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SCHOOL OF GOVERNANCE AND DEVELOPMENT
STUDIES
Advanced Research Methods-
Quantitative and qualitative
John W. Creswell (2012). Educational Research: Planning, Conducting, and
Evaluating Quantitative and Qualitative Research, 4th ed: Pearson Education Inc.
Chapter 4.1 Case study design
BY THE END OF THIS SESSION YOU
SHOULD BE ABLE TO:
• Define Case Study research and describe when to use it
• Identify the types of case study designs
• Describe the key characteristics of case study design
• Understand how to analyze case study
WHAT IS A CASE-STUDY RESEARCH?
 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)
It is an empirical inquiry, in which:
 Focus is on a contemporary phenomenon within its real-life context &
boundaries between phenomenon and its context are not clearly evident
 Suitable for studying complex social phenomena
 Procedural characteristics- in the situation include: many variables of
interest; multiple sources of evidence; theoretical propositions to guide
the collection and analysis of data
PURPOSE OF CASE STUDY RESEARCH
Types of case studies : explanatory; exploratory; descriptive
 Explain the causal link ( e.g., treatment and intervention outcomes)
 Describe an intervention (the real-life context in a causal chain)
 Explore situations where invention has no single output
 Meta-evaluation (evaluation study)
*these purposes are not mutually exclusive
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
CASES & UNITS OF ANALYSIS
 Case– represents somehow the interesting topic of the study empirically (e.g. the role
of the United States in the world economy)
 Unit of analysis – is the actual source of information: individual, organizational
document, artifact, for example (e.g. the capital flow between countries, an economic
policy)
 Example: a unit of analysis (case) may be an individual, and the case study may be
the life history of that person
 Other units of analysis include programs (e.g. microfinance, decisions, Groups,
organizations
 What unit of analysis to use generally depends on the primary research question
A) Holistic designs – include a single unit of analysis; if aim is to study the global nature
of the phenomenon; when no logical sub-units can be pointed danger of abstractness
B) Embedded designs – include multiple units of analysis; study may include main &
smaller units on different levels, looking for consistent patterns of evidence across
units, but within a case.
CASES & UNITS OF ANALYSIS
HOW MANY OF CASES
• Case– represents somehow the interesting topic of the study empirically (e.g.
the role of Ethiopia in the Peace of the Horn of Africa)
Types of Cases:
• Single case– if case seems to represent a critical test to existing theory; rare
or unique events -> Important to select case & unit of analysis properly.
• Multiple cases– if a “replication logic” is supposed to reveal support for
theoretically
• i. Similar results
• ii. Contrasting results for predictable reasons
 Number of case replications depends upon the certainty wanted to achieve &
richness of the underlying theoretical propositions
TYPES OF QUALITATIVE CASE STUDIES
Intrinsic Case Study
Unusual Case Study an intrinsic, unusual case
Instrumental Case Study
Issue Case Study a case that provides insight into
an issue or theme
Multiple Instrumental Case Study
(also called a Collective Case Study))
Case
Case
Case
Issue
Study several cases that
provide insight into an
issue (or theme)
TYPES OF CASE STUDY
Single case study- rational
 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) based upon unit of analysis
Multiple- case study
 Replication, not sampling logic
 Literal replication (predicts similar results) -Replication is based on a rich theoretical
framework.
 Theoretical replication (predicts contrasting results but for predictable reasons)
 More informative, given their potential to replicate findings and test (or rule out) rival
explanations.
 Offering robust analytical conclusions
 Relies on multiple sources of evidence - Triangulation (Patton, 1987)
 Benefits from prior development of theoretical propositions
 theoretical ideas are important in case study design and are usually
developed prior to data collection, since they guide the type of data
collected.
 essential to construct a preliminary theory
 help generalize from case study to theory
 Analytical generalization and not statistical generalization
 A case study research shouldn’t be confused with ‘qualitative research’. Case
studies are based on any mix of qualitative and quantitative evidence.
Case Study Research: Characteristics
COLLECTING THE DATA/ EVIDENCE
Data Sources
 Documents (minutes of meetings, written reports on events, administrative
documents, formal studies, newspaper)
 Archival records (organizational records, maps and charts, survey data, and
personal records)
 Interviews (in-depth, focused, survey (close ended)
 Observation – direct or participant
 Physical artifacts
THREE PRINCIPLES OF DATA COLLECTION
1) Use multiple sources of evidence -Triangulation = searching converging findings from
different sources -> increases construct validity
2)Create a case study database -A database separate from the final report to be written,
containing -Case study notes (clear & available for later use),Case study documents
-Tabular materials (collected & created)-Narratives (initial open-ended answers to the study
questions suggested by investigators)
3) Maintain a chain of evidence
o The link between initial study questions and case study procedure should be pointed out in the
case study protocol, as also the circumstances of the evidence to be collected
o Putting the data collection to practice on the basis of the protocol
o Actual evidence storage in the database for later checks (specific collection circumstances
indicated)
o Sufficient citing of the case study data base & evidence in the final report and conclusions to be
drawn
PRINCIPLES OF DATA…
Maintain a chain of evidence
 Increases reliability - it refers to the ability of a research method to yield consistently the
same results over repeated testing periods
 External observer should be able to trace the steps in either direction
 Report should make sufficient citations to relevant portions
 Reveal actual evidence and circumstances
 Consistency with protocol
ANALYZING THE EVIDENCE
 Analysis of evidence is one the least developed and most difficult aspects of doing
case studies.
 Most important is to have a general analytic strategy, which helps to choose among
different techniques.
 In absence preliminary techniques – matrixes, tabulation of frequencies, temporal
schemes, etc,. can be tried out to get the analysis started
Two general analytic strategies
1)Relying on theoretical propositions: theoretical orientation guiding the analysis;
following theoretical propositions that have formed the design of the case study,
helps to focus attention on certain data & to ignore other data
2)Developing a case description: a descriptive framework for organizing the case
study; analysis organized on the basis of description of the general characteristics and
relations of the phenomenon in question.
ANALYZING CASE STUDY EVIDENCE
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
ANALYTICAL TECHNIQUES …
Pattern matching -a strategy for aligning data to theoretical propositions. Researcher might ask, “Here’s
an idea—is it right? What are contrary, competing explanations? Can I rule them out?”
 Compares an empirically based pattern with a predicted one to strengthen internal validity
check if the theoretical realm is matched with the observational realm.
- Internal validity- is the term used to refer to the extent to which research findings are a true
reflection or representation of reality rather than being the effects of extraneous variables. Internal
validity refers to how well a piece of research allows you to choose among alternate explanations of
something
 Non-equivalent dependent variable as a pattern
 Rival explanations as patterns
 Simpler patterns
Explanation building -creative insight and careful interpretation to make sense of and explain findings
 Relevant to explanatory case studies
 Iterative nature of explanation building
 Risk of drifting away from the original topic of interest
ANALYTICAL TECHNIQUES…
Time- series analysis
 How”- and “why”- questions about relationships & changes of events over time
 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/counterfiet external
events
 Could be individual level or organizational level logic model
Cross- case synthesis
 - Pattern matching using word tables
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

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Advanced Research Methods

  • 1. SCHOOL OF GOVERNANCE AND DEVELOPMENT STUDIES Advanced Research Methods- Quantitative and qualitative John W. Creswell (2012). Educational Research: Planning, Conducting, and Evaluating Quantitative and Qualitative Research, 4th ed: Pearson Education Inc. Chapter 4.1 Case study design
  • 2. BY THE END OF THIS SESSION YOU SHOULD BE ABLE TO: • Define Case Study research and describe when to use it • Identify the types of case study designs • Describe the key characteristics of case study design • Understand how to analyze case study
  • 3. WHAT IS A CASE-STUDY RESEARCH?  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) It is an empirical inquiry, in which:  Focus is on a contemporary phenomenon within its real-life context & boundaries between phenomenon and its context are not clearly evident  Suitable for studying complex social phenomena  Procedural characteristics- in the situation include: many variables of interest; multiple sources of evidence; theoretical propositions to guide the collection and analysis of data
  • 4. PURPOSE OF CASE STUDY RESEARCH Types of case studies : explanatory; exploratory; descriptive  Explain the causal link ( e.g., treatment and intervention outcomes)  Describe an intervention (the real-life context in a causal chain)  Explore situations where invention has no single output  Meta-evaluation (evaluation study) *these purposes are not mutually exclusive 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
  • 5. CASES & UNITS OF ANALYSIS  Case– represents somehow the interesting topic of the study empirically (e.g. the role of the United States in the world economy)  Unit of analysis – is the actual source of information: individual, organizational document, artifact, for example (e.g. the capital flow between countries, an economic policy)  Example: a unit of analysis (case) may be an individual, and the case study may be the life history of that person  Other units of analysis include programs (e.g. microfinance, decisions, Groups, organizations  What unit of analysis to use generally depends on the primary research question A) Holistic designs – include a single unit of analysis; if aim is to study the global nature of the phenomenon; when no logical sub-units can be pointed danger of abstractness B) Embedded designs – include multiple units of analysis; study may include main & smaller units on different levels, looking for consistent patterns of evidence across units, but within a case.
  • 6. CASES & UNITS OF ANALYSIS HOW MANY OF CASES • Case– represents somehow the interesting topic of the study empirically (e.g. the role of Ethiopia in the Peace of the Horn of Africa) Types of Cases: • Single case– if case seems to represent a critical test to existing theory; rare or unique events -> Important to select case & unit of analysis properly. • Multiple cases– if a “replication logic” is supposed to reveal support for theoretically • i. Similar results • ii. Contrasting results for predictable reasons  Number of case replications depends upon the certainty wanted to achieve & richness of the underlying theoretical propositions
  • 7. TYPES OF QUALITATIVE CASE STUDIES Intrinsic Case Study Unusual Case Study an intrinsic, unusual case Instrumental Case Study Issue Case Study a case that provides insight into an issue or theme Multiple Instrumental Case Study (also called a Collective Case Study)) Case Case Case Issue Study several cases that provide insight into an issue (or theme)
  • 8. TYPES OF CASE STUDY Single case study- rational  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) based upon unit of analysis Multiple- case study  Replication, not sampling logic  Literal replication (predicts similar results) -Replication is based on a rich theoretical framework.  Theoretical replication (predicts contrasting results but for predictable reasons)  More informative, given their potential to replicate findings and test (or rule out) rival explanations.  Offering robust analytical conclusions
  • 9.  Relies on multiple sources of evidence - Triangulation (Patton, 1987)  Benefits from prior development of theoretical propositions  theoretical ideas are important in case study design and are usually developed prior to data collection, since they guide the type of data collected.  essential to construct a preliminary theory  help generalize from case study to theory  Analytical generalization and not statistical generalization  A case study research shouldn’t be confused with ‘qualitative research’. Case studies are based on any mix of qualitative and quantitative evidence. Case Study Research: Characteristics
  • 10. COLLECTING THE DATA/ EVIDENCE Data Sources  Documents (minutes of meetings, written reports on events, administrative documents, formal studies, newspaper)  Archival records (organizational records, maps and charts, survey data, and personal records)  Interviews (in-depth, focused, survey (close ended)  Observation – direct or participant  Physical artifacts
  • 11. THREE PRINCIPLES OF DATA COLLECTION 1) Use multiple sources of evidence -Triangulation = searching converging findings from different sources -> increases construct validity 2)Create a case study database -A database separate from the final report to be written, containing -Case study notes (clear & available for later use),Case study documents -Tabular materials (collected & created)-Narratives (initial open-ended answers to the study questions suggested by investigators) 3) Maintain a chain of evidence o The link between initial study questions and case study procedure should be pointed out in the case study protocol, as also the circumstances of the evidence to be collected o Putting the data collection to practice on the basis of the protocol o Actual evidence storage in the database for later checks (specific collection circumstances indicated) o Sufficient citing of the case study data base & evidence in the final report and conclusions to be drawn
  • 12. PRINCIPLES OF DATA… Maintain a chain of evidence  Increases reliability - it refers to the ability of a research method to yield consistently the same results over repeated testing periods  External observer should be able to trace the steps in either direction  Report should make sufficient citations to relevant portions  Reveal actual evidence and circumstances  Consistency with protocol
  • 13. ANALYZING THE EVIDENCE  Analysis of evidence is one the least developed and most difficult aspects of doing case studies.  Most important is to have a general analytic strategy, which helps to choose among different techniques.  In absence preliminary techniques – matrixes, tabulation of frequencies, temporal schemes, etc,. can be tried out to get the analysis started Two general analytic strategies 1)Relying on theoretical propositions: theoretical orientation guiding the analysis; following theoretical propositions that have formed the design of the case study, helps to focus attention on certain data & to ignore other data 2)Developing a case description: a descriptive framework for organizing the case study; analysis organized on the basis of description of the general characteristics and relations of the phenomenon in question.
  • 14. ANALYZING CASE STUDY EVIDENCE 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
  • 15. ANALYTICAL TECHNIQUES … Pattern matching -a strategy for aligning data to theoretical propositions. Researcher might ask, “Here’s an idea—is it right? What are contrary, competing explanations? Can I rule them out?”  Compares an empirically based pattern with a predicted one to strengthen internal validity check if the theoretical realm is matched with the observational realm. - Internal validity- is the term used to refer to the extent to which research findings are a true reflection or representation of reality rather than being the effects of extraneous variables. Internal validity refers to how well a piece of research allows you to choose among alternate explanations of something  Non-equivalent dependent variable as a pattern  Rival explanations as patterns  Simpler patterns Explanation building -creative insight and careful interpretation to make sense of and explain findings  Relevant to explanatory case studies  Iterative nature of explanation building  Risk of drifting away from the original topic of interest
  • 16. ANALYTICAL TECHNIQUES… Time- series analysis  How”- and “why”- questions about relationships & changes of events over time  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/counterfiet external events  Could be individual level or organizational level logic model Cross- case synthesis  - Pattern matching using word tables
  • 17. 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