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Case study research
Marie-Louise Barry
Use of different strategies
Strategy
Form of research
question
Requires control of
behavioural events
?
Focuses on
contemporary
events?
Experiment
How, why?
Yes
Yes
Survey
Who, what, where,
how many, how
much?
No
Yes
Archival analysis
Who, what, where,
how many, how
much?
No
Yes/No
History
How, why?
No
No
Case study
How, why
No
Yes
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social
Research method series. Volume 5.
What is a case study?
• It is a research strategy
• Not linked to a particular type of
evidence or method of data collection
• Distinguishing characteristic attempts
to examine:
– Contemporary phenomenon in real-life
context
– Especially when boundaries between
phenomenon context not clearly evident
George, A.L. and Bennett, A., 2005. Case studies and theory development in social sciences. Belfer Center for Science
and International Affairs, Harvard University, Cambridge, Massachusetts.
What is a case study (2)?
• A case study is an empirical enquiry that
– Investigates contemporary phenomena in real life
context
– Especially when boundary between phenomenon
and context not clear
• A case study inquiry further
– Copes with the technically distinctive situation in
which there will be many more variables of interest
than data points
– Relies on multiple sources of evidence with data
needing to converge in a triangulating fashion
– Benefits from prior development of theoretical
propositions to guide data collection and analysis
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Qualitative vs Quantitative
• Contrast between qualitative and
quantitative data does not
distinguish the various research
strategies
• It is possible to have qualitative
surveys or quantitative case
studies
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Where are case studies used?
• To contribute to
knowledge on
phenomena of:
–
–
–
–
–
Individual
Group
Organisational
Social
Political
• Domains used:
–
–
–
–
–
–
–
Psychology
Sociology
Political sciences
Social work
Business
Community planning
Economics
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
External validity
Description
Field
study:
Primary data
Explanation
Generalisability
Realism of
Precision of
context
measurement
Investigation of behaviour in its
natural setting where the data is
↓
↑↑
↓
↓
↑↑
↓
collected by the researchers
Investigation of behaviour in its
Field
study:
natural setting where the data is
Secondary
collected
by
data
agencies
other
persons
than
or
the
researchers.
Sandura,T.A. and Williams, E.A. 2000. “Research methodology in management: Current practices, trends and implications for
future research.” Academy of Management Journal, vol. 43(6), pp. 1248-1264.
Types of case studies
• Illustrative – descriptive case study that makes
the unfamiliar familiar
• Exploratory or pilot – condensed case studies
performed before implementing large scale
investigation
• Cumulative – Aggregate information from several
sites collected at different times
• Critical instance – examine one or more sites for
purpose of examining a situation of unique
interest
Colorado State University, 2009. Writing guides: Case studies. [online], Available from:
http://writing.colostate.edu/guides/research/casestudy/com2b1.cfm Accessed [19 March 2009].
Case study high level methodology
Conduct
case study
Design case study
Prepare for
data collection
Collect case
study evidence
Analyse case
study evidence
Report case study
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Design case study
Conduct
case study
Design case study
Prepare for
data collection
Collect case
study evidence
Analyse case
study evidence
Report case study
Research design
• Research design is the logic that links the
data to be collected (and the conclusions
to be drawn) to the initial questions of the
study
Initial
question(s)
Research design
Data to be
collected
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Definition of research design
Delphi study
Theory
Factors
Case study
Validity and
Practical application of
Factors
Blueprint
What are the questions?
What are relevant data?
What data to collect?
How to analyse results?
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social
Research method series. Volume 5.
Components of Research designs
•
Research question
– How and why
•
Propositions if any
– Propositions are required to keep
the study in feasible limits
– Hypothetical story about why acts,
events, structure and thoughts
occur
– “Theory of the study”
•
Purpose of exploration
Units of analysis
– Look at previous studies
– Depends on accuracy of research
question
•
What is to be explored?
Logic linking data to propositions
and criteria for interpreting
findings
Criteria by which
exploration judged
successful
– Eg pattern matching
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Types of theories for research
design
•
•
•
•
•
•
•
Individual theories
Group theories
Organisational theories
Societal theories
Decision making theory
Substantive theory
Make sure that you are testing the correct type
of theory
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Two types of generalisation
• Statistical generalisation
– Inference made about a population
– On basis of empirical data collected
– About a sample
• Analytic generalisation
–
–
–
–
Previously developed theory
Used as a template
To compare empirical results of the case study
If two or more cases support the theory – replication can be
claimed
– Even more potent if the two or more cases do not support a rival
theory
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Quality of case study research
• Four criteria:
– Construct validity – establishing correct operational
measures for concepts being studied
– Internal validity – establishing causal relationship
whereby certain conditions are shown to lead to other
conditions
– External validity – establishing domain to which a
study’s findings can be generalised
– Reliability – demonstrating that operations of a study,
such as data collection can be repeated with same
results
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Quality tests in case studies
Test
Case study tactic
Phase
Construct validity
Multiple sources of evidence
Chain of evidence
Key informant review draft report
Data collection
Data collection
Composition
Internal validity
(NA for exploratory
and descriptive
case studies)
Analytic tactics:
Data analysis
Data analysis
Data analysis
Data analysis
External validity
Use theory in single-case studies
Use replication logic in multiple-case studies
Research design
Research design
Reliability
Use case study protocol
Develop case study database
Data collection
Data collection
Pattern matching
Explanation building
Address rival explanations
Logic models
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
To improve validity and reliability
• Prolong data gathering process to ensure
accurate findings
• Employ triangulation by using a variety of
data
• Conduct member checks by corroborating on
interpretation of data with those who provided
data
• Collect referential materials (literature survey)
• Engage in peer consultation to establish
validity through pooled judgement
Colorado State University, 2009. Writing guides: Case studies. [online], Available from:
http://writing.colostate.edu/guides/research/casestudy/com2b1.cfm Accessed [19 March 2009].
Types of case study designs
Holistic
Single unit of analysis
Embedded
Multiple units of analysis
Single
Multiple
Single
Holistic
Case study
design
Multiple
Holistic
Case study
design
Single
Embedded
Case study
design
Multiple
Embedded
Case study
design
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social
Research method series. Volume 5.
Holistic vs embedded case studies
•
Holistic
–
–
One unit of analysis
Use where:
•
•
–
no logical subunits can
be identified
when relevant theory of
holistic nature
Problems:
•
•
•
Global approach avoids
examining specific
phenomena in
operational detail
Entire case study at
abstract level
Nature of case study
may shift and research
question not addressed
• Embedded
– More than one unit of
analysis
– Subunits add significant
opportunities for extensive
analysis
– Important device for
focussing a case study
– Problems:
• Can focus only at subunit
level
• Fails to return larger unit
of analysis
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social
Research method series. Volume 5.
Single vs Multiple case studies
• Single case studies
– For specific types of
case study
– Rational for single
case study designs
cannot be satisfied by
multiple cases
• Multiple case studies
– Evidence from multiple
case studies often
considered more
compelling – overall
study regarded as
more robust
– Requires extensive
resources and time
Single holistic case study
CONTEXT
Case
• Critical case – when
testing well-formulated
theory
• Extreme or unique case
• Representative or typical
case
• Revelatory case –
investigation of
phenomenon previously
inaccessible to scientific
investigation
• Longitudinal case study –
studying the same case
at different points in time
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Single embedded case study
design
CONTEXT
Case
Embedded unit
of analysis 1
Embedded unit
of analysis n
• Same types of cases
as holistic
• Attention also given to
subunit or subunits
• EG
– Case – evaluation of a
programme
– Embedded units –
projects in the
programme
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Replication not sample logic for
multiple case studies
• Same as for multiple
experiments
• Literal replication –
predicts similar
results
• Theoretical replication
– predicts contrasting
results for predictable
reasons
•
1.
2.
3.
Not the same as sampling
logic as for surveys
Case studies not the best
method for determining
prevalence of phenomena
Case study covers both
phenomena of interest and
context – large number of
relevant variables which
would require an impossibly
large number of cases
If cases studies had to follow
sample logic some important
topics could not be
empirically investigated
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Multiple holistic case study design
CONTEXT
CONTEXT
Case
Case
CONTEXT
CONTEXT
Case
Case
• More than one case
• Only one unit of
analysis
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Multiple embedded case study
design
CONTEXT
CONTEXT
Case
Case
Embedded unit
of analysis 1
Embedded unit
of analysis 1
Embedded unit
of analysis n
Embedded unit
of analysis n
CONTEXT
CONTEXT
Case
Case
Embedded unit
of analysis 1
Embedded unit
of analysis 1
Embedded unit
of analysis n
Embedded unit
of analysis n
• Multiple cases
• More than one unit of
analysis under study
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Multiple case study method
Define and design
Develop
theory
Select
cases
Design data
Collection
protocol
Draw cross--case
conclusions
Prepare, collect and analyse
Conduct
Case study 1
Write individual
Case study 1
report
Modify theory
Develop policy
implications
Conduct
Case study n
Write individual
Case study n
report
Write cross-case
Study report
Analyse and conclude
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Number of case studies
• Sampling logic criteria regarding sample size not
applicable
• Number of literal replications depends on:
– Certainty you want about result
– Degree of differences in rival theories
• Number of theoretical replications depends on:
– Sense of complexity of external validity
– The less variation produced in phenomena being
studied by external conditions the fewer case studies
required.
Selecting case study designs
• Multiple case study designs preferred over
single case study designs:
– Analytic benefits to multiple case studies
– Possibility of direct replication
– Contexts will most probably differ and if a
common conclusion can be reach this means
the results are more generalisable
Five misunderstandings of
case study research
Flyberg, B, 2006. Five
Misunderstandings About Case Study
Research. Qualitative Inquiry, 12 (2)
219-245.
Misunderstanding 1
Clarification
General
theoretical
(context-independent)
knowledge
is
more
valuable than concrete,
practical
(contextdependent) knowledge
Predictive theories and
universals
cannot
be
found in the study of
human affairs. Concrete,
context-dependent
knowledge is, therefore,
more valuable than the
vain search for predictive
theories and universals.
Misunderstanding 2
Clarification
One cannot generalise on
the basis of an individual
case; therefore the case
study cannot contribute to
scientific development
One can often generalise
on the basis of a single
case, and the case study
may be central to scientific
development
via
generalisation
as
supplement or alternative
to other methods.
But
formal generalisation is
overvalued as a source of
scientific
development,
whereas “the force” of
example
is
underestimated.
Misunderstanding 3
Clarification
The case study is most
useful
for
generating
hypotheses; that is, in the
fist stage of a total
research
process,
whereas other methods
are more suitable for
hypothesis testing and
theory building
The case study is useful
for both generating and
testing of hypotheses but
is not limited to these
research activities alone.
Misunderstanding 4
Clarification
The case study contains
a
bias
towards
verification, that is, a
tendency to confirm the
researcher’s
preconceived ideas.
The case study contains
no greater bias toward
verification
of
the
researcher’s
preconceived
notions
than other methods of
inquiry. On the contrary,
experience indicates that
the case study contains a
greater
bias
toward
falsification
of
preconceived
notions
than toward verification.
Misunderstanding 5
Clarification
It is often difficult to summarise
and develop general propositions
and theories on the basis of
specific case studies
It is correct that summarising
case studies is often difficult
especially as concerns case
process. It is less correct as
regards
outcomes.
The
problems in summarising case
studies however, are due more
often to the properties of the
reality studied than to the case
study as a research method.
Often it is not desirable to
summarise and generalise case
studies. Good studies should be
read as narratives in their
entirety.
Designing case study research
Phase 1:
Objectives
Design
Structure
Phase 2:
Execute
study according
to design
Phase 3:
Analyse findings
George, A.L. and Bennett, A., 2005. Case studies and theory development in social sciences. Belfer Center for Science and
International Affairs, Harvard University, Cambridge, Massachusetts.
Phase 1: Research design
Specification of problem
& research objective
Formulate data
requirements and
general questions
Specification
of problem
and research objective
Developing a research strategy:
Specification of variables
Case selection
Describing the variance in
variables
Formulation of data
requirements & general questions
Develop research
strategy
Describe variance and
variables
Case selection
George, A.L. and Bennett, A., 2005. Case studies and theory
development in social sciences. Belfer Center for Science and
International Affairs, Harvard University, Cambridge,
Massachusetts.
The research problem
•
•
•
•
Well informed assessment
Defines the gaps in current state of knowledge
Acknowledges contradictory theory
Notes inadequacies in evidence for existing
theories
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Theory building research objectives
• A theoretical/ configurative idiographic case studies. These studies
do not directly contribute to theory but provide good descriptions for
use in subsequent theory building research.
• Disciplined configurative case studies. These studies use existing
theory to explain a case by testing theory.
• Heuristic case studies. These studies are used to identify new
variables, hypotheses, causal mechanisms and causal paths.
• Theory testing case studies. These studies are used to test the
validity and scope conditions of single or competing theories.
• Plausibility probes. These studies are used to test untested theories
and hypotheses to determine whether more in depth testing is
warranted.
• Building block studies. These are single case studies or multiple
case studies with no variance which can be used as parts of larger
contingent generalisations and typological studies.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social
Research method series. Volume 5.
Prepare for data collection
Conduct
case study
Design case study
Prepare for
data collection
Collect case
study evidence
Analyse case
study evidence
Report case study
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Prepare for conducting the case
study
Training for
case study
Researcher
Skills
Case
study
preparation
Conduct pilot
Case
study
protocol
Screening
of
cases
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Researcher skills
• Continued interaction between theoretical
issues and data being collected
• Skills required:
– Ask good questions
– Be a good listener
– Be adaptive and flexible
– Have firm grasp of issues being studied
– Unbiased by preconceived notions
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Training for the case study
• If more than one researcher
• Needs to know:
– Why the study is being done
– What evidence is being sought
– What variations can be anticipated and how to
handle variations
– What constitutes supportive or contradictory
evidence
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Case study protocol
• Major way of increasing case study
reliability
• Essential in multiple case studies
• Contains the instrument (questionnaire) as
well as the procedure
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Sections of a case study protocol
• Overview of case study
– Project objectives
– Case study issues
– Relevant readings on the
topic
• Field procedures
– Presentation of credentials
– Access to case study sites
– General sources of
information
– Procedural reminders
• Case study questions
– Specific questions
– Table shells for arrays of
data
– Potential sources of
information for questions
• Guide for the case study
report
– Outline
– Format for data
– Use and presentation of
other documentation
– Bibliographical information
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Screening of cases
YES
Unique
case?
NO
YES
Access to
specific
case(s)?
NO
More than
30 cases?
YES
Define
criteria
Collect
preliminary
data
Collect
quantitative
data
Define
operational
criteria
Select 20
to 30
cases
Select
random
cases
NO
Proceed with case study
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Conduct pilot
• Selection of pilot cases:
– Convenience, access (personal contact) and
geographical proximity
• Nature of pilot
– Broader and less focussed than ultimate plan
– Can cover both substantive and methodological
issues
• Reports from pilot cases
– Mainly of value to investigators
– Explicit about lessons learned from pilot case
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Collect case study evidence
Conduct
case study
Design case study
Prepare for
data collection
Collect case
study evidence
Analyse case
study evidence
Report case study
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Six sources of evidence
Documents
Physical
artefacts
Archival
records
6 sources
of case
study
evidence
Participantobservation
Interviews
Direct
observation
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Documentation
Types
Strengths
Weaknesses
Letters, memos
Agendas, minutes of
meetings
Admin documents
Formal studies or
evaluations
Newspaper clippings
Stable – can be
reviewed repeatedly
Unobtrusive – not
created as result of
case study
Exact – contains exact
names, references
and details
Broad coverage – long
span of time, many
events, many settings
Retrievability can be
low
Biased selectivity if
collection not
complete
Reporting bias reflects
unknown bias of
author
Access may be
deliberately blocked
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Archival records
Types
Strengths
Weaknesses
Service records
Organisational records
Maps and charts
Lists of names
Survey data
Personal records –
diaries, calendars,
telephone listings
Stable – can be
reviewed repeatedly
Unobtrusive – not
created as result of
case study
Exact – contains exact
names, references
and details
Broad coverage – long
span of time, many
events, many settings
Precise and
quantitative
Retrievability can be
low
Biased selectivity if
collection not
complete
Reporting bias reflects
unknown bias of
author
Access may be
deliberately blocked
Accessibility due to
privacy
Interviews
• Essential source
• Guided conversation Open-ended questions
• Focussed interview –
follow questions of case
study protocol – limited
time available
• Formal survey –
produces quantitative
information
Strengths
Weaknesses
Targeted –
focussed
directly on topic
Insightful –
provides
perceived
causal
inferences
Bias due to
poorly
constructed
questions
Response bias
Inaccurate due
to poor recall
Reflexivity –
interviewee
gives what
interviewer
wants to hear
Recording in interviews
• Matter of personal preference
• Don’t use if:
– Interviewee refuses permission
– No specific plans for transcribing
– Investigator clumsy with recorder – distraction
– Investigator thinks recorder is a substitute for
careful listening
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Direct observations
• Ranges from formal to
casual data collection
• Observational protocols
can be developed as part
of the case study protocol
• Photographs can be
taken to show importance
of case characteristics to
outside observers
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Strengths
Weaknesses
Reality – covers
events in real
time
Contextual –
covers context
of event
Time
consuming
Selectivity –
unless broad
coverage
Reflexivity –
event may
proceed
differently as it
is observed
Cost – hours
needed by
human
observers
Participant-Observation
• Researcher assumes
roles in the case
study and participates
in events being
studied
• Usually applied in
anthropological
studies
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Strengths
Weaknesses
Reality – covers
events in real
time
Contextual –
covers context of
event
Insightful into
interpersonal
behaviour and
motives
Time consuming
Selectivity –
unless broad
coverage
Reflexivity –
event may
proceed
differently as it is
observed
Cost – hours
needed by human
observers
Bias due to
investigator’s
manipulation of
events
Physical artefacts
• Physical or cultural
artefacts
– Technological device,
tool or instrument,
work of art etc
– Used extensively in
anthropological
research
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Strengths
Weaknesses
Insightful into
Selectivity
cultural features Availability
Insightful into
technical
operation
Principles of data collection
Multiple
Data sources
3 principles
Maintain
Chain of
evidence
Create
Database
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Multiple data sources
Types
of
Triangulation
(Patton 1987)
Data sources
Data
Triangulation
Among
evaluators
Investigator
Triangulation
Perspectives to
same dataset
Theory
Triangulation
Of methods
Methodological
Triangulation
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Case study data base
• Data base of raw data
that other
investigators can
review
• Increases reliability of
the study
• Must be kept together
and accessible
Case
Study
notes
Narratives
Four
components
Case study
documents
Tabular
materials
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Chain of evidence
Case study
report
Case study
database
Citations to
specific
sources in
database
Case study
protocol
Case study
Questions
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Analyse case study evidence
Conduct
case study
Design case study
Prepare for
data collection
Collect case
study evidence
Analyse case
study evidence
Report case study
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Analyse case study evidence
Relying on
theoretical
propositions
Pattern
matching
Explanation
building
Cross case
synthesis
5
techniques
3 strategies
Developing
case
descriptions
Framework
of rival
explanations
Logic
models
Time series
analysis
It is important to have a general analytic
strategy from the start of the case study
The 5 techniques deal with
internal validity and external
validity
Analytic manipulations
• Putting information in different arrays
• Making matrix of categories and placing
evidence in categories
• Creating data displays – flow charts etc
• Tabulating frequency of different events
• Examining complexity of tabulations and
relationships by calculating second-order
numbers such as means and variances
• Putting information in chronological order
Relying on theoretical propositions
• Most preferred strategy
– Original objectives and design based on
theoretical propositions
– Reflected in research questions
– Reflected in review of the literature
– Shaped data collection plan
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Craft rival explanations
Type of Rival
Craft rivals
1. The Null Hypothesis
2. Threats to validity
3. Investigator Bias
Description or example
The observation is the result
of chance circumstances
only
e.g. history, maturation,
instability, testing,
instrumentation, regression
etc
Experimenter effect, e.g.
reactivity in field research
Real-life rival explanations
Type of Rival
Description or examples
4. Direct Rival (practice or policy)
An intervention (suspect 2) other than
the target intervention (suspect 1)
accounts for the result
5. Commingled Rival (practice or
policy
Other interventions and the target both
contributed to the result
6. Implementation rival
The implementation process, not the
substantive intervention accounts for
result
7. Rival theory
A theory different from the original
theory explains the result better
8. Super rival
A force larger than but including the
intervention accounts for the result
9. Societal rival
Societal trends and not the
intervention accounts for the result
Thinking about rival explanations
• Rival explanations must be determined
before data collection so that relevant data
can be collected.
• The more rivals your analysis addresses
and rejects the more confidence you can
place in your findings.
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Developing a case description
• Should be avoided if at all possible.
• Should only be used if the theoretical
propositions or rival explanations strategy
will not work.
• Descriptive approach can be used:
– To identify an embedded unit of analysis
– And develop an overall pattern of complexity
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Specific Analytic Techniques
Pattern
matching
Explanation
building
Cross case
synthesis
5
techniques
Logic
models
Time series
analysis
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Pattern Matching
• Most desirable method
• Compares an empirically based pattern
with a predicted one or with several
alternative predictions
• If patterns coincide the results help to
strengthen internal validity
• Rival explanations can also be used for
pattern matching
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Explanation Building
• Special type of pattern matching
• The goal is to analyse case study data by
building explanation about the case
Initial
theoretical
statement
Compare to
Initial
case
Revise
statement
Compare
Case to
revision
Compare to 2nd
3rd or more
cases
Repeat
process
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Time Series Analysis
• Case study objective to examine relevant
how and why questions about the
relationship of events in time – not merely
to observe time trends
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Logic Models
• The logic model
stipulates a complex
chain of events over time
• Events are staged in a
repeated cause-effectcause-effect pattern
• Complexity arises in that
multiple stages may exist
over an extended period
of time
• Four types of logic
models (dependant on
unit of analysis):
– Individual level logic model
– Firm or organisational level
logic model
– An alternative configuration
for an organisational level
logic model
– Program-level logic model
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Cross Case Synthesis
• For a moderate number of case studies:
– Create word tables that display data for
individual cases according to a uniform
framework
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
High quality analysis
• Analysis must attend to all the evidence
• Analysis should address all rival
explanations
• Analysis should address the most
significant aspects of the case study
• Use own prior expert knowledge
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
Report case study
Conduct
case study
Design case study
Prepare for
data collection
Collect case
study evidence
Analyse case
study evidence
Report case study
YIN, R.K., 2003. Case Study Research:
Design and Methods. . Thousand
Oaks, California: SAGE Publications,
3rd edition. Applied Social Research
method series. Volume 5.
Six compositional structures
Type of
structure
Explanatory Descriptive
Exploratory
Linear analysis
X
X
X
Comparative
Chronological
X
X
X
X
X
X
Theory
building
X
Suspense
Unsequenced
X
X
X
YIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition.
Applied Social Research method series. Volume 5.
What makes an exemplary case
study? (1)
• Case study must be significant
– Individual case(s) are unusual and of general interest
– Underlying issues important in theoretical or practical
terms
– Both preceding conditions met
• Case study must be complete
– Boundaries must be clearly set and tested
– Demonstrate that exhaustive effort has been taken to
collect all the evidence
– Lack of time and resources must not be the reason
why the case study ended – the study must be
designed to take these into account from the outset.
What makes an exemplary case
study? (2)
• Case study must consider alternative perspectives
– For explanatory case studies consider and analyse rival
propositions
– Seek those alternatives that seriously challenge the case study
design
• Case study must display sufficient evidence
– Relevant evidence must be presented judiciously and effectively
so that the reader can reach independent judgement.
• Case study must be composed in an engaging manner
– Clarity of writing increases with rewriting