Download - Case study research
Use of different strategiesStrategy Form of research
questionRequires 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 evidentGeorge, 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.
Description Explanation Generalisability Realism of
context
Precision of
measurement
Field study:
Primary data
Investigation of behaviour in its
natural setting where the data is
collected by the researchers
↓ ↑↑ ↓
Field study:
Secondary
data
Investigation of behaviour in its
natural setting where the data is
collected by persons or
agencies other than 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.
External validity
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
Design case study
Prepare fordata collection
Collect case study evidence
Analyse case study evidence
Report case study
Con
duct
ca
se s
tudy
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
Design case study
Prepare fordata collection
Collect case study evidence
Analyse case study evidence
Report case study
Con
duct
ca
se s
tudy
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
Data to be collected
Initial question(s)
Research 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.
Delphi study
Factors
Validity and
Practical application of
Factors
Blueprint
What are the questions?
What are relevant data?
What data to collect?
How to analyse results?
Theory
Validity and
Practical application of
Factors
Blueprint
What are the questions?
What are relevant data?
What data to collect?
How to analyse results?
Definition of research 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.
Case study
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”• Units of analysis
– Look at previous studies– Depends on accuracy of research
question• Logic linking data to propositions
and criteria for interpreting findings– Eg pattern matching
What is to be explored?
Purpose of exploration
Criteria by which exploration judged
successful
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 theoryYIN, 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
theoryYIN, 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 studiesTest 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:Pattern matching
Explanation building
Address rival explanations
Logic models
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
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
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 Holistic
Case studydesign
MultipleHolistic
Case study design
Single EmbeddedCase study
design
MultipleEmbeddedCase study
design
HolisticSingle unit of analysis
EmbeddedMultiple units of analysis
Single Multiple
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
• 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
Case
CONTEXT
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
• 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
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
• Not the same as sampling logic as for surveys
1. Case studies not the best method for determining prevalence of phenomena
2. Case study covers both phenomena of interest and context – large number of relevant variables which would require an impossibly large number of cases
3. 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.
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
• More than one case• Only one unit of
analysisCase
CONTEXT
Case
CONTEXT
Case
CONTEXT
Case
CONTEXT
Case
CONTEXT
Case
CONTEXT
Case
CONTEXT
Case
CONTEXT
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
• Multiple cases• More than one unit of
analysis under study
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
CONTEXT
CaseEmbedded unit
of analysis 1
Embedded unit of analysis n
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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 methodDefine and design
Develop theory
Select cases
Design dataCollectionprotocol
ConductCase study 1
Conduct Case study n
Write individualCase study 1
report
Write individualCase study n
report
Prepare, collect and analyse
Draw cross--caseconclusions
Modify theory
Develop policyimplications
Write cross-case Study report
Analyse and concludeYIN, R.K., 2003. Case Study Research: Design and Methods. .
Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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 (context-dependent) 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
DesignStructure Phase 2:
Executestudy according
to designPhase 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 designSpecification of problem
& research objective
Developing a research strategy:Specification of variables
Case selection
Describing the variance in variables
Formulation of data requirements & general questions
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.
Specification of problem
and research objective
Develop researchstrategy
Case selection
Describe variance and variables
Formulate data requirements and general questions
Specification of problem
and research objective
Develop researchstrategy
Case selection
Describe variance and variables
Formulate data requirements and general questions
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
Design case study
Prepare fordata collection
Collect case study evidence
Analyse case study evidence
Report case study
Con
duct
ca
se s
tudy
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
ResearcherSkills
Conduct pilotScreening
ofcases
Casestudy
protocol
Training for case study
Casestudy
preparation
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.
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.
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.
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.
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
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
Unique case?
Access tospecificcase(s)?
More than30 cases?
Collect quantitative
data
Define criteria
Select 20to 30 cases
Define operational
criteria
Collect preliminary
data
Selectrandom cases
Proceed with case study
YES
YES
NO
NO
YES
NO
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.
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
Design case study
Prepare fordata collection
Collect case study evidence
Analyse case study evidence
Report case study
Con
duct
ca
se s
tudy
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
Physical artefacts
Participant-observation
Direct observation
Interviews
Archivalrecords
Documents
6 sourcesof casestudy
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.
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
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
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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.
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
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
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
Participant-Observation
• Researcher assumes roles in the case study and participates in events being studied
• Usually applied in anthropological studies
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
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
Physical artefacts
• Physical or cultural artefacts– Technological device,
tool or instrument, work of art etc
– Used extensively in anthropological research
Strengths Weaknesses
Insightful into cultural features
Insightful into technical operation
Selectivity
Availability
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
Principles of data collection
MaintainChain ofevidence
CreateDatabase
MultipleData sources
3 principles
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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 sourcesData
Triangulation
Among evaluators
InvestigatorTriangulation
Perspectives to same dataset
Theory Triangulation
Of methodsMethodologicalTriangulation
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
Narratives
Tabularmaterials
Case study documents
CaseStudy notes
Four components
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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 tospecific
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.
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
Design case study
Prepare fordata collection
Collect case study evidence
Analyse case study evidence
Report case study
Con
duct
ca
se s
tudy
YIN, R.K., 2003. Case Study Research: Design and Methods. . Thousand Oaks, California: SAGE Publications, 3rd edition. Applied Social Research method series. Volume 5.
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
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
Developingcase
descriptions
Frameworkof rival
explanations
Relying on theoretical propositions
3 strategies
Cross case synthesis
Logic models
Time series analysis
Explanationbuilding
Pattern matching
5 techniques
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 Description or example
Craft rivals
1. The Null Hypothesis The observation is the result of chance circumstances only
2. Threats to validity e.g. history, maturation, instability, testing, instrumentation, regression etc
3. Investigator Bias 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
Cross case synthesis
Logic models
Time series analysis
Explanationbuilding
Pattern matching
5 techniques
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 toInitial case
Revise statement
Compare Case to revision
Compare to 2nd
3rd or morecases
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-effect-cause-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
Design case study
Prepare fordata collection
Collect case study evidence
Analyse case study evidence
Report case study
Con
duct
ca
se s
tudy
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 X X X
Chronological X X X
Theory building
X X
Suspense X
Unsequenced 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