Case study research: Design

and Methods (3e)

ROBERT K YIN (2003)

Table of content
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

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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

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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

shouldnt be confused with

qualitative research. Case
studies are based on any mix
of qualitative and quantitative
evidence

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Introduction (2/2)
4

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)

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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
5
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 studys question
Its propositions (purpose in the
case of exploratory case)
Its unit of analysis
The logic linking the data to
propositions (through patternmatching)
Criteria for interpreting the
findings

Case studies are unsuitable to

study the prevalence of a

phenomenon, as done in
statistical sampling

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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

7
Case study tactic

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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Relevant phase
of research

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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)

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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 singlecase 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.

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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 doesnt
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

10

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)

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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

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.

I.
II.
III.
IV.
V.
VI.

Preparation period
Arrangement of site visit
Conduct of site visit
Follow- up activities
Preparation of case study report
Submission of draft report to
site for review

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Review of case study protocol

IV.

Discussion of relevant
theoretical framework and
literature
Development or review of
hypothetical logic model, if
relevant
In- depth discussion of protocol
topics

IV.

V.

VI.

Outline of case study report

Methodological remainders

V.
VI.
IV.
V.
VI.

VII.

Fieldwork procedure
Use of evidence
Note taking and other field
practices
Other orienting topics

VII. Reading materials

IV.
V.

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Sample case study reports

Key substantive books and
articles
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Case study protocol

Protocol is a standardized agenda

for the investigators 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

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12

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

13

From an
individual
About an
individual

Individual behavior
Individual attitudes
Individual perceptions

About an
How organizations work
organization Why organizations work

From an
organization

Study
conclusion

Archival records
Other reporters
behavior, attitudes, and
perceptions

If case study is
an individual

Personal policies
Organizational outcomes

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

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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

15

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

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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

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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

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Sources of evidence- Interviews

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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

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Sources of evidence- Direct observations

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Forms

Strengths

Behavior or environmental
Reality- covers
conditions worth observing
information in the real
at a site. Ranges from formal time
to casual data collection
Contextual- covers
activities.
context of the event
Have more than a single
observer.

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Weaknesses
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

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Forms

Strengths

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
Time consuming
information in the real Selectivity- unless
time
broad coverage
Contextual- covers
Reflexivity- event may
context of the event
proceed differently
Insightful into personal
because it is being
behaviors and motives
observed
Cost- hours needed by
human observation
Bias due to
investigators
manipulation of events

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Weaknesses

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Sources of evidence- Physical artifacts

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Forms

Strengths

A technological device, a
Insightful into cultural
tool or instrument, a work of features
art, or some other physical
Insightful into
evidence
technical operations

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Weaknesses
Selectivity
Availability

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Principles of data collection

Use multiple evidence

1.

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)

Create a case study database

2.

Organizing and documenting the

data collected
Two collections

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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

The data or evidence base

The report of the investigator,
whether in article, report or book
format

Uses notes, documents, tabular

material, and narratives

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Analyzing case study evidence

Steps of analysis
Examining
Categorizing
Tabulating
Creating a data display
Testing
Combining qualitative and
quantitative evidence to
address initial propositions

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23

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
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Generic strategies explained

24

Thinking about rival

explanations

Craft rivals
The null hypothesis
Threats to validity
Investigators bias

Relying on theoretical

propositions

Real- life rivals

Direct rival
Commingled rival
Implementation rival
Rival theory
Super rival
Societal rival

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Theoretical orientation
guiding analysis

Developing a case

description

Especially for descriptive

case study

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Specific analytical techniques (1/2)

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

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Explanation building

Relevant to explanatory
case studies
Iterative nature of
explanation building
Risk of drifting away from
the original topic of
interest

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Specific analytical techniques (2/2)

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

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Logic models
Stipulates a complex chain of
events over time
Staged in repeated causeeffect 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

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Reporting case studies

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

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Formats of case study

report

Classic single narrative,

suitable for a book and not
journal
Multiple-case version with
narratives, including crosscase analysis and results
Presented in short questionanswer formats, without
narratives
Entire report dedicated to
cross- case analysis,
descriptive or explanatory

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Structures of reporting the case study

28
Type of
structure
Linear-analytic

Approach

Explan Descri
atory
ptive

Explo
ratory

Issue/ problem literature review

methods findings conclusion
implications

Comparative

Repeats the same case-study two or more

times comparing alternative descriptions
or explanations

Chronological

Present case study evidence in

chronological order. Best practice is to
draft the case study backwards.

Theory building

Chapters follow theory building logic.

Inverts the linear-analytic structure .

Explaining the conclusions in chapters.

Suspense
Unsequenced

Sequence of chapters of no specific

importance.

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Procedure in doing a case study report

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

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What makes an exemplary case study?

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)

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