Case Study Research.

Design and Methods

(1994, Second edition. Thousand Oaks: Sage)
By Robert K. in
Su!!ary
General characteristics
"hen to use case study !ethod#
1) The ty$e o% research &uestion: ty$ica''y to ans(er &uestions 'ike )ho(*
or )(hy*
+) ,-tent o% contro' o.er beha.ioura' e.ents: (hen in.estigator has a
'itt'e/no $ossibi'ity to contro' the e.ents
0) 1enera' circu!stances o% the $heno!enon to be studied: conte!$orary
$heno!enon in a rea'2'i%e conte-t
3ase study is an e!$irica' in&uiry, in (hich:
2Focus is on a conte!$orary $heno!enon (ithin its rea'2'i%e conte-t 4
boundaries bet(een $heno!enon and its conte-t are not c'ear'y e.ident
Suitab'e %or studying co!$'e- socia' $heno!ena
2Procedural characteristics in the situation inc'ude: 5any .ariab'es o%
interest6 !u'ti$'e sources o% e.idence6 theoretica' $ro$ositions to guide the
co''ection and ana'ysis o% data
2Types of case studies !ight be: e-$'anatory6 e-$'oratory6 descri$ti.e
2Designs can be sing'e2 or !u'ti$'e2case studies
2Used methods can be &ua'itati.e, &uantitati.e, or both
Ty$ica' criticis!s to(ards case studies 4 correcting ans(ers:
27ack o% syste!atic hand'ing o% data 28 Syste!atic re$orting o% a'' e.idence
29o basis %or scienti%ic genera'i:ation 28 ;ur$ose is to genera'i:e to theoretica'
$ro$ositions, not to $o$u'ation as in statistica' research
2Take too 'ong, end u$ (ith unreadab'e docu!ents 28 Ti!e 'i!its 4 (riting
%or!u'a de$end on the choices o% in.estigators
Case study research design
3entra' co!$onents o% a case study design 4 their %unctions:
1) < study=s &uestions > )ho(*, )(hy*
+) Study=s (theoretica') $ro$ositions > $ointing attention, 'i!iting sco$e,
suggesting $ossib'e 'inks bet(een $heno!ena
0) Study=s units o% ana'ysis > !ain units !ust be at the sa!e 'e.e' as the
study &uestions 4 ty$ica''y co!$arab'e to those $re.ious'y studied
4) 7ogic 'inking the data to the $ro$ositions > !atching $ieces o%
in%or!ation to ri.a' $atterns that can be deri.ed %ro! the $ro$ositions
?) 3riteria %or inter$reting the %indings > iteration bet(een $ro$ositions
and data, !atching su%%icient'y contrasting ri.a' $atterns to data6 there
is no $recise (ay o% setting the criteria
1
Research design 'inks the data to be co''ected and conc'usions to be dra(n to the
initia' &uestions o% the study > it $ro.ides a conce$tua' %ra!e(ork 4 an action $'an
%or getting %ro! &uestions to set o% conc'usions.
Preliminary theory & blueprint of the study: ha.ing so'.ed the %i.e ste$s
!entioned abo.e 'eads to the %or!ation o% a 'oose theory 4 a b'ue$rint re'ated
to the to$ic o% study
2nitial theory & understanding of !hat is being studied is necessary
before any field contacts6 the co!$'ete research design e!bodies a )theory*
o% (hat is being studied
Deciding bet!een e"planatory# e"ploratory and descripti$e designs%
2@e$ends on the richness o% the ri.a' $ro$ositions in theories re'ated to the
to$ic o% the study6 richest theories a''o( e-$'anatory designs
28 Search %or theoretica' $ro$ositions that can be e'aborated to co.er study
&uestions, $ro$ositions, units o% ana'ysis, data2$ro$osition 'inks 4 criteria o%
inter$retation
28 Re.ie(ing 'iterature, discussing (ith in.estigators, asking cha''enging
&uestions, thinking (hat is to be 'earned %ro! the study
28 Being a(are o% the range o% theories 4 se'ecting the re&uired 'e.e'
(indi.idua', organi:ation, societa')
28 3onstruction o% the design / conce$tua' %ra!e(ork takes ti!e 4 can be
di%%icu't, but is a crucia' ste$ %or the success o% the study
Selection of the cases:
23ases shou'd be se'ected in the sa!e (ay as the to$ic o% an e-$eri!ent is
se'ected
28 @e.e'o$ed $re'i!inary theory is used as a te!$'ate (ith (hich to co!$are
the characteristics 4 e!$irica' %indings %ro! the case(s)
28 Se'ected cases shou'd re%'ect characteristics 4 $rob'e!s identi%ied in the
under'ying theoretica' $ro$ositions / conce$tua' %ra!e(ork
The le$el of generali&ation of the study results A a$$ro$riate'y de.e'o$ed
$re'i!inary theory / study design
'5ode o% genera'i:ation A theory2re'ated analytic generali&ation, not
statistica'
'<na'ytic genera'i:ation $ossib'e %ro! one or !ore cases
BO" 5<9 OC 3<S,S 4 D9ETS OC <9<7SES#
1) Case > re$resents so!eho( the interesting to$ic o% the study e!$irica''y (e.g.
the ro'e o% the United States in the (or'd econo!y)
+) Unit of analysis > is the actua' source o% in%or!ation: indi.idua',
organi:ationa' docu!ent, arti%act, %or e-a!$'e (e.g. the ca$ita' %'o( bet(een
countries, an econo!ic $o'icy)
1) 3ases:
<) Single cases > i% case see!s to re$resent a critica' test to e-isting theory6
rare or uni&ue e.ents 28 E!$ortant to se'ect case 4 unit o% ana'ysis $ro$er'y
+
B) Multiple cases > i% a )re$'ication 'ogic* is su$$osed to re.ea' su$$ort %or
theoretica''y
i. Si!i'ar resu'ts
ii. 3ontrasting resu'ts %or $redictab'e reasons
28 Theoretica' %ra!e(ork !ust identi%y c'ear'y the conditions, (hen a
$articu'ar $heno!enon is 'ike'y to be %ound (i.) and (hen it is not 'ike'y (ii.)
28 Theoretica' %ra!e(ork is the .ehic'e %or genera'i:ing to ne( cases6 i%
e!$irica' cases do not (ork as $redicted, !odi%ications !ust be !ade to the
theory
28 9u!ber o% case re$'ications de$ends u$on the certainty (anted to achie.e
4 richness o% the under'ying theoretica' $ro$ositions
+) Dnits o% ana'ysis:
<) (olistic designs > inc'ude a sing'e unit o% ana'ysis6 i% ai! is to study the
g'oba' nature o% the $heno!enon6 (hen no 'ogica' sub2units can be $ointed 28
danger o% abstractness
B) )mbedded designs > inc'ude !u'ti$'e units o% ana'ysis6 study !ay inc'ude
!ain 4 s!a''er units on di%%erent 'e.e's 28 'ooking %or consistent $atterns o%
e.idence across units, but (ithin a case
9ote: The fle"ibility o% case study design is in se'ecting cases di%%erent %ro!
those initia''y identi%ied, not in changing the $ur$ose or obFecti.es o% the
study to suit the cases
Conducting case studies
@esired ski''s o% the in.estigator:
21ood kno('edge o% the $heno!enon (28co''ection $rocedures are not
routini:ed)
2Sensiti.ity %or no.e' 4 une-$ected issues in data co''ection
2<sking good &uestions
2Being a good )'istener*
2<da$ti.eness 4 %'e-ibi'ity
* case study protocol shou'd be essentia' $art o% e.ery case study $roFect
' < $rotoco' contains the instru!ent %or the research, but a'so the $rocedures
and genera' ru'es that shoud be %o''o(ed using the instru!ent:
' O.er.ie( o% the study $roFect (obFecti.es, issues, readings,
'iterature 4 research)
' Cie'd $rocedures (access to %ie'd sites, sources o% in%or!ation)
' 3ase study &uestions $osed to E9G,STE1<TORS6 key
c'assi%ications6 suggestions %or 'ike'y sources o% e.idence (not the
'itera' &uestions to be asked)
' < guide %or the case study re$ort
' 9ote: 3ase study $rotoco' shou'd be co2authored by a'' study in.estigators
E!$ortant to identi%y di%%erent 'e.e's o% &uestions:
<) Sing'e case 2'e.e'
1. Huestions asked o% s$eci%ic inter.ie(ees
0
+. Huestions asked o% the indi.idua' case
B) 5ore genera' 'e.e's
1. Cindings across !u'ti$'e cases
+. Cindings across an entire study (inc'uding re.ie(ed 'iterature)
0. 9or!ati.e &uestions about $o'icy reco!!endations 4 conc'usions
So!eti!es a $i'ot study !ay $ro.ide use%u' he'$
Collecting the evidence
Si- sources o% e.idence:
1) @ocu!ents ('etters, agendas, $rogress re$orts)
+) <rchi.a' records (Ser.ice records, organi:ationa' charts, budgets etc.)
0) Enter.ie(s (ty$ica''y o$en2ended, but a'so %ocused, structured 4
sur.eys are $ossib'e)
4) @irect obser.ations (%or!a' or casua'6 use%u' to ha.e !u'ti$'e
obser.ers)
?) ;artici$ant obser.ation (assu!ing a ro'e in the situation 4 getting an
inside .ie( o% the e.ents)
I) ;hysica' arte%acts
Three $rinci$'es o% data co''ection:
+, Use multiple sources of e$idence
2Triangu'ation A searching con.erging %indings %ro! di%%erent sources 28
increases construct .a'idity
-, Create a case study database
2< database se$arate %ro! the %ina' re$ort to be (ritten, containing
' 3ase study notes (c'ear 4 a.ai'ab'e %or 'ater use)
' 3ase study docu!ents
' Tabu'ar !ateria's (co''ected 4 created)
' 9arrati.es (initia' o$en2ended ans(ers to the study &uestions
suggested by in.estigators)
., Maintain a chain of e$idence
'/ The 'ink bet(een initia' study &uestions and case study $rocedure
shou'd be $ointed out in the case study $rotoco', as a'so the circu!stances
o% the e.idence to be co''ected
'/ ;utting the data co''ection to $ractice on the basis o% the $rotoco'
28 <ctua' e.idence storage in the database %or 'ater checks (s$eci%ic
co''ection circu!stances indicated)
28 Su%%icient citing o% the case study data base 4 e.idence in the %ina'
re$ort and conc'usions to be dra(n
Analysing the evidence
<na'ysis o% e.idence is one the 'east de.e'o$ed and !ost di%%icu't as$ects o% doing
case studies. 5ost i!$ortant is to ha.e a genera' ana'ytic strategy, (hich he'$s to
choose a!ong di%%erent techni&ues. En absence $re'i!inary techni&ues > !atri-es,
4
tabu'ation o% %re&uencies, te!$ora' sche!es etc. > can be tried out to get the ana'ysis
started.
T!o general analytic strategies:
1) Re'ying on theoretical propositions: theoretica' orientation guiding
the ana'ysis6 %o''o(ing theoretica' $ro$ositions that ha.e %or!ed the
design o% the case study 28 he'$s to %ocus attention on certain data 4
to ignore other data
+) @e.e'o$ing a case description: a descri$ti.e %ra!e(ork %or
organi:ing the case study6 ana'ysis organi:ed on the basis o%
descri$tion o% the genera' characteristics and re'ations o% the
$heno!enon in &uestion
*nalytic techni0ues to be used as $art o% the genera' strategy:
1) Pattern matching (e-$'anatory / descri$ti.e)
23o!$aring e!$irica''y based $atterns (ith $redicted one(s)
a) Expected outcomes as a $attern: co!$aring i% the
initia''y $redicted resu'ts ha.e been %ound and
a'ternati.e $atterns are absent
b) Rival explanations as $atterns: searching i% so!e o% the
theoretica''y sa'ient e-$'aining conditions !ight be
articu'ated in e!$irica' %indings6 then the $resence o%
certain e-$'anation shou'd e-c'ude the $resence o%
others
c) Simpler patterns: $attern !atching is $ossib'e a'so (ith
on'y %e( .ariab'es, i% the deri.ed $atterns are $redicted
to ha.e enough c'ear di%%erences
+) Explanation-building (!ain'y e-$'anatory)
2<na'y:ing case study data by bui'ding an e-$'anation about the case
4 identi%ying a set o% causa' 'inks
2,-$'anation is a resu't o% series o% iterations:
Enitia' theoretica' state!ent 28 3o!$aring %indings o% an initia' case 28
re.ising state!ent 28 3o!$aring detai's o% the case 28 Re.ising 28
3o!$aring to other additiona' cases
29ote: @anger o% dri%ting a(ay %ro! origina' to$ic o% interest
0) Time-series analysis
2)Bo(*2 and )(hy*2 &uestions about re'ationshi$s 4 changes o%
e.ents o.er ti!e
2Edenti%ying theoretica''y $ro$osed se&uences o% an e.ent that are
e-$ected to 'ead to a certain outco!e6 identi%ication o% e.ents !ust be
done be%ore the onset o% the in.estigation
283o!$aring this trend (ith the trend o% e!$irica' data $oints 28
3o!$aring (ith so!e ri.a' trend to ru'e a'ternati.es out
<na'ysis shou'd sho( that:
Et re'ied on a'' the re'e.ant e.idence6 a'' !aFor ri.a' inter$retations are dea't6
!ost signi%icant issue o% the study is addressed6 $rior e-$ert kno('edge is
brought to the study
?