case study research workshop

8/9/2019 Case Study Research Workshop

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R O B E R T K Y I N ( 2 0 0 3 )

Case study research: Design

and Methods (3e)


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Table of content

4/26/2014Prepared by Pavan Soni (IIM Bangalore)

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Introduction

Designing the case study

Conducting case study: Preparing for data collection

Conducting case study: Collecting the evidence Analyzing case study evidence

Reporting case studies


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Introduction (1/2)

Reasons for traditionalprejudice against case studies Lack of rigor while performing

research Confused case study teaching

with case study research

Concerns over generalizability They are too long, and results

are massive, unreadabledocuments

Data collection procedures arenot routinized

Case study purposes (notmutually exclusive) Explanatory Exploratory Descriptive

The case study inquiry Copes with technically

distinctive situations, withmany more variables ofinterest than data points

Relies on multiple sources ofevidence

Benefits from priordevelopment of theoreticalpropositions

A case study researchshouldn’t be confused with‘qualitative research’. Casestudies are based on any mixof qualitative and quantitativeevidence

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Prepared by Pavan Soni (IIM Bangalore)


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Introduction (2/2)

Purpose of case studies Explain the causal link

Describe an intervention

Illustrate certain topics

within an evolution Explore situations where

invention has no singleoutput

Meta-evaluation (study ofevaluation study)

Case studies arepreferred strategy when:

‘How’ or ‘why’ questionsare being posed,

The investigator has littlecontrol over events

When the focus is oncontemporaryphenomenon within some

real- life context

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Relevant solutions for different researchstrategies

Strategy Forms of researchquesiton

Requires control of behavior events?

Focuses oncontemporaryevents?

Experiments 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

The essence of a case study, the central tendency among all types of case study, is that

it tries to illuminate a decision or set of decisions; why they were taken; how there were implemented; and with what results. (Schramm, 1971)

A case study is an empirical inquiry that investigates a contemporary phenomenon within its real- life context, especially when the boundaries between phenomenon andcontext are not clearly evident (Yin, 1981)

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Designing case studies

Research design is a logical planfor getting from initial set ofquestions to be answered to setof conclusions

Components A study’s question Its propositions (purpose in the

case of exploratory case) Its unit of analysis The logic linking the data to

propositions (through pattern-matching)

Criteria for interpreting thefindings

Case studies are unsuitable tostudy the prevalence of aphenomenon, as done instatistical sampling

Necessary conditions Construct validity Internal validity External validity Reliability

Role of theory

Essential to construct apreliminary theory (unlike inethnography and groundedtheory)

Requires theoretical propositions(even for exploratory research)

Helps generalize from case studyto theory

Analytical generalization and notstatistical generalization

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Design parameters

Tests Definition Case study tactic Relevant phaseof research

Construct validity

Correctoperationalmeasure forconcepts

Use multiple sources of evidenceEstablish chain of eventsHave key informants review draft

case study report

Data collectionData collectionComposition

Internal validity

Establishing anon- spuriouscausal relationship(only forexplanatory )

Do pattern matchingDo explanation building Address rival explanationUse logic models

Data collectionData collectionData collectionData collection

External

validity

Establishing the

domain forgeneralization

Use theory in single case studies

Use replication logic in multiplecase studies

Research design

Research design

Reliability Repeatability ofoperations of thecase study

Use case study protocolDevelop case study database

Data collectionData collection

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Case study design (1/2)

Rationale for single- casestudy design Represents a critical case in

testing a well formulatedtheory

Represents a extreme case or

a unique circumstances Representative or a typical

case (representative ofexperience of a largeinstitution)

Revelatory case (previously

inaccessible to scientificcommunity) Longitudinal case (how

certain conditions changeover time)

Types of single-case design, based upon unit of analysis Embedded design (multiple

units of analysis) Holistic design (single unit of

analysis)

Multiple- case study Replication, not sampling

logic Literal replication (predicts

similar results) Theoretical replication

(predicts contrasting results but for predictable reasons)

Replication is based on arich theoretical framework.

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Case study design (2/2)

Generally multiple- casestudy preferred over single-case study, for these offerrobust analyticalconclusions (increasesexternal validity)

Multiple- case study design When external conditions

are not thought to producemuch variance in thephenomenon being studied,a smaller number of

theoretical replication isneeded.

If you use a single-casedesign, prepare to makestrong argument in

justifying choices for thecase.

Heuristics for replication Settle for two or three

replications when the rivaltheories are grossly differentand issues at hand doesn’tdemand an excessive degreeof certainly

If rivals are subtly different,and if high degree ofcertainly is desired, go forfive to six replications.

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Preparing for data collection

Skills required for casestudy research

Ask good questions

Good listener

Adaptive and flexible (notat the cost of rigor)

Have a firm grasp onissues being studied

Be unbiased bypreconceived notions(being open to contrary)

Training requirements Why the study is being

done

What evidence is being

sought What variations can be

anticipated

What could constitutesupportive or contrary

evidence for any givenproposition

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Training session agenda

I. Purpose of the case studies andresearch questionsII. Review of case study

nominations and ofnomination procedures

III. Schedule for doing case studiesI. Preparation periodII. Arrangement of site visitIII. Conduct of site visitIV. Follow- up activities V. Preparation of case study report VI. Submission of draft report to

site for review

IV. Review of case study protocolIV. Discussion of relevanttheoretical framework andliterature

V. Development or review ofhypothetical logic model, ifrelevant

VI. In- depth discussion of protocoltopics

V. Outline of case study report VI. Methodological remainders

IV. Fieldwork procedure V. Use of evidence VI. Note taking and other field

practices VII. Other orienting topics

VII. Reading materialsIV. Sample case study reports V. Key substantive books and

articles

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Case study protocol

Protocol is a standardized agendafor the investigator’s line of inquiryfor a single case

Overview of the case study project Background information Substantive issues to be investigated Relevant readings about the issue

Introduction to the case study andpurpose of protocol Case study questions, hypothesis, and

propositions Theoretical framework for the case

study (reproduces the logical model)

Data collection procedures

Name of the site to be visited,including contact persons Data collection plan Expected preparation prior to the site

visits

Case study questions Level 1: questions asked for specificinterviewees

Level 2: questions asked for theindividual case

Level 3: questions asked of the patternof findings across multiple cases

Level 4: questions asked for an entire

study Level 5: normative questions about

policy recommendation andconclusions

Level 2 questions are moreimportant then any, at theplanning stage

Outline of the case study report Importance of proper documentation

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Data collection sources

Individual behaviorIndividual attitudes

Individual perceptions

Archival recordsOther reporters

behavior, attitudes, andperceptions

How organizations work Why organizations work

Personal policiesOrganizational outcomes

About an

individual

About anorganization

From anindividual

From anorganization

Studyconclusion

If case study isan individual

If case study isan organization

Questions pertaining to unit of data are different from theunit of analysis of the entire case.

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Pilot case study

Why pilot case study

Inquiry in the case is both broad and less focused

Help refine data collection plans

Pilot test is not a pretest Convenience, access and geography are main criteria

for selecting pilot case

Pilot case report must highlight the lessons learnt

from research design and field procedures.

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Conducting the case studies: Collecting the evidence

Sources of data/ evidence Documents

Archival records

Interviews

Direct observation Participant- observation

Physical artifacts

Principles of data collection

Using multiple sources of evidence (triangulation to developconverging lines of inquiry. Strengthens construct validity)

Creating a case study database

Maintaining a chain of evidence

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Sources of evidence- Documentation

Forms Strengths Weaknesses

Letters, memoranda,communications, agendas,announcements, minutes ofmeetings, written reports on

events, administrativedocuments (proposals,progress reports, internalrecords), formal studies,newspaper clippings

Stable- can be reviewedrepeatedlyUnobtrusive- not

created as a result of

the case studyExact- contains exact

names, references, anddetails of an eventBroad coverage- long

span of time, many

events, and manysettings

Retrievability- can belowBiased selectively, if

collection is incomplete

Reporting bias- reflects bias of authors Access- may be

deliberately blocked

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Sources of evidence- Archival records


Service records,organizational records,maps and charts, lists,survey data, and personal

records

Stable- can be reviewedrepeatedlyUnobtrusive- not

created as a result of

the case studyExact- contains exact

names, references, anddetails of an eventBroad coverage- long

span of time, many

events, and manysettingsPrecise and

quantitative

Retrievability- can belowBiased selectively, if

collection is incomplete

Reporting bias- reflects bias of authors Access- may be

deliberately blocked Accessibility due to

privacy reasons

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Sources of evidence- Interviews


Guided conversations,instead of structuredqueries. Important to 1)follow your own line of

inquiry, as reflected by thecase protocol; 2) to askactual conversationalquestions in an unbiasedmanner.Open ended questions

(espousing facts andopinions). Could even be afocused, short interview.Surveys.

Targeted- focuseddirectly on the casestudy topicInsightful- provides

perceived causalinferences

Bias due to poorlyconstructed questionsResponse biasInaccuracies due to

poor recallReflexivity- interviewee

gives what interviewer wants to hear

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Sources of evidence- Direct observations


Behavior or environmentalconditions worth observingat a site. Ranges from formalto casual data collection

activities.Have more than a singleobserver.

Reality- coversinformation in the realtimeContextual- covers

context of the event

Time consumingSelectivity- unless broad coverageReflexivity- event may

proceed differently because it is beingobservedCost- hours needed by

human observation

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Sources of evidence- Participant observation


You may assume a variety ofroles within a case studysituation and may actuallyparticipate in the events

being studied.Usually used inanthropological studies

Reality- coversinformation in the realtimeContextual- covers

context of the eventInsightful into personal behaviors and motives

Time consumingSelectivity- unless broad coverageReflexivity- event may

proceed differently because it is beingobservedCost- hours needed by

human observationBias due to

investigators’manipulation of events

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Sources of evidence- Physical artifacts


A technological device, atool or instrument, a work ofart, or some other physicalevidence

Insightful into culturalfeaturesInsightful into

technical operations

Selectivity Availability

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Principles of data collection


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1. Use multiple evidence Triangulation types (Patton, 1987) Of data sources (data

triangulation) Among different evaluators

(investigators triangulation) Of perspectives to the same data

set (theory triangulation) Of methods (methodological

triangulation)

2. Create a case study database Organizing and documenting the

data collected Two collections

The data or evidence base The report of the investigator,

whether in article, report or bookformat

Uses notes, documents, tabularmaterial, and narratives

3. Maintain a chain of evidence Increases reliability External observer should be

able to trace the steps ineither direction

Report should makesufficient citations torelevant portions

Revel actual evidence andcircumstances

Consistency with protocol


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Analyzing case study evidence


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Steps of analysis Examining Categorizing Tabulating Creating a data display Testing Combining qualitative and

quantitative evidence toaddress initial propositions

Techniques for analysis Pattern matching Explanation building Time- series analysis Logic model Cross- case synthesis

A good analysis should Attend to all the evidence

(including the rivalhypothesis)

Must address all major rival

interpretations Address most significant part

of your case study Use your own prior expert

knowledge


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Generic strategies explained


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Thinking about rivalexplanations

Craft rivals

The null hypothesis

Threats to validity Investigator’s bias

Real- life rivals

Direct rival

Commingled rival

Implementation rival

Rival theory

Super rival

Societal rival

Relying on theoreticalpropositions

Theoretical orientationguiding analysis

Developing a casedescription

Especially for descriptivecase study


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Specific analytical techniques (1/2)


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Pattern matching Compares an empirically

based pattern with apredicted one tostrengthen internal validity

Non- equivalentdependent variable as apattern

Rival explanations aspatterns

Simpler patterns

Explanation building Relevant to explanatory

case studies

Iterative nature of

explanation building Risk of drifting away from

the original topic ofinterest


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Specific analytical techniques (2/2)


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Time- series analysis Only a single dependent and

independent variable

Detailed and precise tracingof events

Trend matching with statedpropositions, rival trends, ortrends based upon artifacts

Chronologies to investigatepresumed causal events

Interruption in time series as

a potential causalrelationship

Logic models Stipulates a complex chain of

events over time

Staged in repeated cause-effect relationship

Analysis can also entertainrival chains of events, andspurious external events

Could be individual level ororganizational level logicmodel

Cross- case synthesis Pattern matching using word

tables


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Reporting case studies


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Key elements Targeting case study reports

Case study reports as part ofthe larger multi-methodstudies

Illustrative structures forcase study compositions

Procedures to be followed indoing a case study report

And, in conclusion,speculations on the

characteristics of anexemplary case study

Formats of case studyreport Classic single narrative,

suitable for a book and not journal

Multiple-case version withnarratives, including cross-case analysis and results

Presented in short question-answer formats, withoutnarratives

Entire report dedicated tocross- case analysis,descriptive or explanatory


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Structures of reporting the case study


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Type ofstructure

Approach Explanatory

Descriptive

Exploratory

Linear-analytic Issue/ problem literature review methods findings conclusion

implications

X X X

Comparative Repeats the same case-study two or moretimes comparing alternative descriptions

or explanations

X X X

Chronological Present case study evidence inchronological order. Best practice is to

draft the case study backwards.

X X X

Theory building Chapters follow theory building logic. X X

Suspense Inverts the linear-analytic structure .Explaining the conclusions in chapters.

X

Unsequenced Sequence of chapters of no specificimportance.

X


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Procedure in doing a case study report


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When and how to start composing Bibliography and methodology section must be started

Followed by descriptive data about the case being studied

Case identities: real or anonymous Full disclosure is the most desirable option, helping reader link

in previous research, and helps ease of review

The review of the draft case study: The validating

procedure Draft reviewed by peers, informants, and participants of the

case


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What makes an exemplary case study?


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The case study must be significant

The case study must be ‘complete’ (setting of clear boundaries; collection of all the evidences; absence

of certain artifactual conditions) Must consider alternative perspectives

Must display sufficient evidence (presented neutrally with supporting and challenging data)

Composed in an engaging manner (engagement,enticement, and seduction)