1.
R O B E R T K Y I N ( 2 0 0 3 )
Case study research: Design
and Methods (3e)

2.
Table of content
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
2
 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

3.
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
4/26/2014
3
Prepared by Pavan Soni (IIM Bangalore)

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

5.
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)
4/26/2014
5
Prepared by Pavan Soni (IIM Bangalore)

6.
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
4/26/2014
6
Prepared by Pavan Soni (IIM Bangalore)

7.
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
4/26/2014
7
Prepared by Pavan Soni (IIM Bangalore)

8.
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.
4/26/2014
8
Prepared by Pavan Soni (IIM Bangalore)

9.
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.
4/26/2014
9
Prepared by Pavan Soni (IIM Bangalore)

10.
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
4/26/2014
10
Prepared by Pavan Soni (IIM Bangalore)

11.
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
4/26/2014
11
Prepared by Pavan Soni (IIM Bangalore)

12.
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
4/26/2014
12
Prepared by Pavan Soni (IIM Bangalore)

13.
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.
4/26/2014
13
Prepared by Pavan Soni (IIM Bangalore)

14.
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.
4/26/2014
14
Prepared by Pavan Soni (IIM Bangalore)

15.
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
4/26/2014
15
Prepared by Pavan Soni (IIM Bangalore)

16.
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
4/26/2014
16
Prepared by Pavan Soni (IIM Bangalore)

17.
Sources of evidence- Archival records
Forms Strengths Weaknesses
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
4/26/2014
17
Prepared by Pavan Soni (IIM Bangalore)

18.
Sources of evidence- Interviews
Forms Strengths Weaknesses
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
4/26/2014
18
Prepared by Pavan Soni (IIM Bangalore)

19.
Sources of evidence- Direct observations
Forms Strengths Weaknesses
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
4/26/2014
19
Prepared by Pavan Soni (IIM Bangalore)

20.
Sources of evidence- Participant observation
Forms Strengths Weaknesses
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
4/26/2014
20
Prepared by Pavan Soni (IIM Bangalore)

21.
Sources of evidence- Physical artifacts
Forms Strengths Weaknesses
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
4/26/2014
21
Prepared by Pavan Soni (IIM Bangalore)

22.
Principles of data collection
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
22
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

23.
Analyzing case study evidence
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
23
 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

24.
Generic strategies explained
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
24
 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

25.
Specific analytical techniques (1/2)
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
25
 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

26.
Specific analytical techniques (2/2)
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
26
 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

27.
Reporting case studies
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
27
 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

28.
Structures of reporting the case study
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
28
Type of
structure
Approach Explan
atory
Descri
ptive
Explo
ratory
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

29.
Procedure in doing a case study report
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
29
 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

30.
What makes an exemplary case study?
4/26/2014Prepared by Pavan Soni (IIM Bangalore)
30
 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)