Case Method for Teaching & Research: Myths & Realities

1. Case Method for Teaching & Research: Myths & Realities I M Pandey Professor of Finance Delhi School of Economics University of Delhi, Delhi 110007 India E-Mail: impandey@gmail.com International Conference on Case Writing 3-4 November 2009 Cititel Hotel, Kuala Lumpur, Malaysia “Case Writing in Action: Dynamics of the Case Method”

2. Issues • What is case method of teaching? • How is case teaching class managed and conducted? • Why a case method teaching? • What is a good case for teaching? • What is case research? • How is case research conducted? • What are the myths about case research? • What are the realities of case research?

3. What is a Case? • A comprehensive story of a real situation, decision, event, or managerial process. • Contains data and information for analysis. • Contains situations requiring decisions and/or recommendations • Simulates real-world experiences

4. ORGANISING A CASE TEACHING CLASS • Planning • Case preparation • Class preparation • Conducting the case class

5. Planning for Case Teaching • Detailed course outline as a roadmap • Learning objectives • Topic; reading list; case/exercise/problems; home assignment • Objectives of case teaching • Expectations from participants • Consequences of participation and non-participation • Case selection and positioning • From simple to complex cases • After class discussion • Office hours • Email/Internet/Intranet • Source: Harvard material on case method

6. Case Preparation • Read quickly the case • Spot what you think as issues in the case • Check if there are data tables in the case • Read carefully the case second time underlining important phrases and sentences and make margin notes • List of the key issues/problems • Categorise issues/ problems in order of importance • Analyse each problem/issue separately using facts of the case and evaluating alternatives • Integrate analyses of problems/issues in a holistic manner • Make recommendations Source: Harvard material on case method

7. Preparation for the Class • Essence • Clarity about learning objectives • Structuring discussion • List of questions for discussion • Timing of questions • Target Group • Know group’s education, experience, gender, social background

8. Conducting the Case Class • Case analysis phases • Situation/decision required • Possibilities for actions/decisions • Consequences of actions/decisions • Final action or decision • Integration and conceptualisation

9. Conducting the Case Class Source: Harvard material on case method • Ask questions to guide discussion • Obtain information • Clarify a point • Confirm a point • Draw attention to related questions • Foster debate • Resolve a debate • Change the direction of the discussion • Suggest a hypothesis • Stimulate abstract thought • Begin a summation

10. Conducting the Case Class • Source: Harvard material on case method • Active Listening Questioning ↔Listening ↔ Responding Individual comments; group thinking; your teaching plan • Validating student participation • Using the Board • Case Mapping

11. Features of a good case: Content Compatibility Multiple perspectives Pedagogical value Explicit/implicit concepts

12. Why Case Method? Creative process High learning payoff Discussion, persuasion and negotiation Communication Social/interpersonal interaction Multiple perspectives Suitability for learning objectives – knowledge; attitude; skills

13. WHAT IS A CASE STUDY RESEARCH? A case may be an event, a process, a program, or several people. Case study research involves the study of an issue explored through one or more cases within a “bounded system”. • Bounded system • Focus • Context or setting

14. Research Case vs. Teaching Case • Teaching case is a tool of participative and active learning. It has focuses on a specific management problem to arrive at a decision or describes some managerial process. • A research case involves rigorous analysis to develop concepts or theory, or it provides a thick description of a unique situation and helps in understanding the events of the real-world and their complex relationships.

15. WHAT IS A CASE STUDY RESEARCH? A case study research is an empirical enquiry that investigates a contemporary phenomenon within a real-life context where the boundaries between phenomenon and context are not clearly evident, and in which multiple sources of evidence are used. (Yin 1984)

16. Case Study Types Single instrumental case study focuses on an issue or concern, and then selects one bounded case to illustrate this issue. Collective or multiple case study focuses on an issue by analysing multiple cases. This approach uses the logic of replication in which the researcher replicates the procedures for each case. Intrinsic case study focuses on the case itself because it presents an unusual or unique situation.

17. Case Study Types Holistic case study Embedded case study 21/11/2014 I M Pandey 18

18. Why Case Study Research in Management? • Complex business administration situation • Holistic view of a process • Understanding of complex social phenomena & real-life events • Suitable for "how" & "why" questions • Suitable for analysis of process I M Pandey

19. Qualitative Methods in Case Research Case researcher concentrates on the instance, trying to pull apart and put it back together again more meaningfully while the quantitative researcher seeks a collection of instances, expecting that, from the aggregate, issue relevant meanings will emerge. (Stake, 1995) I M Pandey

20. Why Should We Use Case Study Research? To explain the causal links in real-life interventions that is too complex for the survey or experimental strategies (explanatory study). To describe the real-life context in which an intervention has occurred (descriptive study). To evaluate an intervention that has already occurred (evaluative study). To explore those situations in which intervention being evaluated has no clear, single set of outcomes (exploratory study). I M Pandey

21. Quantitative versus Qualitative Methods No research technique or measurement should be rejected or used a priori; the focus and scope of a research should lead to research design. This also applies to case studies. Case studies should not be limited to include only qualitative measures, both qualitative and quantitative measures should be used as warranted. 21/11/2014 I M Pandey 22

22. Theory Testing versus Theory Building The natural sciences approach is usually used for theory testing. Before a theory is validated, it has to be constructed. Case study research can be useful in theory building. Theories are initially based on a particular case or object. I M Pandey

23. Roadmap for Case Research Object Case selection Literature review Propositions/hypotheses Data collection Data organization Data analysis Findings and theory building I M Pandey

24. Case Study Research Design: Theory Building (Eisenhardt, 1989) I M Pandey

25. Case Study Research Design: Theory Building (Eisenhardt, 1989) I M Pandey

26. Case Study Research Design: Theory Building (Eisenhardt,1989) I M Pandey

27. MYTHS & REALITIES OF CASE RESEARCH Rigour Generalisability Data overload

28. Myths Rigour “Case studies do not use standard methodologies; hence, they lack rigour.” Realty: Case studies use multiple sources of data collection like observation, interviews, archives, and quantitative data. This ensures triangulation and provides stronger substantiation of constructs and hypotheses (Eisenhardt, 1989). 21/11/2014 I M Pandey 29

29. Myths Generalisability “Case studies are subjective, lack rigour and not capable of arriving at generalisation”. Reality:An investigator's goal is to expand and generalise theories (analytic) and not to enumerate frequencies (statistical) [Yin, 1984]. For case studies generalisability is determined by the strength of the description of the context. 21/11/2014 I M Pandey 30

30. Myths Data Overload Case study involves collection of data from several sources. Thus, it accumulates massive amount of data. The researcher has to analyse this massive amount of data. Case research is time consuming and may result in documentation overload. Reality: Multiple data collection and analysis is the strength of case research as it helps in understanding complex phenomena in their context. Case researchers always develop a strategy of time management and documentation overload 21/11/2014 I M Pandey 31

31. Grounded Theory Approach for Case Research Integrating Grounded Theory Approach with Case Research I M Pandey

32. Grounded Theory: What is It? An inductive method of qualitative research designed to build theory from ground up based on data. One does not begin with a theory, then prove it. Emphasis is on theory as the final output of the research. A rigorous and structured analysis process is used to derive the theory Data collection, analysis and theory stand in reciprocal relationship with each other. Strauss and Corbin (1990) Basic of Qualitative Research, Sage. I M Pandey

33. Grounded Theory: What is It? • Not a specific method, but a style of doing qualitative analysis that includes some distinct features, such as • theoretical sampling, • use of constant comparisons, and • coding schemes undertaken to explain complex phenomena (Strauss, 1987). 21/11/2014 I M Pandey 34

34. Grounded Theory: When is it Used? When the aim is to derive theory about a phenomenon Typically, research questions are broad, identifying general focus, and tend to be action or process oriented, with an emphasis on in-depth study of the phenomenon Very useful when there is little theory, and no preconceived conceptual framework I M Pandey

35. Grounded Theory: Origins & Extensions Glaser & Strauss (1967) The Discovery of Grounded Theory Glaser (1978) Theoretical Sensitivity Strauss (1987) Qualitative Analysis for Social Scientists Strauss & Corbin (1990) Basics of Qualitative Research- 1st Edn. Glaser (1992) Basics of Grounded Theory Analysis: Emergence vs. Forcing ‘Constructivist’ GT (Charmaz, 1995 onwards) Strauss & Corbin (1998) Basics of Qualitative Research- 2nd Edn. I M Pandey Key Stages in GT Development (Harwood, 2002, p.67)

36. Anatomy of Grounded Theories: Glaser vs. Strauss & Corbin Endgame: Saturated categories (Strauss and Corbin, 1998a p.212) Theory validation against literature Statement of Theory Inductive domain Further rounds of data analysis: Further refinements of categories Deductive domain analysis: more refined categories Further data collection Iterative ‘dance’ towards greater saturation of categories of categories Data analysis: More refined categories Data collection Data analysis: Refined categories Data collection Data analysis: Preliminary categories Initial data collection Kickoff: Selection of research topic Initial literature review (Strauss and Corbin, 1998a pp.48-52) I M Pandey

37. GROUNDED THEORY PROCESS • Coding is an iterative process, moving between the three coding stages as new ideas emerge • Open coding • Axial coding • Selective coding • Underlying all coding stages is a process of constant comparison, checking new emergent concepts against data already collected and using these emerging ideas to guide next stage of data collection

38. Open Coding • Open coding • Text is read reflectively to gain familiarisation and to define and develop initial emergent concepts • Coding hierarchies are developed as concepts become clearer I M Pandey

39. Axial Coding • Axial coding • Initial categories are examined and clustered into larger categories or phenomena as new links, connections and relationships are identified • These phenomena are combined into groups that relate to the research questions I M Pandey

40. Selective Coding Key core groups of phenomena are identified and linked together to ‘tell the story’ of the emerging theory During the process of open coding and axial coding core category that best hold and central to all other categories together should emerge with high frequency of mention (explicitly or implicitly).(Strauss and Corbin, 1998) Core category should be logical and consistent without any retrospective force of the data. I M Pandey

41. Categories • Identification of Incidents, Concepts and Categories I M Pandey

42. Open coding Axial coding Uncover relationships among categories: Mini-frameworks Conditions & Consequences The paradigm Selective coding Discover the ‘core’ category Develop theoretical framework Concepts Fracture & label the data: In vivo coding Categories Classify concepts: Properties Dimensions Sub-categories Drill down categories: When? Where? How? Why? Direction of analytic sequence Phases of Strauss & Corbin’s GT Coding Sequence GT Analytical Process I M Pandey

43. PROPOSITIONS & THEORY BUILDING • Once the core category is found, major categories need to be related to it by propositions • This process of integrating propositions develops into emerging theory. • This theory should be outlined as a theoretical framework or scheme. • Once the theoretical scheme is outlined researchers should refine the theory by removing excess and filling in poorly developed categories, saturating them via further theoretical sampling if necessary

44. BRINGING IN THE LITERATURE • Existing literature is to bring in to the emerging theory. It is about comparing the emerged theory with the existing literature to evaluate overlaps, and differences. • Contrasting literature can even be helpful in producing new insights to factors such as new dimensions or constructs (Eisenhardt 1989). • Contrasting literature may also just reduce confidence in the validity of the results: such literature may point to the results being incorrect or idiosyncratic to one instance in the data.

45. Research Preparations Research design Protocol Consider quality Sampling Systematic Reviews (Pandit, 1996) (Kitchenhalm, 2004) GT RESEARCH DESIGN

46. Grounded Theory and Case Study Capacity for a detailed case study of a micro issue of a larger reality in a particular setting Progressive nature of GT is an advantage while conducting case study research Theory building within the research: GT deals inductively with a complex array of variables, and as a result offers a theory, that provides more accurate reflections of relationships and influences within or across cases. I M Pandey

47. Constant comparison method of GT is useful in case study research • Cross-case analysis • All case studies do not create grounded theory (Mäkelä, 2004; Stake, 1994) • Not all grounded theory studies need to employ case studies as data. Other data can be used to conduct grounded theory investigations (Mäkelä, 2004).

48. Internal and External Validity Triangulation Member checks Long tem observation of the same phenomenon Peer examination Participative or collaborative research I M Pandey

49. Building Blocks of Theory Development • What: Which factors (variables, constructs, concepts) to consider? • Comprehensiveness –are all relevant factors included • Parsimony – should factors that add little value be dropped? • How: How are factors related? Using “arrows” to connect “boxes”. What & How together constitute the domain or subject of the theory. I M Pandey

50. Building Blocks of Theory Development • Why: What are the underlying psychological, economic, or social dynamics that justify the selection of factors and the proposed causal relationships? This rationale constitutes theory’s assumptions. What and How describe only Why explains • Who, Where, When: These conditions place limitations on the propositions generated from a theoretical model. I M Pandey