case study research by robert yin (2003)

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

Case study research: Design and Methods (3e)

Table of content

4/26/2014 Prepared 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

Introduction (1/2)

Reasons for traditional prejudice 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, unreadable documents

Data collection procedures are not routinized

Case study purposes (not mutually exclusive) Explanatory Exploratory Descriptive

The case study inquiry Copes with technically

distinctive situations, with many more variables of interest than data points

Relies on multiple sources of evidence

Benefits from prior development of theoretical propositions

A case study research shouldn’t be confused with ‘qualitative research’. Case studies are based on any mix of qualitative and quantitative evidence

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Prepared by Pavan Soni (IIM Bangalore)

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 single output

Meta-evaluation (study of evaluation study)

Case studies are preferred strategy when:

‘How’ or ‘why’ questions are being posed,

The investigator has little control over events

When the focus is on contemporary phenomenon within some real- life context

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Relevant solutions for different research strategies

Strategy Forms of research quesiton

Requires control of behavior events?

Focuses on contemporary events?

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 and context are not clearly evident (Yin, 1981)

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Designing case studies

Research design is a logical plan for getting from initial set of questions to be answered to set of 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 the findings

Case studies are unsuitable to study the prevalence of a phenomenon, as done in statistical sampling

Necessary conditions Construct validity Internal validity External validity Reliability

Role of theory Essential to construct a

preliminary theory (unlike in ethnography and grounded theory)

Requires theoretical propositions (even for exploratory research)

Helps generalize from case study to theory

Analytical generalization and not statistical generalization

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Design parameters

Tests Definition Case study tactic Relevant phase of research

Construct validity

Correct operational measure for concepts

Use multiple sources of evidence Establish chain of events Have key informants review draft

case study report

Data collection Data collection Composition

Internal validity

Establishing a non- spurious causal relationship (only for explanatory )

Do pattern matching Do explanation building Address rival explanation Use logic models

Data collection Data collection Data collection Data collection

External validity

Establishing the domain for generalization

Use theory in single case studies Use replication logic in multiple

case studies

Research design Research design

Reliability Repeatability of operations of the case study

Use case study protocol Develop case study database

Data collection Data collection

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Case study design (1/2)

Rationale for single- case study design Represents a critical case in

testing a well formulated theory

Represents a extreme case or a unique circumstances

Representative or a typical case (representative of experience of a large institution)

Revelatory case (previously inaccessible to scientific community)

Longitudinal case (how certain conditions change over 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 a rich theoretical framework.

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Case study design (2/2)

Generally multiple- case study preferred over single- case study, for these offer robust analytical conclusions (increases external validity)

Multiple- case study design When external conditions

are not thought to produce much variance in the phenomenon being studied, a smaller number of theoretical replication is needed.

If you use a single-case design, prepare to make strong argument in justifying choices for the case.

Heuristics for replication Settle for two or three

replications when the rival theories are grossly different and issues at hand doesn’t demand an excessive degree of certainly

If rivals are subtly different, and if high degree of certainly is desired, go for five to six replications.

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Preparing for data collection

Skills required for case study research

Ask good questions

Good listener

Adaptive and flexible (not at the cost of rigor)

Have a firm grasp on issues being studied

Be unbiased by preconceived 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 constitute supportive or contrary evidence for any given proposition

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Training session agenda

I. Purpose of the case studies and research questions

II. Review of case study nominations and of nomination procedures

III. Schedule for doing case studies I. Preparation period II. Arrangement of site visit III. Conduct of site visit IV. Follow- up activities V. Preparation of case study report VI. Submission of draft report to

site for review

IV. Review of case study protocol IV. Discussion of relevant

theoretical framework and literature

V. Development or review of hypothetical logic model, if relevant

VI. In- depth discussion of protocol topics

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 materials IV. Sample case study reports V. Key substantive books and

articles

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Case study protocol

Protocol is a standardized agenda for the investigator’s line of inquiry for 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 and purpose 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 specific

interviewees Level 2: questions asked for the

individual case Level 3: questions asked of the pattern

of findings across multiple cases Level 4: questions asked for an entire

study Level 5: normative questions about

policy recommendation and conclusions

Level 2 questions are more important then any, at the planning stage

Outline of the case study report Importance of proper documentation

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Data collection sources

Individual behavior Individual attitudes Individual perceptions

Archival records Other reporters behavior, attitudes, and perceptions

How organizations work Why organizations work

Personal policies Organizational outcomes

About an individual

About an organization

From an individual

From an organization

Study conclusion

If case study is an individual

If case study is an organization

Questions pertaining to unit of data are different from the unit 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 develop

converging 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 of meetings, written reports on events, administrative documents (proposals, progress reports, internal records), formal studies, newspaper clippings

Stable- can be reviewed repeatedly Unobtrusive- not

created as a result of the case study Exact- contains exact

names, references, and details of an event Broad coverage- long

span of time, many events, and many settings

Retrievability- can be low Biased 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 reviewed repeatedly Unobtrusive- not

created as a result of the case study Exact- contains exact

names, references, and details of an event Broad coverage- long

span of time, many events, and many settings Precise and

quantitative

Retrievability- can be low Biased 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 structured queries. Important to 1) follow your own line of inquiry, as reflected by the case protocol; 2) to ask actual conversational questions in an unbiased manner. Open ended questions (espousing facts and opinions). Could even be a focused, short interview. Surveys.

Targeted- focused directly on the case study topic Insightful- provides

perceived causal inferences

Bias due to poorly constructed questions Response bias Inaccuracies due to

poor recall Reflexivity- interviewee

gives what interviewer wants to hear

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Sources of evidence- Direct observations


Behavior or environmental conditions worth observing at a site. Ranges from formal to casual data collection activities. Have more than a single observer.

Reality- covers information in the real time Contextual- covers

context of the event

Time consuming Selectivity- unless

broad coverage Reflexivity- event may

proceed differently because it is being observed Cost- hours needed by

human observation

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Sources of evidence- Participant observation


You may assume a variety of roles within a case study situation and may actually participate in the events being studied. Usually used in anthropological studies

Reality- covers information in the real time Contextual- covers

context of the event Insightful into personal

behaviors and motives

Time consuming Selectivity- unless

broad coverage Reflexivity- event may

proceed differently because it is being observed Cost- hours needed by

human observation Bias due to

investigators’ manipulation of events

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Sources of evidence- Physical artifacts


A technological device, a tool or instrument, a work of art, or some other physical evidence

Insightful into cultural features Insightful 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 book format

Uses notes, documents, tabular material, and narratives

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

able to trace the steps in either direction

Report should make sufficient citations to relevant portions

Revel actual evidence and circumstances

Consistency with protocol

Analyzing case study evidence


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

quantitative evidence to address 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 rival hypothesis)

Must address all major rival interpretations

Address most significant part of your case study

Use your own prior expert knowledge

Generic strategies explained


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Thinking about rival explanations

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 theoretical propositions

Theoretical orientation guiding analysis

Developing a case description

Especially for descriptive case study

Specific analytical techniques (1/2)


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Pattern matching

Compares an empirically based pattern with a predicted one to strengthen internal validity

Non- equivalent dependent variable as a pattern

Rival explanations as patterns

Simpler patterns

Explanation building

Relevant to explanatory case studies

Iterative nature of explanation building

Risk of drifting away from the original topic of interest

Specific analytical techniques (2/2)


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Time- series analysis Only a single dependent and

independent variable

Detailed and precise tracing of events

Trend matching with stated propositions, rival trends, or trends based upon artifacts

Chronologies to investigate presumed causal events

Interruption in time series as a potential causal relationship

Logic models Stipulates a complex chain of

events over time

Staged in repeated cause- effect relationship

Analysis can also entertain rival chains of events, and spurious external events

Could be individual level or organizational level logic model

Cross- case synthesis Pattern matching using word

tables

Reporting case studies


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Key elements Targeting case study reports

Case study reports as part of the larger multi-method studies

Illustrative structures for case study compositions

Procedures to be followed in doing a case study report

And, in conclusion, speculations on the characteristics of an exemplary case study

Formats of case study report Classic single narrative,

suitable for a book and not journal

Multiple-case version with narratives, including cross-case analysis and results

Presented in short question- answer formats, without narratives

Entire report dedicated to cross- case analysis, descriptive or explanatory

Structures of reporting the case study


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Type of structure

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 more times comparing alternative descriptions

or explanations

X X X

Chronological Present case study evidence in chronological 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 specific importance.

X

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

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)

case study research by robert yin (2003)

Business

low biased

reviewed repeatedly

specific analytical

broad coverage

incomplete

event broad

case study

case study