert this
data, the answer will appear to the right of Formula result = 11,033. Change the k
value to 0.9 (i.e. 90%) and the formula result will be 20,232. So we can report that:
10th Percentile = 11,033
90th Percentile = 20,232
You will appreciate that it makes no difference to the practical ease of completing
the calculation whether the spreadsheet contains as in our example 10, or 10,000
terms.
Types of numbers
In the example above, numbers have been used to represent incomes. However,
there are two different groups and four different types of number that you can use.
The two groups of numbers are categorical and cardinal.
Categorical numbers
Categorical numbers involve nominal numbers and ordinal numbers (rankings).
Your university number is an example of a nominal number. Your university number
gives you a unique identity and enables your name to be replaced by a number. If
your university number is lower than a friends then it does not mean that you
are better or worse in any respect. Nominal numbers have no mathematical
signicance: they are entirely nominal. In contrast, ordinal numbers are used to
indicate rankings. But their signicance is conned to some ranking relative to a list
of criteria, e.g. 1 may indicate the person with the highest mark.
Cardinal numbers
Cardinal numbers involve interval and ratio scales. Ratio scales have an absolute
zero, e.g. income, time, degrees Kelvin (degrees centigrade of Fahrenheit are
interval scales). Interval scales measure the variance above or below a particular
benchmark. Ratio and interval scales can be negative. For example, an annual
income of 500 means that you owe someone else 500. Accountants express
this as (500).
Wherever possible, quantitative researchers seek ratio scales.
Where variables are expressed as categorical or cardinal numbers they can be termed
categorical variables or cardinal variables. Variables may also be discrete or continuous.
Discrete variables are those where there is only a limited number of intervals in
the range. For example, the numbers of children in a household are discrete because
you can only have zero, one, two, etc children: you cannot have 1.4 children
(although that may be the arithmetic mean of children in all households). In contrast,
continuous variables are those where there are an innite number of intervals in
the range. So, for example, the ages of the children in a household are continuous:
even twins will have different ages when measured in terms of minutes or seconds.
Generally speaking, categorical variables are discrete whilst continuous variables are
cardinal.
193
194
Whilst the distinctions between categorical and cardinal numbers and discrete
and continuous variables may appear academic, they are important. For example,
the descriptive statistics in the example above can only be calculated using cardinal
numbers. As you will see in Chapter 15, the type of number will dictate which
advanced statistical formulae can be used.
Questions for discussion, workshop tasks or assignments
1. Access a UN, World Bank or EU data bank on the Internet, e.g. http://unstats.un.
org/unsd/cdb/cdb or http://mdgs.un.org/unsd/unsd/ Choose a table of interest to
you. Copy it to Excel. Calculate the summary descriptive statistics, 10th and 90th
percentile. Compare the mean and median and explain the difference.
2. Create your own file of 1,000 random numbers.To do this click in turn on Tools in the
menu bar then Random Number Generation. In the Random Number Generation
Dialogue box, enter:
Number of Variables (columns)
Number of random numbers (rows)
= 10
= 100
Distribution
Mean
Standard deviation
Random number seed
Output Range
Then click OK
= normal
= 50
= 15
=5
= A1
Save as (file) Normal distribution random numbers. Then calculate the summary
statistics for the entire data set. Retain the file for future use as your own bank of
random numbers.
3. Now analyse the random numbers above into a grouped frequency distribution.
First, decide what class interval you wish to adopt. Your data extends from 0 to
100.You may decide to use a class interval of 5.Then enter 5 in cell K1 and continue
to enter 10, 15, 20 etc until you reach 100 in cell K20. (You can, of course, use
the Autofil routine.) Then click on Tools and Data Analysis. In the Data Analysis
dialogue box, click on Histogram and OK. In the Histogram dialogue box, insert
Input Range
Bin Range
Output Range
A1:J100
K1:K20
L1:L20
Then click on Chart Output and click OK.

The output and chart will appear:
Table 13.3 Output and chart

5
Bin
Frequency
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
12
12
20
32
42
48
76
78
79
101
92
89
83
77
53
41
32
12
9
7
120
Frequency
100
80
60
40
20
Bin
Figure 13.6 Histogram
95
80
65
50
35
20
195
196

You will note that the histogram apparently takes the shape of a uniform
distribution. However, as we constructed our 1,000 cell bank of random numbers
from a normal distribution then the chart is reassuring rather than surprising.
But note how, despite having been calculated from 1,000 random numbers, the
histogram does not follow a perfect uniform distribution: there will always be some
variations from the perfect normal distribution when bins are used.
FURTHER READING
Clegg, F. (2005) Simple Statistics: A Course Book for the Social Sciences.
Cambridge: Cambridge University Press, pp. 128. This is an excellent, readily
readable, authoritative account for students new to or lacking confidence in
statistics.
Burnham, P., Gilland, K., Grant, W., and Layton-Henry, Z. (2004) Chapter 5:
Descriptive Statistics. In Research Methods in Politics. Basingstoke: Macmillan.
pp. 11442. This account provides good advice on the charting of descriptive
statistics using examples from Politics.
Pennings, P., Keman, H., and Kelinnijhuis, J. (2006) Chapter 5: Explorative and
descriptive statistics. In Research Methods in Politics. London: Sage.
pp. 88131. This is an advanced text better suited to experienced researchers
wishing to develop their mathematical skills.
Chapter 14
Using and Understanding

Inferential Statistics
1. To understand what is meant by inferential statistics.

2. To learn how the normal distribution enables generalisations to be drawn
from the descriptive statistics of representative samples.
3. To learn how to calculate the confidence limits which can be attached to
opinion polls.
4. To understand the meaning of the null hypothesis and how it can be applied
to sample data.
Introduction
Consider the example of a survey of a random sample of 100 Labour party members
which reveals an average weekly net disposable income of 84.12 with a standard
deviation of 21.07. Twenty-six of the sample (i.e. 26%) regularly read The Guardian
newspaper. In terms of other (non-print) news media, 72% rely mainly on BBC TV
and radio services for national and international news.
Given this information from a small sample of people, then how can you calculate
the extent to which it is shared by the general population? Furthermore, how can
you tell whether or not your sample is representative in the rst place?
The answer is that you can use inferential statistics. These are:
a branch of applied mathematics or statistics based on a random sample. They let
the researcher make precise statements of the levels of confidence they have in the
results of a sample being equal to the population parameter (where a parameter is a
characteristic of the entire population drawn from a sample).
(Neuman, 2003: 539, 541)
The solution to drawing inferences from sample data lies in the attributes of the
normal distribution and the central limit theorem.
The normal distribution

In the previous chapter, you learned how to describe a series of data by the number
of terms, N , the arithmetic mean, X and the standard deviation, . The standard
deviation probably appeared contrived and of no real practical use. However,
consider the normal distribution in Figure 14.1
An important characteristic of the normal distribution is that 95% of the terms
will lie within two standard deviations (actually 1.96 SD) either side of the mean;
conversely, only 5% will lie outside two standard deviations. Of the terms, 99%
will lie within 2.97 SD. These characteristics can be expressed as probabilities.
A probability is the likelihood that an event will occur. For example, if an event
is certain like death albeit in the distant future then the probability is 100% or
1.00. Alternatively, a remote possibility like winning the UK national lottery next
week may be 0.001% or 0.00001. A one-in-four likelihood would be expressed
as a probability of 25% or 0.25. A bookmaker would give odds of 41 on an
event having a 25% probability. So, returning to the normal distribution, there is
100
80
Number of men
198
60
40
20
50 55 60 65 70 75 80 85 90 95 100 105 110 115

x 1 SD
x 2 SD
x 3 SD
Diastolic blood pressure (mmHg)
Figure 14.1 The normal distribution
a probability that of 95% or 0.95 any individual term will lie within 1.96 standard
deviations of the mean. This means that it is likely that 95 out of every 100 terms
will lie within 1.96 standard deviations of the mean. We can increase the likelihood
of any term lying in the distribution to 99% by increasing the span to 2.97 standard
deviations. There is therefore a trade-off between probability and accuracy.
Central limit theorem

The means of samples randomly taken from a population will always differ. This
difference is termed the sampling error. The central limit theorem (where a
theorem is a mathematical deduction accepted as a truth) effectively proposes that the
arithmetic means of large samples (greater than 30 terms) will approach a normal
distribution even where the population is not normally distributed. Therefore, by
referring to the distribution of terms in the normal distribution curve above, we
can say that 95% of all the sample means lies within 1.96 standard deviations of the
mean of the means.
(For samples of less than thirty terms, the sample means will follow the Students
T distribution. This is symmetrical and looks very similar to the normal distribution.
However, the spread of the distribution reects both the standard deviation and the
sample size. The accuracy of inferences from the T distribution is therefore lower
than from a normal distribution and decreases as the sample size falls.)
Standard error of the sample mean

The standard error of the sample mean, SE, provides the statistical method of
generalising from samples to populations. It estimates the likely variance and therefore
accuracy between the sample mean and population mean. Its formula is:
sd
SE =
n
where sd is the standard deviation of the sample and n the number of terms in the
sample (sample size)
The formula which brings together the characteristics of the normal distribution,
central limit theory and standard error of the sample mean is that, at 95% probability,
the population mean X , lies within 1.96 standard errors SE, of the sample
mean x, i.e:
X = x 1.96SE
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200
Consider again the initial example of a random sample of 100 Labour party
members that reveals an average weekly net disposable income of 84.12 with
a standard deviation of 21.07. So we can say that:
X = 84.12
Sd = 21.0
n = 100
The standard error, SE = sd/ n = 21.07/ 100 = 21.07/ 10 = 2.107

You can calculate the income of the population of all Labour party members at
a probability of 95% by substituting in the formula:
= x 1.96SEP
X

X = 84.12 (1.96)(2.107) = 84.12 4.12972 = 79.9902 to 88.24972
Alternatively, you can complete the calculation using Microsoft Excel. Open an Excel
spreadsheet. Then click on Insert and fx function. In the Insert Function dialogue
box, select the category statistical and scroll down the functions until you reach
CONFIDENCE. Click on OK. The Functions Argument dialogue box will appear
asking you to insert values for Alpha, Standard deviation and Size. Alpha is the
signicance level for which 95% is the default for Politics. For a signicance level of
95%, the Alpha is 0.05. The standard deviation is 21.07. The (sample) size is 100.
Insert these gures. The answer (formula result) of 4.129 will appear automatically at
the foot of the dialogue box. Click on OK and the answer will be entered in cell A1
(or any other cell that youve highlighted in advance).
What the manual or Excel calculations mean is that you can infer that 95 of
every 100 members of the Labour party overall will have a net weekly disposable
income of between 79.99 and 88.25. These two gures are termed the upper and
lower condence limits. The variance difference between these two gures is
termed the condence interval or margin of error. The margin of error can either
be expressed as the difference between the condence limits or their variance from
the sample mean. So, in the example above, we could report that the margin of error
was either 8.26 or 4.13. Note how the numbers calculated have been rounded
up to two places of decimals only in the nal answer: this avoids accumulated errors
which can occur where initial calculations are rounded up. If you wanted to learn the
likely spread of income of 99% of all party members, then we would use the gure
of 2.97SEs or an Alpha of 0.01. The result will be a condence interval of 5.42
This initial example of sample data also showed that, of our random sample of
100 Labour Party members, twenty-six of the sample (i.e. 26%) regularly read The
Guardian newspaper. In terms of other (non-print) news media, 72% rely mainly on
BBC TV and radio services for national international news. How can you calculate
the condence limits of likely Guardian readership and BBC news of other party
members from the sample?
In this case, you can use the standard error of the proportion, SEp where
SEp =
{p(1 p)/n}
Where p is the standardised proportion of the sample sharing the characteristic. So the value
p for 26% is 0.26; 100% would be 1.0.
To calculate the population proportion P, you can use a formula similar to that
using the standard error. In this case, at the 95% condence level:
P = p 1.96SEp
In our initial sample (% of Guardian readers):
p = 0.26 (i.e. 26% expressed as a proportion of one)
n = 100
Therefore, the standard error of the proportion:
SEp = {p(1 p)/n}
= {0.26(1 0.26)/100} = {0.26(0.74)/100}

= 0.043863244 (do not round up!)
Therefore, substituting in the equation:
P = p 1.96SEp
P = 0.26 (1.96)(0.043863244) = 0.26 0.0859723118
P = 0.2161365756 to 0.348597231182
Now, you can round up to say that P = 0.216 to 0.349 or, in percentage terms,
you can say that, at 95% condence limits, between 21.6 and 34.9% of all Labour
party members will read The Guardian.
Similarly, you can calculate that, if 72% of the sample relied on BBC news
services, then the percentage of the national members who also rely on the BBC
at 95% condence limits would lie between 63.2% and 80.8%. In this case, the
condence interval is 17.6%. This condence limit is obviously too large because
of the small sample size for useful inferences to be drawn. Greater predictive
accuracy requires much larger samples.
National opinion polls

Opinion pollsters NOP, Gallup, etc generally use a random sample of 1600.
Consider, therefore, the example of opinion polls which show that, by February,
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202
support for the government is slowly rising, whilst support for the main opposition
party is falling. The very latest poll (of 1600 electors) shows that 39% of the electorate
say that they will vote for the government if an election were held tomorrow and
33% for the main opposition. This is the highest level of support given for the
government for two years. Should the prime minister risk an election in May, or
wait another year? What is the margin of error?
In this case, the standard error of the proportion, SE p is 0.01219. There would
be a 95% probability that support for the government could lie between 36.6 and
41.4%. Conversely, opposition support could lie between 30.7% and 35.3%. At the
99% probability level, support for the opposition could conceivably be as great as
36.6% and therefore greater than the lowest level of support for the government at
35.5%. So, despite a 6% lead over the opposition and a national random sample of
1600, the government could lose the election.
The margins of error are therefore much larger than newspapers who commission
polls as a low-cost source of news admit. This is important because of the potential
effect of opinion polls in manipulating attitudes and discouraging people from voting
where they believe that the outcome is a foregone conclusion, e.g. UK general
elections in 2001 and 2005 (Heath and Taylor, 1999: 180).1 However, where the
proportion of the sample sharing the same characteristic rises to nearly 100% then
the margin of error falls considerably. So, if 90% of the sample of 1600 support the
governments policy on, say, tougher sentences, then, at the 95% condence level,
the margin of error falls to 1.5% either way, i.e. between 88.5 and 91.5%.
The null hypothesis
The null hypothesis is effectively the practical application of the test of falsiability
or fallibalism added by Popper (see Chapter 3). It is the assumption similar to the
assumption of innocence in UK and US law that the data is untrustworthy until
shown conclusively otherwise. It is generally explained as the concept of no difference. Its general application is to the control and experimental samples. Any difference
in the experimental group must rst be attributed entirely to chance. It can only
attributed to the effect of some stimulus (cause) when chance has been eliminated.
The null hypothesis is termed H0 and the alternative hypothesis our hunch is
termed H1 . H0 must be disproved shown to be false before H1 can be accepted.
In the case of samples and populations where only one variable is being studied
so-called univariate statistics the null hypothesis is that the sample has not been
drawn randomly from the population and is therefore not representative.
Is the sample representative?
To accept a sample as representative and therefore dismiss the null hypothesis, two
questions must be satisfactorily answered. First, is the sample genuinely drawn from
and statistically representative of the population? And, second, could the ndings
from the sample be entirely by chance?
To answer the rst question, you must verify that the sample is really drawn
from the population. In your initial example, the population was the national
membership of the Labour party. To be statistically reliable, the sample must be
randomly drawn from that population. So, if the sample were gained from only
one region or constituency of the UK, it would not be statistically representative.
A very small sample would be unlikely to be representative. You can also check
the sample against known characteristics of the population e.g. age or sex. So, if
the male/female ratio of the population is, say, 60:40 then you would expect that
of the sample to be similar. You can test this mathematically. The average age of
all party members is 59 (source: Labour party, London, January 2007) whereas the
average age of the sample is 57 with a standard deviation of, say, 3. You can use the
formula:
X = x 1.96SEp
Therefore, in your example:
X = 59 1.96(3/ 100) = 59 8.88

= 50.12 or 67.88
As you know that X is 59 and therefore between the upper and lower levels predicted
above, you can say that you are 95% condent that the sample could indeed have been drawn
from the population.
You can also investigate the signicance (the likelihood that any similarity between
sample and population means occurred entirely by chance) of the difference between
a population mean X , and the sample mean x, by using the t-test for a population
mean. Where the variance of the population is unknown, then the formula to
calculate the test statistic, t is
t = (x X)/(sd/ n)
In the case of the ages of the sample and population of the Labour party
X = 59
X = 57
sd = 3
n = 100
You will calculate that t = 6.67. By referring to the t-distribution tables published in
most statistical tables, you can see that, for degrees of freedom, df of 99 (i.e. n 1) and
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204
a probability level of 0.05 (i.e. 95% condence levels), the critical value of t is 1.65.
As your calculated t statistic is greater than the critical value, then you can conclude
with 95% condence that the data from the sample has not arisen by chance. The
null hypothesis can therefore be rejected and your alternative hypothesis that the
sample is statistically representative of the population accepted.
1. Work your way through each of the worked examples shown above at your own
pace to test and improve your understanding of the procedures.
2. Discuss what is meant by confidence level, confidence interval and confidence
limits. Where and why should they be used?
3. Develop your own table for calculating the confidence limits of opinion polls. In
column A enter sizes of sample from 10, 20, 30, 100, 200, 300, 3,000, 4,000,
5,000, 6,000, 10,000, 15,000, 20,000 100,000.You can use the Autofil routine
to simplify this process. In row 1, enter the percentages of the sample sharing the
same characteristic or attitude from 01, 02, 03 ,04, 05, 99%. Write your own
formula for calculating the confidence limits at 95% confidence levels, i.e. values
of 1.96( p(p 1)/n. Copy your formula across the spreadsheet and save.
FURTHER READING
Cambridge: Cambridge University Press. pp. 31124. This is an excellent text
for researchers who lack confidence or experience of statistical methods. The
text is supported by operation schedules which demonstrate the use of the
statistical techniques. A major strength is that the demonstration calculations
are undertaken manually rather than computed elsewhere.
Levine, D. and Stephan, D. (2005) Statistics: Even You Can Learn. London:
Pearson Prentice Hall. pp. 10323. This is a very readable account which
includes step-by-step instructions for using Microsoft Excel to complete
calculations and downloadable practice files.
De Vaus, D. (2002) Analysing Social Science Data: 50 Key Problems in Data
Analysis. London: Sage. pp. 147234. This is an advanced text which uses
SPSS for calculations. Its discussion of the principles involved in sample sizes,
significance and confidence intervals is good.

Kanji, G. K. (1999) 100 Statistical Tests. London: Sage. p. 27 t -test for a population
mean (variance unknown). This is another advanced text. It shows clearly which
tests should be carried out and includes simple worked examples and statistics
table.
Note
1 Heath, A., and Taylor, B. (1999) Chapter 9: New Sources of Abstention. In Evans, G. and Norris, P.
(eds.) Critical Elections. London: Sage. pp. 16480.
205
Chapter 15

1. To consider the concept of association between variables.
2. To learn how to test for association using correlation analysis and applying
tests of significance to the results.
3. To learn how association between variables can be expressed as equations.
4. To learn what is meant by regression and how to produce explanatory
equations between two or more variables by applying linear regression
analysis and multiple linear regression analysis.
Introduction
In the previous chapter (Chapter 14), you considered how individual measures of
characteristics of a sample could be generalised into statements about the population
from which they were drawn. However, only one characteristic was measured for
each member of the sample: whether they voted or belonged to a union, income and
strengths of attitude, etc. These are called univariate statistics, i.e. one number. But
a greater ambition of Politics research is to identify causes and effects the independent
variables and dependent variables. Because they involve two (paired) variables, they
are referred to as bivariate statistics. Where two or more independent variables
cause a particular outcome or effect they are termed multivariate statistics. By
convention, the independent variable (cause) is termed x, and the dependent variable
(effect or outcome), y. This relationship is expressed mathematically as:
y = f(x) i.e. y is a function of x.
The relationships between bivariate or multivariate variables may be linear (i.e. a
straight-line relationship), exponential, logarithmic or curvilinear. For example, empiric
research has shown that, given perfect choice between comparable locations, then
demand is a function of the ratio of their perceived utility and the perceived
costs expressed as the inverse of travel time to the power 1.8. This is known
as the transport equation which can be expressed as:

Di = {i (u/C 1.8 ) in (u/C 1.8 )}
What this means is that the likelihood of a decision-maker choosing to travel to
location i rather than any other location is a function of its perceived benets u, and
perceived costs C, by comparison to the perceived benets and costs of travelling
to other locations. This equation belongs to a family of so-called gravity models.
Politics research concentrates instead on linear relations between cause and effect.
Consider the data in Table 15.1 that shows paired data for relative pay and union density
(% of workers in a particular industry belonging to a trade union) in the ten highest
paid and ten lowest paid industries and services.
The issue of pay and union density has occupied politicians and Politics
researchers particularly labour historians for some time. The subject was of
particular importance in the 1970s when the Conservatives especially under
Mrs Thatcher believed that the unions were to blame for UK national decline
Table 15.1 Pay and union density.

MLH
Industry
485
262
101
Newspaper printing
Mineral oil refining
Coal mining
Underground workers
Air transport
Electricity and gas
Other printing
Port and inland Water
General chemicals
Aerospace eng.
Wholesale distribution
Textiles
Motor repairs and distribution
Industrial materials
Clothing
Retail distribution
Woollen worsted
Educational services
Catering
Agriculture
707
6012
489
706
271
383
812
XIII
894
8312
4419
8201
414
872
8848
1
Pay as % of all industry

and services
Union density
%
157.8
143.2
133.6
145.9
130.8
122.9
120.7
119.8
117.5
117.3
86.7
86.2
85.5
85.3
84.0
83.6
82.3
80.6
77.9
72.4
94
59
97
99
85
95
94
83
59
80
15
99
60
15
42
15
47
78
8
23
Source: Department of Employment, 1981: Table 54 where MLH is Minimum List Heading
207
because of their power to inate wages under threat of industrial action (strikes) and
their inuence on Labour governments. On the other hand, the trade unions argued
that they had been responsible for securing real improvements to living conditions
for workers and their families through free collective bargaining and responsible
partnership with Labour governments. (Few argued that increases in pay caused
union membership to rise.)
You can chart the data in Excel as an XY scatter graph:
Pay as % of all other industries
and services
208
180
160
140
120
100
80
60
40
20
0
0
50
100
Union density %
150
Figure 15.1 XY graph of Table 15.1, Union density and pay, 1981
You will see that, as union density rises, pay also appears to rise. The graph would
appear to support the belief shared by Left and Right that higher union density
can be associated (related to or connected with) with higher pay. However, note
that there are some sectors where high union density is not associated with high
pay especially in textiles and education services. But generally the relationship
could be represented as a straight line and, therefore, described as linear. This linear
relationship might be expressed as an equation:
Pay = po + (g) Union density
Where po is (basic) pay levels where unionisation is nil (zero) and g is the gradient
(steepness, slope) of the straight line.
Measuring association
Apparent association can be measured by calculating the coefcient of
correlation, r.
This coefcient was rst devised by Sir Francis Galton (18221911), a gentleman
mathematician, brother-in-law of Charles Darwin. He was also the father of eugenics,
a discipline founded on the scientic belief that the physical and mental abilities of
society should be improved by selective breeding. Galton found that, when he

compared the heights and weights, etc, of people, shorter people produced taller
children and vice versa and underweight people produced heavier children etc. He
described this tendency as regression literally going back. Furthermore, the tendency
of pairs of characteristics to regress could be measured by the coefcient of correlation
and expressed as a linear regression equation.
The statistical formulae used in regression analysis are complex. They essentially
perform ANOVA: the analysis of variances between variables. Simply put, this involves
calculating the means and seeing whether the variances of the paired variables show
commonality. There are various statistical formulae to calculate the coefcient of
correlation, r. Pearsons r is the most widely used.
Correlation is expressed on the scale between (+1.00) and (1.00) where +1.00
indicates perfect positive correlation, 0.00 means no correlation and 1.00 indicates
perfect, negative correlation. Their respective graphs are shown in Figures 15.2a and
15.2b. Figure 15.2c shows a distribution with a low or nil correlation.
12
12
10
10
8
Series1
Series1
10
15
10
15
9
8
7
6
5
4
3
2
1
0
Series1
10
15
Figure 15.2 a: Perfect positive correlation, b: Perfect negative correlation, c: little or

no correlation
A correlation coefcient r of greater than 0.3 is statistically important. However,

in the social world, a correlation of greater than 0.7 may indicate collinearity, i.e.
both variables may be the product of the same, unseen variable. Positive correlations
are recorded where the variables both increase (or decrease) together, e.g. income
and expenditure. Negative correlations are recorded when one variable increases
and the other decreases, e.g. car-ownership and the likelihood of owners supporting
the Labour Party. The general rule-of-thumb is that where:
r = 0.1: the association is termed of small importance
r = 0.3: the association is termed of medium importance
r = 0.5: the association is termed of large importance
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210
This interpretation is derived from the coefcient of determination, R 2 . This is

the square of the coefcient of correlation, r. It is the proportion of the variance in
one variable that can be explained or attributed to the other. So, where:
r = 0.1, R 2 = 0.01, this means that 1% of the association can be attributed
Correlation is a measure of association. But evidence of association does not necessarily

mean causation: theoretical exposition and explanation are required.
Calculating regression statistics

The equations for calculating coefcients of correlation is complicated. Fortunately,
regression statistics can readily be performed using Excel.
Calculation of regression statistics should only be carried out after the data has
been plotted as a chart to show whether or not there is prima facie (at rst sight) signs
of apparent association. The data must be entered in a spreadsheet in which the
paired data are recorded side-by-side in columns (see Table 15.1). The next steps
involve clicking on Tools and then Data Analysis. When the Data Analysis dialogue
box opens, click on Regression and OK. The Regression dialogue box will appear.
By way of example, use the data from Table 15.1 (Union density and pay). In
the Input Y Range, enter the addresses of the rst and last cells of the columns of pay,
i.e. C8:C27. In the Input X Range, enter the addresses of the rst and last cells in the
column of union density, ie, D8:D27. Click on New Worksheet Ply and OK. The
following results will appear:
The most important statistics have been highlighted. They are:
Multiple R 0.688452
Intercept 71.48414
X Variable 1 0.564809
What do they mean? They mean that the coefcient of correlation (termed
Multiple R in Excel) is +0.69, that the point where the straight line crosses the
Pay axis is 71.50 and the gradient of the straight line is 0.56 (which means that,
for every change in union density of 1%, pay will increase by 0.56%). The linear
equation between pay as an outcome of union density is therefore:
Pay = 71.5 + 0.56 Union Density

Table 15.2 Summary output of regression analysis of data in Table 15.1
Summary Output
Regression Statistics
Multiple R
R square
Adjusted R square
Standard error
Observations
0.688452
0.473966
0.444742
20.01117
20
ANOVA
Regression
Residual
Total
Intercept
X Variable 1
df
1
18
19
SS
6494.574
7208.046
13702.62
MS
6494.574
400.447
F
16.21831
Significance F
0.00079
Coefficients
Standard
Error
9.822873
0.140249
t-value
P-value
Lower 95%
Upper 95%
7.277314
4.027196
9.18E-07
0.00079
50.84703
0.270157
92.12124
0.859461
71.48414
0.564809
Other results are also useful. As previously explained, R Square (written R 2 ) is the
proportion of Y (outcome) that can be attributed to X (cause). In this case, it is 0.47.
So 47% of pay can be attributed to union density. So there must be other drivers.
What might they be? The Adjusted R Square is a more sophisticated and reliable
estimate than R Square. In this case, Adjusted R Square is 0.45.
However, before you can accept relatively high coefcient of correlation of +0.69
as evidence of association, you must be able to refute the null hypothesis. If your
starting hypothesis, H1 was that union density affects pay, then the alternative
hypothesis, H0 must be that there is no causal relation and that the association
between data has arisen entirely by chance. In other words, you must be able to
show that the data and results are statistically signicant
There are various statistical tests of signicance for paired data. They include the
Pearson product-moment correlation, Z-test and t-test. Perhaps the simplest way, is to
use the condence interval estimate of the slope. This is calculated by multiplying the
t-statistic by the standard error of the slope and then adding and subtracting this product
to the gradient. This sounds complicated. But, fortunately, Excel has already done
this. The results are at the foot of the summary output of Table 15.2:
This shows that, at 95% condence levels, the upper and lower levels of the
gradient are 0.270 and 0.859. Because these gures are greater than 0, then you
can be satised that a signicant relationship exists between the union density and
pay data. The null hypothesis can therefore be refuted. Alternatively, you can refer
in statistical tables to the Critical Values of Pearsons r. These will tell you critical
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212

Table 15.3 Extract from summary output in Table 15.2
Intercept
X Variable 1
Coefficients
Standard
Error
t-value
P-value
Lower 95%
Upper 95%
71.48414
0.564809
9.822873
0.140249
7.277314
4.027196
9.18E-07
0.00079
50.84703
0.270157
92.12124
0.859461
values of r for a given sample size and levels of signicance. You will note that, for a
level of signicance of 0.05 (95%) for a one-tailed test for a sample size of 20, the
critical value of r is 0.378. Because your calculated r (of 0.69) is greater than the
critical value, you can conclude that the association between union density and pay
is statistically signicant at 95% condence limits.
Another simple alternative is to use the P-value automatically calculated by Excel
and included in Table 15.3. The P-value is the observed level of signicance. Basically,
you can reject the null hypothesis Ho if the P-value is less than the level of signicance
you have chosen (typically 0.05 in Politics research) and vice versa: if the P-value is
low, then Ho can go. In the example, the P-values are well below 0.05 and the null
hypothesis can be rejected.
You will note that statistics tables distinguish between one-tailed and two-tailed tests.
The default position in politics research is the one-tailed hypothesis: that, as one
variable increases (say, union density), the other (pay) will also increase. However,
there may be circumstances where, although you hypothesise that, as one variable
changes, the other will also change but you cant predict whether it will go up or
down. In that case, your hypothesis will be two-tailed. What this means is that,
for the same condence limits, the critical value of r will have to be much higher if
signicance is to be attributed.
Regression analysis also enables predictions to be made of variables for which data
is not available. You will recall that the linear regression example for pay/union
density was:
Pay % = 71.5 + 0.56 Union density
So you can calculate that, for a union density of, say, 50%, pay will be:
= 71.5 + (0.56)(50) = 98.5%
The predicted value of a term is denoted by a hat sign. So, a predicted value of y
is denoted by y and called y hat. In the example above, the predicted value of pay
is called pay hat. However, if we substitute data in the formula from our original
paired data, there is a difference between predicted pay (pay hat) and recorded pay.
For example, in Table 15.1, the pay and union density for distribution are 85.5 and
60%. But if we substitute a union density of 60 in the formula:
Predicted pay (pay hat) = 71.5 + (0.56)(60) = 71.5 + 33.6 = 105.1
This difference between predicted value (105.1) and actual data (85.5) is called the
residual error. It is represented by the Greek letter (pronounced epsilon).
The general equation for linear regression is therefore:
y = a + bx +
where:
y is the outcome (effect)
a is the y-intercept (value of y when x is 0)
b is the gradient
x is the cause
is the residual error.
The use of regression analysis to calculate y can only be used between the range of
values for x for which data is available.
Multiple linear regression analysis

The example of pay/union density showed that, despite a high coefcient of
correlation of 0.69, less than half (0.47) of the change of pay could be attributed
to changes of union density. Inevitably, in a complex social and political world in
which everything seems related to everything else, other variables will be involved.
So most regression analysis undertaken by Politics researchers involves multiple
linear regression analysis whose general equation is:
y = A + B1 x1 + B2 x2 + B3 x3 + . . . + Bn xn
where x1 , x2 , x3 , xn are the various independent variables.
Returning to the example of pay/ union density, you can anticipate that
other, subordinate independent variables are involved. What might they be? Your
theoretical and literature review is likely to have identied some of these other
variables. They may include the physical concentration of workers, the proportion
of male workers (whose pay and conditions have been historically much greater than
women), and the extent to which the industries have to compete globally (thereby
creating downward pressures on pay), and whether they are protected by tariffs or
enjoy other advantages which give them a near monopoly in the home market.
213
214
Calculating multiple linear regression equations

using Excel
Assume that you have found other, comparable, additional data from government
sources for the proportion of the workforce employed in plants of 500 or more, the
male proportion of the workforce, and UK market share. These are combined with
your initial data in Table 15.4.
Table 15.4 Pay/union density, workplace size, males and
UK market share, 1981
Pay
Newspaper printing
Mineral oil refining
Coal mining
Underground workers
Air transport
Electricity and gas
Other printing
Port and inland Water
General chemicals
Aerospace eng.
Wholesale distribution
Textiles
Motor repairs and distribution
Industrial materials
Clothing
Retail distribution
Woollen worsted
Educational services
Catering
Agriculture
157.8
143.2
133.6
145.9
130.8
122.9
120.7
119.8
117.5
117.3
86.7
86.2
85.5
85.3
84.0
83.6
82.3
80.6
77.9
72.4
Union
density
% of Workers
in Plants of
500+
94
59
97
99
85
95
94
83
59
80
15
99
60
15
42
15
47
78
8
23
40
65
70
10
35
22
24
65
78
85
34
71
18
69
47
26
73
12
11
0
% Men
95
92
99
60
55
85
73
97
96
88
82
22
77
88
28
62
26
45
13
79
% UK
Market
Share
95
90
85
100
45
100
60
100
37
38
91
36
87
33
47
82
31
91
77
65
Your rst step is, once again, to produce an XY graph of the data:
You will note in the chart that there is prime facie evidence of association
between pay and the proportion of male workers and proportion of the domestic
market. However, there is little evidence of a strong relationship between pay
and the proportion of workers employed in plants of more than ve hundred
workers.
You can complete the multiple linear regression analysis in entirely the same
way as the linear regression analysis. The summary output is shown in
Table 15.5.
Pay, union density,

worplace size, men
and UK market share
Pay/other variables
200
Pay
150
Union density
100
% of workers in
plants of 500+
50
% Men
0
0
10
15
20
% UK market share
25
Industrial and service sectors

Figure 15.3 XY chart of variables in Table 15.4
Table 15.5 Multiple regression output summary from Table 15.4

Regression Statistics
Multiple R
R Square
Adjusted R square
Standard error
Observations
ANOVA
df
Regression
4
Residual
15
Total
19
Coefficients
Intercept
X Variable 1
X Variable 2
X Variable 3
X Variable 4
35.2295
0.463829
0.144154
0.315062
0.214856
0.813484
0.661756
0.571558
17.57806
20
SS
9067.796
4634.824
13702.62
MS
2266.949
308.9883
F
7.336683
Significance F
0.001757
Standard
Error
18.32924
0.130775
0.206786
0.174371
0.221124
t Stat
P-value
Lower 95%
Upper 95%
1.922038
3.546763
0.697117
1.806843
0.97165
0.073805
0.002929
0.496393
0.090885
0.346633
3.83837
0.185088
0.2966
0.0566
0.25646
74.29738
0.74257
0.584909
0.686726
0.686171
By default, Excel has automatically designated the variables of union density,

workers in plants of 500 staff or more, etc., as X variables 1, 2, 3, and 4. You will
note that the overall coefcient of correlation for the entire range of variables has
risen to 0.81 (high, positive correlation) and that 66% of changes in relative pay can
be attributed to the four, potential causal factors.
The multiple regression equation is therefore:
y = 35.2 + 0.46x1 + 0.14x2 + 0.31x3 + 0.21x4 +
215
216
That is:
Relative Pay % = 35.2 + 0.46 [Union Density %] + 0.14 [%Workers in plants
of 500+] + 0.31 [% male workers] + 0.18 [% UK market
share] + residual error
However, when you examine the values for the Lower and Upper 95%
condence limits, you will note that these extend across zero (e.g. Variable 2
from 0.32 to + 0.49). The null hypothesis cannot therefore be rejected. Similarly,
the P-values for X2, X3 and X4 are higher than 0.05 which also means that the null
hypothesis cannot be rejected.
The regression summary does not include the coefcients of correlation between
pay and each of the four individual variables. To calculate these, click once again
on Tools and Data Analysis. In the Data Analysis dialogue box, scroll upwards to
correlation and click. In the Correlation dialogue box, insert the rst and last cells of the
ve columns of data (B3:F22) in the Input Range box and click OK. The output
appears in Table 15.6.
Table 15.6 Correlation coefficients of all variables
Column 1
Column 2
Column 3
Column 4
Column 5
Column 1
Column 2
Column 3
Column 4
Column 5
1
0.688452
0.199587
0.537148
0.32949
1
0.158195
0.199638
0.168877
1
0.225699
0.52341
1
0.314504
Where Column 1 is pay, Column 2 is union density, Column 3 is workers

in larger plants, Column 4 is male workforce and Column 5 is UK market share.
The coefcients of correlation between pay and union density is (as previously
calculated) 0.69, workers in large plants 0.20, male workforce 0.54 and UK market
share 0.32. Note also how Excel calculates the coefcients of correlation between
all the variables, e.g. the coefcient of correlation between UK market share
and workers in large plants is 0.49. This additional data indicates that there
may be some previously overlooked relationship between apparently independent
variables.
The display in Table 15.6 is called a correlation matrix also termed the
R-matrix. It is the building block from which factor and cluster analysis are developed.
These are the subject of the next chapter (16).
Pitfalls of linear regression analysis

Excel and other software enable linear regression analysis to be completed quickly.
Paradoxically, the greater simplicity increases the likelihood that errors will be made
in the process and interpretation of the summary output. The greatest errors arise
from the pitfalls of:
1. applying the formulae before first considering the likelihood of relationship if any in
theoretical terms and without creating XY graphs of variables
2. failing to identify collinear variables
3.
4.
5.
6.
failing to interpret the summary output correctly

misapplying or misinterpreting the tests of significance
consequently, wrongly rejecting or accepting the null hypothesis
predicting values of y outside the range of known x data.
1. Correlation does not necessarily mean causation. Discuss. Explain how you would
investigate a high correlation for causation.
2. The table shows paired data for the total number of UK workers registered as
unemployed and membership of the British Communist party, 192939.
Table 15.7 Paired data:192939
Year
UK Unemployed (000s)
CP Membership
1929
1930
1931
1932
1933
1934
1935
1936
1937
1938
1939
1,216
1,917
2,630
2,745
2,521
2,159
2,036
1,755
1,484
1,791
1,514
3,200
2,555
6,279
5,600
5,700
5,800
7,700
11,500
12,250
15,570
17,756
Is there any evidence of association between unemployment and party membership between 1929 and 1939?
Using Excel, draw an X Y graph of unemployment on the x-axis and CP
membership on the y-axis.
Calculate the coefficient of correlation.
Calculate the linear regression equation.
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218

Calculate the contribution made by unemployment to CP membership.
Test the statistical significance of the calculation. Can the null hypothesis be
dismissed?
The data shows that, after 1934, CP membership increased whilst unemployment fell. What other causes of increasing CP membership can you suggest
and why?
3. Read carefully the extract from the publication by Rallings, C., and Thrasher, M.,
(1997) Local Government Elections in Britain, London, Routledge, pp. 4663.
Examine the relevant 2001 census data for the wards of a UK city of your choice
from web-site www.neighbourhood.statistics.gov.uk.
On the basis of the information given in the selected text and the census data
available, set out an hypothesis to the research question: which three factors are
most likely to have affected electoral turnout in local elections in your chosen city?
Find and save the most recent headline election data for ward turnout for all of
the wards in your selected city from its web-site www.[selected city].gov.uk
Select three independent/collinear variables from the census information for
testing your hypothesis.
Transpose the data for ward names, turnout and your three selected census
variables into a single spreadsheet. Produce X Y charts of the data.
Using Microsoft Excel spreadsheet software, create a spreadsheet consisting
of all wards, the turnout data and the three variables you have selected from the
census data.
Calculate the coefficients of correlation between turnout and selected census
characteristics. What inferences can you draw from the association of turnout and
selected census data? Are the data significant? What limitations do you attach
to these inferences? Using the appropriate formula within Excel, calculate the
multiple linear regression equation between ward turnout (Y ) and the independent
variables (X1 . . .Xn ).
Your submission should be no less than 2,000 words in report form. It must
critically review the text by Rallings and Thrasher and clearly justify your choice
of potential independent variables. You must then explicitly describe, justify
and explain the analytic techniques you have adopted, the results, the linear
regression equation calculated and the limitations attached to the output.
FURTHER READING
Clegg, F. (2005) Simple Statistics. Cambridge: Cambridge University Press.
pp. 12440. Clegg provides a readable and authoritative introduction to
correlation and provides worked examples in pp. 16787.

Levine, D. and Stephan, D. (2005) Chapter 10: Regression Analysis. In Statistics:
Even You Can Learn. London: Pearson Prentice Hall. pp. 182208. This is a
very readable account which includes step-by-step instructions for using
Microsoft Excel to complete calculations and downloadable practice files.
Kanji, G. K. (1999) 100 Statistical Tests. London: Sage. This is another advanced
text. It shows clearly which tests of significance should be carried out with
simple worked examples and statistics tables.
Lewis-Beck, M. S. (1995) Data Analysis: An Introduction. London: Sage. This
relatively short book (77 pages) provides a good introduction for students with
experience of higher mathematics. It also provides additional, valuable
guidance on tests for association for nominal data (using Goodman and
Kruskals Lambda) and ordinal data (Kendalls tau) which will be especially
helpful to researchers intending to use comparative method (pp. 228).
Pennings, P., Keman, H. and Kelinnijenhuis, J. (2006) Chapter 6: Multivariate
Analysis and Causal Inference. In Doing Research in Political Science. London:
Sage. pp. 13282. This is a very advanced text which demonstrates the
application of regression analysis to Politics case studies.
219
Chapter 16
Applying Factor Analysis and

other Advanced Techniques

1. To understand the meaning and application of factor analysis and cluster
analysis.
2. To learn how to carry out factor analysis.
3. To introduce other advanced functions and techniques including the binomial
and Poisson distributions and time series analysis.
Introduction
You may have noticed that UK research methods textbooks rarely go beyond linear
regression analysis because of space and complexity. This is unfortunate for two
reasons. First, the data and software now available to researchers make more advanced
statistics much easier to apply. And, second, the more advanced techniques are,
paradoxically, more useful they are than the basic descriptive or inferential statistics
with which you are more likely to be familiar.
The underlying purpose of this chapter is, therefore, to widen your appreciation
of the new possibilities in quantitative data analysis readily available to you to achieve
more practical and adventurous research.
Factors and factor analysis

Chapter 15 ended with an example of a correlation matrix which showed how
the independent variables shared some small degree of association. However, no
causal connection was inferred from the analysis. This demonstrates the old
adage (saying) that, in the social world, everything seems related to everything
else in complex ways and patterns. Factor analysis enables you to simplify that
complexity.
Applying Factor Analysis and other Advanced Techniques
Consider, for example, the physical and social character of many of the inner
city areas of western cities located between the city centre (US central business
district, CBD) and the outer rings of better suburban housing (rst identied
by Park, 1925 and Wirth, 1928 of the Chicago School).1 Physically, the inner
city remains characterised by decaying, predominantly older, high-density, terraced
housing. Most is privately rented. The larger houses have been sub-divided into
houses in multiple occupation (HIMOs). The schools, parks and shopping areas
are dilapidated. The roads are congested with trafc moving between the suburbs
and the city centre. Most of the mills, factories and other industrial buildings have
closed. Air quality is poor. Socially, the area has become the entry point for successive
waves of immigrants. Other temporary migrants include students and other single
people or single parents seeking lowest-cost housing. Turnover is high. There is
also a large number of single, older pensioners living on low-incomes. Many suffer
chronic illnesses. There is a relatively high level of drug and alcohol abuse, and
street crime. Economically, job opportunities and wages are very low. Most of the
residents rely on some form of income support from the state. In other words, these
physical, social and economic characteristics come together cluster in the inner
cities of the western world. The geographical clusters are termed areas of multiple
deprivation.
Governments and local authorities have developed statistical indices of deprivation.
They combine census data on: population age, household size, employment, health,
and housing conditions, with other data on: incomes, benets and health treatments.
The UK government uses the indices as part of the funding formulae (developed by
multiple linear regression) to distribute central government grants in an objective
(but contested) framework to local authorities, police and health trusts. Local
authorities also use the indices to identify the localities in greatest need and to
lobby government for additional resources. Both use indices to measure changes
over time and the success or otherwise of intervention.
Why these characteristics co-locate is disputed. That dispute is fundamental to
political divisions in society. The Right explains the inner city as the manifestation
of conditions which are created where individuals choose a lifestyle of welfare
dependency: they get what they deserve. The policy solution therefore lies in welfare
cuts to force them to work and become self-reliant. (My grandfather, a self-made
businessman, alderman and church warden subscribed to this view despite both his
grandmothers having died in workhouses.) On the Left, inner city residents are seen
as the victims of a capitalist economy in which those unable to work or nd work and
therefore with the least economic power are consigned to the worst areas by market
forces. They are prescribed meagre handouts and a large police presence to prevent
them from challenging the system. The solutions advocated include redistribution of
income, greater income support and empowerment of local institutions. The Centre
takes a slightly ambivalent view in which the inner city is seen as a cost to the national
economy, in which the residents are underused resources. The solutions therefore
221
222
rely on education, training, capacity building and a combination of incentives and

sanctions to encourage participation.
So, whats all this to do with factor analysis?
Well, the underlying principle of factor analysis is that, where characteristics (like
poor health, housing and incomes) occur together, they may be the observable
symptoms of underlying common factors also called latent variables. Where the
symptoms can be measured quantitatively, then the number and strength of factors
can be statistically identied. These factors point to underlying causes, for example,
the role of institutions and those whose interests are served by them. But, whilst
factor analysis can identify the factors, the labels social exclusion or underclass
must be assigned by the researcher.
Factor analysis serves three main purposes. First, the analysis enables the underlying
structure of a complex set of variables to be identied. Second, it can reduce
and compress the raw data to more manageable evidence. And, third, it enables
researchers to develop more effective and efcient follow-up questionnaires or other
surveys which directly target the key underlying factors.
Factor analysis
Factor analysis involves four stages:
1. First, an R-matrix is produced. This enables the variables with the highest coefficients
of correlation to be identified. It also enables the clusters of variables to be detected by
visual analysis. Consider for example, the (simplified) R-matrix in Table 16.1. Note that
the R-matrix is called a square matrix because there are as many rows as there are
columns:
Table 16.1a R-matrix
Variable 1
Variable 2
Variable 3
Variable 4
Variable 5
Variable 1
Variable 2
Variable 3
Variable 4
Variable 5
1
0.5
0.4
0.1
0.1
1
0.3
0.1
0.1
1
0.1
0.2
1
0.7
2. Second, the underlying factors are extracted from the R-matrix. The simplest method
is called principal factor extraction. When you shade or colour the cells containing
coefficients of correlation with a value of 0.3 or more, then two clusters become apparent:
You will note from Table 16.1a that variables 1, 2 and 3, and variables 4 and 5 show
high degrees of association. The two separate clusters they form are termed the two

Table 16.1b R-matrix : higher correlations shaded
Variable 1
Variable 2
Variable 3
Variable 4
Variable 5
Variable 1
Variable 2
1
0.5
0.4
0.1
0.1
1
0.3
0.1
0.1
Variable 3
Variable 4
Variable 5
1
0.1
0.2
1
0.7
principal factors. These factors can be named A and B. In this stage, the eigenvalues
are calculated. The eigenvalue is the measure of the variance in the original variables
that can be attributed to a particular factor.
3. Thirdly, the principal factors are rotated using the varimax procedure (which maintains
the independence of the factors) in which the factor axes remain at right angles to one
another. What this means is that the variables are plotted along the axes of the factors.
This is shown diagrammatically below:
0.8
0.7
Factor B
0.6
0.5
Factor B
0.4
0.3
0.2
0.1
0
0
0.1
0.2
0.3
0.4
0.5
0.6
Factor A
Figure 16.1 Factor chart
4. Lastly, the factor scores are calculated. These are estimates of the peoples individual
standing with regard to the factors identified.
This procedure sounds complicated. But advanced computer software enables

the process to be completed in a small number of commands. However, whilst the
R-matrix can be calculated using Microsoft Excel, the subsequent steps are currently
beyond its capacity. You have two alternative courses of action. First, you can
use add-ons to Excel such as WinStat taking advantage of the 30-day free trial
period. These add-ons can be bought for around 100. Or second, you can use
one of the advanced statistical software packages such as SPSS, STATA or Minitab.
You are likely to nd that your university already supports one or more of these
223
224
on its network. Alternatively, you may nd that you can buy your own copy from
your computer services under special annual licences for the cost of the CD-ROM,
i.e. 5. But you will only be able to renew the licence as long as you are a student or
employee of the university. After that you will have to pay to purchase the software
(1200 for SPSS) and pay the annual licence renewal (around) 200. But you can
download a copy for a 30-day trial period.
SPSS
SPSS will be used for factor analysis. SPSS was originally the acronym for Statistical
Package for the Social Sciences. More recently, the acronym has changed to Statistical
Product and Service Solutions as the company has extended its range of products
and customers beyond its original academic base. The web-site is www.spss.com.
Remember that learning to use a different type of software is like learning a new
language: it is useful and develops your intellect.
The software can appear initially perplexing but it is very easy and has become
more intuitive to use. SPSS uses a full Windows environment. Like Excel, all the
data is held on a single spreadsheet called the Data Editor. This has two alternative
screens: a Variable View and a Data View.
The Variable View is the spreadsheet where you enter the variables as separate
rows and nominate the name, type, width, decimals label, values etc. For example, these
might be: name (age of respondent), type (numeric), width (4), decimals (2), label (age), etc.
The Data View is the spreadsheet where you enter your data. In this spreadsheet,
the variables occupy the columns whilst each case is entered as a new row.
How to carry out factor analysis using SPSS

Consider the example where you want to nd out what the public thinks should be
the most important characteristics and qualities of candidates for the post of prime
minister.
Following a pilot study, you reduce the characteristics to twenty-one attributes:
(their) age (youthfulness); sex (male or female); appearance; religion; origins
(class); peccadilloes (known or alleged personal misbehaviour); family (partner
and children); wealth; identity (notably English, Scots, etc); speech (speaking and
debating abilities); modernity (not old-fashioned); honesty; sincerity; integrity; guile
(cunning); principle; loyalty; courage; patriotism; and, Euroscepticism (anti-EU).
You enter these variables in the opening Variable View shown in Table 16.2.
Note how an additional variable, cases has been added to the Variable View. The
cases are the individual members of the public whom you have asked to rate the
importance they attach to each of these short-listed characteristics on a scale of 0 to
10 (where 0 is least importance and 10 is highest importance). The members of the
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
Age
Sex
Appearance
Religion
Origins
Peccadillos
Family
Wealth
Identity
Speech
Modernity
Honesty
Sincerity
Integrity
Guile
Intellect
Principles
Loyalty
Courage
Patriotism
Eurosceptic
Cases
Name
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Type
Table 16.2 Variable view
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
8
Width
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Decimals
Age
Gender
Looks
Religion
Background
Peccadillos
Private/family life
Wealth
Regional identity
Speaking skills
Modernity
Truthfulness
Sincerity
Integrity
Guile
Intellect
Principles
Loyalty
Courage
Patriotism
Euroscepticism
Case number
Label
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
{1, case number}
Values
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
None
Missing
4
3
4
4
3
3
4
4
3
4
4
4
4
4
4
4
4
4
4
4
4
8
Columns
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Right
Align
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Scale
Measure
226
general public will have been randomly selected. The sample size will be 630, i.e.
calculated at 30 people per variable.
You will enter the data collected in the Data View. The Data View for the rst
ten cases is shown in Table 16.3.
Starting the factor analysis procedure is relatively simple. On the Data View, click
in turn on:
Analyze
Data Reduction
Factor Analysis
On the Factor Analysis dialogue box, highlight all the variables listed in the left-hand
pane except cases. Then, click in turn on:
The higher radio button this will transfer the list of variables to the pane marked
Variables
Descriptives
In the Factor Analysis: Descriptives dialogue box, click in turn on:

Univariate descriptives
Initial solution
Coefficients (Correlation Matrix)
Reproduced
Continue
You will return to the Factor Analysis dialogue box. Now click in turn on Extraction.
In the Factor Analysis: Extraction dialogue box, click in turn on:
Principal Components (Method)
Correlation matrix
Unrotated factor solution
Scree plot
Eigenvalues over 1
Continue
You will return once again to the Factor Analysis dialogue box. Click on Rotation.
In theFactor Analysis: Rotation dialogue box, click in turn on:
Varimax
Rotated solution
Continue
1
2
3
4
5
6
7
8
9
10
7
4
9
1
2
0
3
0
7
2
6
8
1
1
2
9
9
0
9
9
8
8
8
4
8
9
8
2
8
8
0
4
2
1
0
1
0
0
5
7
5
8
1
1
0
7
0
0
6
5
3
8
2
1
0
1
0
0
7
8
5
8
4
3
1
3
1
0
8
7
2
8
2
1
0
5
0
0
5
8
4
9
5
2
5
5
9
0
8
9
7
8
8
6
9
7
8
9
9
8
6
2
9
4
7
2
8
9
2
2
6
7
7
9
7
6
4
5
6
5
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8
7
9
7
7
4
5
6
5
7
6
7
9
6
8
4
5
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5
7
8
8
5
8
9
8
8
8
8
8
5
6
7
8
4
7
9
5
7
9
7
7
8
6
6
5
8
7
7
7
8
7
7
7
7
8
8
7
7
7
8
8
6
6
8
9
8
8
9
8
9
7
7
4
8
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5
9
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9
3
2
0
9
9
5
9
9
1
2
3
4
5
6
7
8
9
10
Age Sex Appear- Religion Origins Peccadi- Family Wealth Identity Speech Modernity Honesty Sincerity Integrity Guile Intellect Principles Loyalty Cour- Patriot- Euroscepti- Cases
ances
llos
age
ism
cism
Table 16.3 SPSS Data View (cases 110 only of 630 cases)
You will nally return to the Factor Analysis dialogue box where you will
click on OK.
The output will appear immediately on a new screen. This will consist of nine
tables and one chart. The most important for your purposes are the Total Variance
Explained, the Scree Plot and the Rotated Component Matrix
Part of the Total Variance Explained is shown below in Table 16.4. You will note
that Component 1 (i.e. Factor 1) has an eigenvalue of 8.7 and explains 41.6% of the
variance. Component 2 explains 24.6% of the variance. Five components (factors) have
eigenvalues greater than 1.0 and explain 88.9% of the variances overall.
The table is illustrated in the Scree Plot which shows the components having the
highest eigenvalues.
Table 16.4 SPSS output: total variance explained
Total Variance Explained
Component
Initial Eigenvalues
Total
1
2
3
4
5
6
7
8
9
% of Variance
8.7
5.2
1.9
1.7
1.2
0.8
0.8
0.5
0.2
41.6
24.6
9.0
8.0
5.7
3.9
3.7
2.4
1.2
Cumulative %
41.6
66.2
75.2
83.1
88.9
92.7
96.4
98.8
100.0
8
Eigenvalue
228
6
4
2
0
1
9 10 11 12 13 14 15 16 17 18 19 20 21
Component number
Figure 16.2 SPSS output: scree plot

Table 16.5 SPSS factor analysis: rotated component matrix
Component
1
Wealth
Peccadillos
Private/family life
Religion
Modernity
Background (class)
Patriotism
Euroscepticism
Gender
Regional identity
Truthfulness
Sincerity
Integrity
Courage
Loyalty
Principles
Looks
Guile
Intellect
Speaking skills
Age
.961
.948
.917
.883
.867
.862
.664
.641
.620
.560
.136
.350
.104
.143
.324
.149
.570
.168
.114
.115
.235
.335
.606
.395
.354
.922
.911
.883
.819
.664
.291
.444
.211
.442
.125
.195
.228
.200
.294
.522
.539
.205
.126
.235
.151
.835
.784
.641
.619
.108
.205
.194
.196
.566
.301
.313
.245
.376
.151
.237
.266
.105
.312
.180
.387
.106
.320
.168
.445
.408
.247
.846
.948
Notes:
Extraction method: principal component analysis.
Rotation method: varimax with Kaiser normalization.
A rotation converged in seven iterations.
The rotated component matrix is shown in Table 16.5. This matrix identies the
relationship between the original 21 variables and the ve principal components
into which the data can be reduced. Components 1 and 2 are clearly the most
important. Component 1 shows very high values for wealth, peccadilloes, private/family
life, religion, background (class), patriotism, euroscepticism and gender. You must now
interpret this result to identify what is the family of characteristics incorporated
in Component 1 interpretation as traditional values. Indeed, these are the
characteristics associated with the Conservative party. The strongest characteristics
of Component 2 are courage, loyalty and guile. (Sincerity and truthfulness are negative
aspects here.) One interpretation of these characteristics might be street ghting
qualities.
The analysis shows that two factors dominate the characteristics that the British
public wish to see in candidates for prime minister. These can be labelled
traditional values and street ghting qualities. Age and intellect are not important.
229
230
Margaret Thatcher in the period 197590 appears to t these preferred characteristics

well and may well explain her popular appeal.
The additional advantage of reducing the variables to two key factors is that a
previous battery of potential questions in questionnaires can be reduced to just two
thereby reducing the number of questions, costs and time required and allowing
additional alternative questions to be added.
Time series analysis

Consider the data in Table 16.6 of civilian casualties in Iraq from March 2003 and
October 2006.
Table 16.6 Iraqi civilian casualties 20036
2003
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
2778
2859
507
541
593
735
525
461
433
504
2004
2005
2006
542
561
917
946
1111
644
833
1024
1060
1336
1941
1117
953
1053
828
1186
1236
1423
1200
1658
1897
3590
3009
3345
3709
541
747
682
724
805
827
1323
802
Source: Iraqbodycount.org
You will be aware that coalition spokespersons (especially for US forces) continued
to claim for some time that, despite occasional blips, the level of violence was
actually declining. Using Excel, you can chart the table:
In Figure 16.3, you can see that the general movement for monthly casualties is
to increase over time. You can identify the underlying trend by using the Moving
Average function in Excel (click in turn Tools, Data Analysis, Moving Average).
Essentially, this calculates the average of the months MarchMay, then AprilJune,
MayJuly and so on. The calculated moving averages for the rst year are shown in
bold in Table 16.7
The moving averages can be charted to show the trend (forecast):
You will note that there is a variance between the actual data (Y) for casualties
and the trend.
4000
Civilian casualties
3500
3000
2500
Month no.
2000
Casualties
1500
1000
500
0
0
10
20
30
40
50
Time (months)
Figure 16.3 Chart of Iraqi civilian casualties 20036
Table 16.7 Calculation of moving averages

Year
Month
2003
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
Month No.
Casualties
#N/A
3
4
5
6
7
8
9
10
11
12
2778
2859
507
541
593
735
525
461
433
504
#N/A
2048
1302
547
623
618
574
473
466
493
Moving average
4000
3500
3000
Value
2500
Actual
Forecast
2000
1500
1000
500
0
1
11
16
21
26
Data point
Figure 16.4 Trend line
31
36
41
232

Table 16.8 In-migration to UK from other EU States (000s)
Year/Quarter
2003
2004
2005
2006
Q1
Q2
Q3
Q4
78
84
92
100
62
64
70
81
56
61
63
72
71
82
85
96
This variance has four potential components:

Trend Component, T
Cyclical Component, C
Seasonal Component, S
Residual Component, R
Where: Y = T + C + S + R
The Trend Component is the underlying movement calculated by the method of
moving averages. The Cyclical Component is the variation that is generated by cyclical
movement of trade or business cycles. In the case of Iraqi war casualties, there may
be no cyclical component. The Seasonal Component is the variation attributable to
the months or seasons of the year. You may recall that there was reference during
the early years of the occupation to a ghting season. When you examine the
charts in Figures 16.3 and 16.4, you will see that there is some evidence of seasonal
variations with casualties reducing in DecemberFebruary.
You can carry out sophisticated time series analysis using SPSS. However, the data
output is complex and difcult to interpret. Excel is unable to go beyond calculating
the moving average. The simplest method is to adopt the manual Method of Quarterly
Deviations using your own formulae created in Excel.
Method of quarterly deviations
Consider the example of in-migration to the UK from other (pre-enlargement)
EU states:
The trend and the deviation from the trend may be calculated easily by calculating
in turn:
1.
2.
3.
4.
the four-quarter moving total

the eight-quarter moving total
dividing the eight-quarter moving total by 8 to calculate the trend
finally, subtracting the trend from the actual data to calculate the deviation between the
trend and the actual data.

Table 16.9 Calculation of trend and deviation
Year
Quarter
In-migrants (Y)
2003
1
2
3
4
1
2
3
4
1
2
3
4
1
2
3
4
78
62
56
71
84
64
61
82
92
70
63
85
100
81
72
96
2004
2005
2006
Fourquarter
moving
total
Eightquarter
moving
total
Trend (T)
Deviation
from
trend
(YT)
267
273
275
280
291
299
305
307
310
318
329
338
349
540
548
555
571
590
604
612
617
628
647
667
687
67.5
68.5
69.375
71.375
73.75
75.5
76.5
77.125
78.5
80.875
83.375
85.875
11.5
2.5
14.625
7.375
12.75
6.5
15.5
7.125
15.5
4.125
16.625
4.875
The completed calculation is shown in Table 16.9

The next step is to calculate the seasonal variation. This is calculated by nding the
average of the deviations for each quarter. The deviations for the third quarter of
each year are: 11.5, 12.75 and 15.50 which total 39.75 which, divided by
three, give an average of 13.25. When you add the average deviations for the four
quarters, you will nd that these add up to +0.25. As the sum should be zero, then
this error gure is divided by four and applied as a correction factor to each seasonal
deviation.
The residual component or irregular movement (R) can then be calculated by subtracting
the seasonal deviation (S) and trend (T) from the actual data (Y) as shown in
Table 16.10.
You will note that the highest residual variations irregular movements are +2.188 in
the nal quarter of 2004 and 2.187 in the third quarter of 2005. These are relatively
small. Your task as a Politics researcher is to explain these irregular movements. One
explanation might be the policy announcement of tightening controls made in 2004,
which prompted more in-migration in the nal quarter before the controls came
into effect in the third quarter of 2005. You will appreciate that changes in public
policy often create a j-lag effect where variables continue to get worse until the
new policy begins to improve the situation.
233
234

Table 16.10 Calculation of residual variation (shown bold)
Year
Quarter
In-migrants (Y) 000s
2003
1
2
3
4
1
2
3
4
1
2
3
4
1
2
3
4
78
62
56
71
84
64
61
82
92
70
63
85
100
81
72
96
2004
2005
2006
Trend (T)
67.5
68.5
69.375
71.375
73.75
75.5
76.5
77.125
78.5
80.875
83.375
85.875
Seasonal
Variation (S)
13.313
4.312
15.52
6.521
13.313
4.312
15.52
6.521
13.313
4.312
15.52
6.521
Residual
Variation (R)
1.813
1.812
0.895
0.854
0.563
2.188
0.02
0.604
2.187
0.187
1.105
1.646
Time series analysis is a very underused but useful research method in Politics.
Try to use it. It will pay dividends by identifying those irregular movements which
may be the outcome of policy change. Time series analysis is therefore a very
powerful tool for monitoring public policy and assessing the effectiveness of policy
change.
The binomial distribution

In Politics research, population characteristics are assumed to follow the normal
distribution (see Chapter 14). However, there will be circumstances where the data
are non-numeric and involve only two potential answers, for example, the replies
YES or NO to a question, or heads or tails in respect of coins being tossed. Yes/no
or heads/tails are termed dichotomous nominal data. In these circumstances,
the outcomes are termed success p, or failure q. The probability of success p, can
be expressed mathematically. For example, the probability of a tossed coin landing
heads is 0.5. The probability of a thrown die giving a six is 0.167 (i.e. one divided
by six). Each separate toss of the coin or throw of the die is termed an event.
Tests in which dichotomous outcomes are measured and where the outcomes are
independent of each other are termed Bernoulli trials (after their originator, Jacques
Bernoulli, 16541705). In Bernoulli trials, the null hypothesis is that the probability of
success in each event is the theoretical probability, e.g. for each toss of the coin, 0.5.
Take the example of two food parcels, A and B, being prepared by an aid agency
for use overseas to sustain IDPs 2 in a specic war-torn state. Both parcels contain
different food of equal nutritional value. The parcels have transparent packaging
so that the people can choose A or B. A two-parcel strategy has been adopted to
optimise cost, local production capacity and variety. The theoretical probability of
a person choosing parcel type A is therefore 0.5. An initial trial of a random sample
of 100 of the target population shows that 61 preferred parcel type A. The research
problem is therefore: does this higher preference represent the choice likely to be made by the
population as a whole or has it occurred entirely by chance?
The problem can be solved using SPSS. In the Variable View, enter parcel in
the rst row and frequency in the second row. In the Data View, enter 1 (for A)
and 2 (for B) in the column marked parcel and 61 and 39 in the column marked
frequency. Now click in turn on Data View and Weight Cases. In the Weight Cases
dialogue box, click on Weight Cases and, using the radio button, transfer frequency
to the Frequency Variable. Then click on OK. You will return to the Data View.
Click in turn on Analyze, Nonparametric Tests and Binomial. In the Binomial Test
dialogue box, use the radio button to transferparcel to the Test Variable List. Note
theTest Proportion box. This is where the theoretical probability is inserted. The
default proportion is 0.5 so no new entry is required. Finally, click on OK. The
Output is:
Table 16.11 Binomial test
Parcel
Parcel 1A
Parcel 1B
Group 1
Group 2
Total
Category
1
2
61
39
100
Observed
Prop.
.61
.39
1.00
Test Prop.
.50
Asymp.
Sig.
(2-tailed)
.035(a)
Note:
Based on Z Approximation.
The key calculation is the Asymp. Sig. (2-tailed) of 0.35. This is less then the test
proportion (theoretical probability) of 0.5. This means that the null hypothesis can
be rejected. So the preference of parcel A cannot be attributed to chance. The
implications are that the aid agency should either change the ratio of production
from 50:50 to nearer 61:39 or improve the appeal of parcel B and re-test using a
new sample.
A special type of Binomial distribution occurs where the population is very large
and the incidence of events is very small. This special type is termed the Poisson
distribution (named after Simon Denis Poisson, 17811840 who developed the
distribution to forecast the likelihood of any of his fellow cavalrymen being kicked
235
236

Table 16.12 Poisson distribution: data
Description
Data events per 100,000 children
Illness events in city C,x

Illness mean worldwide
5
3
by a horse). It is widely used to forecast the likelihood of a rare event occurring

at any time or, alternatively, several rare events happening at the same time. It is
therefore widely used by re and other emergency services to plan stafng levels to
ensure adequate cover. A special application is the analysis of illness and disease. For
example, assume that the world wide incidence of a rare, fatal disease is 3 in every
100,000 children a year. Data for city C shows that the rate of the disease is 5 per
100,000. Does this indicate a special cluster or could the higher gure have arisen
entirely by chance?
In this case, Excel provides a simpler solution than SPSS. Enter the data into a
spreadsheet:
To calculate the probability of rate of illness in city C exceeding worldwide
rate, highlight a cell and enter = POISSON. Excel will automatically complete the
formula for you as:
= POISSON (x, mean, cumulative)
In this example, x = 5 and the mean = 3. The Help? Button will tell you that:
cumulative is a logical function that determines the form of distribution returned.
You can enter either TRUE or FALSE. When you enter TRUE, Excel will calculate
the cumulative Poisson probability that the number of events occurring will be
between zero and x. If you enter FALSE, then Excel will calculate the Poisson
mass probability function that the number of events will be x exactly. First, complete
the formula as:
= POISSON (5, 3, TRUE)
Press the Enter key. The answer will appear immediately in the highlighted cell:
0.916.
Repeat the process, inserting FALSE. The answer is 0.1008. This answer tells
you that there is 10.1% probability (0.1008 0.916 100) of the number of illnesses
being 5 where the mean is 3. So the illnesses in city C could have arisen entirely by
chance and are therefore not exceptional. However, if the incidence was ten children
a year, then you will calculate that the probability is 0.0008. In other words, the
incidence could not have arisen by chance. So emergency intervention is required
to identify and tackle a local cause or source.
Questions for discussion in class or seminars or for assignments
1. Work through each of the examples given in this chapter. Seek help when you
encounter difficulties.
2. Collect new data from the class population of their assessment of candidates
for UK prime ministers using the criteria listed in the chapter. Add four additional
criteria of your own choice. Carry out a factor analysis and comment on the results.
3. Obtain unadjusted data for registered unemployment in the UK since May 1979.
Apply time series analysis. Identify the size of irregular movements and offer
cogent, potential explanations.
4. Two Departments of Politics, having equal and good RAE and TQA ratings in new
universities A and B both have 30 places available for similar Politics degrees.
A attracts 56 applicants whilst B attracts 73. Could the variation have arisen entirely
by chance or does it indicate that Bs department or university are significantly more
attractive than A? If so, what should A do?
5. The Conservative party has a working majority of 11 over all other parties
combined in the House of Commons following the general election. On average, five MPs die each year causing by-elections to be held. The new prime
minister believes that harsh economic policies are essential for the first three
years. He assumes that half the Tory-held seats will be lost in by-elections.
Calculate the probability that the party can survive in office for three years.
(Remember that each time a government loses one seat, their majority reduces
by two.)
FURTHER READING
A notable feature of SPSS is the number of very good textbooks that are available
which combine excellent explanations of the statistical concepts and
instructions how to carry them out using SPSS software. Two titles can be
recommended:
Kinnear, P. R. and Gray, C.D. (2004) SPSS for Windows Made Simple. Hove:
Psychology Press Ltd. This offers a very good introductory and intermediate
text. Earlier editions are also available.
Field, A. (2005) Discovering Statistics Using SPSS (and Sex, Drugs and Rock n
roll). 2nd edn. London: Sage. This more extensive and expensive book is very
readable and provides a comprehensive range of material for new and more
experienced researchers.
237
238
Notes
1 Chicago Universitys School of Sociology was the first established at a US university. As the
Chicago School it developed a reputation for urban ecology which identified the concept of the
zone of transition and, later inner city that provided the initial theoretical underpinning for US and
UK urban programmes and urban regeneration. See Park, R.E. and Burgess, E.W. (1925) The City
and Wirth, L. (1928) The Ghetto.
2 IDPs: acronym used by UN to distinguish internally displaced persons from other refugees.
Part IV
B: Qualitative Analysis
Chapter 17
Analysing Qualitative
Information: Classifying, Coding
and Interpreting Information

1. To learn how to develop and apply your own codes.
2. To learn how to interpret coded information using tables and diagrams.
3. To understand how to use the techniques of memoing, case analysis
meetings and interim case summaries.
4. To learn how to construct your own typology.
Introduction
In Chapter 12, you were introduced to the hierarchy of analysis which begins by
assembling all the raw data, validating it and reducing it to ordered information.
At the end of this essential rst stage, you will have uncluttered the chaos of your
desk and reduced the paperwork etc. to the nuggets of gold on which you can
begin your analysis.
There are three principal methods for analysing qualitative information. Most
qualitative information takes the form of talk-and-text - spoken or written words.
The methods are:
coding
content analysis
discourse analysis.
Content analysis is probably the oldest form of analysis. It is essentially a

quantitative process in which you count the frequency of key words individually
and, in more advanced methods, their concurrence. Its use has been recently revived
thanks in part to developments in communications science, semiotics, the Internet
and new computer software. Content analysis is considered in Chapter 18.
242
Discourse analysis is considered in Chapter 19. It is founded on the belief that

words are never neutral or merely descriptive, but part of vocabularies which are
written by others and laden with meanings. The three methods are not necessarily
mutually exclusive.
Coding
This has become the most widely used method of qualitative analysis. Coding
is essentially the process of replacing or substituting groups of words, phrases or
sentences by letters or numbers (or a combination). Unlike a cipher, a code is not
designed to hide the original meaning of the word or phrase. Indeed, an essential
property of an effective code is that it should be readily understandable to users and
readers. A word or phrase can be given several different codes.
Codes can be theoretical, descriptive or inferential.
Theoretical codes are derived from the independent and dependent variables
identied in your theoretical framework. A descriptive code merely describes what
it seeks to represent. An inferential code is used when you draw an inference usually
from repeated patterns or clusters of juxtapositions of different codes. One special
type of inferential code is a factor code. A factor is a latent, underlying variable
like power. Chapter 16 showed you how to identify underlying factors from
quantitative data. There will be occasions when you identify important variables
which fall outside your initial range. In this case, you can develop new codes as you
continue. These are called in vivo codes (code-as-you-go).
Codes are usually designed generically and given alphabetical references to help
identify and distinguish them intuitively. For example, where education is the
theoretical variable, then a family of codes could be, say:
Education
Pre-school
Early Years
Nursery
Infants
Junior
Secondary
Sixth-Form
Teacher
Further Education
Higher Education
University
Uni-Tutor
Uni-Friend
E
Ep
Epe
Epn
Ei
Ej
Es
E6
Et
Ef
Eh
Ehu
Ehut
Ehuf
Analysing Qualitative Information
The process of designing and applying theoretical, descriptive or in vivo codes to text is
termed rst-level coding. They are applied by underlining or making bold all the
key passages and recording the codes in the right-hand margin. Alternatively, you
can use Nud*st, ATLAS.ti or other (CAQDAS) software to code the information
electronically. In this way, passages can be multi-coded. Authorities suggest that you
will be able to remember and use as many as 60 generic codes without difculty
(Miles and Huberman, 1994: 58).1
Tagging and coding
You must have already reduced your raw data to organised information before
you begin tagging and coding. This will have involved transcribing your interviews
into a three column format and having omitted all extraneous clutter and noise.
However, you dont need to have collected all your data before you begin the
process of reducing available data and coding. Indeed, there are great advantages in
designing your codes and applying them at an early stage of your eldwork to test
their appropriateness and the value of your initial data and information.
The initial part of the process identifying key, codable words or phrases before
they are coded is termed tagging. You are likely to be already familiar with
the most basic tagging and coding of text. This involves highlighting or underlining
words, phrases or sentences with coloured pens. Each different type of text is
marked with a different colour. So the text becomes colour-coded. However, you
will encounter two or more problems. First, you are likely to run out of colours.
And, second, many words or phrases may be coloured two or more times so
the coding becomes unreadable. Yet, words or phrases which attract many codes
are particularly important because they demonstrate the links between different
characteristics and concepts.
The case study below has been developed to demonstrate how to design and
apply simple codes and to analyse the coded information.
Case study
The research question is: why are UK leading political elites rst drawn into politics and
particular parties?
You have chosen a comparative approach which relies, in the rst instance on
primary, published sources. Your starting, theoretical hypothesis is that choices of
party and political careers are caused by a combination of environmental factors.
You believe that they will include: family, education, religion, class, occupation and
circumstances. You have chosen a modied form of grounded research in which you
start with a small sample of two cases. You will analyse these before seeking further
cases until you achieve theoretical saturation.
243
244
You have been fortunate to obtain transcripts of interviews by the same

interviewer of two UK party leaders and prime ministers in the late 1960s early
1970s. They are Harold Wilson (Labour) and Ted Heath (Conservative). They
are both described as self-made men. Wilson was the rst Labour prime minister
to be born into the Labour party. You could argue that his career trajectory was
determined by the set of institutions into which he was born. Heath was the rst
Tory prime minister since Disraeli to be born outside the circle of rich, Anglican,
landed, aristocrats or wealthy businessmen. His acceptance by the Tories can be
attributed to his Oxford education, wartime service and the need for the party to rid
itself of its archaic, grouse-moor image of previous premiers, Macmillan and Lord
Douglas-Home.
Harold Wilson, 1963 (191695), UK Prime Minister, 196470, 19776

(Transcript of interview first published in The Observer from Harris, K. (1967) Conversations.
Hodder and Stoughton. pp. 26686.)
Harris: Some men go into politics almost as a matter of course and

some form of personal Damascus. Why are you in politics?
Wilson: I suppose the short answer is because politics are in me, as far as I can
remember. Farther than that: they were in my family for generations before me, as they
were in the families of dozens of members of the Labour party. The first time that I
can remember thinking systematically about politics was when I was seven. I was in
hospital with appendicitis. My parents came in to see me the night after my operation
and I told them not to stay too long or theyd be late to vote for Philip Snowden.
Then when I was 10 I went to West Australia where my uncle was an Australian
MP and later President of the Upper House. That was my first visit to a politician.
Harris: Why was your family so politically minded?
Wilson: They were non-conformist by religion and radical by temperament. The Lib-Lab
tradition. The day after the 1906 election results came out in Manchester, my grandfather
he was a Sunday school superintendent chose the hymn: Sound the loud tumbrel
oer Egypts dark sea! Jehovah hath triumphed, his people are free. Its the old story of the
pursuit of religious freedom and indignation with social injustice combining to conflict with the
established social order. My other grandfather, too, was a deeply religious man who believed
that politics represented the nations application of religious principles.
In my childhood, it was chapel and the scout movement, that kind of pattern. My wifes the
daughter of a Congregationalist minister I met her at a sports club. So I was impregnated
with nonconformity. It was the soil out of which the Labour party grew. Incidentally, there are
plenty of second-generation nonconformist radicals in the Labour party, men and women
whose approach to politics stems from the religious values their parents planted in them.
There are a lot of first generations, too. I dont think that you can understand the Labour party
if you dont bear that in mind. Or the trade union movement. Or the Co-op[erative Movement].
Harris: Does the religious side of the inheritance mean anything

to you today? Are you a religious man?
Wilson: I have religious beliefs, yes, and they have much affected my political views. But Im
no theologian
Harris: You talk of the nonconformist radical influence on

the development of your political views. How much has Marx
influenced you?
Wilson: Not at all. Ive studied the subject as history: you cant understand the Russians
without it. But, quite honestly, Ive never read Das Kapital. I only got as far as page 2 thats
where the footnote is nearly a page long. I felt that two sentences of main text and a page
of footnote were too much.
Harris: Who has influenced you?
Wilson: Well, as I have said, my parents and the Scout movement but there was another
indirect influence. The two men who influenced me most directly were schoolmasters.
One of them is still alive a lifelong socialist. Not by argument, but by example. He was
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246
a great teacher unselfish and unstinting. When I was fourteen I caught typhoid, and missed
two terms at school.When I got back to school, I was miles behind miles. It looked hopeless.
I reckoned I could catch up in things like history. But not in mathematics. The second day of
term he called me up to his desk. He said: if you put in an extra hour in the afternoon after
school closes, you should be able to make it all up this term. If youre willing, I am. I did.
Harris: Was the other teacher a socialist?
Wilson: Yes, a much younger man. He died very young
Harris: You seem to have a high regard for teachers.
Wilson: Coming from my kind of background, the teachers were the most important adults in
your life. And my mother and my sister were teachers, and two uncles. Politics is education.
Harris: Ive taken you off the point. I was asking who
influenced you?
Wilson: At Oxford, my tutors: for example, my tutor in politics, R B McCallum, who is Master of
Pembroke now. A Liberal politically. He taught me so much about the mechanisms of politics,
such as parliamentary standing orders, the works of the public accounts committee and so
on. When I became a don at University College, there was G D H Cole, a socialist. Both had
a lot of influence on my ideas, and on the training of my mind.
Harris: Who had the most personal influence on you at Oxford?
Wilson: Beveridge. I was his assistant his research assistant for a couple of years before
the [193945] war Then there was Attlee. A great prime minister. The story of Attlee
has yet to be told, though I think that the public has been getting a fuller notion of his real
contribution to history in the last four or five years.
Harris: Is it true that as leader of the party you are modelling

yourself on him?
Wilson: I would like to think that I was. I learnt a great deal from him. I think that Im
driving the party at a faster rate than Clem [Attlee] did at the moment. His method
was to sit and listen and then say: We all seem to want it this way. I talk more, far too
much in fact, put more cases, am more positive. But the circumstances are different
Harris: Did anybody else influence you personally? How?
Wilson: Nye [Aneurin Bevan]. Its very difficult to abstract from Nyes influence on me. It was
the whole man, you see. He taught me the power of the public platform. I wish I had a tenth
of his power on the public platform. And he corrected my interest in detail. Nye always took
the broad view. In many ways he was lazy, and avoided detail, if he could, anyway, but he
had the gift of instinctively seeing the horizon. He never failed to see the wood for the trees.
I regard him as the best-educated man I have ever met, particularly in philosophy. He could
see everyday political issues in the deep human perspective and he could communicate
them simply and instantly to anybody.
Edward Heath, 1966 (19162005), UK Prime Minister, 197074.

(Transcript of interview first published in The Observer from Harris, K. (1967) Conversations.
Hodder and Stoughton. pp. 25565.)
Harris: What made you a Conservative in the first place? Are you
a Conservative because your father was a Conservative?
Heath: No, in more ways than one. The other day my father said that he had been a Liberal.
No, I certainly didnt become a Conservative because my family were Conservative. Im not
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248
sure what they were. We hardly ever talked about politics in the family because as a family
we werent particularly interested in politics.
Harris: What were your parents like?
Heath: My father was a very likeable and good man, and a good craftsman a carpenter. I
was born in Broadstairs [Kent] but during the First World War he went to work at Vickers
woodwork for aircraft and he came back to Broadstairs when I was seven or so, and the
family with him. I still have a sense of everything beginning when I came back to Broadstairs
at the age of seven.
My mother was a fine character with a strong personality, a high sense of morality and public
responsibility, but none of which she projected on anybody, including the family. She had the
spiritual sense of her Christian faith, not that she was all ethereal about it she kept her
feet on the ground. I think that she was rather a remarkable woman, because she had high
standards and strong views and yet she was a wonderfully forbearing mother towards her
children. For instance, when I was thirteen I went to Europe on my own, or with one or two
other boys, and I only discovered later how much she worried about me without letting me
ever know.
Harris: Even if your parents werent politically minded, do you

think that the home background had any effect on you becoming
a Conservative?
Heath: Oh yes. I am what I am politically because of a combination of home background

and the times I was living in as a boy and a certain amount of thinking about both. Living in
Broadstairs [Kent], we didnt see the mass unemployment they suffered in S Wales, Scotland,
N Ireland and parts of England. We knew about it, and felt about it, but it didnt stamp
itself upon our minds as it did on some of the people who lived in the middle of it. But
conditions were tough for nearly everyone nearly everywhere, and I saw my father working
hard, showing enterprise, taking risks, and gradually developing his capacity in spite of very
difficult circumstances.
I had the feeling then and I have it more clearly now that father could not have achieved
what he did Im thinking about personality, and capacity, not income or status if he had
been left free to do so. My mothers influence it follows from what Ive said already had
to do with freedom too. She left us boys free to go ones own way, and because she did
that, I had the sense of moving forward, growing up, without the feeling that I was doing it
against my parents. On the contrary, I was doing it with them, because of them, and that
ones parents were behind one which makes such a difference.
As I got to 17, 18 years old, the country as a whole was moving out of the period in
which it was preoccupied with the suffering of the unemployed things were looking up
and moving into the threat of dictators. This was the moral dimension of my youthful
associations with the attractions of freedom. By the time I went up to Oxford, if there was
one political idea in the broadest sense of the term which governed me it was a deep
feeling about and for the idea of freedom. I was very conscious of this. I joined all the
three parties on my first term at Oxford, to see what they were up to, but by then I had
accepted that I was a Conservative as part of accepting, so to speak, the facts of life.
Harris: Who influenced you most at Oxford?
Heath: Just after I got to Balliol I was an organ scholar there they were putting a new organ
into the chapel, and, partly because of this, and partly because I later became President
of the Junior Common Room, I saw a great deal of the Master of College, A D Lindsay.
(Harris: A socialist).
Heath; yes, and in a way because of it he strengthened my own Conservatism. He was

completely non-dogmatic and a non-doctrinaire thinker and doer. Any way, what influenced
me most about him was that he was a great believer in the democratic expression as central
to the whole system of political democracy, which in term, he thought the only political system
which enabled men to apply the freedom which is the prerequisite for doing the only thing in
life that really matters the chance for each man to live a full life not a prescribed full life,
but his own full life
Harris: Oxford, then, was a very formative experience for you?
Heath: Yes, formative, inspirational. But, as I say, it shaped and gave a clearer meaning to
what But it also started processes for me. It wasnt merely that I went up to Oxford but
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250
that I went to Balliol. Balliol is a college of high academic standards and strong democratic
traditions where old Etonian sons of dukes or millionaires are expected and expect to
meet on equal terms, well, the son of a carpenter. Balliol opened all the doors to me
Harris: You were quite a prominent Christian at Oxford, werent

you? How much of that remains with you? Does Christianity mean
something fundamental to you?
Heath: Good lord, yes. Its been the same all along. I was brought up in a Christian home,
as they say in the obituaries, and at Oxford well, I just went on as I do today I believe in
God, very much the kind of God, I would say, that ministers of the Church of England would
believe in. I believe in Christ and in the divinity of Christ. I believe in an after-life
Harris: How far does your religion come into your politics?
I dont think that there should be too much talk about religion and politics. And I think that
Temple [war-time Archbishop of Canterbury, 194244] was right: the Christian should not aim
at programmes of action. Its the declaration of values and principles and inward personal
attitudes that come from faith
Harris: Apart from your religion, has any system of ideas, or any
particular persons ideals, had much influence on your views?
Heath: Yes, a great many. I dont get much time to read now outside of what I have to read,
but Im a reader by temperament and when Im free I read a lot. But it isnt the people Ive
read most of that come to mind. Its more what Ive read about them. Disraeli, for instance.
His one-nation approach, his refusal to be distracted from the search for the national interest
by the existence of class and sectional interests. I found that profoundly sympathetic. And
I admired him because he didnt come from the top men of politics of its day, and he was
opposed by them in his early political life and had to struggle to preserve his confidence in
himself, let alone succeed in getting the confidence in others.
Locke also comes to mind too. Lockes ideas I found gave me a base on which to think about
my own his emphasis on liberty enshrined in political institutions based upon experience
and judgement, not on doctrinaire theories and utopias.No mans knowledge can go beyond
his experience. And his view of the state. It exists for men, not men for the state. Indeed,
its only a convenience, the state, to deal with the problems youd have if each man tried to
be a judge in his own case. And I admire the cast of his mind, Christian, calm, temperate,
good-humoured.
Codes
You have chosen and designed the following generic, theoretical codes:
Variable
variable
variable
variable
Education
Sunday school
prep school
secondary school
sixth-Form
university
teachers and tutors
Family
Father
Mother
Sibling
Grandparents
Uncles and Aunts
Wife
Children
Others
Religion
Non-conformism
Methodism
Church of England
Ministers
Lay preachers
Politics
Labour
Conservative
Leading Members
MP
E
Ess
Ep
Es
Es6
Eu
Et
F
Ff
Fm
Fs
Fg
Fua
Fw
Fc
Fo
R
Rn
Rnm
Rcoe
Rp
Rlp
P
Pl
Pc
Pm
Pmp
251
252
variable
variable
variable
Life Stage
Child
Student
Young adult
Middle-age
Old age
Events/Experiences
Depression
World War
Overseas visits
Voluntary Bodies
Trade Union
Co-op
Scouts
Sports clubs
L
Lc
Ls
Lya
Lm
Lo
EX
EXd
EXww
EXo
V
Vtu
Vcoop
Vsc
Vsp
The codes can now be applied to the text. This is shown in Table 17.1. Note how
landscape format has been used to transcribe the text. This effectively condenses the
text and provides greater continuity from page to page in both its printed form and
on-screen display. Note how line numbers have been added to your transcript to
enable you to cross-reference quotations later to their original source.
You will quickly nd out that this rst-time (rst-pass) coding is timeconsuming especially if you code to screen. But it will save you time later.
When you apply the codes, you will learn whether they capture all the independent
variables that you identify in the text. You may decide that additional, in vivo codes
would be useful. Two variables for additional coding might be signicant others
and music.
Examine your coded sheet. You will see that substantial parts of the transcript
have been coded. This shows that the material is an information-rich source.
Note also how many passages have been coded many times. For example, the
part of the sentence lines 012 and 013 attracts three codes (Fg, Ess, Rlxp). These
codes show the concurrence of family (grandfather), education (Sunday school) and
religion (superintendent). This appears to conrm your original hypothesis of family,
religion and education as causal variables of political consciousness. However, what
is missing from this and other parts of the Wilson interview is any mention of
contemporary events, despite his childhood in the late 1920s in a northern UK
mill town. He makes no reference to the Depression, the rise of Fascism and the
appeal of Communism. His politics appear to reect an entirely historical rather than
experiential basis. Compare this with Heaths account. Heath describes the inuence
of experiencing his own familys hardship, reading of unemployment in the depressed
areas, the growth of Fascism and joining all the political parties at university to
experience their appeal. Perhaps this comparison may explain the greater sense of
Harris: Why was your family so politically minded?
010
Wilson: They were non-conformist by religion and radical by temperament. The Lib-Lab tradition. The
day after the 1906 election results came out in Manchester, my grandfather he was a Sunday school
superintendent chose the hymn; Sound the loud tumbrel oer Egypts dark sea! Jehovah hath triumphed,
his people are free. Its the old story of the pursuit of religious freedom and indignation with social injustice
combining to conflict with the established social order. My other grandfather, too, was a deeply religious
man who believed that politics represented the nations application of religious principles. // In my
childhood, it was chapel and the scout movement, that kind of pattern. My wifes the daughter of a
Congregationalist minister I met her at a sports club. So I was impregnated with nonconformity. It
was the soil out of which the Labour party grew. Incidentally, there are plenty of second-generation
nonconformist radicals in the Labour party, men and women whose approach to politics stems from
their religious values their parents planted in them. There are a lot of first generations, too. I dont think
that you can understand the Labour party if you dont bear that in mind. Or the trade union
movement. Or the Co-op.
Wilson: I suppose the short answer is because politics are in me, as far as I can remember. Farther than that:
they were in my family; for generations before me, as they were in the families of dozens of members of
the Labour party. The first time that I can remember thinking systematically about politics was when I
was seven. I was in hospital with appendicitis. My parents came in to see me the night after my operation
and I told them not to stay too long or theyd be late to vote for Philip Snowden. Then when I was ten I
went to West Australia where my uncle was an Australian MP and later President of the Upper House.
That was my first visit to a politician.
Harris: Some men go into politics almost as a matter of course and some form of personal Damascus.1 Why
are you in politics?
003
004
005
006
007
008
009
001
002
Line
Coding
Number
011
012
013
014
Social and
015
political
016
engineering? 017
018
019
Is Wilson
020
being entirely 021
truthful or is
022
this post-facto 023
justification to
appeal to
readers?
His political
career seems
written for
him. Didnt
he ever rebel
against the
orthodoxy or
look at
alternatives?
No mention of
Damascene
events
Remarks
Table 17.1 Coding of Wilson interview (paras 1 and 2 only)
P , Vtu, Vcoop
Fg, R
Lc, Rn, Vsc
Fw , Rlp, Vsp
Rn, Pl
Pl , F , Lc
Rn
Fg, Ess, Rlp
P
F
P , Lc
Ef , Fm
Pm, Lc
EXo, Fa, Pmp
254
political conviction and obduracy displayed by Heath when he was prime minister
in 197074. However, you must beware that these observations are being made
from only two, relatively short interviews and with the benet of hindsight.
The next stage is to abstract the coded passages into a table whose columns are
formed of the primary codes used. In your research, the outcome is membership
of a particular political party. So place this dependent variable politics - in the
rst (left-hand) column. The process of abstracting highlighted passages is relatively
easily done by copying and pasting the highlighted passages and their codes. The line
numbers are added in brackets to enable cross-referencing to their source. Where
passages are multiply-coded, then they should be copied in each of the relevant
columns and the relevant sub-sections highlighted. This is shown in Table 17.2.
The next task is to look for patterns and clusters. In this context, a pattern is a
repeated set of relationships. One of the simplest methods of identifying these is to
compress the analysis table and to colour-code or grey-scale the contents. This is
shown in Table 17.3.
This tabulation enables patterns and clusters to be seen to emerge. For example,
religion and family can be seen to be more strongly associated with politics.
However, that represents only the rst two paragraphs of the interview. Suppose
that the tabulated coding of the full interview produced Table 17.4.
You can see how education, events and signicant others become associated with
politics. If you wish, you can calculate the number of passages.
Second-level pattern coding

Second-level pattern coding builds on the original coding by developing metacodes which group various interviews, etc. into sets, themes or constructs (analogous
to cluster or factor analysis in quantitative analysis). This technique can be used to
develop maps and ow charts illustrating the linkages interpreted between variables.
For example, in the Wilson case, you could begin to sketch out the variables, overlaps
and links.
In this way, you can explore and demonstrate overlaps using a combination of
text boxes, circles and arrows. The preceding text boxes demonstrate the sequence
of inuencing variables and how they relate to one another. What emerges from
this analysis of the Wilson interview is the enormous overlaps between family,
religion, voluntary organisation and early education. This suggests that they are
visible manifestations of an underlying latent variable or factor. What might that
be? One strong contender would be class northern, industrial working class
(although Wilson described his parents as lower, middle-class). And what (from a
Marxist perspective) is the determinant of class: the mode of production. You have
therefore revived the explanatory power of class which was central to post-war UK
political science.
Family
Religion
Education
I was ten when I went to

Australia where my
uncle was an MP (008)
Non-conformist by
Non-conformist by
religion (011)
religion
My grandfather was a
My grandfather was My grandfather was
Sunday school
a Sunday school
a Sunday school
superintendent (012)
superintendent
superintendent
Other grandfather
Other grandfather was a Other grandfather
was a deeply
deeply religious man
was a deeply
religious man
who believed that
religious man
who believed that
politics represented
who believed that
politics
the nations
politics
represented the
application of religious
represented the
nations
principles (015)
nations
application of
application of
religious
religious
principles
principles
My uncle was an
MP
Politics were in Politics were in my

my family; for
family; for generations
generations
(004)
Remember thinking
about politics
when I was seven
Politics
Table 17.2 Wilson interview: coded passages tabulated

Events
Remember
thinking about
politics when I
was seven (005)
I was ten when I
went to
went to Australia
Australia
Life Stages
(Continued)
Vol.
Organisations
So I was
impregnated with
nonconformity. It
was the soil out of
which the Labour
Party grew.
Incidentally, there
are plenty of
secondgeneration
nonconformist
radicals in the
Labour party,
men and women
whose approach
to politics stems
from their
religious values
their parents
planted in them.
Politics
Table 17.2 Contd

Religion
Secondgeneration
nonconformist
radicals in the
Labour party,
men and
women whose
approach to
politics stems
from their
religious
values their
parents planted
in them. (019)
In my childhood,
it was chapel and
the scout
movement, that
kind of pattern
My wifes the daughter of My wifes the
a Congregationalist
daughter of a
minister I met her at
Congregationala sports club (017)
ist minister
I met her at a
sports club
So I was
impregnated
with
nonconformity.
It was the soil
out of which the
Labour party
grew (018)
Family
Education
In my childhood, it
was chapel and
the scout
movement, that
kind of pattern
Life Stages
Events
In my childhood, it
was chapel and
the scout
movement, that
kind of pattern
My wifes the
daughter of a
Congregationalist
minister I met
her at a sports
club
Vol.
Organisations

Table 17.3 Wilson interview: coded passages grey-scaled
Politics
Family
Religion
Education
Life Stages
Events
Vol. Orgs.
The next task is to apply this potential explanation to the Heath interview. Heath
attributes the appeal of Conservative politics to a combination of home background
and the times. He extends the inuences to ideas of freedom. But perhaps the
most telling passage is his description of his father: . . . working hard, showing
enterprise, taking risks, and gradually developing his capacity in spite of very difcult
circumstances. His father was a self-employed carpenter working in a predominantly
rural county. In short, the Heaths were petty-bourgeoisie and church rather than
chapel goers. However, the evidence is not wholly conclusive. But both appear
to have conformed to the political norms of their social class.
Another step would be to prepare a comparative table drawing together material
from the texts.
End stage
The last stage in your analysis is to construct a typology an explanatory, conceptual
framework which represents graphically all the cases within two, unrelated variables
or, preferably, factors. It therefore provides a very powerful display of your data
and analysis and provides a basis from which you can develop or extend theoretical
explanations.
In terms of explaining the causal factors of political identity, you might construct
a typology using the factors of class-of-birth and conformity where wider experience
was likely to lead to individuals rejecting the party of the class into which they had
been born.
Footnote
However, there are no easy xes in coding and its analysis. You will have to explore
and prepare different ways of differentiating and integrating your information until
257
258
Table 17.4 Wilson interview: tabulation of complete interview

Politics Family Religion Education Life Stages Events Vol. Orgs. Sig. Others Music

Table 17.5 Calculated number of passages
Politics Family Religion Education Life Stages Events Vol. Orgs. Sig. Others Music
29
16
15
21
14
Family
Religion
Education
Voluntary
organisations
Significant
others
Figure 17.1 Graphical representation of relationship between variables
some signs of clarity appear. Be prepared to invest considerable time in the process:
as much as (if not more than) you spent collecting and transcribing the data.
Other methods of analysis
These include memoing, case analysis meetings, interim case studies and pre-structured cases
(Miles and Huberman, 1994: 7385).1
Memoing
Writing a memo generally means writing an informal note to yourself or colleagues
of new information. In the context of research, memoing has a more specic
meaning:
the theorising write-up of ideas about codes and their relationships as they strike the
analyst while coding it can be a sentence, a paragraph or a few pages it exhausts
the analysts momentary ideation based on data with perhaps a little conceptual
elaboration.
(Glaser, 1978: 83)2
259
260

Table 17.6 Coding: Wilson and Heath compared
Code
Wilson
Rn Nonconformism
Allied to social justice; soil for

Labour party
Heath
Rcoe Church of
England
Mothers spiritual sense of Chr faith

*[his] belief in God that ministers of
CoE share
Rnm Chapel
Rp Ministers
Er School
(Religious music)
Essential part of childhood

Father-in-law
(Implied)
Chapel hymns reflected political
events
F f Father
F m Mother
F w Wife
F o Other relatives
(No specific mention)

Teacher
E t School teachers
Two: most important adults in

your life
R B McCallum
G D H Cole
Beveridge
Attlee
Bevan (Nye)
E t Tutors, etc.
So Significant others
Organ scholar
A good man, craftsman, self-made

Fine character, strong personality
(never married)
Uncle, grandfathers
A D Lindsey
Disraeli one-nation
Locke on liberty and the state
In other words, when you have a Eureka moment, insight or brainwave during your
coding and analysing of text, write it down and continue with your activity. Copy
the memo to your colleagues or supervisor for their views. Return to your memos
when you have nished your coding. Many of your bright ideas will prove false
dawns. But you will not have forgotten them and have evidence of all the leads
that you explored and discounted.
Table 17.7 An analytical typology
Class
Conforming
Non-conforming
Conforming working class (Wilson)

Conforming middle class (Heath)
Conforming upper class (Macmillan)
Nonconforming working-class (D. Davis)

Nonconforming middle class (Attlee)
Nonconforming upper class (Mosley)
Case analysis meetings

Case study meetings are similar to supervision meetings or peer-reviews. They are
designed to seek formalised discussions on your analysis so far. They are particularly
valuable to review progress against timetables, or to talk-through problems, new
opportunities or unexpected ndings.
Interim case study
Miles and Huberman strongly recommend researchers to write a 25-page interim
case study report to: prevent the nightmare of bad or opaque data, systematic
error, or blindingly obvious or trivial conclusions. You should complete this when
you are one-third the way through the research (comparable to the up-grading
review procedure through which postgraduates must pass before the initial MPhil
registration can be raised to DPhil/PhD). This interim report should demonstrate
the type of data and information that you have collected and the effectiveness of
your analytical methods. If you are unable to demonstrate a functional relationship
between the data and its analysis, then clearly you must consider collecting different
types of data or adopting other methods of analysis or both.
1. Consider and discuss the transcripts of the interviews with Harold Wilson and
Edward Heath. On the basis of your theoretical understanding gained from other
courses, what causal influences on their political choices would you suggest? Copy
them from www.sage.co.uk/pierce. Develop your own generic codes and apply
these. What additional, in vivo codes would you suggest? Tabulate the codes and
extracts for Wilson and Heath. Tabulate a comparison of the transcripts. Develop
a typology of your own. What inferences would you suggest?
2. Visit www.bbc.co.uk On the home page, enter Paxman Interviews. Select an
interview with a UK political elite. If in doubt, use interview with Tony Blair on
27 April 2005. Click on printable version. Download, transcribe and code. Note
that you can also watch video recordings of many BBC interviews.
FURTHER READING
Gubrium, J. F. and Holstein, J. A. (1997) The New Language of Qualitative Method.
Oxford: Oxford University Press. p. 244. This concise textbook explores the new
language of analysis within the discipline of sociology and the perspectives of
naturalism, emotionalism, ethnomethodology and postmodernism.
261
262

Miles, M. B. and Huberman, A. M. (1994) Qualitative data Analysis. London: Sage.
p. 338. This US textbook provides detailed guidance on coding of text and its
analysis. The authors pay particular attention to the value of matrices, tables
and charts in data analysis. The book draws its examples from US public policy
practice, especially education reform.
Ritchie, J. and Lewis, J. (eds.) (2003) Qualitative Research practice: A guide for
social science students and researchers. London: Sage. p. 336. This is a
well-written and readable textbook which is written for a readership of all social
science disciplines. It draws on examples from UK practice. However, only two
chapters describe the analysis of qualitative data. The analytic hierarchy shown
on p. 212 is invaluable to understand the process of analysis.
Silverman, D. (2001) Interpreting Qualitative Data: Methods for analysing talk, text
and interaction. London: Sage. p. 325. This is an excellent monograph by a
leading UK academic. He promoted three models for interpreting interview
data: positivism, emotionalism and constructionism. Methods used include
content and discourse analysis. Exceptionally, the textbook includes a chapter
(Chapter 7) on the analysis of visual images.
Notes
1 Miles, M. B., and Huberman, A. M. (1994) Qualitative Data Analysis. London: Sage.
2 Glaser, B. G. (1978) Theoretical Sensitivity: Advances in the Methodology of Grounded Theory. Mill
Valley: Sociology Press.
Chapter 18
1.
2.
3.
4.
To consider alternative definitions of content analysis.

To compare qualitative and quantitative content analysis.
To consider the sub-types of content analysis.
To learn how to carry out content analysis using latest available software.
Introduction
Content analysis is also called textual analysis and, somewhat pejoratively,
text mining. In this context, content is words, texts, transcripts of speeches or
conversations, pictures, ideas, themes or messages. Content analysis is concerned
with the bits and pieces words of communication rather than the generality.
It is a long-standing tradition and was widely used by church authorities to search
out heresies and to prosecute heretics. Max Weber encouraged its use, in Weimar
Germany, to monitor and compare press reports in terms of coverage and bias
of his Social Democratic Party. During the Cold War, content analysis was widely
used by Kremlinologists and Sinologists to monitor the stream of radio trafc, ofcial
reports and statements from USSR and Chinese sources. Its use has become even
more widespread as a result of new software designed to automatically scan all
telephone and emails etc. to detect key words as part of the war on terrorism.
In a sense, content analysis has become part of the apparatus of the vigilant or
oppressive state and a source of increasing paranoia among political activists. It
is a key concept of the new popular discipline of media studies (OSullivan et al,
1997: 62).1 In this context, text is considered to have an independence from its sender
or intended receiver. It can be any message written visual, spoken or sung as a
medium for communication including books, newspapers, advertisements, speeches,
ofcial documents, lms of video, musical lyrics, photographs, clothing (especially
T-shirts), grafti, works of art and national anthems.
264
The advantages to researchers of using content analysis include:

theres plenty of it: widespread availability of texts especially on the Internet
greater ease of scanning or downloading text for analysis
relatively low cost
simple, covert research method which minimises the research effect: (Hawthorne, etc.)
distance from subjects
quantifiability
consequently, claims to objectivity.
On the other hand, the criticisms that can be made of content analysis include:
researcher bias in the selection of texts

conceptual assumptions are highly contestable
application of Boolean and other mathematical software is bad science
problem of identifying the population of texts and, therefore, of obtaining a random,
representative sample of texts
heavy promotion by commercial interests
benefits are exaggerated by users.
I regard content analysis as a potentially useful but supplementary tool of analysis.
Qualitative and quantitative content analysis

Content analysis may be qualitative or quantitative. Both can use the same body
of textual and other data. Qualitative content analysis is highly interpretive.
It essentially involves the reading of texts, etc. to determine the extent of bias in
terms of supportive, critical or (more or less) neutral accounts of organisations,
institutions, concepts or gures. In York, it was used by students over many years
to analyse the bias of British print media towards the Loyalists and Nationalists in
Northern Ireland. The approach here, as elsewhere, is to select a sample of texts
over a long period of time for independent reading and analysis by a number of
researchers whose own biases are recorded at the beginning of the exercise. The
assessments are then compared.
Alternatively, qualitative content analysis can be used to compare different
perspectives on the same topic by different speakers. In 2004, as an exercise
at the Essex Summer School, I compared the interpretations of democracy of
world leaders in their speeches to the UN following 9/11. My analysis is shown
below. You will note the differences in the meanings of democracy adopted and
promoted by the US President and European leaders. Note also how Putin adopts
an instrumental view of democracy.
Democracy
opposite of
communism
choose
raise families
vote
assemble
worship
fear
tyranny
censorship
taxes
Liberty
responsibility to defend
greater vigilance,
security
military action
sacrifice
intervention
BURLESCONI
response
pre-emption
freedom and democracy
can't be neutral
defence of human rights
peace and development
freedom from totalitarianism
route from poverty
PUTIN
market economies
decent standard of living
choice
European humanism
anti-totalitarianism
myth of partnership (NATO)
caliphate
SCHROEDER
institutions to guarantee human
rights
popular participation
shared trade
sustainable development
disarmament and non-proliferation
full state sovereignty
social and material security
minority rights
CHIRAC
liberty
responsibility
freedom and dignity
multilateralism
state sovereignty
rule of law under UN
equal dignity of all cultures
respect for diversity
dialogue
Figure 18.1 Interpretation of world leaders of democracy in speeches to the UN following 9/11
God
from
freedom
to
BUSH
BLAIR
cooperation
human rights
peace and prosperity
peace and
development
peace and prosperity
hope rule of law
respect for others
liberty rather than
freedom
stability partnership
uniting disparate
groups tolerance
justice
hard work
offering asylum to
refugees
merit
worth
266
This rough and ready approach has been replaced by the development of discourse
and narrative analysis as the principal method for the qualitative analysis of text.
Quantitative analysis
Most content analysis is now entirely quantitative. It counts the incidence and
frequency of words. Its theoretical underpinning is provided by Zipfs Law
an experimental law developed by George Zipf (190250), Harvard professor of
linguistics. Zipfs Law is, technically, a power-law distribution. The law states that
the frequency of occurrence of some event (P), as a function of the rank (i) when the
rank is determined by the above frequency of occurrence, is a power-law function
Pi 1/i a with the exponent a close to unity. What this means is that, in any body of
text, the frequency of any word is inversely proportional to its rank in the frequency
table (of most commonly-used words). In English texts, the word the is the highest
ranking word. So, in any text, it is likely to be the most frequently used word and,
indeed, is used twice as often as the next, highest-ranking word.
What Zipf means in plain English is that, where uncommon words (or phrases)
are used often in a text, then they express and reect the greatest concerns of the
communicator. These are termed key words. For example, a Zipan analysis of
G. W. Bushs presidential inaugural address of 20 January 2005 shows that, in a
speech of only 2,083 words, the key words used were:
Key word
freedom
liberty
hope
history
tyranny
God
Frequency
27
15
8
7
5
4
However, the word Iraq was not mentioned at all. This example readily
demonstrates the great weakness of content analysis as a tool of Politics research: that
the key words used by political elites (and their speech-writers) do not necessarily
express what may be their greatest concerns. Hence the criticism made of Margaret
Thatcher by a cabinet colleague that: The trouble with Margaret is that, when she
speaks without thinking, she says what she thinks.2 Indeed, the key words may be
used deliberately to conceal or divert attention from real policy concerns. Political
speeches have become carefully-planned, communications events whose contents
will have been analysed to ensure that the right words are used the right number
of times and resonate (appeal) to the target audiences. However, paradoxically,
content analysis by others can enable omissions to be identied.
You can carry out your own simple content analysis by copying texts of speeches
from the Internet and then using the Edit/Replace function in Microsoft Word.
First, identify your key words. Then ask Word to replace all your rst key word by,
say, xyz. Word will tell you how many occurrences have been replaced.
Quantitative content analysis can be either structural or substantive. Whichever you
adopt, you must rstly clearly identify the population of texts and sample frame and
justify fully the (random or non-random) sampling method you adopt.
Structural content analysis

Structural content analysis is primarily concerned with how the text is presented
and reported rather than the frequency of key words used. It seeks to measure:
space (or time) devoted to the text

volume: headline type and font size
position or prominence of the text
use of accompanying illustrations or photographs
indications of direction or bias (for example, by stereotyping)
persistence over time (for example, Daily Mail s campaign over asylum seekers and
Daily Express pre-occupation with Princess Diana)
Structural content analysis is widely used as a comparative technique by media

watchers. It is also employed by political parties to make complaints of bias against
public broadcasters and thus to secure better, corrective coverage. But the public
broadcasters also use structural content analysis in the design of their programmes
to rebut complaints. One very useful, simple and instructive exercise that you can
perform is to track and compare the front page editions of all the national newspapers
over one week. Note how the choice of front-page stories varies between the
quality (Times, Guardian, Independent, Telegraph) and popular, redtop newspapers.
Then compare them with the headlines on the BBC, ITN and Sky Internet news
sites. For example, the headlines for 13 January 2007 are:
BOX 18.1 National Newspapers, circulation (000s) and
headlines, 13.01.2006: TV News headlines, 13.01.2007
The Times
The Guardian
Daily Telegraph
635
365
899
NHS faces treatment rationing

Revealed: the 11 government ministers fighting NHS cuts
Browns manifesto for Britishnesss
(Continued)
267
268
The Independent
Daily Express
Daily Mail
The Mirror
The Sun
The Star
TV news
BBC News
ITN news
Sky News
238 Shoot the messenger: Blair blames press for anti-war mood
773 Big new tax on house owners
2,311 Now a school bans crucifix
1,540 Big brother shot my dad dead
3,026 Shoot him, mothers anger at beast who raped girl, 3
750 Big Bro on skids
(audience for post-watershed news)
5,000 Reid moves to quell offender row
3,000 Boys killed by Tube train
2,000 Men killed in Tube tragedy
Source: Audit Bureau of Circulation www.abc.org.uk, BBC, ITN and Sky News web-sites
Substantive content analysis

Substantive content analysis analyses selected texts by counting the frequency
and distribution of key words. More advanced, software-based techniques use
Boolean search parameters which enable you to rene your research by counting
the frequency and distribution of combinations of key words.
A very good example of traditional, substantive content analysis is provided by
Budges use of the method to analyse changes of UK party policy and ideology in
the period 194597 (Budge, 1999: 121).3 He uses the party manifestos published
by the major parties as election programmes which he argues are:
not widely read by the British public.Their importance is that they are read by the political
and media elite and reported intensively in newspapers, TV and radio. Thus their textual
emphases set the tone and themes of campaign discussion (1999: 2).
He explains that the task of analysing the data is simplied by the coding of all
Western European manifestos since 1945 by the Manifesto Research Group of the
European Consortium for Political Research (ECPR). The Group uses a base of 46,
major, policy areas which are coded generically. They include: 101 Foreign special
relationships: positive; 102 Foreign special relationships: negative; 103 Decolonisation;
706 Non-economic demographic groups. Each sentence is coded and counted under
one policy area. The percentage of sentences devoted to each policy area is then
calculated. In this way, the coverage given to any policy area can be plotted over
time by extending the analysis over all of the parties manifestos in chronological
order.
Budge extended the research by analysing the movement of manifestos across the
political spectrum to establish how far (and often) the parties have changed their
ideological positions and appeals to the electorate. He adopted the left-right coding
scale developed by Klingermann et al (1994).4 This is shown in Table 18.1.
Table 18.1 Left-right coding scale
Left-Wing Emphases (Sum of %s for)
Right-Wing Emphases (Sum of %s for)
Decolonisation
Anti-military
Peace
Internationalism
Democracy
Regulate capitalism
Economic planning
Pro-protectionism
Controlled economy
Nationalisation
Social services expansion
Educational expansion
Pro-labour
Pro-military
Freedom, human rights
Constitutionalism
Effective authority
Free enterprise
Economic incentives
Anti-protectionism
Economic orthodoxy
Social services limitation
National way of life
Traditional morality
Law and order
Social harmony
Source: Klingermann, et al 1994: 40
Left wing () / Right wing (+) scores

for each party
Budge applied this scale by adding all the sentences in Klingermanns left list and
subtracting them from all the sentences in the right list to provide a scale between
+100% (manifesto wholly right wing) to 100% (all left wing). The scores are
charted in Figure 18.2.
40
30
20
10
Conservative
0
10 0
20
40
60
20
Liberal
Labour
30
40
50
60
General Election years (where 1945 is 0)
Figure 18.2 British parties ideological movement on a left-right scale, 194597

Source: Budge, 1999: 5, Figure 11.1
269
270
Budge interpreted the chart to argue that:

Labour moves sharply rightwards from 1992 and for the first time in post-war history
shows a preponderance of right wing positions over left ones positions (+5%) Labour
moved rightwards and leapfrogged over the [LiberalDemocrats] in relative terms,
Labour became the most centrist party.
(Budge, 1999: 6)
You may criticise Budges method for its reliance on assumptions that you regard
as very problematic (e.g. the categorisation of human rights as a right-wing
phenomenon). However, you must accept that his analysis does appear to chart
accurately the ideological emergence and drift of New Labour to the (more electable)
centre-ground. However, this very good example of effective content analysis also
demonstrates that the method is not a quick x. In this research project, it has
involved reading and coding 42 election manifestos. So structural content analysis
can be very laborious. And users can also be criticised for substituting hard labour
for the less-laborious but more intellectually demanding methods such as discourse
and narrative analysis (see Chapter 19).
Content analysis software
New software removes the hard labour of traditional content analysis but compounds
criticisms of its use as a principal research method. There are now a large number of
English language software programs for quantitative content analysis. They include:
AutoMap; CatPac; General Inquirer (Harvard); Hamlet II; Leximancer; TACT; Textpack
(Cologne); Texstat (Berlin); VBPro; Wordsmith; WinMax. You can nd reviews of
and information on many of these programs at: http://lboro.ac.uk/research/methods/
research/software/stats.html
Each of these types of content analysis software perform a wide range of functions.5
The core functions include:
calculating word frequencies

excluding stopwords (the, and, in etc.) automatically
adopting lemmitisation to combine words with the same stem, e.g. go, going, gone
using synonyms to categorise as one word all others having the same meaning, e.g.
gone, quit, departed, etc.
recording concordance by showing each word in its context (termed KWIC: key words
in context)
using cluster analysis to group together words used in similar contexts
using co-word citation to identify the concurrence of key words. This is used by the US
governments Echelon Project to scan emails for terrorist activity. So, emailers using a

combination of, say, bomb and Islam are likely to automatically attract the attention of
the security services.
The software is designed to analyse relatively short texts of up to 10,000 words.

However, no coding is required. All you have to do is to enter the text you wish to
analyse and the key words. Your selection of text and appropriate key words is therefore
critical to the effectiveness and value of the analysis. Many other programs designed
primarily for coding and analysing texts can perform simple content analysis. They
include ATLAS.ti, Nud*st and SPSS for text.
Hamlet II
Hamlet II can be recommended for a number of reasons. First, it was developed
uniquely by a political scientist, Dr Alan Brier of Southampton in conjunction
with the foremost continental researchers, Ekkehard Mochmann and Bruno Hopp
of the Central Archive for Empirical Social Research in Cologne. Second, the
software provides supplementary graphical displays of completed analysis in the
form of dendograms and three-dimensional (Minissa) displays (which can be rotated).
These dendograms and displays can illustrate what might otherwise be uninteresting
tables and bring welcome, additonal interest to your research report. Third, you
can download a free, 30-day trial copy of Hamlet II from www.apb.cwc.net. A free
tutorial guide is also available.
Hamlet II offers a number of analytical procedures including:
Joint Frequency Analysis
simple cluster analysis
multi-dimensional scaling
PINDIS (Procustean Individual Difference Scaling)
KWIC (key words in context)
Wordlist
Compare (to compare two or more texts)
Profile (which displays the distribution of words and sentence lengths)
To provide an example, Hamlet II has been used to complete a content analysis of the
full text of President Bushs State of the Union Address 2005. This was downloaded
from the White Houses Internet site at www.whitehouse.gov/news/release/
20050202 as a plain text le. A list of key words was selected from a quick skim of
the speech. They were (in alphabetical order) better world, budget, democracy, economy,
free*, freedom, God, history, hope, justice, liberty, sacrice, tax, terror* and tyranny. (The
wild card * is used to enable all words beginning with the chosen stem, e.g. free*,
to be counted together.) No synonyms were used. However, the word Applause
271
272
(included in the transcript as (Applause)) was added to nd out which key words
generated the greatest support from Members of Congress. A demonstration copy
of Hamlet II was installed and the instructions followed. The analysis was saved and
copied and is shown in Boxes 18.2a, b, and c:
BOX 18.2a
HAMLET II analysis: word search
HAMLET II analysis: word search

HAMLET - Computer-assisted Text Analysis - 17/01/2007 17:32:57
=================================================================
The text is read from the file: State of the Union Address 2005.txt
Counting collocations within a span of 50 words WARNING : No collocates for "freedom"
WARNING: some characters were not recognised when reading this file!
WORD-SEARCHING IS INSENSITIVE TO CASE.
There are 17 main entries in the search list.
No synonyms / related items are recognised:
CATEGORY/WORD COUNTS
VOC.LST.
Applause
better world
budget
democracy
economy
free*
God
History
Hope
Justice
Liberty
Sacrifice
Society
Tax
terror*
tyranny
FREQUENCY % VOC.LST. % TEXT CONTEXT UNITS

67
6
3
8
11
27
1
5
3
4
7
1
5
6
27
2
36.61
3.28
1.64
4.37
6.01
14.75
0.55
2.73
1.64
2.19
3.83
0.55
2.73
3.28
14.75
1.09
1.30
0.12
0.06
0.15
0.21
0.52
0.02
0.10
0.06
0.08
0.14
0.02
0.10
0.12
0.52
0.04
67
6
3
8
11
27
1
5
3
4
7
1
5
6
27
2
You will note that the most frequently used key words were free* (27), terror* (27),
democracy (8), liberty (7), better world (6), tax (6) and history (5). Applause was recorded
in the transcript on 67 occasions
BOX 18.2b
5162 words were read from the text file.
183 of these were in the search list, and
collocations within up to 50 words were counted.
JOINT FREQUENCIES ......................................
COLLOCATIONS within up to 50 words:
i
1
2
3
4
5
6
7
8
9
10 11
12
13
14
15
16
+----------------------------------------------------Applause
1 |
better world 2 |
4
budget
3 |
7
0
democracy
4 |
9
0
0
economy
5 |
20
3
2
0
free*
6 |
25
0
0
4
2
God
8 |
1
0
0
0
0
1
History
9 |
6
0
0
1
2
6
Hope
10 |
4
1
0
1
0
3
| 0
justice
11 |
7
0
0
1
2
1
| 0
0
liberty
12 |
6
0
0
3
1
9
| 1
1
0
sacrifice
13 |
1
0
0
0
0
0
| 0
0
0
0
society
14 |
4
0
0
0
0
1
| 0
0
0
0
0
tax
15 | 11
1
2
0
6
0
| 1
0
0
0
0
0
terror*
16 | 26
0
0
6
0
23
| 0
6
0
3
0
0
tyranny
17 |
2
0
0
2
0
3
| 0
1
0
0
0
0
4
273
274
BOX 18.2c
HAMLET II analysis: Joint Frequency
The joint frequency table clearly shows that Applause was most strongly associated with
terror* (26 times), free* (25 times) and economy (20 times). Other frequent associations
are; free* with terror* (23 times); liberty with free* (9 times); history and free* (6 times);
and, hope and free* (3 times).
The probability of a specific pair of words being present in any pair of words is measured
by the Jaccard coefficient. This is shown calculated in Box 18.3c:
HAMLET II analysis: Jaccard coefficients
STANDARDISED JOINT INDEX VALUES
Jaccard coefficient - ignores joint non-occurrence
i
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
+------------------------------------------------------Applause
better world
budget
democracy
economy
free*
God
History
Hope
justice
liberty
sacrifice
society
tax
terror*
tyranny
1|
2|
3|
4|
5|
6|
8|
9|
10|
|
11|
|
12|
|
13|
|
14|
|
15|
|
16|
|
17|
|
0.06
0.11
0.14
0.34
0.36
0.01
0.09
0.06
0
0.11
0 0
0.09
0.01
0.06
0.18
0.10
0.38
0
0.03
0
0
0
0.21
0
0
0
0.13
0
0.17
0
0
0
0
0
0.13
0
0.08
0.10
0.06
0
0.14
0
0.04
0.23
0.11
0
0
0
0.20
0
0.09
0.15
0.03
0
0.09
0
0
0
0
0.09
0
0
0.25
0
0.25
0
0.11
0
0
0
0
0.29
0
0
0
0
0
0.25
0
0
0
0
0
0
0
0.21
0.10
0.25
0
0.06
0.36
0
0
0
0.03
0
0
0
0.74
0
0.12
0
0
0
0
0
0
0
0
0.55
0
0
0
0
0
0
0.16
Figure 18.3 Dendogram
The dendogram and minissa display are shown in Figures 18.3 and 18.4. They
demonstrate the functional relationship between the key words used and their
relative proximity.
The example demonstrates the main strengths and weaknesses of using content
analysis software. The main strengths are:
the ready availability of texts

the scope for comparative analysis
easy-to-use (with practice) analytical software
good tabulations of results
eye-catching illustrations.
The main weaknesses are:
concurrence of key words does not necessarily indicate causal links
275
276
Figure 18.4 Minissa 3-D display
the meanings of key words change over time and can be deliberately changed by political
parties who exploit feel good or feel bad words to make their policies more attractive
(e.g. community, homeland)
overall, the analysis is not really conclusive enough to provide sufficiently reliable
evidence to confirm your research hypothesis.
Content analysis can therefore arguably be recommended only as a supplementary

research method.
1. Where and when should content analysis best be used?

2. Compare and contrast two or more of the available software packages.

3. Working in teams, complete a structural content analysis of last weeks national TV
and print news media accounts of national and international news from Monday
to Sunday. What inferences and conclusions can you draw?
4. Complete a content analysis of all President George W. Bushs State of the Union
Addresses. Compare the analyses. What are your main conclusions? What are
their limitations?
5. Select two quality newspapers. Using CD-ROMs or Internet sources, evaluate their
(emergent) bias for or against the Republican and Loyalist movements in N. Ireland
between the Good Friday Agreement (1998) and the St Andrews Agreement
(2006). What conclusions can you draw? What reasons can you suggest for any
changes of support?
6. A comparison of the key words used by President Bush in his Inaugural Address
(2,083 words) and State of the Union Address in 2005 (5,162 words) shows a
variation in their frequency:
Key word
Freedom
Liberty
Hope
History
Tyranny
God
Inaugural Address
27
15
8
7
5
4
State of Union Address

27
7
3
5
2
1
Are these differences significant? What alternative explanations can you give?
FURTHER READING
Most textbooks of research methods in Politics mention content analysis but few
give more than a few pages coverage.
Krippendorff, K. (1980) Content Analysis: An Introduction to its Methodology.
London: Sage. Despite its age, this remains an essential text for students
contemplating the use of content analysis. Its early publication (1980) means
that it pre-dates PCs and the availability of software. Hence, Krippendorff
provides a very good, detailed account of the assumptions and processes
adopted, and shows how these can be applied manually.
pp. 11320, provides an authoritative account of the scope and application of
content analysis. She provides a case study of the portrayal by UK news media
of political leadership qualities.
277
278

Burnham, P., Gilland, K., Grant, W. and Layton-Henry, Z. (2004) Research
Methods in Politics. Basingstoke: Palgrave Macmillan. pp. 23642, provides
a well-referenced introduction to content analysis including two case studies.
Budge, I. (1999) Chapter 1: Party Policy and Ideology: reversing the 1950s?
In Evans, G. and Norris, P. (eds.) Critical Elections: British Parties and Voters in
Long-Term Perspective. London: Sage. pp. 121, provides an excellent example
of the application of content analysis. The book also shows how content
analysis can be used to scope and foreground other methods of analysis.
Klingermann, H-D., Hofferbert, R. and Budge, I. (1994) Parties, Policies and
Democracy. Boulder: Westview Press.
Notes
1 OSullivan, T., Hartley, J., Saunders, D., Montgomery, M. and Fiske, J. (1997) Key Concepts in
Communication and Cultural Studies. London: Routledge.
2 Matthew Parris, The Times, 13 January 2007.
3 Budge, I. (1999) Chapter 1: Party policy and ideology: reversing the 1950s? In Evans, G. and Norris,
P. (eds.) Critical Elections: British Parties and Voters in Long-Term Perspective. London: Sage.
4 Klingermann, H-D., Hofferbert, R. and Budge, I. (1994) Parties, Policies and Democracy. Boulder:
Westview Press.
5 Brier, A.P. and Hopp, B. HAMLET a Multidimensional scaling approach to text-oriented policy
analysis. In Journal of Diplomatic Language 2(1) (2005) (online at http://www.jdlonline.org//
IIbrier.html), illustrates the comparison of a number of sources.
Chapter 19
Understanding and Adopting

Discourse and Narrative Analysis
the world is structured by discourse

(Foucault)
We cannot get iffy over other peoples power-games with language, and then pretend
we are not players in the game too
(Curt, 1994:19)1
1.
2.
3.
4.
5.
6.
To understand some of the origins of the discipline of discourse.

To consider and compare various schools of discourse analysis.
To consider in greater detail what is meant by critical discourse analysis.
To learn how critical discourse analysis can be applied.
To discuss what is meant by narrative.
To learn how to apply narrative analysis.
Introduction
Discourse analysis is characterised, at one hand, by growing enthusiasm for its use by
ambitious students and researchers and, at the other, by a variety of interpretations
and advice from leading authorities. The paradox is that discourse analysis has many
interpretations: there is a discourse on discourse. Some regard it as a method.
Others profoundly disagree: they conceptualise discourse analysis as a discipline.
It is, therefore, another essentially contested concept (Gallie, 1956).2 Indeed, there
are times when, faced with the wide range of differing authorities, you may be
forgiven to likening discourse analysis to Churchills description of Russia as:
a riddle, wrapped in a mystery, inside an enigma.3
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In everyday speech, discourse is generally used to describe a discussion, conversation, talk or text. Discourse is essentially a mode of communication. However,
within the social sciences, a variety of explanations are given. The most readily
understandable and succinct are:
language as social practice determined by social structures (Fairclough, 1989)4
systems of meaning, including all types of social and political practice, as well as
institutions and organisations (Howarth, 1995)5
a representation of what we want the world to be like, rather than a representation of how
the world is, the correctness of which [can] be tested (Carver, 2002; 5)6
a specific ensemble of ideas, concepts and categorisations that are produced, reproduced, and transformed in a particular set of practices and through which meaning is
given to physical and social realities (Hajer, 1995: 44).7
In other words, language is political.

Similarly, discourse analysis has many explanations including:
a description for studies focusing only on linguistic units above the level of the sentence
(Stubbs, 1983)8
analysing the way systems of meaning or discourses shape the way that people
understand their roles in society and influence their political activity (Howarth, 1995)9
an examination of the relationships between units of talk, writing, or other representational
forms, and of the significance of these relationships for our subjective experience (Squire,
1995)10
discourse analysis does not look for truth but rather at who claims to have truth (Carver,
2002: 53).11
Essentially, discourse involves language (rather than individual words). But the
modes of discourse also include other sounds (a referees whistle), non-verbal
communication (gestures, holding a childs hand) and signs (for example, trafc
lights). The primary uses of language are:
ideational (the expression of ideas)

referential
propositional.
Additionally, language is used as a means of:
emotional expression
social interaction
an instrument of thought
expression of identity
co-ordination and control of others.
Examples of the use of language for co-ordination and control include paradeground commands, childrens nursery rhymes and the litany of religious rituals. But
the meaning of the language will be determined by the context and societal norms.
Consider the example of a brick. A brick on a building site is a component of
construction. A brick as part of a wall is a means of enclosure. A brick to an artist
is a highly textured and variegated surface within a regular and repeated shape. But
if you carry a brick through a crowded shopping street, then especially if you are
wearing a hoodie it may well be regarded as a potential weapon and you, the
bearer, as a would-be criminal.12
Origins of discourse theory and discourse analysis

Discourse theory is an ever-evolving discipline. Its roots lie in linguistics, semiotics,
philosophy, psychology, and social theory. Politics departments especially at the
University of Essex have played an increasing role in its more recent development.
Linguistics
Linguistics is the science of language (Crystal, 1995: 425).13 Its original focus
was grammar and the rules of language. In the Enlightenment period, the rationalist
scholars investigated what appeared to be universal features of language as evidence
of universal rationality. Their nineteenth-century successors studied the evolution
of language and grammar. In the twentieth-century, the focus moved to psychology
and social theory. A paradigmatic shift was provided by the Course in General
Linguistics (1916) by Ferdinand de Saussure (18571913). He distinguished between
language (facility of speech), langue (language system) and parole (speech act). Langue
is essentially a system of signs which has two parts: the signier (what signies) and
the signied (what is signied or meant). He also distinguished between diachrony
(study of the historical development of language) and synchrony (study of the lived
language of the present).
The synchronic approach of concentrating study on the structural forms of
language rather than diachronic study became termed structuralism. Its name
derived from the belief that that individual agency (personal autonomy) is supercial:
behaviour is determined by underlying structures of society. Individuals are not the
architect of their universes but their products. This approach was extended by the
French scholars: Claude Levi-Strauss (1908),who was particularly concerned with
the role of myths in society); cultural seminologist, Roland Barthes (191580),
and psychoanalyst; Jacques Lacan (190181) and others (Jary, 1995: 6602).14
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Anthropologist, Franz Boas (18581939) argued that language is essential to the

acquisition and transfer of knowledge. Later, post-structuralism was developed by
Jacques Derrida (19302004) and Jean Baudrillard (19292007) to focus on the
nature of surface knowledge. Special attention was given to the rhetorical devices of
which language was constructed. Their principal method of analysis was therefore,
deconstruction.
A paradigmatic shift was achieved by the MIT Professor of Linguistics and
subsequent political activist, Noam Chomsky (1928). He distinguished between
competence (the individuals knowledge of the rules of grammar) and performance (their
use of the language). Linguistics should concentrate more on linguistic competence as
part of the individuals psychological capacity:
How [is] it that human beings, whose contacts with the world are brief and personal and
limited, are nevertheless able to know as much as they do?
(Chomsky, 1986: xxvi)15
Semiotics
Semiotics is the:
study of the properties of signs and signalling systems especially as found in all forms
of human communication.
(Crystal, 1995: 430)16
More recently, the signiers have been extended to include consumer durables,
gadgets, gifts, music and architecture. For example, archaeological research has
shown that the great fortied gatehouses built by the Romans had little military
value: their role was to express to the native population the overarching power
of Rome.
Philosophy
The philosophers principally associated with the development of discourse theory are
the Austrian-born philosopher, Ludwig Wittgenstein (18891951) and the French
philosopher, Michel Foucault (192684).
Wittgenstein argued that language pictured the world. Furthermore, there could
never be a private language. Language was bounded by language games where each
game had its own rules and was grounded in its own form of life.
Foucault was, in part, a poststructuralist and iconoclast (a person who challenges
accepted beliefs). He re-examined topics and prevailing beliefs through the
other end of the telescope. He argued that there was no absolute truth or
objective knowledge. The maxim that knowledge is power was a myth. In practice,
power is knowledge. Elites use language to promote their interpretations of knowledge
through fabricated truth regimes. Discourse was a system of representation in the form
of epistemes and discursive formations. In particular, language is a vehicle for the
production of new knowledge and systems of classication of society. Knowledge
did not liberate individuals. Instead, it has become part of the apparatus of control by
the state. He was particularly concerned (and personally affected) by the emergent
discourse of scientic and medical knowledge by which individuals became labelled
as mad or homosexual, and panoptically complicit in their own exclusion and
connement. Madness and sexuality were entirely social constructs. In this way,
individuals were objectied and structured by discourse. His approach has been widely
adopted by Foucauldian critical discourse analysts.
Other signicant contributions were made by Canadian-born sociologist Erving
Goffman (192282), US sociologist, Harold Garnkel (1917) and Canadian media
guru, Marshall McLuhan (191180). Goffman studied face-to-face interaction
through the lens of social interactionism where the meanings of language were never
static or xed but negotiated by the participants. Garnkel was the founder of
ethnomethology which studied the everyday methods used by members of different
societies (ethnomethods) in their conduct and interaction. McLuhan contributed the
maxim that: the medium is the message (1962).17 So television is more signicant
than the content of its programmes (OSullivan, 1997: 1767).18
The schools of discourse theory and discourse analysis

The leading UK authority on discourse in Politics, David Howarth, identies ve
different theoretical schools of discourse and, therefore, discourse analysis: positivists;
realists; Marxists; critical discourse analysis; and post-structuralists (Howarth, 2000:
25).19
Positivists (and empiricists) see discourses as frames made by groups to interpret
their worlds in the same way and for specic purposes. These frames legitimate (and,
therefore, justify or excuse) collective action. This is:
essentially a political definition, focusing on attempts by groups to impose their own
assumptions and values on others in order to promote their own interests.
(Burnham, 2004: 243)20
Members of this school see the task of discourse analysis as, therefore, to identify
these frames, their effectiveness and the consequences of their use.
Realists argue that objects have an existence independent of societys conception or
perception. The objects have their own properties and causal capacity. So discourses
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are objects in their own right which contribute to events and social development.
The task of discourse analysis is to identify the discourses, show how they contribute
to processes of development and to expose the underlying material resources which
make discourses possible (Parker, 1992: 1).21
Marxists see discourses as ideological systems of meaning which legitimate the
unequal distribution of resources and power. The discourses are economic. They
are promoted by capitalists via their political parties, state education system and news
media. The task of discourse analysis is: rst, to expose the false consciousness sustained
by discourse; second, to identify the mechanisms and means adopted: and third, to
liberate those people whom it imprisons.
Critical discourse analysis is essentially similar to the Marxist conception of discourse.
However, it privileges social over economic inuences. This is described in greater
detail later in the chapter where it is adopted to analyse a case study.
Post-structuralists (and Post-Marxists) regard:
social structures as inherently ambiguous, incomplete and contingent systems of
meaning discourses constitute symbolic systems and social orders the task
of discourse analysis is to examine their historical and political construction and
functioning.
(Howarth, 2000: 45)
The proponents of this view include Derrida, Foucault, and, more recently,
Howarths colleagues, Laclau and Mouff.22 Laclau and Mouff set out ten
propositions. These include the argument that a political discourse can never
dominate a discursive eld to the exclusion of other discourse: it is dened by
a subordinate one. Their propositions are very sophisticated and probably too
advanced for rst-time discourse analysts.
Confused by discourse theory? This brief review demonstrates one essential element of
discourse analysis: dont think about using discourse analysis unless you are willing to
confront a very challenging literature. If your research project is merely a means to an
end outside academia, then choose another method of analysis. Go for an easy option.
But if you regard your research as a unique opportunity to develop your intellect by
tackling new concepts ranging beyond the conventional boundaries of political science, then
consider using discourse as both the theoretical framework and method of analysis. On the
practical side, an understanding of discourse can help you to compete better in the growing
communications and media sectors of the economy.
You may well feel intimidated by Laclau and Mouffs post-structuralist approach.
In that case, you are likely to nd that critical discourse analysis provides a
better starting point for your journey into discourse analysis. It offers three great
advantages to the political scientist. First, critical discourse analysis sees its primary
role as emancipatory:
to expose the way in which language and meaning are used by the powerful to deceive
and oppress the dominated.
(Howarth, 2000: 4).
Second, critical discourse theory draws on wide-ranging authorities with whom you
are likely to be already familiar: Gramsci, Althusser, Foucault, Giddens, Habermas
and Bakhtin (18951975). And third, a leading school is led by Norman Fairclough,
formerly Professor of Language in Social Life at the University of Lancaster, whose
very readable, authoritative texts draw examples from Politics especially the
discourses of Thatcherism and New Labour.
Faircloughs critical discourse analysis

In the introduction to his major text, Language and Power (2000), Fairclough
explains that his language study is critical (CLS) because it seeks to expose
otherwise hidden connections between language, power and ideology (2000: 4).23
He differentiates this approach from others by concentrating on how the audience
interprets the text (rather than the intentions of the text-producer) drawing on their
members resources (MR, i.e. accumulated experience). He also includes within
the scope of discourse analysis the turn-taking of everyday conversations (which
others tend to treat as a specialist sub-eld).
Critical language study adopts a concept of discourse which Fairclough denes
succinctly as: language as social practice determined by social structure (2000: 14).
So language is integral (rather than external) to society and a socially-conditioned
process. The relevant conditions are the social conditions of production and the social
conditions of interpretation. These social conditions have three levels of organisation: the
immediate social situation; the social institution; and the level of society. Fairclough
develops three arguments about the relationships between language, discourse and
social practice. First, the discourse used is socially determined by orders of discourse conventions set out in social institutions. Second, orders of discourse are ideologically
shaped by power relations of class and power in capitalist society. Third, (following
Giddens structuration theory) discourse shapes social structures and vice versa.
So this dialectic of structures and practices achieves both social continuity and
change.
Faircloughs critical language study develops Gramscis concept of hegemonic
power. Discourse is used by the state to win consent and acquiescence. However,
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this non-coercive power can be in or behind discourse. Power in discourse is used

by dominant groups to control or constrain the contributions of others in terms
of what is said (contents), the social relations of the discourse (e.g. teacher and pupil)
and the subject positions they occupy. In particular, news media limit the contents
of bulletins and representation of minorities. This constraint is an example of
the hidden power of discourse. But the power behind discourse is more subtle. One
example is the promotion of an elite dialect as the national language. Standard
English became the essential qualication for advancement in UK professions
(early phonographs record Gladstones Worcestershire accent). Whilst Estuarial
(or Mockney) English may be the dialect of popular television, it is not used in
news bulletins especially of serious news. Standard English remains authoritative.
It remains authoritative by mutating (as notably chronicled by Raymond Williams,
1976).24 Access to discourse is subtly restricted. Free speech is a myth. Professions
monopolise technical language and develop their own narrow jargon. Similarly,
turn-taking is dictated by social class especially in formal situations like court
proceedings.
Fairclough is particularly concerned with the relationships between discourse,
common sense and ideology. He argues that ideology prevails when it becomes
elevated to and accepted as common sense. As such, it is natural and therefore
not only acceptable but desirable. Many older people believe that the unequal
distribution of wealth and income is common sense and for the best (Panglossian).
The meaning of words is also common sense. For example, the word ideology is
equated with totalitarianism, fascism, communism and Marxism. So political leaders will
argue that their views are, basically, common sense, whilst their opponents are entirely
ideological. Similarly, each will preface their arguments by stating that the truth of
the matter is . Another device is to use scare quotes. For example, the popular
press undermined the scientic discourse of GM foods by calling them Frankenstein
foods.
Faircloughs exposition of the concept and components of language as discourse
is relatively straightforward. Where his particular discourse becomes more difcult is
when it becomes operationalised as a complex system of discourse analysis. He argues
that you cant just cite a speech by President Bush and say that this is a good example
of hegemonic discourse: formal analysis is necessary.
The conceptual framework for Faircloughs critical discourse analysis is the
relationship between text, interactions and contexts, illustrated in Figure 19.1.
Fairclough develops a three-stage system of critical discourse analysis:
1. description: identifying the formal properties of the text
2. interpretation: identifying the relationship between the text and interaction
3. explanation: identifying the relationship between the interaction and the social context.
Description answers ten questions in three sections.

Social conditions of production
Social conditions of
interpretation
Context
Process of production
Process of interpretation
Interaction
Text
Figure 19.1 Discourse as text, interaction and context

Source: (after Fairclough, 2000: 21, Figure 2.1)
BOX 19.1
923)
Description: ten questions (Fairclough, 2000:
Vocabulary
1. What experiential values do the words have?
1. What classification schemes are being used?
2. Are there words which are ideologically contested?
3. Is there rewording or over-wording?
4. What ideologically significant meaning relations are there between words?
2. What relational values do words have?
1. Are there euphemistic expressions?
2. Are there markedly formal or informal words?
3. What expressive values do the words have?
4. What metaphors are used?
Grammar
5. What experiential features do grammatical features have?
1. What types of process and participant predominate?
2. Is agency unclear?
3. Are processes what they seem?
4. Are nominalisations used?
5. Are sentences active or passive?
6. Are sentences positive or negative?
Continued
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288
6. What relational value do grammatical features have?

1. What modes (declarative, grammatical question, imperative) are used?
2. Are there important features of relational modality?
3. Are the pronouns we or you used, and, if so, how?
7. What expressive values do grammatical features have?
1. Are there important features of expressive modality ?
8. How are simple sentences linked together?
1. What logical connectors are used?
2. Are complex sentences characterised by co-ordination or subordination?
3. What means are made for referring inside and outside the text?
Textual structures
9. What interactional conventions are used?
1. Are there ways in which one participant controls the turn of others?
10. What larger-scale structures does the text have?
These terms need explanation. Experiential value refers to traces of how the
text producers own experiences of the world social or otherwise are represented.
By way of example, Fairclough cites the difference between the use of the terms
solitary connement and seclusion by different groups of psychiatrists. The two
terms reect two opposing ideologies. The replacement of solitary connement
by seclusion is an example of rewording. Relational value refers to traces of
the social relationship in the discourse. In other words, how the words used create
social relations between the participants (for example, addressing each other by title,
family name, rst name or nickname). Expressive value refers to the text producers
view of reality (for example, globalisation and internationalisation). Euphemisms
provide traces of expressive values, for example, defence forces.
In terms of grammatical description, Fairclough analyses the grammar of sentences
into subject (S), verb (V), object (O), complement (C) and adjunct (A). Their
combination and order express three types of process: actions (SVO, e.g. Thatcher
attacked the welfare state), events (SV, e.g. Thatcher was speaking), or attributions
(SVC, e.g. the welfare state was attacked by Thatcher). Attributions identify causes
(or allocate credit or blame to agents). In contrast, where agency is unclear,
then causes are concealed perhaps for legal reasons. Nominalisation is used
to convert a process into a noun. In this way, meaning and attribution become
(conveniently) ambiguous. A verb requires a subject and may cite an object. For
example, using the word development rather than the verb to develop enables
the speaker to be much less specic about who is going to develop what, how
and when. Community development is a wonderful example of nominalisation in
practice.
Fairclough distinguishes between modes of sentence, modality and pronouns. Modes
can be declarative ( SV), grammatical question (no O) or imperative (no S). Each treats the
subject in a different way. Using grammatical questions or imperatives underlines
the power of the subject. Modality refers to the authority of the speaker. Relational
modality is the social authority of the speaker, whereas expressive modality is concerned
with the speakers authority of truth or reality, and can be recognised by their
use of is, may or can. Similarly, using we or you can evidence power
relations.
Aspects of Faircloughs textual analysis are sophisticated and, at rst sight,
complicated, He can perhaps be criticised for appearing to omit other key
contributions to the discourse of particular importance to the Politics researcher.
These are primarily contextual. They include the when, where, to whom (the audience)
and how (the medium), the role of the speaker or writer (the text-producers) and
the position of the discourse in preceding or contemporary events. For example,
you may consider that contextual factors like a formal speech by the British prime
minister to the UN in the wake of 9/11 may be more signicant in the rst instance
than whether individual sentences have objects or not.
Interpretation
Fairclough distinguishes between interpretation and explanation. Interpretation is the
process of mediation between text and social structures in which the audience draws
on the common-sense assumptions embedded in the resources (MR). Explanation
concerns: the relationship of discourses to processes of struggle and power relations
(2000: 117).
Interpretation boils down to answering three questions of the text: rst, what
interpretation are the speaker and audience giving to the situation and intertextual
context? Second, what discourse type is being used? And, third, are participants
likely to interpret the context and discourse type in different ways? (And does this
affect the course of the interaction?)
Explanation
Fairclough argues that, whilst the processes of production and interpretation
reproduce members resources (MR), explanation seeks to locate the discourse as social
practice, to show how it is affected by social structures and to identify how these
structures are reproduced or modied. Explanation therefore has two analytical
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dimensions: rst, to reveal the role of discourses as elements of social struggles in

which structures are contested, sustained or re-shaped; and, second, to identify how
and which power relations determine discourses. Explanation can be achieved by
answering three questions of the text: rst, what power relations at situational,
institutional and societal levels shaped the discourse? Second, what aspects of the
members resources used are ideological? And third, does the discourse sustain or
change previous power relations? (2000: 138)
Fairclough concludes by arguing that the researcher must draw on their own MR
to explain how the participants use theirs. The analysis must be an inside job. So,
the analyst must be reexive and seek to develop their own MR by developing their
own theoretical understandings and experience of society and politics. The critical
discourse analyst can therefore be likened to an expert forensic witness.
Fairclough demonstrates the application of critical discourse analysis by a case
study of a radio interview of Margaret Thatcher in 1985 (2000: 1435). You will
note that his analysis is eight times the length of the transcript! A small extract
demonstrates the level of analysis:
Question 1: What relational values do textual features have? Are

there inconsistencies in relational values which could indicate a
new articulation of discourse type?
1. We. Mrs Thatcher uses the pronoun we mainly in lines (119) and (7981), both
inclusively and exclusively The inclusive use (e.g., now we do enjoy a standard
of living which was undreamed of then) is rationally significant in that it represents
her, her audience and every one else in the same boat. It assimilates the leader
to the people (Fairclough, 2000: 148)
He also subjects New Labour to discourse analysis in a separate text (Fairclough,

2000a).25 His essential argument is that the re-naming of Labour as New Labour
signals ideological change and manipulates language to control public perception.
Great emphasis is given to getting the language right by, for example, substituting
the privatisation of Thatcherism to public-private partnership. (This is effectively
the opposite of Thatcherism in which radical social and economic policy was offset
by appeals to the traditional Conservative party discourse of the virtues of patriotism,
strong pound, strong defence, law and order, and the 3Rs.)26 New Labour was
wholly committed to the neo-liberal global economy. It portrayed globalisation as
a natural and inevitable process in the face of which government was forced to
respond by allowing greater labour exibility, etc.
Fairclough identies a discourse of New Labour characterised by lists of

effectively motherhood objectives in which the connections and means of
implementation go undisclosed. So, by speaking of, say, not only economic
dynamism but social justice, the contradictions, antagonisms and unpleasant
consequences of the duality are omitted. But he argues that New Labour portrays
its portfolio of platitudes with an overriding consensus formed from the old clash
of (outdated) socialism and capitalism. The New Labour keywords are: we, Britain,
welfare, partnership, new, schools, people, crime, reform, deliver, promote, business, deal,
tough and young (2000a: 17). He also pinpoints how the moral discourse becomes
authoritarian when expressed by statements like: if you can work, you should work
and if you can save, you have a duty to do so (2000a: 42). The rhetoric and
presentation of Tony Blair are also honed by the discourse. Tony is an everyday
man who uses glottal stops, says yeah rather than yes and speaks of Cherie and
the kids.27 Yet he combines moral righteousness with toughness (2000a: 148).
Fairclough ends the case study by re-asserting that:
(a) that politics and government are social practices in which language is salient
this is a durable feature of these social practices in comparison with others [he cites
agriculture as a case where language is less salient], (b) language is becoming more
salient within these practices.
(Fairclough, 2000a: 156).
Case Study: President George W Bushs State of the Union Address, 2007
The annual State of the Union Address is a constitutional requirement of the
US President. It is made to a joint meeting of Congress. It effectively combines the
UK Parliaments Queens Speech and the Chancellor of the Exchequers Budget statement.
Read the introduction, passages on Iraq and Afghanistan and the conclusion from
www.whitehouse.gov/news/releases/2005/02/20050202-11.html. Note that you may also be
able to watch the video of the speech at the same web-site.
The task is to apply discourse analysis to the section of President Bushs speech dealing
with Iraq and the Middle East. However, before beginning the detailed analysis, you should
ponder its context. This is highly significant. You will note that:
The State of the Union Address is a formal speech

whilst the President occupies centre-stage, he is overlooked by Vice-President Cheney
and Democrat Nancy Pelosi, Speaker of the House of Representatives elected on
Continued
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292
4 January as the first woman speaker and the most senior elected politician in the country.
She is two heartbeats away from the Presidency
The President is effectively reading a prepared speech written by speech-writers and

honed to perfection by rehearsals
the speech is being made to the Members of Congress face-to-face and, via the news
media, to the citizens of the US

the speech will also be considered carefully by the US allies, supporters, critics and
enemies
by tradition, the speech is made unchallenged by opposition; it is punctuated only by
applause which is triggered by pauses in the Presidents delivery
President Bush is beleaguered: the Iraq project has become the dominant political issue
in the US and, in consequence, the Presidents Republican Party has lost control of the
Senate and House of Representatives
The Presidents approval ratings are at an all-time low
the separation of powers set out in the US constitution means that, if bills are not to
be vetoed by the President or Congress, then a new bi-partisan approach will have to
be negotiated by the two institutions if progress is to be made on new policy on social
security, Medicare, taxation, home security and defence
big business, the Pentagon, the neocons, and potential candidates for the presidential
election will be watching for signals of support for their own constituencies
The President has just rejected the recommendations of the bi-partisan Iraq Study Group
to involve Syria and Iran in the resolution of Iraq
a predecessor, President Reagan was called the Great Communicator; George W. Bush
is no great communicator
US commentators tell us that, whatever the publics view of any individual President, they
retain great respect for the Presidency.
A comparative content analysis of key words used in all President Bushs State of the Union
Addresses shows the changing emphasis given to key issues over the years:
The table is illustrated in Figure 19.2
Analysing the case study

The analysis will adopt Faircloughs three-stage system of description, interpretation and
explanation.
Table 19.1 State of the Union Addresses 20017

Topic
2001
2002
2003
2004
2005
2006
2007
Iraq
Afghanistan
Economy
Iran
Oil
2
13
7
2
1
21
3
13
3
24
5
17
1
27
3
14
3
16
2
23
6
2
34
4
8
5
9
Number of mentions of
keywords
Source: New York Times: 21/01/07
40
35
30
25
20
15
10
5
0
Iraq
Afghanistan
Economy
Iran
Oil
0
4
6
Years (2000 onwards)
Figure 19.2 President Bushs State of The Union Addresses 200107: frequency of
key words
Source: Table 19.1 from New York Times: 21/01/07
Explanation
You will recall that the questions to be asked of the text are: what are the experiential,
relational and expressive values and metaphors used?
Experiential values refer to the traces of text-producers experience of the natural and social
world included in the text. Aspects include the classification schemes used, whether words
are ideologically contested and over-wording used. In this case, the classificatory schema
adopted by the President is primarily to reduce the world to the US, Americans and US
interests. Ideologically contested words are minimised in favour of the language of consensus
and learning-through-experience. This is also achieved by portraying the enemy in overworded, graphic terms:
possessed by hatred and commanded by a harsh and narrow ideology. They preach
with threats, instruct with bullets and bombs, and promise paradise for the murder of
the innocent.
Continued
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294
Note also the use of alliteration (the rhetorical style which uses the repetition of opening
consonants to achieve emphasis): hatred harsh, bullets and bombs , promise
paradise. Notice how our American values are contrasted with their extremism, ideology,
and totalitarianism. By contrast, our government is using lawful and proper use of
intelligence, etc., in a list in which military action is mentioned last, implying a last resort.
What they (the terrorists) fear most is human freedom. There is a superabundance of purple
prose:
free societies where men and women make their own choices, answer to their own
consciences and live by their hopes rather than resentments.
Relational values refer to traces of social relationships enacted via the discourse. In this
case, the social relationship sought with his immediate audience of Congressmen is that of
friendship in adversity: e.g. Like many before us, we can work through our differences, and
achieve big things for the American people and: our success in the war. You will note
that, in the video recording, emphasis is given by the President to we. In terms of the
wider audience of the American people, President Bush is seeking to project himself as
their resolute protector. But the social imagery induced is more like the strong father than
benevolent mother or kindly grandfather (which President Reagan was able to evoke). But
this President is no wise old man sitting out on the porch: he is a military scout and fire-fighter.
Are there any euphemistic expressions? Well, the whole speech seems to avoid saying either
my disastrous invasion of Iraq, my failure to secure peace there, the worsening situation,
and 3,000 US dead. Instead, he asserts that our success in this war is often measured
by the things that do not happen. Are there any markedly formal or informal words? The
speech is US formal which seeks to underline the dignity and authority of the Presidency
and the seriousness and fitness-for-office of the current President.
Expressive values refer to traces of the speakers evaluation of reality and their ideological
significance. In this case, the President congratulate[s] the Democrat majority. He appears to
avoid terms ideologically confined to the Republican Party and uses instead terms common
to the Republicans and Democrats: extending the nations prosperity, to spend the peoples
money wisely to guard America against evil. The ideological struggle is between America
and its enemies. There is no accommodation possible which does not compromise US
freedom: the security of our nation is in the balance.
What metaphors are used? There appears to be very few metaphors used. The President
avoids using the popular metaphors of baseball or American football or the tough talk (e.g.
I say, bring it on for which he apologised later). Hes talking Presidential, using measured
words.
What experiential value do grammatical features have? The main grammatical features are
short, grammatically correct sentences. Most sentences are given in the active (rather than
passive) tense in which the subjectverbobject predominates. So does the present tense.
The subject is we rather than I or you. Agency is clear: terrorists. The sentences are mainly
positive and confident. There are few nominalisations.
The grammatical mode is almost wholly declarative (rather than grammatical questioning
or imperative). The relational modality is President to Congress and our citizens. The
expressive modality is characterised by the use of can, will and know rather than may
or might. The President is confident and certain. The main logical connectors employed
are hyphens. There are no lists. Applause is cultivated to maintain control and to enable
topics to be changed. Indeed, applause is the main interactional element between speaker
and audience. The President speaks direct to his audience rather than to the ceiling and
notes. There are no asides or quips. He is reading from the transparent video-screens at
each side.
Interpretation
There will be many interpretations of a Presidential address. The interpreters will
include: Congressmen, the television audience, the newspaper readers and the expert
commentators who mediate between the text and the wider audience. Each group is
diverse. They will all draw upon very different members resources (MR). Then there will
be your own members resources as the Politics researcher. Knowing how the State of the
Union Address will play in Peoria will be difficult for a British or Australian researcher, and
doubly-difficult for a researcher who is not wholly fluent in American-English. So, ideally
you should be able to identify which interpretations are likely to be given by the main
constituents to whom the President is seeking to appeal and influence. There are many.
You must identify the principal constituencies and suggest how they might interpret the
speech.
Take, for example, the US military who, despite forces of over a million men and women and
a budget of $600 billion, appear unable to stem the rising violence in Iraq. Whats in it for
them? Well, their Commander-in-Chief declares that:
on this day, at this hour, it is still within our power to shape the outcome of this battle. Let
us find the resolve, and turn events towards victory. Victory will be achieved by sending
more than 20,000 additional soldiers and Marines to Iraq.
Continued
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An additional 92,000 troops will be recruited, and civilians hired for rear echelon duties.
Our country is pursuing a new strategy in Iraq, and I ask you to give it a chance to work.
And I ask you to support our troops in the field, and those on their way.
This last statement evokes memories of Vietnam when President Nixon argued that it was
primarily the lack of support for US forces at home that undermined the war effort over there.
You may conclude that US soldiers based in Baghdad would interpret the speech to mean
more of the same with the options of withdrawal or taking the fight to the real enemy in
Iran and Syria ignored. They may be disappointed or even angry that the death of so many
soldiers goes unstated.
Explanation
Faircloughs critical discourse analysis concludes by identifying the power relations,
ideologies and effects. He is particularly concerned to identify how the audiences members
resources are reproduced unconsciously through their interpretation of the text. In this case,
the President achieves or seeks to achieve reproduction of his discourse by minimising
the differences between Republicans and Democrats, by wrapping himself in the flag of
consensual American values and by painting his enemies as wholly evil and hell-bent on
destroying our America. His discourse is therefore of integration and differentiation. American
values are being defined by the enemy. It is their ideology which is defined. He continues to
link the war in Iraq with 9/11 and seek popular support for a war of righteous retribution against
evil which threatens the security of [our] nation. So the war is essential to defend American
values and way of life. He raises the sword of human freedom which every terrorist fears
most. The appeal is to emotions rather than intellect. But despite the stentorian rhetoric
the speech is comparatively uninspiring and lacks the power of John Kennedy or Churchill
to reinforce the determination of the people.
Postscript
In his State of the Union Address, the President spoke of the budget that would shortly
be sent to Congress. His budget was announced on 15 February. Despite his pledges to
balance the budget and to protect Medicare provision, the budget proposed to increase
military spending by nearly 12%. This would be achieved by reducing federal spending
on Medicare by $66 billion over five years and cutting back $12 billion from the Medicare
healthcare scheme for lowest-income citizens. However, he argued that these reductions
could be achieved by attacking costs rather than by reducing the level and volume of
services.
Conclusion:
How useful is critical discourse analysis?
The case study demonstrates the strengths and weaknesses of applying Faircloughs
approach to critical discourse analysis. The highly-structured framework of analysis enables
you to offer a wealth of critical assessments. The framework provides a good starting
point for the ambitious researcher keen to adopt discourse analysis. However, there
are a number of weaknesses which arise in part from its roots in linguistics. Too
little emphasis is given to the context in which the discourse is produced. It is better
suited to the analysis of interactive discourse than the speeches and monologues which
characterise politics. It emphasises the interpretations given by the audience rather than
the intention of the text-producer. Identifying the interpretations given by the audience is
highly speculative. This requires understanding of their members resources. Furthermore,
the audience is likely to consist of a number of constituencies with very different
resources
You may therefore wish to modify the approach by including other methods, such as:
randomly selecting texts from a sample frame

identifying the contexts
considering the intentions of the text-producer by asking: what is the text seeking to
achieve?
using content analysis to calculate the actual frequency of key words like will and may
and sentence length
critically using interviews, focus groups and questionnaire surveys to identify both the
members resources drawn upon by the audience to interpret the text, and how they are
fixed or changed by the text.
Narrative analysis
Narrative analysis is a sub-type of discourse analysis concerned with the analysis of
narratives. A narrative is essentially an account of a past event. It can be verbal,
written, visual or aural. Often discourse is a combination of media. The narrators
mediate between the subjects and the audience. They can be a politician, journalist,
commentator, teacher or other authoritative narrator. They will seek to locate the
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narrative in the audiences members resources and to strengthen or modify them.

Modern politics has been likened to a battle of narratives in which the victor is
the most successful in providing the most popular, enduring and damning narrative
of their opponents. For example, the Labour leader, Harold Wilson succeeded in
devastating the Conservative government in 1964 by repeating the narrative of
thirteen wasted years of Tory misrule.
Various denitions and explanations have been given of narrative in the social
sciences. They include (in chronological order):
any form of communication (Barthes, 1966)28
the main mode of human knowledge (Bruner, 1986)29

a socially-symbolic act in the double sense that it (a) takes on a meaning only in a social
context, and (b) plays a role in the construction of that context as a site of meaning within
which social actors are implicated (Mumby, 1993)30
stories that take place in time (Berger, 1997);31

a story with a beginning, middle and end that reveals someones experiences (Manning
and Cullum-Swan, 1998).32
Origins
The origins of narrative analysis include linguistics, social and literary theory, history
and discourse theory. The classical theory underpinning narrative analysis is the
Morphology of Fairy Tales (Propp, 1927). Vladimir Propp (19851970) examined
the main Russian fairy tales. He found that the underlying narrative structure was
remarkably common. Each fairy tale could be deconstructed into 5 categories of
elements and 31 narratemes. The ve categories were: the dramatis personae (cast);
the conjunctive elements of misfortune and good fortune; motivations; forms of
appearance of the cast (e.g. the ying fairy godmother); and, lastly, attributive
elements (e.g. Jacks beanstalk, the old ladys shoe). The narratemes began with
, the initial situation when the hero and members of family are introduced,
followed by when one of the members of the family goes missing. The
stories all end with the last narrateme, , when the hero marries and ascends the
throne. Western fairy tales also followed this pattern. Propp therefore argued that
fairy tales constituted pre-knowledge comparable to Faircloughs earliest members
resource by which people became conditioned to believe that their own lives
would follow a similar fairy tale course. These expectations enabled them to
accept that early misfortune was inevitable and part of the essential tapestry of
life that ultimately would end in happiness. Parents and grandparents become
reconditioned and reproduced by their role as household narrators. The concept of
pre-knowledge can explain how readily the British public came to see Princess
Diana as the fairy princess and Camilla Parker-Bowles as the wicked witch
and step-mother to the young princes. Indeed, the western antipathy to stepmothers and mothers-in-law can be attributed to the bad press they receive in fairy
tales.
Whilst Propps work has been hugely inuential, he has been criticised for
overlooking the nuances of context and mood. He can also be criticised for
overlooking the competing pre-conditioning role of religion and Biblical narrative
on western society. The narrative of Christ is the antithesis of the fairy tale. Through
this combination of fairy tales, religious tracts and local folk stories (King Arthur,
etc.), the structures of stories become both historically embedded and conservative
(retrospective). The participant or observer is conditioned to believe that there is
little opportunity for or point in agency. This historicist model can be likened
to Heidiggers horizons of meaning.
History especially national history is grand narrative. History shapes national
identity. Identity shapes and reinforces the boundaries of the state. History is shaped
by dominant power: it is the victors who write history (Carr, 1990).33 So whose
history prevails is critical. Hence the continuing argument in the UK about the
contents of the unied, national curriculum for history in which as one insider
told me the central question was: how much can we afford to tell the working
class about their past? Some concentration camp survivors argue that narratives of
the Holocaust were suppressed in Western Europe during the Cold War to facilitate
reconciliation and military coalitions against the Soviet threat. In the same way, the
historical narrative of Japan was re-written by the British government in the 1980s
to air-brush out Japanese wartime atrocities and therefore to reduce opposition to
Japanese inward investment.
Narrative analysis
Denitions of narrative analysis include:
the analysis of act, scene, agent, agency and purpose (Burke, 1966)34
how respondents in interviews impose order on the flow of experience to make sense of
events and actions in their lives (Kohler Reissman, 1993)35
the analysis of how stories mark out identities, mark out differences, differences define
the other, and the other helps structure the moral life of culture, group and individual
(Plummer, 1995)36
the analysis of the production of narratives: the process of association, building and the
and, and and connections between actions and events and negotiating them with readers
(Czarniawska, 1998)37
the study of lives from the narrators experience as a shared production with social
scientists (Social Anthropology, Feminist Research, McRobbie, 1982).38
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Narrative analysis essentially asks:
Who is writing the story?

Who is telling the story? How?
Who is the target audience?
What is the story trying to achieve?
What are its effects?
The approaches to narrative analysis include:
identifying the formal structures (properties) of stories in terms of the plot, setting,
characterisation, and temporal ordering
identifying the social roles of stories in terms of:
the ways they are reported
the ways they are read
how they change
their role in the political process
stories as speech acts.
Speech Act Theory is central to narrative analysis in explaining how words work. The
underlying concept is that words do action. The speech acts can be distinguished
and classied as (Austin, 1962):39
locutionary speech acts: constative, descriptive statements, e.g. its hot today
illocutionary speech acts that achieve action in saying (directly): e.g. in saying it I was
warning him
perlocutionary speech acts that do something indirectly. They use the language of a
constative statement: e.g. students who do not attend classes are more likely to fail.
Often these categories of speech act are linked. Not all speech acts are felicitous (successful): some are infelicitous. Narratives can also compete for support. For example,
consider the famous case of the Congressional hearings in 1991 when President
Bushs nominee for the US Supreme Court was contested. The nominee was Judge
Clarence Thomas, a 43-year old, conservative, African-American from Georgia.
Critics argued that, whilst Thomas would maintain the racial composition of the
Supreme Court, he would replace a black liberal judge by a conservative who would
oppose reform in decisions involving Afrmative Action and abortion. The hearing
considered the objection by Anita Hill (a former colleague) of sexual harassment.
Both were high-achieving, black Republicans from poor backgrounds whose
successful careers were assisted by early afrmative action programmes. The hearing
was held in the context of the imminent presidential elections in which Republicans
were arguing that afrmative action was discriminatory. The full transcript of
the hearing is available on http://chnm.gmu.edu/courses/122/hill/hillframe.htm.
When you read them, you will note how both Thomas and Hill adopted
narrative strategies. She sought to argue on the basis of the facts (detailed
descriptions of diarised events). He presented himself as a victim citing his deprived
background and the high-tech lynching for uppity Blacks by the liberal news media.
Furthermore, he criticised his sister, Mae as a welfare queen and portrayed Hill as
a black lady. Thomas narrative prevailed by appealing to embedded US narratives
of the self-made man and victimhood.40 You may note how the contemporary
narrative metaphor of black - which had recently replaced the more pejorative
negro - has now been superseded by African-American in the same period in
which Red Indian has been superseded by Native American (cf., Canadian First
Nations).
Narrative constituents
Narrative analysts adopt a scheme of terms to classify the components of narrative
discourse. They are:
story : the raw, temporarily sequenced or causal narrative of life

plot : emerges from unexpected twists in the narrative that draw attention to differences
from the conventional story
narrative of the self : the story or stories by which self-identity is reflexively understood
by the individual and others
reflexive projects of the self : the process by which self-identity is constituted by the
reflexive ordering of self-narratives (Giddens, 1991)
discursive register : the style of narrative, especially stylistic narratives borrowed from
other narratives, e.g. ball-park figure from US sport; and take out from US military texts
epiphany : a crucial turning-point (Damascene conversion) which stimulates a new, radical
consciousness
text : a finite, structured whole composed of language signs
actors: passive subjects, objects
agents: active subjects who affect others by their actions
events: transitions from one state to another
fabula: the series of logically and chronologically related events that are caused by or
experienced by actors or agents
kernels: narrative moments that give rise to cross-roads or branches in the direction taken
by events. They are nodes or hinges in the structure which form cross-roads or branching
points which force a movement into one or more possible paths
satellites: relatively minor events which embellish the kernels, add detail or flesh
them out
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The narrative-of-the-self is critical. Narrative analysts argue that the self is

nothing but stories. And it is also unstable. The self and its narratives are heavily
contextualised. So you add, change, edit and embellish stories of yourself. In
particular, you avoid recounting the tedium of boring, everyday life in favour of tales
of rare, interesting moments. So the self is in a constant state of ux. To paraphrase
Shakespeare:
all the worlds a stage in which you act the part dictated by the combination of the set
and your interests at the time.
(This view contradicts the argument of Sartre and others that, despite peripheral
ux, people have solid, stable, cores of authentic self.)
Case Study
Consider the example of the famous interview of Princess Diana by Martin Bashir
broadcast on BBC Panorama programme in 1995. You can watch the video-recording
and inspect the transcript by inserting Diana, Bashir in the search box on the web-site
www.bbc.co.uk
You can identify the narrative of the self employed by the Princess:
innocent foal/Bambi eyes/ fairy tale princess

brave, bright-eyed innocent (virgin)
let down by advisers
trapped in media spotlight
frequent use of I
inference of brutal, uncaring husband, isolated, alone
epithanies of engagement, marriage, Alice Springs walkabout
other people are disappointing
her support for other victims: drug addicts, battered people
her ill-health, depression, self-disgust
abused but loyal wife and mother
relations with Charles are damned with false praise
intuitive knowledge of Charles relationship
un-loved
tactics adopted by Charles friends to portray her as ill, unbalanced
embarrassment, isolation and desolation

Three of us in the marriage
The [Royal] Family
the news media abusive relations
denial of self-pity
ambassadorial aspirations to do good

Mother Theresa
Diana as victim
I will survive the fairy tale is not yet ended
You can also identify the many discursive registers adopted:
psychological language register

confessional register
packed with language of therapy
marketing language register
romantic love register (seduced by Hewitt)
Her victim strategy was successful in her narrative struggle with Prince Charles for the heart
of the nation. Her narrative was defined and reinforced by Prince Charles own TV interview
later (with Jonathan Dimbleby) in which he admitted his adultery.
1. Working in small groups, discuss your understanding or misunderstandings of

discourse, discourse analysis, narrative and narrative analysis.
2. Critically assess Faircloughs process of discourse analysis.
3. Select and obtain transcripts of two or more of the State of the Union Addresses
by President George W. Bush. Complete a comparative discourse analysis of the
transcripts. What conclusions can you draw?
4. Contrast and compare the narratives of the most recent general election manifestos of the British Conservative, Liberal-Democrat and Labour parties and
US Republic and Democrat presidential elections. How do they compare to the
narratives of French presidential rivals?
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FURTHER READING
Howarth, D. (2000) Discourse. Buckingham: Open University Press. pp. 166. This
excellent textbook is essential reading for students contemplating the adoption
of discourse analysis in their research. The author critically examines and
compares the various concepts of discourse.
Fairclough, N. (2000) Language and Power. 2nd edn. Harlow: Longman. pp. 224.
This text is also essential reading for students contemplating discourse
analysis and wishing to learn how critical discourse analysis can be applied.
Fairclough, N. (2000a) New Labour: New Language? London: Routledge. pp. 178.
This is a very readable and wry demonstration of the application of critical
discourse analysis. It is less technical than his previous text (Fairclough, 2000).
It might have been strengthened by a comparison with the discourse of the
earlier, new Labour (of the white heat of technology and economic
restructuring) successfully forged by Harold Wilson in the 1960s (which proved
equally disappointing in the long term).
Austin, J. L. (1962) How to Do Things with Words. Oxford: Oxford University Press.
Williams, R. (1988/ 1976) Keywords. London: Fontana. Raymond Williams
(192190) describes and analyses how the meanings of keywords like culture,
class, community and democracy have evolved through adaptation and
struggle. He defines keywords as: significant, binding words in certain activities
and their interpretation; they are significant, indicative words in certain forms of
thought. Certain uses [bind] together certain ways of seeing culture and
society (1988: 15).
Notes
1 Curt, Beryl C. (1994) Textuality and Tectonics; Troubling Social and Psychological Science.
Buckingham: Open University Press, cited by Bergman, M. at Essex Summer School, 2003.
2 Gallie, W.B. (1956a), Essentially Contested Concepts. In Proceedings of the Aristotelian Society,
56: 67198.
3 Churchills quote is widely attributed to his (post-war) assessment of China. However, he first
coined it in 1939 about the Soviet Union in the wake of the Germany-Soviet Union
Non-Aggression Pact.
4 Fairclough, N. (1989) Language and Power. London: Longman.
5 Howarth, D. (1995) Discourse Theory. In Marsh, D. and Stoker, G. (eds.) (1995) Theory and
Methods in Political Science. Basingstoke: Macmillan.
6 Carver, T. (2002) Discourse analysis and the linguistic turn. In European Political Science,
Autumn 2002, cited by Bergman, M. at Essex Summer School, 2003.
7 Hajer, M. (1995) The Politics of Environmental Discourse. Oxford: Oxford University Press, cited
by Bergman, M. at Essex Summer School, 2003.
8 Stubbs, M. (1983) Discourse Analysis. Oxford: Blackwell, cited by Bergman, M. at Essex Summer
School, 2003.

9 Howarth, D. (1995) Discourse Theory. In Marsh, D. and Stoker, G. (eds.) (1995) Theory and
Methods in Political Science. Basingstoke: Macmillan, cited by Bergman, M. at Essex Summer
School, 2003.
10 Squire, C. (1995) Discourse Analytical Psychology. In Wilkinson, S. and Kitzinger, C. (eds.) (1995).
Feminism and Discourse: Psychological Perspectives. London: Sage, cited by Bergman, M. at
Essex Summer School, 2003.
11 Carver, T. (2002) Discourse analysis and the linguistic turn. In European Political Science,
Autumn 2002, cited by Bergman, M. at Essex Summer School, 2003.
12 A hoodie is the slang term popularly given in the UK to the hoods of jackets worn over the head
by young men. It is interpreted both as a means of concealing their identity from CCTV cameras
and as a self-proclaimed sign of the wearers separate and alienated identity.
13 Crystal, D. (1995) The Cambridge Encyclopaedia of Language. Cambridge: Cambridge University
Press.
14 Jary, D. and Jary, J. (1995) Sociology. London: HarperCollins.
15 Chomsky, N. (1986) Knowledge of Language. New York: Praeger, cited by Crystal, D. (1995) The
Cambridge Encyclopaedia of Language. Cambridge: Cambridge University Press. p. 409.
16 Crystal, D. (1995) The Cambridge Encyclopaedia of Language, Cambridge, Cambridge University
Press.
17 McLuhan, M. (1962) The Gutenberg Galaxy. London: Routledge and Kegan Paul.
18 OSullivan, T., Hartley, J., Saunders, D., Montgomery, M. and Fiske, J. (1997) Key Concepts in
Communications and Cultural Studies. London: Routledge. pp. 1767.
19 Howarth, D. (2000) Discourse. Buckingham: Open University Press. pp. 25.
20 Burnham, P., Gilland, K., Grant, W. and Layton-Henry, Z. (2004) Research Methods in Politics.
Basingstoke: Palgrave Macmillan.
21 Parker, I. (1992) Discourse Dynamics. London: Routledge, cited by Howarth, D. (2000) Discourse,
Buckingham, Open University Press.
22 Laclau, E. and Mouff, C. (1985) Hegemony and Socialist Strategy. London: Verso. Laclau, E. and
Mouff, C. (1987) Post-Marxism without Apologies, New Left Review, 166: 79106.
23 Fairclough, N. (2000) Language and Power. 2nd edn Harlow: Longman.
24 Williams, R. (1976) Keywords. London: Fontana.
25 Fairclough, N. (2000a) New Labour: New language? London: Routledge.
26 The 3Rs is popular shorthand for reading, rewriting and arithmetic widely regarded by older
people as the core curriculum of education which had been marginalised by trendy, socialist,
schools reform which had allegedly left our children ill-qualified for the world of work.
27 A glottal stop occurs when air from the larynx suppresses the t in words. In its extreme form,
bottle becomes bool. A milder form is very popular with young middle-class people who are
trying to play down their accents. Blair suppresses his consonants in interviews.
28 Barthes, R. (1966) Introduction to the Structural Analysis of the Narrative. Birmingham: University
of Birmingham, cited by Bergman, M. at Essex Summer School, 2003.
29 Bruner, J.S. (1986) Actual Minds, Possible Words. Harvard, Mass.: Harvard University Press, cited
by Bergman, M. at Essex Summer School, 2003.
30 Mumby, D.K. (1993) Narrative and Social Control. Newbury Park, Calif.: Sage, cited by Bergman,
M. at Essex Summer School, 2003.
31 Berger, A.A. (1997) Narratives in Popular Culture, Media and Everyday Life. Thousand Oaks:
Sage, cited by Bergman, M. at Essex Summer School, 2003.
32 Manning, P. K., and Cullum-Swan, B. (1998). Narrative, content, and semiotic analysis. In Denzin,
N.K. and Lincoln, Y.S. (eds.), Collecting and Interpreting Qualitative Materials. pp. 24673,
Thousand Oaks, CA: Sage Publications, cited by Bergman, M. at Essex Summer School, 2003.
33 Carr, E.H. (1990/1961) What is History? London: Penguin.
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306

34 Burke, K. (1966) Language as Symbolic Action. Berkeley: University of California Press, cited by
Bergman, M. at Essex Summer School, 2003.
35 Kohler Reissman, C. (1993) Narrative Analysis. London: Sage, cited by Bergman, M. at Essex
Summer School, 2003.
36 Plummer, K. (1995) Telling Sexual Stories: Power, Change and Social Worlds. London: Routledge,
cited by Bergman, M. at Essex Summer School, 2003.
37 Czarniawska, B. (1998) A Narrative Approach to Organization Studies. London: Sage
Publications, cited by Bergman, M. at Essex Summer School, 2003.
38 McRobbie, A. (1982) The Politics of Feminist Research: Between Talk, Text and Action. In Feminist
Review, 12, pp. 4658, cited by Bergman, M. at Essex Summer School, 2003.
39 Austin, J. L. (1962) How to Do Things with Words. Oxford: Oxford University Press.
40 Lubiano, W. (1992) Black Ladies, Welfare Queens and State Minstrels. In Morrison, T. (ed.)
Race-ing Justice, En-Gendering Power: Essays on Anita Hill, Clarence Thomas and Social
Reality. New York: Pantheon. Compare with Carver, T.(1997) Identity and Narrative in Prime-Time
Politics: The Hill-Thomas Hearings. In Carver, T. and Hyvarinen, M. (eds.) Interpreting the Political:
New Methodologies. London: Routledge.
Part V
Communicating Research
Chapter 20
Writing-up
and in the end was the beginning

(Chapter XIII, The Last Time)
1. To consider when to begin writing up your research.

2. To identify essential contents.
3. To learn how to communicate your research so that it stands out favourably
from other similar works.
4. To consider how best to maintain the interest of your readers.
Introduction
Paradoxically, most research methods textbooks and this is no exception
end by reviewing the process of writing the research report. This is termed
ungrammatically writing-up. This implies that writing-up is the last part of the
research process. This was true many years ago when academic research was divided
into three separate stages of reading-up, eldwork and writing-up. But, nowadays,
writing-up is the rst and last stages of the research process:
Report-writing is not, or should not be, a frantic activity carried out at the end of the
project. It is a process of varied stages all of which need to be recorded at the time
they are completed. Your first drafts will certainly need to be revised and in some cases
completely re-written but the foundations of the report should have been established at
the planning stage.
(Bell, 1997:152)1
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Writing-up research
Clegg memorably describes writing-up as the response to four questions
(1998: 141):2
Why?
How?
What?
So what?
Where so what means: why is this research really so important?

However, I believe that there are two additional, more signicant questions, to
be asked at the outset:
To whom? That is, who or what is the readership?
Where? That is, in what publication? What are their rules?
Readership
The readership is all important. This will determine the language used. The readers
prior knowledge or experience will or should also determine how concise or
expansive the theoretical and conceptual exposition will need to be and, critically,
how the conclusions are expressed. Conclusions must be relevant to the reader.
Remember that your initial readers are likely to be your external examiners or
the referees for journal articles. They have been selected because they are leading
authorities in your research eld.
Readership will also affect the style of writing-up. The discipline of Politics contests objectivity. There are few facts but many interpretations. Political
researchers are interpreters. So the clinical style of the natural scientist is rarely
adopted. Instead, Politics researchers admit their own subjectivity, communicate their interest in the research topics and conclude with almost jaw-jutting
assertions. Most researchers seek, especially in case study research, to tell a
good story. However, the danger in this enthusiastic, assertive style of writingup is that the empiric experience the facts such as they are can become
so inseparable from the interpretation as to appear highly selective or fabricated. Similarly, the great emphasis given to theoretical exposition can lead to
springs of conclusions being drawn from a few swallows of evidence. A good
research report should lead your readers stage-by-stage and paragraph-by-paragraph
through the research process and enable them to fully share (or reject) your
conclusions.
Writing-up
Publication rules
The readership or their publisher will also have their own rules to maintain
comparability and scholarship. They may seem anachronistic or petty, e.g. margin
size and line spacing. But they cannot be ignored especially with regard to
word length if your dissertation is to be approved or your research published.
Remember, words count: illustrations, tables and graphs rarely do so. When
you are preparing an MA or PhD dissertation, check the format required by
the university regulations. These will include printing margins. In many cases,
the double-spaced, single-sided pages of ink-and-parchment days have been
superseded by more recent formats which include 1.5 line spacing and verso
(printing on both sides). These new formats reduce the volume and weight of
your research report and, arguably, make your dissertation easier to read. But
note that regulations allowing double-sided submissions set specic additional
requirements for gutter widths. You may be tempted to exceed the maximum
word limit on the grounds that your department or university wont count them.
Thats correct. However, departments receiving a large number of dissertations
of 20,000 words length know that these should be about 95 double-spaced
pages. So they will recognise when the word limit is likely to have been
exceeded. New regulations also require that an electronic copy is also submitted
for interrogation by plagiarism software. The software will automatically calculate
the word length.
Structure
An important issue is the degree of structure (chapters, sub-headings, paragraphs) that
you include in your writing-up. Following a rigid structure can help to order and
organise material. But a structure of paragraph headings and sub-headings especially
where generic paragraph numbers and insets are used can compartmentalise
your material and arrest the ow and development of argument. Similarly, the
incorporation of extensive tabulated data and statistical tests can cut across what
you are trying to say. You can avoid this by using graphs and diagrams to simplify
complex data (which can be annexed as technical appendices). Similarly, you can
give ancillary evidence or explanation without compromising the continuity of
the text by using extensive footnotes. Similarly, many researchers prefer to give
full citation of texts in footnotes rather than using the Harvard system. Where
footnotes (or endnotes) are used, they should be annotated at the end of the sentence
and after the full stop. Do not use the Latinism op. cit. in the footnote to refer
to a previously cited reference: repeat it in full. (Regrettably, the software used
by Sage and other publishers to scan texts for publication precludes the use of
footnotes.)
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312
When to write-up
As already noted, writing-up has traditionally been regarded as the last stage of the
research process. However, the practice of leaving it all until the end is neither
encouraged nor accepted. Instead, you will be expected to write-up-as-youproceed in parallel with the research process. This is particularly important in the
initial phases of contextualisation, theoretical and literature review, and hypothesis
setting. Indeed, you will begin the research process by writing your outline and
detailed dissertation proposals which will provide the foundation for your rst
chapter of the research report.
Writing is an exploratory and creative process. Ideas can emerge in this process
which might have eluded mere abstract contemplation. Writing-up-as-you-go provides
a substantive record of progress for circulation to, and discussion with, supervisors
and colleagues and as back-up in the event of some disaster befalling you. Most
sponsors demand this parallel writing-up as a basis for monitoring and controlling
the research process and budget. Most supervisors require their supervisees to submit
draft chapters before any meeting as part of the teacher-student supervision contract
so that there is a substantive document to discuss.
You will have already received expert advice on essay-writing in your earlier
module guides. Most of that advice applies to research reports and need not be
re-stated. Whilst there is no right way to write-up research in politics, the following
conventions are recommended:
write generally in the third person; e.g. it was considered that

however, you can use the pronoun I to emphasise your own position especially
where you disagree with accepted theory: but use this sparingly so that it retains its
impact
avoid writing one: use you to share the text with the reader, e.g. as you have seen, etc.
avoid gender problems of his/her by referring to subjects as they if possible
using the present tense to describe historical events may be a good literary device to
create excitement: however, it can become very confusing in academic reports. Instead,
use the past tense to describe the methodology and field-work; reserve the present tense
for your analysis and conclusions
qualify your assertions but not excessively
always state your assumptions clearly
strike an appropriate balance between the coverage and erudition given to theoretical
discussion, methodology, data, interpretations and conclusions
dont write the data speaks for itself : you must interpret the data
try to avoid excessive and spurious accuracy in the text, e.g. dont say 48.73%,
write nearly half: where you think that precise figures are helpful, give them in
footnotes
Writing-up
follow normal grammatical conventions

avoid excessive acronyms: after a time, the reader may forget what they stand for and their
significance. Avoid inventing acronyms which are the same or similar to well-established
ones, e.g. dont label independent research analysis as IRA
seek to maintain pace and interest

ensure that your report is read by another person before you submit it: we are all very poor
at spotting our own errors. If English is not your first language, then seek the assistance
of a proof-reader
be positive and up-beat: if you dont sound confident of your research, then your readers
are even less likely to have confidence in your report.
Structure and contents

A suggested structure for research reports is (after Denscombe) threefold:3
BOX 20.1
Research report contents
I
Title:
Short, interest-grabbing, classifiable. A two-part title can be useful, consisting of a snappy,
headline question and brief technical description (which can be readily identified by a search
machine), e.g.:
Left-right position matters, but does social class?
An investigation into the outcome of 1992 British general election
Note that capital letters are now much less used in titles than previously
Abstract:
This is a synopsis of the research of 200300 words. The abstract is a statement of what
you have done not of your starting intentions.
Dedications:
UK academics generally find dedications somewhat embarrassing especially when they
adopt the emotional style and length of Hollywood Oscar-winners acceptance speeches. If
you believe that the sacrifices made by your family and friends should be made public, then
include them in the copies which you have made after your degree has been awarded.
(Continued)
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314
Preface
A personal statement explaining why you, as the researcher, chose the topic, your
starting biases and prejudices, and what the research means to you, i.e. the reflexive
relations between you and your social world. Often students speak of carrying out research
which enables them to shed fresh light on specific experiences and to make sense of
their past.
Acknowledgements
This provides thanks to academic supervisors, sponsors, respondents and research
gatekeepers. The real purpose of the acknowledgements is to show off the many,
many people who you have consulted or interviewed. You will normally end your
acknowledgements by stating: However, any errors are entirely my own.
Declaration
A statement to the effect that: The dissertation is entirely my own, original work with the
exception of those academic and other sources which are separately identified in the text,
fully attributed in the footnotes and listed in the bibliography.
In many scientific research papers, a statement of conflicts of interest is normally given
here especially in medical research. Such admissions or declarations would be a useful
addition to Politics research papers.
Contents
List of Figures
List of Tables
Acronyms and Abbreviations
II
Chapter One
Introduction
The context, the aims of the research, research question and hypothesis, overview and
(chapter by chapter) contents.
Chapter Two
Theory and literature review
Critical review of theory, contemporary research and literature review leading to the
identification of the gap in the literature.
Writing-up
Chapter Three
Method of data collection
concept/indicator link
what methods were used
why
when did the research take place
where
how was access to the data and subjects obtained
who was involved (population, sample, case studies)
how many were involved
how were they selected
why the procedures were chosen
limitations of methods employed
Chapter Four
Data: e.g. the case study
Chapter Five
Analysis and Discussion
Chapter Six
Conclusions
Has the hypothesis been confirmed or not? What contributions to theory has the research
made? What are the implications and recommendations for follow-on research (and
grants)? Provide a retrospective, critical evaluation of your research and proposals for its
improvement. This shows that you are fully aware of the limitations and know how these
might be overcome.
III
Appendices
organised tabulated data

questionnaires
transcripts
technical specification
statistical methods
References and Bibliography

Index
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316
Bell provides a very good check-list for reviewing the nal draft report
(1997: 162):4
Is the meaning clear?

Is the report well written? (tenses, grammar, spelling, punctuation)
Is the referencing well done?
Does the abstract really give the reader a clear idea of what is in the report?
Does the title indicate the nature of the study?
Are the objectives of the study stated clearly?
Are the objectives fulfilled?
If hypotheses were postulated, are they proved or not proved?
Has a sufficient amount of relevant literature been studied?
Does the literature review provide an indication of the state of knowledge in the subject?
Is your topic placed in the context of the area of study as such?
Are all the terms clearly defined?
Are the selected methods of data collection accurately described? Are they suitable for
the task? Why were they chosen?
Are any limitations of the study clearly presented?
Have any statistical techniques been used? If so, are they appropriate?
Is the data analysed and interpreted or merely described?
Are the results clearly presented? Are tables, diagrams and figures well drawn?
Are conclusions based on evidence? Have any claims been made that cannot be
substantiated?
Is there any evidence of bias? Any emotive terms or intemperate language?
Is the data likely to be reliable? Would another researcher get the same results?
Are recommendations feasible?
Are there any unnecessary items in the appendices?
Would you give the report a good grade of you were the examiner? If not, an overhaul is
necessary.
Re-writing
You are likely to nd that your chapters are too long. Trimming or editing is unlikely
to be sufcient. You must expect to completely rewrite every chapter at least once
and plan your work programme accordingly.
Word distribution
There are no rules for the breakdown of words to individual chapters. However,
following the advisory model distribution given below should ensure that proper
Writing-up
coverage is given to the theory and literature review and to your analysis and
discussion of your data.
Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Chapter 6
Introduction
Theory and Literature Review
Method of Data Collection
The Data, e.g., Case Study
Analysis and Discussion
Conclusions and Implications
5%
30%
5%
30%
20%
10%
Avoid the temptation to reduce the analysis and discussion. Adequate coverage
is essential if your conclusions are to be shared.
1. Select three research reports from approved journals on the same topics, e.g.
election turnout. Contrast and compare these. Which do you regard as being
most successful in attracting your interest? Why? What improvements would
you suggest to the other two?
2. Select a dissertation previously approved by your department for BA, MA or
PhD purposes appropriate to your own degree. Critically evaluate the writing-up.
What improvements would you make? Give specific examples.
3. Prepare a programme for your research project on a week-by-week basis. Integrate
your proposed supervision meetings and writing, and re-writing of chapters.
FURTHER READING
Similar dissertations by former students.
Bell, J. (1997) Doing your own Research Project; A Guide for First-Time
Researchers in Education and Social Sciences. Buckingham: Open University
Press. pp. 244. Judith Bell gives very good advice on the research process.
Chapter 11, pp. 12750, Interpretation and Presentation of the Evidence is
especially valuable as is Chapter 12, pp. 15164, Writing the Report.
Cambridge: Cambridge University Press. pp. 200. This relatively short textbook
focuses on the application of statistical techniques. However, Chapter 16 In
the last analysis, pp. 14152 provides a very good and amusing account of the
writing-up process.
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318

Denscombe, M. (1998) The Good Research Guide for Small-Scale Social
Research Projects. Buckingham: Open University Press. pp. 247. This
authoritative textbook provides complementary advice on writing-up
Chapter 12, pp. 22537 and an excellent checklist on p. 238.
Notes
1 Bell, J. (1997) Doing your own Research Project; A Guide for First-Time Researchers in Education
and Social Sciences. Buckingham: Open University Press.
2 Clegg, F. (1998) Simple Statistics: A Course Book for the Social Sciences. Cambridge: Cambridge
University Press.
3 Denscombe, M. (1998) The Good Research Guide for Small-Scale Social Research Projects.
Buckingham: Open University Press.
4 Bell, J. (1997) Doing your own Research Project; A Guide for First-Time Researchers in Education
and Social Sciences. Buckingham: Open University Press.
Glossary of Terms
data:
data:
Abscissa:
new data generated in the course of the research.

data abstracted from other sources.
the horizontal or x-axis on a graph. (Vertical or y-axis is termed the Ordinate.)
Abstract: a synopsis of 200300 words which follows the title page of the research report.
The abstract is a summary of the research done not of intent. An abstract should clearly identify
the research topic, research question, main theoretical framework, methodology, conclusions
and assess its contribution to the topic and research eld.
Access: means by which the subject is approached and contacted.
Acknowledgements: statement in the research report which names and thanks the
academic supervisors, sponsors, respondents and research gatekeepers who helped the
researcher to complete their research project.
Action research (method):
(generally) obtaining data by direct participation by the
researcher in a group of actors experiencing particular conditions in order to understand better
the institutional and other barriers they face in the struggle towards transformation.
Analysis: an objective-seeking, rational process which essentially involves breaking down
deconstructing the whole into its constituent parts to identify their relationships and structure.
Anecdotal evidence: evidence in story form based on unique, personal experience. It is
often used by quantitative researchers as a pejorative term to describe qualitative researchers
evidence.
Antinaturalism: belief that using methods developed in the natural sciences is inappropriate
to social science research, i.e. opposed to Positivism.
Attitude: learned and persisting positive or negative evaluation or predisposition to people,
groups, policies, etc.
Attribute: qualitative variable, e.g. gender.
Baseline or Benchmark: starting level of dependent variable before the independent variable
is changed.
Behaviouralism: specic to Politics: advocacy of research based on empirical observation of
behaviour.
Behaviourism: the school of psychology associated with Harvard professor B.F. Skinner
(190490), architect of the controllable Skinner box and programmed learning. Its key tenet
is that only observable behaviour may be scientically studied.
Bias: prejudice: pre-disposition towards or against subject, movements and interpretations:
a source of systematic errors in research ndings.
Case study: a sample of one event, instance, state or sub-unit at one point in time.
320
Glossary of Terms
Case study method: gathering and analysing data from an individual example as a means
of making broader generalisations.
Causality (cause and effect or causation): the relationship between two variables when
one causes a change in the character of the other.
Census: count of 100% of population.
Central limit theorem: this states that, the larger the sample, the greater the tendency for
the sampling distribution of the means to follow a normal distribution.
Central tendency: concentration (cf. dispersion) of values statistically represented by mean,
mode, median, variance and standard deviation.
Classication data: information sought in questionnaire surveys which relate to the circumstances of the subject rather than their beliefs and attitudes. They include: sex, age group,
socio-economic group, education, housing tenure and dependants. Some can be obtained by
proxy (e.g. newspaper readership as an indicator of social class). Others can be guessed by
careful observation but should be checked with the subject. These variables may well include
important independent variables. For example, research has shown that older people are more
likely to participate in political activity than others.
Class interval: groupings of data selected by the researcher to enable a frequency distribution
to be constructed to represent and analyse data, e.g. ages 3645, etc.
Closed questions: questions which seek or receive closed answers. Closed answers are
generally short and conned to yes, no or dont know or specic answers, e.g. date of birth.
Coding: essentially the process of replacing or substituting groups of words, phrases or
sentences by letters or numbers (or a combination). Unlike a cipher, a code is not designed to
hide the original meaning of the word or phrase. Indeed, an essential property of an effective
code is that it should be readily understandable to users and readers. A word or phrase can be
given several different codes.
Cohort: groups sharing characteristic(s), e.g. males 1829.
Comparative method: obtaining data from a population or sample of equivalent states or
sub-units, sectors or groups at the same points in time. It is the principal method used in
comparative politics and international relations.
Concept: basic idea.
Content analysis: set of techniques to systematically analyse contents of books, reports and
transcripts of speeches, etc. by measuring repetitions and bias.
Contingency: conditional relationship between variables.
Control Group: sample not subjected to changes in independent variable.
Correlation: statistically proven relation between two variables. But correlation does not
necessarily indicate causation. It is measured statistically by the correlation coefcient which
extends from +1 (perfect positive correlation) through 0 (no correlation) to 1 (perfect negative
correlation, i.e inverse relationship).
Counterfactual: what you would expect to happen but didnt (e.g. Sherlock Holmes dog
that didnt bark in the night). Counterfactuals may be possible evidence of unseen, dominant
power.
Glossary of Terms
Covariance: phenomenon where two variables appear to change at the same time.
Data: raw material which may be sorted and processed into information. Data has no
meaning by itself. Note that although data is plural, writing data are is now considered pedantic.
Decile:
a tenth part.
Declaration: a statement that follows the Acknowledgements page of the research report
which states that This dissertation is entirely my own, original work with the exception of those
academic and other sources which are separately identied in the text, fully attributed in the
footnotes and listed in the bibliography. Signed ... Date ....
Deductive research: the research approach which develops specic hypotheses from
general principles or theories and then seeks to conrm or inrm the hypotheses: moving
from the general to the specic (cf. deductive research: moving from specic to the
general).
Demography: the study of population and inuences. Demographic data therefore includes
population size and density, age and male/female distribution, household size, income, health
and life expectancy, socio-economic distribution, ethnicity and migration, etc.
Dependent variable: consequent event; outcome; variable which changes as a consequence
of change in the independent variable; in social research, this is generally represented by y.
Descriptive statistics: quantitative, numeric information which describes or summarises
primary data.
Diachrony: the study of the historical development of language.
Discourse: a specic ensemble of ideas, concepts and categorisations that are produced,
reproduced, and transformed in a particular set of practices and through which meaning is
given to physical and social realities (Hajer, 1995: 44).
Discourse analysis: analysing the way systems of meaning or discourses shape the way that
people understand their roles in society and inuence their political activity (Howarth, 1995).
Directional hypothesis: (one-tailed test): an experimental hypothesis which states a particular direction of outcome, e.g. that the dependent variable will increase as the independent
variable changes. A non-directional hypothesis where a causal relationship is hypothesised
but what happens to the dependent variable when the independent variable changes is unclear
is called two-tailed.
Ecological fallacy: false reasoning which allocates attributes to individuals from information
about groups.
Eigenvalue: (Eigenwerte) used in Principal Component and Factor Analysis as a measure of
the variation in a group of variables attributable to one factor.
Empirical: data collected by systematic observation or experience (cf. theoretical).
Enumeration District (ED): the basic building block of the UK census consisting of around
200 households. They are the lowest level of census data publicly available until individual
household forms are released after 100 years.
Epistemology: study of knowledge.
Ethnography: study of social and cultural life of social or ethnic groups often by participant
observation.
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322
Glossary of Terms
Experimental method: a sample of two; a control sample and an experimental sample
drawn (ideally randomly) from the population under study.
Experimental sample:
the sample subjected to the independent variable.
Facts: the available information. They present a picture of events. Truth is the reality behind
the facts. Sometimes the facts may obscure the truth perhaps deliberately so.
Fallacy of composition: false reasoning that accords individuals attributes to groups.
Falsication: after Popper, the doctrine that theories can never be conrmed: they can only
be refuted. So verication by repeated experiment can never be conclusive.
Field research: research undertaken in and of the real, social world (cf. laboratory research).
Focus group: group of subjects recruited by researchers to emulate the spontaneous
discussion of people who broadly share the same circumstances or identity. In particular, the
focus group should draw upon the respondents attitudes, feelings, beliefs, experiences and
reactions in a way that would not be feasible by other methods, for example, observation,
one-to-one interviewing or questionnaire surveys (Gibbs, 1997).
Gamblers fallacy: prediction based on continuation of or non-continuation of coincidence
of random events, e.g. the belief that the prior incidence of heads or tails will inuence the
outcome of the next spin of the coin.
Generalisability: the facility to draw reliable inferences about a population from a sample.
Grounded research: approach rst developed by Glaser and Strauss where the ndings are
entirely grounded in the data collected.
Guttman scale: a scale used in questionnaire surveys as a means of determining the
respondents intensity and consistency of attitudes to a specic topic by asking them a series
of related questions.
Hermeneutics:
the study of interpretation.
Hypothesis: a specic theoretical proposition presented for testing by research. It is the

researchers initial answer to their research question.
Independent variable: causal event or driver; the variable causing change to the dependent
variable.
Inductive research: the approach which develops general hypotheses from observation of
specic phenomena (cf. deductive research: moving from general to the specic).
Inferences: generalisations about the research population drawn from samples or other
limited information
Inferential statistics: a branch of applied mathematics or statistics based on a random
sample. They let the researcher make precise statements of the levels of condence they
have in the results of a sample being equal to the population parameter (where a parameter
is a characteristic of the entire population drawn from a sample) (Neuman, 2003: 539,
541); a statistical method of drawing reliable generalisations about a population from sample
data.
Information: data which has been sorted and classied to inform the research; information
has meaning.
Integer: whole number, e.g. 1, 2, 113.
Glossary of Terms
Iteration: repeated procedure.
Language: the facility of speech.
Law of averages: doctrine that variations and errors in numeric data will be reduced by
repeated experiments.
Law of large numbers: doctrine that, as the sample size increases, it will assume the general
character of the population from which it has been drawn. In particular, the sample mean will
approach the population mean.
Likert scale: a scale used in questionnaire surveys to measure the intensity of attitudes of
subjects. The subject is asked whether they strongly agree, agree, neither agree nor disagree,
disagree or strongly disagree with a statement.
Linguistics:
the science of language (Crystal, 1995: 425).
Longitudinal method: gathering data from the observation of a cohort a group of

people, states or organisations, etc. sharing one or more common characteristics over an
extensive period of time. The common characteristics may include age, education, place or
specic condition.
Mean: a measure of central tendency. There are arithmetic, geometric and harmonic means.
The arithmetic mean, X is generally called the average and is the sum of terms X of a
population, divided by the number of terms in the population N, i.e. X = X/N. In a sample,
the (arithmetic) mean is denoted by x and the number of terms by n and is given by the formula
x = x/n.
Median: another measure of central tendency. It is the middle term in a ranked series, e.g.
in the series 2,3,4,5,6, then 4 is the median. In the series 2,3,4,5, then the median is 3.5.
Mode: another measure of central tendency. It is the most common or frequent term, e.g. in
the series 2,2,3,3,3,4 then 3 is the mode.
Method of agreement: term used by Mill to describe the comparative method adopted
in which apparently different cases having the same outcomes are compared to identify the
common potentially causal elements.
Method of difference: term used by Mill to describe the comparative method adopted in
which apparently similar cases having different outcomes are compared to identify the absent
or common potentially causal elements.
Method of concomitant variations: comparative method used when outcomes of different
magnitude occur to identify the potential causal variable by comparing their magnitude.
Moving average: a technique used in Time series analysis to smooth out seasonal and
irregular movements to identify the underlying trend.
Naturalism: this has two, almost uniquely, contradictory conceptualisations. The rst
the minority view held by Giddens is that naturalism refers to the adoption in the social
sciences of models of inquiry from the natural sciences. So naturalism is effectively a new, nonpejorative name for positivism. But the dominant view is that naturalism rejects positivism in
favour of a free-standing method of inquiry which is essentially humanistic and hermeneutic
(after Hermes, interpretative) and concerned with social meanings (actors beliefs, motives,
purposes, reasons etc. which lead to social actions) rather than frequency. Whilst positivism
emphasises scientic, controlled, replicable experimentation, naturalism seeks to study everyday
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Glossary of Terms
life in naturally-occurring situations. Naturalism is experiental: researchers seek to see the world
through the eyes of the subject and to understand what people feel, interpret and do. Moods,
ideas, identity and beliefs are the stuff of naturalistic research.
Nomination: method of recruiting a non-probability sample in which a social gatekeeper or
other intermediary is asked to nominate name potential recruits.
Non-probability samples: samples where members of the population do not have an equal
chance of being selected. They are not statistically reliable. They cannot generate generalisable
data.
Null hypothesis: the statistical proposition of no difference (Clegg, 1998: 61). The
proposition which must be refuted that data favourable to our experimental hypotheses
occurred by chance (rather than any causal relationship between the variables). In sampling
research, the null hypothesis is that the sample has not been drawn randomly from or
is representative of the population and that therefore no generalisable inferences can
be made.
Ockhams razor: the principle of parsimony: the simplest theory is the best.
Odds: ratio of probable outcome in sequence of events, e.g. odds of a coin falling heads is
1:2. Also expressed as a probability of 0.5 (i.e., 5 out of 10) or 50%.
Operationalisation: the process of transposing abstract theoretical concepts into observable,
measurable variables.
Outliers: exceptional lowest or highest terms (or rst or last ranked terms) which lie outside
the general distribution and which can skew measures of central tendency and distort
interpretation.
Panel: a sample of individuals from a population who are repeatedly surveyed over time to
provide longitudinal or tracking data. They do not meet.
Poisson distribution: a special distribution used when the sample size is very large and the
probability of incidents, e.g. illness, is very small. (cf. Binomial Distribution used where there are
only two potential outcomes, e.g. heads or tails).
Political elites: individuals who exercise disproportionately high inuence on the outcome
of events or policies in the research topic.
Population: the entirety of the group of people or objects under study and from which
the sample is drawn.
Positivism: After Comte, the doctrine that the only true knowledge is scientic knowledge.
Positivism emphasises scientic, controlled, replicable experimentation. Auguste Comte (1798
1859) argued that all societies were fated to move from a theological stage of ctitious
knowledge (in which all otherwise inexplicable phenomena were attributed to spiritual forces)
via an intermediate metaphysical stage to a positive stage. The underlying beliefs of the
theological stage were medieval faith and custom in which the family was the social base.
Those of the metaphysical stage were Enlightenment philosophy, the scientic revolution and
the nation state. The state of knowledge of the positivist stage was scientic when rational
logic and humanity prevailed.
Power of a test:
sensitivity of a test to identify relationships between variables.
Glossary of Terms
Preface: a personal statement explaining why the researcher has chosen the topic, their
starting biases and prejudices and what the research means to them, i.e. the reexive relations
between them and their social world.
Primary: data or information is original, unedited and rst-hand (cf. secondary information).
Probability: the likelihood that an event will occur. For example, if an event is certain like
death albeit in the distant future then the probability is 100% or 1.00. Alternatively, a remote
possibility like winning the UK national lottery next week may be 0.001% or 0.00001. A
one-in-four likelihood would be expressed as a probability of 25% or 0.25. A bookmaker would
give odds of 4-1 on an event having a 25% probability.
Proposition: an unproven, generalised, theoretical explanation.
R2 : used in multivariate analysis as a measure of the extent to which the dependent variable
can be attributable to two or more independent variables.
Random Walk: method adopted by interviewers to access a sample of households. The
researcher begins at the centre of the town or city calling at every nth house in the rst street,
turning left at the rst intersection, right at the second and so on until the boundary of the
urban area is reached.
Rapport: French word used to describe a desirable state of mutual condence, empathy, trust
and liking between the researcher and their subject(s).
Reexivity: intellectual self-awareness gained through self-examination to identify deepseated biases.
Regression analysis: analysis carried out to calculate the relationship between the dependent variable (y) and one (linear regression) or more (multivariate regression) independent
variables (x, x 1 . . .) represented in the formula y = a + bx where b is the regression coefcient
and gradient (or slope) of the best t line.
Reliability: literally, the extent to which we can rely on the source of the information and,
therefore, the information. Reliable information is dependable, trustworthy, unfailing, sure,
authentic, genuine, reputable. Consistency is the main measure of reliability. Note that a
measure may be reliable but not accurate and vice-versa, e.g. a reliable weighing machine
may give an inaccurate but consistent recording of the same weight.
Research component analysis: method used to evaluate published research in which the
researcher dissects the published research into 15 or more components which are assessed
separately.
Research effect: the tendency for the population being studied to modify its behaviour and,
therefore, provide unrepresentative data.
Residual error: the difference between predicted and actual data.
Sample: a group of subjects chosen randomly or non-randomly from the population and
from whom it is intended that generalisations can be made.
Sampling error: potential variance between an attribute of the sample and the population.
Sample frame: a list or schedule of the population from which the sample will be drawn. It
may be a membership list, a directory of engineering rms or electoral roll.
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Glossary of Terms
Secondary data or information which is second-hand and may be previously edited or
interpreted material.
Semantic differential: a ve or seven-point scale used in questionnaire surveys to assess
respondents beliefs, etc., between pairs of words with diametrically opposite meanings, e.g.
honest and dishonest.
Semi-structured interview: the most widely-used type of interview especially in elite
interviews. The researcher uses a pre-designed schedule of a limited number of topic-related
questions and, pre-determined, alternative supplementary questions which question aspects
of the answer received. The format of the semi-structured interview is essentially one of
question-and-discussion.
Semiotics: study of the properties of signs and signalling systems especially as found in all
forms of human communication (Crystal, 1995: 430).
Show-cards: printed lists used by researchers administering questionnaire surveys to ask
sensitive questions. For example, a card might contain a list of weekly incomes marked A,
B, C, etc. The subject can then be asked to give the letter corresponding to their own income
range.
Signicance: characteristic of importance of data or calculated result.
Statistical Signicance: the likelihood that any similarity between sample and population
means occurred entirely by chance.
Snowball sampling: non-random sampling in which subjects identify others similar to
themselves for further research, e.g. drug-users.
Split-half strategy: an approach adopted by some researchers towards focus groups. Half
the group are interviewed individually before the focus group and the others afterwards.
In this way, the role of the group in developing or imposing new collective perceptions or
understandings can be identied better.
Spurious relation: where variables appear statistically related or correlated but bear no
dependent or causal relationship to one another.
Standard deviation (SD or ): another measure of central tendency expressing the average
by which individual terms are less or more than the mean. It is calculated as the square root of
the variance.
Standard error of the mean (SE): a statistical measure of the variance between a sample
and the population: the standard deviation of a sampling distribution of the mean.
Structural content analysis: assesses how the text is presented and reported rather than
the frequency of key words used.
Substantive content analysis:
distribution of key words.
analyses selected texts by counting the frequency and
Subject: the smallest unit of population adopted for research, e.g. individual people,
households, rms. The term is most widely used by qualitative researchers to de-objectify the
respondent or interviewee.
Synchrony: the study of the lived language of the present.
Glossary of Terms
t-Test:
Tells:
statistical test of the signicance of the variance between two groups.

term given by body language analysts to the inadvertent signs given by subjects.
Theoretical saturation: in grounded research, term used by Glaser and Strauss to describe
the stage reached when additional data fail to reveal any further signicant ndings.
Theory: simply stated, a statement of general principles of the underlying relationship in
phenomena or events. Theory may be expressed as laws, propositions, arguments or hypotheses.
Historically, theory has generally been descriptive in terms of describing and, therefore,
explaining relationships. Some descriptive theories may be called laws, for example, Newtons
law of universal gravitation, where they are accepted as having been universally veried by
observation. Newtons law was subsequently superseded by Einsteins theory of relativity. The
title law is therefore rarely given to theories. Alternatively, theory may be normative where it
proposes what ought to be the relationship. For example, the theory of egalitarianism is that
all people should be treated equally regardless of origin or circumstances.
thick/thin: case study and a quarter; term used to describe the research method used when
the researcher seeks to extend the ndings of their single case study by quickly testing them
against another comparable case.
Triangulation: term derived from navigation and surveying; a method of corroborating data
by seeking accounts from three or more perspectives and media.
Truth: the reality behind the facts (the available information). Sometimes the facts may
obscure the truth perhaps deliberately so.
Type I Error: wrongly rejecting the null hypothesis.
Type II Error: wrongly accepting the null hypothesis.
Universe: population.
Validity: accuracy and appropriateness of measurement; the extent to which a measure,
indicator or method of data collection possesses the quality of being sound or true as far as
can be judged. . . . in the social sciences generally, the relationship between indicators and
measures and the underlying concepts they are taken to measure is often contested (Jary &
Jary, 1995: 714).
Variance: a measure of central tendency calculated as the sum of the squares of the
differences between each term and the mean divided by the number of terms. Squaring the
difference makes negative differences positive. In a sample, the sum of the squared differences
is divided by the number of terms minus one, i.e. n 1.
Verstehen: term adopted by Max Weber (18641920) to describe the necessary empathetic
understanding by researcher of their subject; trying to see the world through the subjects
eyes.
Vignette: Short story generated by the researcher and focusing on hypothetical characters
in particular situations. Interviewees are asked what they would do in these circumstances
or, alternatively, how they think that a third party might react. The latter mode of question
specically distances the interviewer from the issues being studied and, in this sense, is
impersonal and less threatening (Arksey & Knight, 1999: 945).
327
328
Glossary of Terms
Wave: term used in longitudinal research to describe each phase of cross-sectional survey of
the research cohort or panel.
For a more comprehensive and technical glossary of terms with examples and illustrations, see:
Jary, D. and Jary, J. (1995) Sociology Dictionary. Glasgow: HarperCollins.
Vogt W. P. (1999) Dictionary of Statistics & Methodology. London: Sage Publications.
Key Formulae and Symbols
Number of cases or terms

Individual values
Arithmetic mean
Variance
Standard deviation
Variance
Standard deviation
Standard error of the mean, SE
Population
N
X
X
2
or SD
(X Xi )2
N
(X Xi )2
N
n/a
Confidence limits
95%
i.e. in 95 out of 100 samples, the population mean will lie between
x + (1.96 SE ) and x (1.96SE)
Standard error of the proportion, SEp
(or percentage)
(pq/n)
Sample
n
x
x
s2
s or sd
(x xi )2
(n 1) 2
(x xi )
(n 1)
sd
n
(1.96 SE )
(where q = 1 p)
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Index
3Rs, 305 n.26

Absorbed actions, 163
Accessibility, 52
ACORN, 148
Action research method, 52, 6263
All-postal voting, 5455
Amis, Kingsley, 80
ANOVA, 209
Archives, 104105
Aristotle, 175
Arithmetic mean, 185
Arksey, H. and Knight, G.,
133, 137
Assessment letter, sample, 77 (box)
Association, 31
measuring, 208210
multiple linear regression
analysis, 213217
regression statistics, calculating,
210213
testing for, 206208
Association of Colleges on data, 14
Auden, W.H., 140
Austin, J. L., 300, 304
Bachrach, P. and Baratz, M., 5, 26,
36 n.9
Barthes, Roland, 281, 298
Bashir, Martin, interview of
Princess Diana: case study:
narrative analysis, 302303
Baton signals, 164165
Baudrillard, Jean, 282
BBC News, 161
Behaviouralism, 2527
Behaviourism, 25
Bell. J., 309, 316, 317
Benn, Tony, 8384
Beresford, P. and Hoban, M., 63,
66 n.16
Berg, B.L., 129 (box)
Berger, A.A., 298
Bergman, M., 129 (box)

Bernoulli, Jacques, 234
Bernoullis trials, 234235
Bevan, Aneurin, 84
Bias, 1718
Biblical narrative, 299
Bibliographies, 107 (box)
Binomial distribution, 234236
Biography, 84
Blair, Tony, 291
Boas, Franz, 282
Body language, 161162
claims made for, 162163
Morris on, 163168
recording and analysing, 168171
Bogardus Social Distance Scale,
149150
Brier, A.P. and Hopp, B., 278 n.4
British Election Study (BES), 44,
49, 61
British Household Panel Survey
(BHPS), 61
Bruner, J.S., 298
Bryman, A., 41, 42, 49
Budge, I., 268270, 278
Burke, K., 299
Burnham, P., Killand, K.,
Grant, W., and LaytonHenry, Z., 4, 8, 2122, 137,
149150, 196, 278, 283
Bush, George W.:
State of the Union Address
(2005), 271276
(2007): case study:
Faircloughs critical discourse
analysis, 291297
CACI, 148
CAQDAS (Computer-Assisted
Qualitative Data Analysis
System) software, 4142
Cardinal numbers, 193194

Carr, E.H., 299
Carver, T., 280
case studies:
case study meetings, 260
Evaluating information 8688
analysis, 290291, 291297
interim case study, 260
narrative analysis, 302303
qualitative information
analysis case study, 243259
single case study, 5354
Categorical numbers, 193
Causality, 2932
Census returns, 103
Central limit theorem, 199
Chicago School, 221, 238 n.1
Chomsky, N., 282
Churchill, Winston S., 279, 304 n.3
Clegg, F., 196, 204, 218, 310, 317
Coding, 153154, 242243
Coefcient of correlation, 208
Cohort, 6061
Cole, G.D.H., 88
Cole, John, 8182, 83
Collett, Peter, 172 n.2
Comparative method, 51, 5560
Comte, Auguste, 23
Constructed memory, 60
Content analysis, 263264
Hamlet II, 271276, 278 n.4
qualitative, 264266
software for, 270271
structural, 267268
substantive, 268270
Counterfactual, 27, 36 n.12
Covariation, 31
Critical social theory, 62
Crossman, Richard, 8182, 83
Crouch, C., 44, 48
Crystal, D., 281, 282
336
Index
Curt, Beryl C., 279

Czarniawska, B., 299
Dahl, Robert, 2527, 35
Data:
accuracy of, 85
dichotomous nominal data, 234
reliability of, 83
validation, 178179
Data analysing, 175176
assembly of data, 178
hierarchy of, 177178
process, 176177
reduction, 179
validation, 178179
Data Protection Act (1988), 13
Data Protection Co-ordinator, 14
Data protection legislation, 1315
Databases, 102
De Vaus, D.A., 21, 35, 98, 159, 204
Deductive research, 33
Denscombe, M., 313, 318
Derrida, Jacques, 282, 284
Descriptive statistics, 183187
calculation, 190193
cardinal numbers, 193194
categorical numbers, 193
grouped frequency distribution,
188190
and n, 188
and N, 188
standard derivation, 188
variance, 187188
Diachrony, 281
Dialects, 286
Dichotomous nominal data, 234
Discourse analysis, 242, 279281
critical discourse analysis
(CDA), 284
constituents, 301
linguistics, 281282
Marxist school, 284
philosophy, 282283
positivist school, 283
post structuralists, 284
realist school, 283284
semiotics, 282
See also Faircloughs critical
discourse analysis
Discovered actions, 163

Disraeli, Benjamin, 183
Domhoff, D.W., 27
Downs, A., 74
Durkheim, Emile, 23, 2425
EEC Directive 96/96, 13
EFTA (European Free Trade Area),
21 n.4
Electoral Commission, 54
Elite dialect, 286
Elite interviews:
approaching elites, 121123
dening elite, 119
introductory letter, 122 (box)
post interview, 127
preparation and procedure,
123125
reasons for interviews, 119120
rules, 120121
structure, 125127
Empiricism, 2425
Engels, F., 5556
Enlightenment, 23
Enumeration district (ED), 103
Epistemology, 22
ESRC, 12, 21n.2
Ethics. See harm; Nuremberg Code
Eugenics, 25, 208209
Eurobarometer, 61
European Convention of Human
Rights & Fundamental
Freedoms, 13, 21 n.3
Evaluating information case study,
8688
Excel, 190193, 200, 223
calculating multiple linear
regression equations, 214216
calculating regression statistics,
210212
Poisson distribution, 236
time series analysis, 230232
Experimental effect, 17
Experimental method, 51, 5455
Eye-pupils, 166
Factor analysis, 220224
using SPSS, 224230
Facts, 85
Fairclough, Norman, 280, 304
analysis:
case study: George W. Bushs
(2007), 291297
case study: interview of
Margaret Thatcher, 290
case study: New Labour,
290291
description, 286289
explanation, 289
interpretation, 289
Fairy tales, 298
Falsication/falsibility, 24, 43
Feminism, 2829
Field, A., 237
Fields of experience, 128
Filstead, W.J., 41
Focus groups, 134136
Foddy, W., 132, 138
Foot, Michael, 84
Footnotes, 106 (box), 311
Foucault, Michel, 81, 279,
282283, 284
Freedom of Information Act
(2000), 103104
Friedrich, C.J., 119
Galbraith, J.K., 50 n.8
Gallie, W.B., 279
Galton, Francis, 208209
Garfunkel, Harold, 283
Gaze behaviour, 165
George V, 89
Gestures, 164
Gibbs, A., 135
Giddens, Anthony, 27, 285, 301
Gilbert, N., 65, 159
Gini coefcient, 166
Glaser, Barney, 3334, 259
Glaser, B.G. and Strauss, A.L., 35
Glottal stop, 305 n.27
Goffman, Erving, 283, 50 n.6
Gramsci, Antonio, 285
Greeneld, S. et al, 4
Grigg, J., 84
Grounded research, 3334
Index
Grouped frequency distribution,
188190
Gubrium, J.F. and Holstein, J.A.,
35, 261
Guttman scale, 149151, 151 (table)
Hajer, M., 280
Halo effect, 17
Hamlet II, 271276, 278 n.4
Harm, types of, 10
Harris, K., 244251
Harrison, L., 49, 98, 138, 159, 277
Hart, C., 110
Harvard system, 106 (box)
Harvey, L., 65
Hawthorne effect, 1516
Healey, Dennis, 84
Heath, A., and Taylor, B., 44
Heath, Ted and Harold Wilson:
qualitative information analysis
case study, 243259
Heidegger, Martin, 299
Held, D. and Leftwich, A., 8
Heywood, A., 29
Hill, Anita, 300301
Hobbes, Thomas, 23
Honderich, T., 32
Hopkin, J., 64
Hopp, Bruno, 271
Howarth, D., 280, 283285, 304
Hume, David, 23, 3031, 32
Hypothesis, 22, 23
Ideology, 286
Inductive research, 32
Inferential statistics, 197198
central limit theorem, 199
national opinion polls, 201202
normal distribution, 198199
null hypothesis, 202204
standard error of the
proportion, 201
standard error of the sample
mean, 199201
Intermediaries, 92
Interquartile range, 186
Interviews, 8586
with elites. See elite interviews
focus groups, 134136
with non-elites, 127129, 129

(box)
pariah topics, 130132
projective technique, 132133
questions, 117118
recording, 129130, 138 n.1
vignettes, 133134
Jary, D. and Jary, J., 74, 83, 281
Jenkins, Roy, 82
John Henry effect, 16
Journals of political science, 70
Kanji, G.K., 205, 219
Kinnear, P.R. and Gray, C.D., 237
Kohler Reissman, C., 299
Krippendorff, K., 277
Lacan, Jacques, 281
Laclau, E. and Mouffe, C., 284
Landman, T., 5960, 64
Language, 281
Langue, 281
Large-n samples, 58, 59
Last Time, The, 309
Law of large numbers, 53, 65 n.1
Laws, 22
Lee, R.L., 65
Leftwich, A., 8, 64
Levine, D. and Stephan, D.,
204, 219
Levi-Strauss, Claude, 281
Lewis-Beck, M.S., 219
Likert, Rensis. See Likert scale
Likert scale, 149, 153154, 187
Literature reviews:
examples of reviews, 107108,
110116 (box)
ofcial records, 103105
plagiarism, 108109
purpose of, 100102
reading literature, 105106
referencing, 106107
searching for literature,
102103
writing the review, 106
Longitudinal method, 51, 6062
Lovenduski, J., 29
Lukes, Stephen, 5, 27
337
Mace, C.A., 4
Mach, Ernst, 23
Manifesto Research Group, 268
Manning, P.K. and
Cullum-Swan, B., 298
Marlow, A., 177
Marr, Andrew, 8485
Marsh, D. and Furlong, D., 35
Marsh, D. and Stoker, G., 5, 8
Mayer, L.C., 64
Mayo, Elton, 1516, 124
McEvoy, J., 138
McLuhan, Marshall, 283
McRobbie, A., 299
Measures of central tendency, 185
Median, 185
Meek, James, 175
Members resource, 285
Memoing, 259260
Method of agreement, 57
Method of concomitant
variations, 57
Method of difference, 57
Miles, M.B. and Huberman, A.M.,
177, 243, 259, 261, 262
Mill, John Stuart, 23, 55, 56, 57
Mixed actions, 164
Mixed methods, 4749, 48, 49
Mochmann, Ekkehard, 271
Modernity, 185
Moore, B., 59
Morris, Desmond, 163168
Most different systems design
(MDSD), 58
Most similar systems design
(MSSD), 58
Multiple linear regression
equations, 213217
Mumby, D.K., 298
N and n, 188
Narrative analysis, 297298
case study: Martin Bashirs
interview of Princess Diana,
302303
denitions, 299301
origins, 298299
Narrative-of-the-self, 302
National opinion polls, 201202
338
Index
National Readership Survey,

146147
Naturalism, 2728
Natural science, 23, 36
Neuman, W.L., 29, 36, 98, 138,
177, 178, 197, 37 n.17
New Labour:
case study: Faircloughs critical
discourse analysis, 290291
Nicholson, Harold, 8689
Nietzsche, Friedrich, 47
Nomination, 91
Non-probability samples, 9193
Non-verbal leakage, 165
Normal distribution, 198199
Norris, P., 29
Null hypothesis, 202204
Nuremberg Code (1947), 1012
Oakley, A., 28
Ofcial records, 103105
Ontology, 22
Orwell, George, 13
Osgood, Charles E., 148
OSullivan, T., 283
Outlier effect, 185
Panel, 61
Parker, I., 284
Park, R.E., 221
Peacock effect, 17
Pennings, P., Keman, H. and
Kleinnijenhuis, J., 64, 65,
196, 219
Personal life histories, 60
Pilot project, 5455
Placebo effect, 16
Plagiarism, 108109
Plummer, K., 299
Poisson distribution, 235236
Poisson, Simon Denis, 235
Politics as an academic subject, 46
Popper, Karl, 23, 24, 43, 202
Population, 91, 185
Positivism, 2324
See also Feminism; Naturalism
Post-modernism, 29
Postural echo, 165
Powell, Enoch, 120
Prejudices proforma, 1920

Pre-knowledge, 298299
Probability, 198
Probability samples, 9395
Property ownership, 109 (table)
Propositions, 2223
Propp, V., 298299
Przeworski, A., Alvarez, M.,
Cheibub, J.A. and
Limongi, F., 64, 66 n.8
Pygmalion effect, 17
QAA, 5
Qualitative analysis compared
with quantitative analysis,
178 (table)
Qualitative information, analysing,
235
case study: Harold Wilson and
Ted Heath, 243259
case study meetings, 260
coding, 242243
content analysis, 241
interim case study, 260
memoing, 259260
second-level pattern coding,
254257
tagging and coding, 243
typology, 257
Qualitative methods:
characteristics of, 43 (table)
criticisms and weaknesses, 46
defence and counter-claims on
behalf of, 4647
strengths, 4546
See also Mixed methods
Quantitative analysis compared
with qualitative analysis, 178
(table)
Quantitative methods:
characteristics of Table, 43
defence and counter-claims on
behalf of, 4445
strengths, 4244
weaknesses and criticisms, 44
See also Mixed methods
Quarterly deviations, method of,
232234
Questionnaire surveys:
access, 141143
administering, 143
coding, 153154
denition, 140141
demonstration questionnaire,
154158
design, 144145
Guttman scale, 149151, 151
(table)
Likert scale, 149, 153154, 187
motivating respondents, 143144
n-th address technique, 142
personal safety, 152153
postcodes, 148
proxy-indicators, 145147
random walk technique, 142
ranking, 151152
scale rating, 150151
semantic differential, 148
show cards, 147
Questions. See Interviews;
Questionnaire surveys
Quota samples, 9596
Race, K.E., 136
RAE (Research Assessment
Exercise), 78 n.3
Range, 185186
RDN (Research Discovery
Network), 103
Reed, M. and March, D., 50
Referencing, 106107
Regression analysis, 209
Regression analysis, calculating,
210213
Reinharrz, 9
Reliability of data, 83
Research:
action research method, 52,
6263
choice of, 5253
comparative method, 51, 5560
deductive research, 33
denition, 34
experimental method, 51, 5455
grounded research, 3334
inductive research, 32
longitudinal method, 51, 6062
Index
RAE (Research Assessment
Exercise), 78 n.3
research component analysis
(RCA), 7073
Roses ABCDE validity analysis
deciphering model, 7376
single case study, 5354
research component analysis
(RCA), 7073
Research effects, 1517
Researchers and subjects, 910
Richards, D., 138
Ritchie, J. and Lewis, J., 177, 262
Robson, C., 65
Rose, G. See Roses ABCDE
validity analysis deciphering
model
Roses ABCDE validity analysis
deciphering model, 7376
Rotated component matrix, 229
Rumsfeld, Donald, 101
Russell, Bertrand, 79
Saint-Simon, Comte de, 23
Sampling:
errors, 94, 199
large-n samples, 58, 59
non-probability samples, 9193
probability samples, 9395
quota samples, 9596
small-n samples, 58, 5960
snowball samples, 92
volunteer samples, 9293
Sanders, D., 27
Saussure, Ferdinand de, 281
Scepticism, 4
Schattschneider, E.E., 32
Schramm, W., 128
Second-level pattern coding,
254257
Serendipity, 34
Series, 185
Shakespeare, William, 302
Silverman, David, 176, 262
Single case study, 5354
Skinner, B. F., 25
Small-n samples, 58, 5960
Smith, M., 129 (box)
Smith, M.J., 36
Snowball samples, 92
Social facts, 24
Social gatekeeper, 9192
Social Sciences Citation Index, 102
Socio-economic classication
scheme, 146 (box)
Sources 8083
Spearman, Charles, 25
Spencer, L., Ritchie, J. and
OConnor, W., 180
SPSS, 224
binomial test, 235
data view, 226227
factor analysis using, 224230
rotated component matrix, 229
text books on, 237
total variance explained, 228
variable view, 224226
Squire, C., 280
Standard error of the
proportion, 202
Standard error of the sample mean,
199201
Statistics, 206
ofcial, 84
regression statistics and
association, 210213
See also descriptive statistics;
inferential statistics
Strauss, Anselm, 3334
Stringer, E., 65
Structuralism, 281
Stubbs, M., 280
Subjects and researchers, 910
Suicide, 2425
Synchrony, 281
Tagging and coding, 243
Taylor, W.F., 21 n.7
Terms, 185
Thatcher, Margaret, 266
case study: Faircloughs critical
Theoretical saturation, 34
Theory, 22
Thick/thin approach, 54
Thomas, Clarence, 300301
339
Thomas, Mae, 301

Thompson, Walter, 82
Time series analysis, 230232
Trained actions, 163164
Treaty of Rome (Article 108), 13
Triangulation, 8990, 120, 138 n.4
Truth, 85
Twain, Mark, 183
United Nations Declaration of
Human Rights, 13
Validity, 7476, 83
Variable-orientated analysis, 58
Variance, 187188
verstehen, 45
Vienna Circle, 23, 24
Voice-transcription software, 130
Volunteer samples, 9293
Webb, B. and Webb, S., 18, 21 n.9
Webb, Beatrice, 18
Weber, Max, 29, 32, 263
Williams, Raymond, 286, 304
Wilson, Harold, 298
and Ted Heath: qualitative
information analysis case study
case, 243259
WinStat, 223
Wirth, L., 221
Wittgenstein, Ludwig, 23, 282
Woodruff, William, 105
Writing-up, 309310
nal draft, review of, 316
literature reviews, 106
publication rules, 311
readership, 310
re-writing, 316
structure, 311
structure and contents, 313316
when to write up, 312313
word distribution, 316317
Yates, S.J., 160
Zipf, George, 266
Zipfs Law, 266267

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Research Methods in Politics

Los Angeles London New Delhi Singapore

Roger Pierce 2008

About This Book

Power in Research, Ethics, Data Protection and Bias

The Philosophy and Principles of Research

Qualitative Versus Quantitative Methods: A Relevant

Collecting Data Sets: Case Studies, Experimental,

PART III COLLECTING INFORMATION

Critically Evaluating Published Research

Evaluating Information: Validity, Reliability, Accuracy,

Completing a Literature Review: Accessing Published ()

Asking Questions: Effective Elite Interviews, Other Interviews,

PART IV DATA ANALYSIS

Analysing Research Data: The Process

Part IVA Quantitative Analysis

Calculating and Interpreting Descriptive Statistics

Using and Understanding Inferential Statistics

Testing for Association

Applying Factor Analysis and Other Advanced Techniques

PART IVB Qualitative Analysis

Analysing Qualitative Information: Classifying, Coding

Using Content Analysis

Understanding and Adopting Discourse and Narrative

PART V COMMUNICATING RESEARCH

Key Formulae and Symbols

About This Book

Teaching and learning strategy

About This Book

How to use the book

About This Book

Where best to begin?

Training needs self-evaluation proforma

Existing Knowledge and Understanding

About This Book

Existing Knowledge and Understanding

About This Book

Existing Knowledge and Understanding

and, to Patrick Brindle of Sage who encouraged me to submit a proposal. However,

1. To answer the question: What is research?

goal orientated and purposeful

Academic research essentially involves a systematic process. It begins with a