Case study

An archaeology case study at an excavation site.

Case Studies for Everyone

A case study involves an up-close, in-depth, and detailed examination of a particular case, within its real-world context.[1][2] For example, a case study in medicine may focus on an individual patient or ailment; a case study in business might cover a particular firm's strategy or a broader market; similarly, a case study in politics can range from a narrow happening over time (e.g., a specific political campaign) to an enormous undertaking (e.g., a World War). Generally, a case study can highlight nearly any individual, group, organization, event, belief system, or action.

Historically, case studies for everyone have appeared in all sorts of literature, journalistic outlets, and audio-visual modes. In this sense, many people have produced case studies, both within but also well outside of the realm of formal teaching or research. In this broader marketplace, the essence remains the existence of an attractive case, presented by a writer/composer who conveys a compelling message to her or his audience. Everyone, including yourself and regardless of any prior training or specialization, can produce a case study. Your final product may be considered a "popular" case study, to be shared among readers, colleagues, and friends.

At the same time, case studies can be prepared under two more specialized conditions: Case studies for teaching and case studies for research. These conditions cover the rest of this entry.

Case Studies for Teaching ("Teaching" Case Studies)

Notably, teachers may prepare a case study that will then be used in classrooms in the form of a "teaching" case study (also see case method and casebook method). For instance, as early as 1870 at Harvard Law School, Christopher Langdell departed from the traditional lecture-and-notes approach to teaching contract law and began using cases pled before courts as the basis for class discussions.[3] By 1920, this practice had become the dominant pedagogical approach used by law schools in the United States.[4]

Engineering students participate in a case study competition.

Outside of law, teaching case studies have become popular in many different fields and professions, ranging from business education to science education. The Harvard Business School has been among the most prominent developers and users of teaching case studies.[5][6] Teachers develop case studies with particular learning objectives in mind. Additional relevant documentation, such as financial statements, time-lines, short biographies, and multimedia supplements (such as video-recordings of interviews) often accompany the case studies. Similarly, teaching case studies have become increasingly popular in science education, covering different biological and physical sciences. The National Center for Case Studies in Teaching Science has made a growing body of teaching case studies available for classroom use, for university as well as secondary school coursework.[7][8]

Case Studies for Research ("Research" Case Studies)

Mainly in the past 50 years, case studies also have become understood as '"research"' case studies---being produced by following a formal research method. These case studies are likely to be published in formal research venues, such as academic journals, rather than in popular works. The ensuing case study research can embrace single and multiple case studies, can include qualitative and quantitative [multiple sources of] evidence, and can benefit from the prior development of theoretical propositions.[9]

The resulting body of case study research has long had a prominent place in many disciplines and professions, ranging from psychology, anthropology, sociology, and political science to education, clinical science, social work, and administrative science.[10][11]:5–6[12] Case study research has also played a prominent role in business, management, and engineering research, apart from the use of teaching cases.[13]

Single-subject research provides the statistical framework for making inferences from quantitative case-study data.[11][14] Another suggestion is that case study should be defined as a "research strategy", an empirical inquiry that investigates a phenomenon within its real-life context. A case study does not necessarily have to be N=1, as there may be many observations within a case (many individuals and entities across many time periods).[15][16]

Case Study Research Designs

As with other social science methods, no single research design dominates case study research. Case studies can use at least four types of designs. First, there may be a "no theory first" type of case study design, which is closely connected to Kathleen M. Eisenhardt's methodological work.[17][18] A second type of research design highlights the distinction between single- and multiple-case studies, following Robert K. Yin's guidelines and extensive examples.[17][11] A third design deals with a "social construction of reality," represented by the work of Robert E. Stake.[17][19] Finally, the design rationale for a case study may be to identify "anomalies." A representative scholar of this design is Michael Burawoy.[17][20] Each of these four designs may lead to different applications, and understanding their sometimes unique ontological and epistemological assumptions becomes important. However, although the designs can have substantial methodological differences, the designs also can be used in explicitly acknowledged combinations with each other.

Case Selection and Structure

An average, or typical case, is often not the richest in information. In clarifying lines of history and causation it is more useful to select subjects that offer an interesting, unusual or particularly revealing set of circumstances. A case selection that is based on representativeness will seldom be able to produce these kinds of insights. When selecting a case for a case study, researchers will therefore use information-oriented sampling, as opposed to random sampling.[21] Outlier cases (that is, those which are extreme, deviant or atypical) reveal more information than the potentially representative case, as seen in cases selected for more qualitative safety scientific analyses of accidents.[22][23] A case may be chosen because of the inherent interest of the case or the circumstances surrounding it. Alternatively it may be chosen because of researchers' in-depth local knowledge; where researchers have this local knowledge they are in a position to "soak and poke" as Richard Fenno put it,[24] and thereby to offer reasoned lines of explanation based on this rich knowledge of setting and circumstances.

Three types of cases may thus be distinguished for selection:

  1. Key cases
  2. Outlier cases
  3. Local knowledge cases

Whatever the frame of reference for the choice of the subject of the case study (key, outlier, local knowledge), there is a distinction to be made between the subject and the object of the case study. The subject is the "practical, historical unity" through which the theoretical focus of the study is being viewed.[25] The object is that theoretical focus – the analytical frame. Thus, for example, if a researcher were interested in US resistance to communist expansion as a theoretical focus, then the Korean War might be taken to be the subject, the lens, the case study through which the theoretical focus, the object, could be viewed and explicated.[26]

Beyond decisions about case selection and the subject and object of the study, decisions need to be made about purpose, approach and process in the case study. Gary Thomas thus proposes a typology for the case study wherein purposes are first identified (evaluative or exploratory), then approaches are delineated (theory-testing, theory-building or illustrative), then processes are decided upon, with a principal choice being between whether the study is to be single or multiple, and choices also about whether the study is to be retrospective, snapshot or diachronic, and whether it is nested, parallel or sequential.[27]

John Gerring and Jason Seawright list seven case selection strategies:[28]

  1. Typical cases are cases that exemplify a stable cross-case relationship. These cases are representative of the larger population of cases, and the purpose of the study is to look within the case rather than compare it with other cases.
  2. Diverse cases are cases that have variation on the relevant X and Y variables. Due to the range of variation on the relevant variables, these cases are representative of the full population of cases.
  3. Extreme cases are cases that have an extreme value on the X or Y variable relative to other cases.
  4. Deviant cases are cases that defy existing theories and common sense. They not only have extreme values on X or Y (like extreme cases), but defy existing knowledge about causal relations.
  5. Influential cases are cases that are central to a model or theory (for example, Nazi Germany in theories of fascism and the far-right).
  6. Most similar cases are cases that are similar on all the independent variables, except the one of interest to the researcher.
  7. Most different cases are cases that are different on all the independent variables, except the one of interest to the researcher.

Arend Lijphart, and Harry Eckstein identified five types of case study research designs (depending on the research objectives), Alexander George and Andrew Bennett added a sixth category:[29]

  1. In atheoretical (or configurative idiographic) case studies the goal is to describe a case very well, but not to contribute to a theory.
  2. In interpretative (or disciplined configurative) case studies the goal is to use established theories to explain a specific case.
  3. In hypothesis-generating (or heuristic) case studies the goal is to inductively identify new variables, hypotheses, causal mechanisms and causal paths.
  4. In theory testing case studies the goal is to assess the validity and scope conditions of existing theories.
  5. In plausibility probes the goal is to assess the plausibility of new hypotheses and theories.
  6. In building block studies of types or subtypes the goal is to identify common patterns across cases.

In terms of case selection, Gary King, Robert Keohane, and Sidney Verba warn against "selecting on the dependent variable". For example, researchers cannot make valid causal inferences about war outbreak by only looking at instances where war did happen (the researcher should also look at cases where war did not happen). There is no methodological problem in selecting on the explanatory variable, however. They do warn about multicollinearity (choosing two or more explanatory variables that perfectly correlate with each other).[30] While random selection of cases is a valid case selection strategy in large-N research, there is a consensus among scholars that it risks generating serious biases in small-N research.[31][30][28]

Case Study Research in Different Professions and Fields

Under the more generalized category of case study exist several subdivisions, each of which is custom selected for use depending upon the goals of the investigator. These types of case study include the following:

  • Illustrative case studies: These are primarily descriptive studies. They typically utilize one or two instances of an event to show the existing situation. Illustrative case studies serve primarily to make the unfamiliar familiar and to give readers a common language about the topic in question.
  • Exploratory (or pilot) case studies: These are condensed case studies performed before implementing a large scale investigation. Their basic function is to help identify questions and select types of measurement prior to the main investigation. The primary pitfall of this type of study is that initial findings may seem convincing enough to be released prematurely as conclusions.
  • Cumulative case studies: These serve to aggregate information from several sites collected at different times. The idea behind these studies is that the collection of past studies will allow for greater generalization without additional cost or time being expended on new, possibly repetitive studies.
  • Critical instance case studies: These examine one or more sites either for the purpose of examining a situation of unique interest with little to no interest in generalization, or to call into question a highly generalized or universal assertion. This method is useful for answering cause and effect questions.

In terms of identifying "causal mechanisms", some scholars distinguish between "weak" and "strong chains". Strong chains actively connect elements of the causal chain to produce an outcome whereas weak chains are just intervening variables.[32]

Business and Management

Engineering students participate in a case study competition.

In business research, four common case study approaches are distinguished.[17][33]

Research in business disciplines is usually based on a positivist epistemology,[34] namely, that reality is something that is objective and can be discovered and understood by a scientific examination of empirical evidence. But organizational behavior cannot always be easily reduced to simple tests that prove something to be true or false. Reality may be an objective thing, but it is understood and interpreted by people who, in turn, act upon it, and so critical realism, which addresses the connection between the natural and social worlds, is a useful basis for analyzing the environment of and events within an organization.[35]

Case studies in management are generally used to interpret strategies or relationships, to develop sets of "best practices", or to analyze the external influences or the internal interactions of a firm. With several notable exceptions (e.g., Janis on Groupthink)[36]

Marketing

Some cases study marketing analysis to ensure a full understanding of the effects on an organization. In a case where the market of any organization is in jeopardy, the agency will seek answers and solutions. In order to fulfill this need, the organization must gather pertinent information. Case studies can be used to establish where the problem originates by utilizing several research methods. [37] Research methods should be chosen appropriately to conduct a thorough investigation. The primary methods used include: interviews, surveys, focus groups, observations and in some cases, field trials.[38] The methods chosen rely heavily on the amount of capital the organization is able to spend and the kind of data that is required by the group.

Public Relations

In public-relations research, three types of case studies are used:[39]

  1. Linear,
  2. Process-oriented,
  3. Grounded.

History

Frederic Le Play first introduced the case-study method into social science in 1829 as a handmaiden to statistics in his studies of family budgets.[40]

In all these disciplines, case studies were an occasion for postulating new theories, as in the grounded-theory work of sociologists Barney Glaser (1930- ) and Anselm Strauss (1916-1996).[41]

Education

One of the areas in which case studies have been gaining popularity is education and in particular educational evaluation.[42][43][44]

Comparative case studies, in social science, policy, and education research; discusses one approach, which encourages researchers to compare horizontally, vertically, and temporally.[45]

Uses and Limits

Uses

Case studies have commonly been seen as a fruitful way to come up hypotheses and generate theories.[31][30][46][47] Case studies are also useful for formulating concepts, which are an important aspect of theory construction.[48] The concepts used in qualitative research will tend to have higher conceptual validity than concepts used in quantitative research (due to conceptual stretching: the unintentional comparison of dissimilar cases).[47] Case studies add descriptive richness.[49][50] Case studies are suited to explain outcomes in individual cases, which is something that quantitative methods are less equipped to do.[51] Through fine-gained knowledge and description, case studies can fully specify the causal mechanisms in a way that may be harder in a large-N study.[49][52][31] Case studies of cases that defy existing theoretical expectations may contribute knowledge by delineating why the cases violate theoretical predictions and specifying the scope conditions of the theory.[31] Case studies are useful in situations of causal complexity where there is equifinality, complex interaction effects and path dependency.[47] Case studies can identify necessary and insufficient conditions, as well as complex combinations of necessary and sufficient conditions.[47][51] They argue that case studies may also be useful in identifying the scope conditions of a theory: whether variables are sufficient or necessary to bring about an outcome.[47][51]


Limits

Designing Social Inquiry, an influential 1994 book written by Gary King, Robert Keohane, and Sidney Verba, primarily applies lessons from regression-oriented analysis to qualitative research, arguing that the same logics of causal inference can be used in both types of research.[30][53][48] The authors' recommendation is to increase the number of observations (a recommendation that Barbara Geddes also makes in Paradigms and Sand Castles),[54] because few observations make it harder to estimate multiple causal effects, as well as increase the risk that there is measurement error, and that an event in a single case was caused by random error or unobservable factors.[30] KKV sees process-tracing and qualitative research as being "unable to yield strong causal inference" due to the fact that qualitative scholars would struggle with determining which of many intervening variables truly links the independent variable with a dependent variable. The primary problem is that qualitative research lacks a sufficient number of observations to properly estimate the effects of an independent variable. They write that the number of observations could be increased through various means, but that would simultaneously lead to another problem: that the number of variables would increase and thus reduce degrees of freedom.[55]

A commonly described limit of case studies is that they do not lend themselves to generalizability.[30] Some scholars, such as Bent Flyvbjerg, have pushed back on that notion.[46]

As small-N research should not rely on random sampling, scholars must be careful in avoiding selection bias when picking suitable cases.[31] A common criticism of qualitative scholarship is that cases are chosen because they are consistent with the scholar's preconceived notions, resulting in biased research.[31][46]

Alexander George and Andrew Bennett note that a common problem in case study research is that of reconciling conflicting interpretations of the same data.[47]

See also

References

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  3. Kimball, B. A. (2009). The Inception of Modern Professional Education: C. C. Langdell, 1826–1906 (Chapel Hill: University of North Carolina Press, 2009)
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  10. Mills, Albert J.; Durepos, Gabrielle; Wiebe, Elden, eds. (2010). Encyclopedia of Case Study Research. Thousand Oaks, CA: SAGE Publications. p. xxxi. ISBN 978-1-4129-5670-3.
  11. Yin, Robert K. (2018). Case Study Research: Design and Methods (6th ed.). Thousand Oaks, CA: SAGE Publications. ISBN 978-1-5063-3616-9.
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  24. Fenno, Richard F. (2014). "Observation, Context, and Sequence in the Study of Politics". American Political Science Review. 80 (1): 3–15. doi:10.2307/1957081. JSTOR 1957081.
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  37. Armstrong et al., 2014
  38. Guesalaga et al., 2016
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  47. George, Alexander L.; Bennett, Andrew (2005). Case Studies and Theory Development in the Social Sciences. MIT Press. pp. 51–52. ISBN 978-0-262-30307-1. OCLC 944521872.
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  51. Goertz, Gary; Mahoney, James (2012-09-09). A Tale of Two Cultures. Princeton University Press. pp. 221–227. ISBN 978-0-691-14970-7.
  52. Braumoeller, Bear and Anne Sartori. 2004. “The Promise and Perils of Statistics in International Relations.” in Cases, Numbers, Models: International Relations Research Methods. Ann Arbor: University of Michigan Press: ch. 6.
  53. HUMPHREYS, MACARTAN; JACOBS, ALAN M. (2015). "Mixing Methods: A Bayesian Approach". American Political Science Review. 109 (4): 654. doi:10.1017/s0003055415000453. ISSN 0003-0554.
  54. Geddes, Barbara (2003). Paradigms and Sand Castles: Theory Building and Research Design in Comparative Politics. University of Michigan Press. pp. 132–139. doi:10.3998/mpub.11910. ISBN 978-0-472-09835-4. JSTOR 10.3998/mpub.11910.
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Further reading

  • Baskarada, Sasa (October 19, 2014). "Qualitative Case Study Guidelines". The Qualitative Report. 19 (40): 1–25. SSRN 2559424.
  • Bartlett, L. and Vavrus, F. (2017). Rethinking Case Study Research. New York: Routledge.
  • Baxter, Pamela; Jack, Susan (2008). "Qualitative Case Study Methodology: Study Design and Implementation for Novice Researchers". The Qualitative Report. 13 (4): 544–59.
  • Dul, J. and Hak, T. (2008) Case Study Methodology in Business Research. Oxford: Butterworth-Heinemann. ISBN 978-0-7506-8196-4.
  • Eisenhardt, Kathleen M. (1989). "Building Theories from Case Study Research". The Academy of Management Review. 14 (4): 532–50. doi:10.2307/258557. JSTOR 258557.
  • George, Alexander L. and Bennett, Andrew. (2005) Case studies and theory development in the social sciences. London: MIT Press. ISBN 0-262-57222-2
  • Gerring, John. (2005) Case Study Research. New York: Cambridge University Press. ISBN 978-0-521-67656-4
  • Klonoski, Robert (2013) The case for case studies: Deriving theory from evidence, Journal of Business Case Studies 9/3, pp. 261-266. Available at: JBCS
  • Kyburz-Graber, Regula (2004). "Does case-study methodology lack rigour? The need for quality criteria for sound case-study research, as illustrated by a recent case in secondary and higher education". Environmental Education Research. 10 (1): 53–65. doi:10.1080/1350462032000173706.
  • Mills, Albert J.; Durepos, Gabrielle; Wiebe, Elden, eds. (2010). Encyclopedia of Case Study Research. Thousand Oaks, CA: SAGE Publications. p. xxxi. ISBN 978-1-4129-5670-3.
  • Ragin, Charles C. and Becker, Howard S. Eds. (1992) What is a Case? Exploring the Foundations of Social Inquiry. Cambridge: Cambridge University Press. ISBN 0-521-42188-8
  • Scholz, Roland W. and Tietje, Olaf. (2002) Embedded Case Study Methods. Integrating Quantitative and Qualitative Knowledge. Thousand Oaks, CA: Sage. ISBN 0-7619-1946-5
  • Straits, Bruce C. and Singleton, Royce A. (2004) Approaches to Social Research, 4th ed. Oxford: Oxford University Press. ISBN 0-19-514794-4.
  • Thomas, Gary (2011). How to Do Your Case Study: A Guide for Students and Researchers. Thousand Oaks, CA: SAGE Publications.
  • Yin, Robert K. (2018). Case Study Research and Applications: Design and Methods (6th ed.). Thousand Oaks, CA: SAGE Publications. ISBN 978-1-5063-3616-9.
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