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609 Research Methodology for Students of Literature

Methodology Check-List

(expanded and adapted from "Navigating the Knowledge Base", by Prof Trochim (withi his emailed permission) with some ideas from "Method in the Social Sciences", by Andrew Sayer (see bibliography)

Finding the Research Topic

So-called inspiration in finding your research topic usually comes from somewhere.  As far as I can tell, these are the main sources.  Do not despair until you have tried all of them:

* Personal interest, reading, study

*Brainstorming, free association, brain/mind trees, your own journal

*Course notes, suggestions in class, from supervisor/friends, in journals and other theses

*Requests for papers in conferences, journals, calls for participation in publications.

Four main Types of Research Question

* Descriptive.  "When a study is designed primarily to describe what is going on or what exists."  Useful in practical social research, eg to find out what percent of the population would vote 'yes' to joining the European Union.  In Literature studies we find studies such as "the representation of women in the novels of A S Byatt".

* Relational/Analytic. "When a study is designed to look at the relationships between two or more variables. A public opinion poll that compares what proportion of males and females say they would vote for a Democratic or a Republican candidate in the next presidential election is essentially studying the relationship between gender and voting preference."  In Literature studies we may include here works such as "change in Forster's use of inter-human relationships" (not a good example - you can find a better one!), which is essentially studying the relationship between when the novels were written and how they use human relationships.

* Causal or predictive. "When a study is designed to determine whether one or more variables (e.g., a program or treatment variable) causes or affects one or more outcome variables. If we did a public opinion poll to try to determine whether a recent political advertising campaign changed voter preferences, we would essentially be studying whether the campaign (cause) changed the proportion of voters who would vote Democratic or Republican (effect)."  We can do the same with Literature - if we investigated whether Forster's growing interest in mysticism affected his view/presentation of human relations we could end up with a causal or predictive study. 

"The three question types can be viewed as cumulative. That is, a relational study assumes that you can first describe (by measuring or observing) each of the variables you are trying to relate. And, a causal study assumes that you can describe both the cause and effect variables and that you can show that they are related to each other. Causal studies are probably the most demanding of the three."

Refining the Topic

Your initial area of interest will almost certainly be too broad (eg "Towns in the Victorian Novel"), although in rare cases it may be too narrow (eg "references to Bristol in the Novels of Jane Austen").  As a first step to getting the area honed down to a manageable but at the same time valid (more about this later) topic, consider the following criteria:

* What do you have time for?  Be realistic about the time constraints of your PhD.  You cannot study all Victorian novels or all Modern plays etc.

*What do you have materials for?  Be realistic about your sources.  We do not have libraries holding historical material here, nor are all editions of works available.  A Bibliographical approach is not possible.  We do have Internet and inter library loan, however, and there is still a lot out there.

* What do you have money/personnel for?  If, however, you are able to travel to the libraries where the manuscripts/diaries/ letters/ early editions of your sources are held, then you may reconsider this sort of study.  Similarly, if you have a secretary or close friend with the time and training to be your research assistant, then you are once more in luck!

The Subject of Research

Whatever type of research you are undertaking, there will be at least one main subject of investigation: Forster's representation of human relationships in his novels, Forster's interest in mysticism, Austen's representations of towns in her novels, etc.  Almost all research in Literature (and in social science) involves an investigation of the relationship(s) between subjects of investigation.  Thus we have an investigation of the relationship between time (early, middle or late novels) and the representation of human relationships, or between  growing interest in mysticism and the representation of human relationships in Forster's novels; again we can identify  the variables  of towns and Jane Austen's (various) novels, or women and A S Byatt's novels.

These subjects of investigation, or variables (as they are known in social science) may relate to each other in a number of different ways, and to some extent your research is an attempt to identify what these ways are.  You are fundamentally concerned, in fact, with the relationship between the variables of your research area.  What sort of relationships are possible?

* No relationship at all.  You investigated the relationship between human relationships and Forster's growing interest in mysticism and found no connection between these two variables.  If your initial hypothesis was that there is a relationship between the two, then your research has proved the null hypothesis.  This is not always a disaster, especially if your initial hypothesis was a widely held one, in which case you can at least claim to have put a lot of people right and, your thesis will probably show how and why they were wrong and probably hint at good areas for future research now that the misapprehension has been identified.  It is possible, though more rare, that your thesis was based upon the null hypothesis in the first place - that you set out to prove that there is no relation between these variables, in which case 'bravo', you've done what you wanted.

* A correlational relationship.  "A correlational relationship simply says that two things perform in a synchronized manner." Your investigation identified strong correspondences between your variables:  eg Forster's growing interest in mysticism was identified, studied and charted as was a development in his representations of human relationships and it was seen that when one changed in a certain direction, the other also changed in a certain direction - there seems to be a connection of some sort between these variables.  There are probably other correlations to be found in this area - you may discover that a shift in the representation of human relationships also correlates with an increasing proportion of the English population having telephones in their houses, or in a change in women's fashion, or an increasing interest in travel by air.  Once you identify a correlation you must be careful to question what sort of a correlation it is - is it a 'close' correlation where there is a remarkably strong  correspondence between the behaviour of the two variables, or is it a loose correlation where the correspondence is not always very convincing; maybe it is  general trends, rather than a sensitive interrelationship, that you are dealing with.  Try to explain the nature of the correlation.

*A causal relationship.  You may decide that the nature of the correlation between your variables is one of causality; ie that one causes the other.  This is a strong claim and has to be proved; it must not be assumed.

First you must try to ascertain which variable caused which? This is not always possible to do.  Was it a developing perception of human relationships that lead to his interest in mysticism, or the other way around?  Sometimes it is not possible to fix an order of events - perhaps there is none, perhaps both fed off each other.

If you wanted  to prove that  Forster's growing interest in mysticism caused changes in his representations of human relationships you should also prove at least the following (a) his study of mysticism included works that directly involve (something convincingly related to) the changes in representations of human relationships that you have documented (b) his representations of human relationships developed during a time period that fits with his study of these works.

 For these you would need to check his biography, autobiography (if there was one) letters, diaries, notebooks, non-fiction publications and also letters to him and comments about him from his contemporaries.

Furthermore, and very importantly, you should prove that (c) there is no other variable/influence that would explain the development in his representation of human relationships better (eg [just as an eg, this is not true:] a growing isolation and distrust of people due to the development of a psychological disease). 

"knowing that two variables are correlated does not tell us whether one causes the other. We know, for instance, that there is a correlation between the number of roads built in Europe and the number of children born in the United States. Does that mean that is we want fewer children in the U.S., we should stop building so many roads in Europe? Or, does it mean that if we don't have enough roads in Europe, we should encourage U.S. citizens to have more babies? Of course not. (At least, I hope not). While there is a relationship between the number of roads built and the number of babies, we don't believe that the relationship is a causal one. This leads to consideration of what is often termed the third variable problem. In this example, it may be that there is a third variable that is causing both the building of roads and the birthrate, that is causing the correlation we observe. For instance, perhaps the general world economy is responsible for both."

More about variables and hypotheses

I have informally identified variables as the subjects of your research.  For a clear and successful research project you need (clear and successful methodology, of course - and) to be completely sure as to which of your variables are dependent and which are independent.  This is not as complicated as it sounds, but it is extremely important, especially when dealing with works that combine description with analysis or comparison, which most literary theses do.

The independent variable(s) of your research are the ones you accept as a given, they are taken as, and should be shown to be, firmly rooted and are not themselves up for further essential investigation.  If you claim that Forster's changing representations of human relationships are related to (perhaps even caused by) a growing interest in the study of mysticism, you are at the same time claiming that Forster's representations of human relationships change in time.  This is your independent variable, it is not an entity that will be changed in the course of your research.   Your dependent variable is his study of mysticism - did this interest grow or vary in a way/time that can be convincingly correlated with the independent variable?

Note that in this particular example it seems possible to have two dependent variables: "forster's growing interest in the study of mysticism" and " developments in forster's representations of human relations" , but without an independent variable you will hardly be able to come to any satisfactory conclusion, other than perhaps to show a correlation or no correlation.  This is where the Hypothesis comes back into the argument.  For a clear and convincing (focused, well organized, pleasant to read, directional . . .) thesis you should formulate a hypothesis.  E.g. That (1) Forster's developments in his representation of human relationships are directly related to (2)his growing interest in the study of mysticism , or E.g. that (1) Forster's growing interest in the study of mysticism was directly related to (2) the developments in his representations of human relations in his novels  - in each of these cases (1) is the independent variable and (2) is the dependent variable.

Please remember, then, that the hypothesis is a tool to make your research topic clear and the focus of your research more specific.  Choose the hypothesis that you think will yield the most informative research and note that a thesis that proves the null hypothesis can be just as revealing as one that proves the alternative hypothesis (the one you claim to hold).  Force yourself to take a position in relation to the subjects of your investigation (make your alternative hypothesis) and then clearly identify your independent and dependent variables based upon that hypothesis.

This is the secret to avoiding a woolly and inconclusive thesis.

Shhhh!

And finally . . . "there are two traits of variables that should always be achieved. Each variable should be exhaustive, it should include all possible answerable responses. For instance, if the variable is "religion" and the only options are "Protestant", "Jewish", and "Muslim", there are quite a few religions I can think of that haven't been included. The list does not exhaust all possibilities. On the other hand, if you exhaust all the possibilities with some variables -- religion being one of them -- you would simply have too many responses. The way to deal with this is to explicitly list the most common attributes and then use a general category like "Other" to account for all remaining ones. In addition to being exhaustive, the attributes of a variable should be mutually exclusive, no respondent should be able to have two attributes simultaneously. While this might seem obvious, it is often rather tricky in practice. For instance, you might be tempted to represent the variable "Employment Status" with the two attributes "employed" and "unemployed." But these attributes are not necessarily mutually exclusive -- a person who is looking for a second job while employed would be able to check both attributes!"

So, for our example, the 'representations of human relationships' variable must include ALL representations of ALL human relationships in ALL Forster's novels, made more manageable by identifying the most important (how?  Because most frequent?  Because they seem to change most [check this with pilot study]?) and categorizing the others as 'other' - and the same for the novels; it must also include all available evidence of his interest in mysticism plus as complete an understanding of the mysticism he studied as possible (focusing on  those bits that might relate to human relationships and classifying other elements as 'other').


 

Methodology Check-list II

Validity

“validity -- the principles that we use to judge the quality of research” (Trochim)

“The idea of validity provides us with a unifying theory for understanding the criteria for good research.” (ibid.)

In logic, “a valid argument is one for which it is contradictory to accept the premises but reject the conclusion” (Sayer, 165)

The first thing we have to ask is: "validity of what?" . Sample texts, quotations, facts about a writer’s life don't 'have' validity -- only propositions can be said to be valid. Technically, we should say that an analysis leads to valid conclusions or that a sample enables valid inferences, and so on. It is a proposition, inference or conclusion that can 'have' validity.

 

Something may be considered valid only in relation to a task, expectation, hypothesis – in short, some sort of framework .  So we have to find the entity that we think our subject illuminates, exemplifies or adds to in some way. Our term question concerning, ‘the validity of literary studies’ must therefore be seen in two parts ‘literary studies’, and the area to which we assume they are contributing.  As I see it the hidden question is ‘are literary studies valid in the pursuit of academic understanding or activities’.  For such an interpretation you will have to define what it is that the ‘academic’ world tries to do or you will not be able to.  If, however, you wish to discuss the validity of literary studies to the progress of humanity, then you will have to define and identify those parts of ‘humanity’ (and what is meant by ‘progress’) which you think are directly relevant.  In other words, first narrow down the question into a proposition  (remember that old idea, the ‘thesis statement’?) that can be more precisely considered.

 

This goes for your theses too – a clearly stated Thesis Statement is essential if you are going to claim that your research has validity – otherwise the term “valid” is irrelevant to your work.  You may like to break down your statement into two or more parts, however – first of all an announcement of what you plan to do, then one or more propositions (hypotheses) concerning the importance/relevance/generalisability of your findings. 

 

EG (another one of my ‘off the cuff” examples that will need refining if they are to be any good):  “This thesis aims to examine the use of change of place in Medieval and Renaissance English literature as a device through which the writer explores and presents the mental changes known in Kuhnian terms as ‘paradigm shift’. [Thesis Statement].  Using the plentiful illustrations provided by Hargrieves 1991,  Johns 2003 and Leiter 1965[1], it is argued that religious writings have, from the start, used physical movement as a metaphor for spiritual development, and that metaphors of this nature were well known to even semi-educated laymen through popular works of literature (eg Piers Plowman), pictorial illustrations in churches and books (Leecroft 1973),  and – more importantly – sermons (see Wylie 1979).  … … … It is hoped [rhetorical motif of humility – essential in the PhD thesis!] that the findings of this thesis will provide some useful addition to our understanding of the many and complex links between two powerful cultural entities – religion and religion. At the same time the thesis aims to add to the existing literature on metaphor in its exploration of the psychological processes of identifying the immaterial (spiritual progress) with the material (physical movement) as it is presented in literature.  [hidden propositions concerning relevance to wider fields of interest, hint at generalisability of the results] 

 

We make lots of different inferences or conclusions while conducting research. Many of these are related to the process of doing research and are not the major hypotheses of the study. Nevertheless, like the bricks that go into building a wall, these intermediate process and methodological propositions provide the foundation for the substantive conclusions that we wish to address. For instance, virtually all literary research involves the selection of texts and passages. And, whenever we select texts/passages and make observations and analyses about them we are concerned with whether we are selecting the appropriate text/passage and how our observations/analyses are influenced by the circumstances in which they are made. We reach conclusions about our observations and analyses -- conclusions that will play an important role in addressing the broader substantive issues of our study. When we talk about the validity of research, we are often referring to these many conclusions we reach in different parts of our research methodology.

Trochim (http://trochim.human.cornell.edu/kb/)[2]  continues: 

There are really two realms that are involved in research. The first, on the top, is the land of theory. It is what goes on inside our heads as researchers. It is where we keep our theories about how the world operates. The second, on the bottom, is the land of observations. It is the real world into which we translate our ideas -- our programs, treatments, measures and observations. When we conduct research, we are continually flitting back and forth between these two realms, between what we think about the world and what is going on in it. When we are investigating a cause-effect relationship, we have a theory (implicit or otherwise) of what the cause is (the cause construct). Similarly, on the effect side, we have an idea of what we are ideally trying to affect and measure (the effect construct). But each of these, the cause and the effect, has to be translated into real things, into a program or treatment and an analytic or observational method (basically, technique). We use the term operationalization to describe the act of translating a construct into its manifestation. In effect, we take our idea and describe it as a series of operations or procedures [technique, analytic procedures]. Now, instead of it only being an idea in our minds, it becomes a public entity that anyone can look at and examine for themselves. It is one thing, for instance, for you to say that you would like to measure self-esteem [or the use of a certain metaphor for a particular effect] (a construct). But when you show a ten-item paper-and-pencil self-esteem measure [or a series of correlations between metaphors and concepts] that you developed for that purpose, others can look at it and understand more clearly what you intend by the term self-esteem [metaphors for spiritual progress].

He identifies four types of validity in research, that build on one another.  The first (external) referring to the land of theory, the next (construct) emphasizing the linkages between the bottom and the top, and the last two (internal and conclusion ) referring to the land of observation

 

external validity.  External validity is related to the theory of how we generalize research results It's corresponding practice area is sampling methodology which is concerned with how to draw representative samples so that generalizations are possible.  Can we generalize our research to other texts, genres, literary issues?

 

External validity is the degree to which the conclusions in your study would hold for other persons/texts in other places and at other times.

construct validity. This asks: Assuming that there is a causal relationship in this study, [eg in the sub-proposition that metaphors used in sermons directly influenced the metaphorical use of movement in other literature] can we claim that the research reflected our construct of the program [our theory or idea about the relationship]. Eg. Is our analysis based upon a correct/appropriate matching of hypothesis with materials and technique.

When we claim that our programs or measures have construct validity, we are essentially claiming that we as researchers understand how our constructs or theories of the programs and measures operate in theory and we claim that we can provide evidence that they behave in practice the way we think they should. The researcher essentially has a theory of how the programs and measures related to each other (and other theoretical terms), a theoretical pattern if you will. And, the researcher provides evidence through observation that the programs or measures actually behave that way in reality, an observed pattern. When we claim construct validity, we're essentially claiming that our observed pattern -- how things operate in reality -- corresponds with our theoretical pattern -- how we think the world works. I call this process pattern matching, and I believe that it is the heart of construct validity.

Where external validity involves generalizing from your study context to other people, places or times, construct validity involves generalizing from your program or measures to the concept of your program or measures.

internal validity,  This asks:Assuming that there is a relationship in this study, is the relationship a causal one?” [what is the precise nature of the relationship?]. In simpler terms, did we implement the program we intended to implement and did we measure the outcome we wanted to measure? In yet other terms, did we operationalize well the ideas of the cause and the effect? [here we may include the question: did my materials and technique ensure the most accurate answer to my research question?] 

Internal Validity is the approximate truth about inferences regarding cause-effect or causal relationships. Thus, internal validity is only relevant in studies that try to establish a causal relationship. It's not relevant in most observational or descriptive studies, for instance. But for studies that assess the effects of social programs or interventions, internal validity is perhaps the primary consideration. The key question in internal validity is whether observed changes can be attributed to your program or intervention (i.e., the cause) and not to other possible causes (sometimes described as "alternative explanations" for the outcome).

Internal validity is only relevant to the specific study in question. That is, you can think of internal validity as a "zero generalizability" concern. All that internal validity means is that you have evidence that what you did in the study (i.e., the comparison, analysis) caused what you observed (an observed correlation or lack of correlation) to happen. It doesn't tell you whether what you did was what you wanted to do or whether what you observed was what you wanted to observe -- those are construct validity concerns. It is possible to have internal validity in a study and not have construct validity.

conclusion validity.  This addresses the question ”is there a relationship between the two variables?” There are several conclusions or inferences we might draw to answer such a question. We could, for example, conclude that there is a relationship. We might conclude that there is a positive relationship. We might infer that there is no relationship. We can assess the conclusion validity of each of these conclusions or inferences.

 

When our research is over, we would like to be able to conclude that we did a credible job of operationalizing our constructs -- we can assess the construct validity of this conclusion.

 

We are likely to make some claims that our research findings have implications for other groups and individuals in other settings and at other times. When we do, we can examine the external validity of these claims.

Notice how the question that each validity type addresses presupposes an affirmative answer to the previous one. This is what we mean when we say that the validity types build on one another.

 

For any inference or conclusion, there are always possible threats to validity -- reasons the conclusion or inference might be wrong. Ideally, one tries to reduce the plausibility of the most likely threats to validity, thereby leaving as most plausible the conclusion reached in the study.

 

 For instance, imagine a study examining whether there is a relationship between metaphors used in medieval sermons and the use of images of movement in literature. Because the interest is in a relationship, it is considered an issue of conclusion validity. Assume that the study is completed and no significant correlation is found. On this basis it is concluded that there is no relationship between the two. How could this conclusion be wrong -- that is, what are the "threats to validity"? For one, it is possible that there isn't sufficient statistical power to detect a relationship even if it exists [we have not found enough sermon metaphors or looked at enough examples of movement in the literature]. Perhaps the sample size is too small [you didn’t collect enough data] or the measure is unreliable [the way you analysed them was wrong]. Perhaps there were random irrelevancies in the study setting [basing yourself only on sermons that are currently available in print] or random heterogeneity in the texts that increased the variability in the data and made it harder to see the relationship of interest [you looked at a badly selected and patchy representative of the literature, mixing different genres, periods of time, writers of different religious persuasions . . .]. The inference that there is no relationship will be stronger -- have greater conclusion validity -- if one can show that these alternative explanations are not credible.

In many ways, conclusion validity is the most important of the four validity types because it is relevant whenever we are trying to decide if there is a relationship in our observations (and that's one of the most basic aspects of any analysis). Perhaps we should start with an attempt at a definition:

Conclusion validity is the degree to which conclusions we reach about relationships in our data are reasonable.

Whenever you investigate a relationship, you essentially have two possible conclusions -- either there is a relationship in your data or there isn't. In either case, however, you could be wrong in your conclusion. You might conclude that there is a relationship when in fact there is not, or you might infer that there isn't a relationship when in fact there is (but you didn't detect it!). So, we have to consider all of these possibilities when we talk about conclusion validity.

It's important to realize that conclusion validity is an issue whenever you conclude there is a relationship, even when the relationship is between some program (or treatment) and some outcome. In other words, conclusion validity also pertains to causal relationships. How do we distinguish it from internal validity which is also involved with causal relationships? Conclusion validity is only concerned with whether there is a relationship.

 

Conclusion validity is essentially whether that relationship is a reasonable one or not, given the data. But it is possible that we will conclude that, while there is a relationship, the program didn't cause the outcome. Perhaps some other factor, and not our program, was responsible for the outcome in this study. This issue -- the possibility that some other factor than our program caused the outcome -- is what internal validity is all about. So, it is possible that in a study we can conclude that our program and outcome are related (conclusion validity) and also conclude that the outcome was caused by some factor other than the program (i.e., we don't have internal validity).

 

 

 

Generalizability

In science there are two major approaches to how we provide evidence for a generalization. I'll call the first approach the Sampling Model. In the sampling model, you start by identifying the population you would like to generalize to. Then, you draw a fair sample from that population and conduct your research with the sample. Finally, because the sample is representative of the population, you can automatically generalize your results back to the population. There are several problems with this approach. First, perhaps you don't know at the time of your study who you might ultimately like to generalize to. Second, you may not be easily able to draw a fair or representative sample. Third, it's impossible to sample across all times that you might like to generalize to (like next year).

I'll call the second approach to generalizing the Proximal Similarity Model. 'Proximal' means 'nearby' and 'similarity' means... well, it means 'similarity'. Under this model, we begin by thinking about different generalizability contexts [eg all metaphors, all prose texts,  all medieval prose texts,  all medieval fictional prose texts; all English Medieval and early Renaissance literature,etc] and developing a theory about which contexts are more like our study and which are less so. For instance, we might imagine several genres  that have movement images that seem to pertain to internal development, or several genres where this is not so much the case.   This also holds for times (literary periods) and places (is it true for all European literature?  For all English literature?  Just for south western English literature?]. When we place different contexts in terms of their relative similarities, we can call this implicit theoretical scale a gradient of similarity. Once we have developed this proximal similarity framework, we are able to generalize. How? We conclude that we can generalize the results of our study to other persons, places or times that are more like (that is, more proximally similar) to our study. Notice that here, we can never generalize with certainty -- it is always a question of more or less similar.

Threats to External Validity

A threat to external validity is an explanation of how you might be wrong in making a generalization. For instance, you conclude that the results of your study (which was done in a specific place, with certain types of people, and at a specific time) can be generalized to another context (for instance, another place, with slightly different people, at a slightly later time). There are three major threats to external validity because there are three ways you could be wrong – people [text, genre or text type], places [from where?] or times [literary or historical period]. Your critics could come along, for example, and argue that the results of your study are due to the unusual type of people [you only looked at the alliterative verse of the Gawain poet] in the study. Or, they could argue that it might only work because of the unusual place [you only looked at the south western literature] Or, they might suggest that you did your study in a peculiar time [if this period coincided with the flourishing of a particular religious sect].

Improving External Validity

How can we improve external validity? One way, based on the sampling model, suggests that you do a good job of drawing a sample from a population. In the social science, for instance, random selection rather than a nonrandom procedure is recommended.  Some adaptation of this is sometimes possible in literary studies – if there are enough texts available for selection to be an option.  And, once selected, you should treat all of your texts equally, do not decide to “drop” a text because it does not fit in with your desired findings.  A second approach would be to use the theory of proximal similarity more effectively. How? Perhaps you could do a better job of describing the ways your contexts and others differ, providing lots of data about the degree of similarity between various groups of texts, places, and even times. You might even be able to map out the degree of proximal similarity among various contexts. Perhaps the best approach to criticisms of generalizations is simply to show them that they're wrong -- do your study using a variety of texts, with different genres and from different times. That is, your external validity (ability to generalize) will be stronger the more you replicate your study.  Since the Literature PhD frequently concentrates on source material equivalent to 3-6 novels,  there is an inherent weakness in the external validity of many of these theses.  The best ones openly discuss their principles of text selection with a view to limiting the damage of this weakness.  The less good theses simply rewrite their hypotheses to eliminate generalizability.  Eg. They claim to be investigating only the texts they are investigating.  This makes for a remarkably uninteresting thesis that, to my mind, should not be passed (although many do).  The Forster interest in mysticism/representation of  human relations is very hard to generalize and in danger of being inward looking, to my mind.  This should be openly mentioned and the area of its relevance (at a minimum understanding of Forster’s literary output) stated.  A better thesis would include some discussion of the theoretical issues involved (extent to which biographical details can/should be included in literary analysis and why, theories of how and why writers write etc)