What is a Case Study?

1. What is a Case Study? John Gerring

2. Definitions • Unit • A spatially bounded phenomenon observed at a single point in time or over some time period • Case • Comprised of several variables, each built upon an observation • Case Study Method • An intensive study of a single unit with an aim to generalize across a larger set of units • Case Study vs. Cross-Unit Study Method

3. Cross-country Time-series Regression Analysis

4. Preferred conditions • Case studies are generally more useful when: • Inferences are descriptive rather than causal • Propositional depthover breadth & boundedness • (Internal) case comparability is given precedence over (external) case representativeness • Insight into causal mechanisms is more important than insight into causal effects • The strategy of research is exploratory, rather than confirmatory • Useful variance is available for only a single unit/smaller number of units

5. Cases, Numbers, Models: International Relations Research Methods A Review of Chapters 2-5

6. Comparative Advantages • Stronger construct validity • Ability to measure the indicators that best represent the theoretical concept we intend to measure • Better at generating new theories • Making inferences regarding causal mechanisms • Unobservable structures that operate in specific contexts to generate the phenomena that we observe in the physical or social world • Historical explanation of cases • Addressing complex causal relations

7. Possible Pitfalls • Be wary of case selection biases • Confirmation bias: ignoring cases that contradict the hypothesis • Increased potential for indeterminacy • Indeterminacy: inability to exclude all but one explanation of a case on the basis of the available process tracing evidence from that case • Potential lack of independence of cases

8. Within-Case Methods of Analysis • Process Tracing • Historical explanation • Calls for full continuity and completeness • Congruence Testing • Tests whether the predicted value of the dependent variable is congruent with the actual outcome in the case • Counterfactual Analysis • Inverts the standard mode of inference in which we try to test empirically assertions

9. Chap 3: International Political Economy • Single case designs • Least-likely case study • Foreign Policy and Interdependence in Gaullist France, Edward Morse • Most-likely case study • Dependency Theory • Method of Difference • Most-similar and Least-similar case comparisons • Structured, focused comparison

10. Chap 4: Qualitative Research Design in International Environmental Policy • Challenges in IEP • Lack of consensus on what constitutes policy effectiveness • Research steps • Selecting cases and observations • Linking data to propositions • Generalizing to other cases

11. Chap 5:International Security Studies • Methodological challenges • Endogeneity: where the values our explanatory variables take on are sometimes a consequence, rather than a cause, of our dependent variable • Concepts of democracy and peace • Produces contradictory & inconclusive results • The Democratic Peace: Layne v. Owen

12. Research Design: Qualitative, Quantitative, and Mixed Methods Approaches A Review of Chapters 5 – 10

13. Author Info and Target Audience • Author: • John W. Creswell • Over 30 years as Professor of Educational Psychology, University of Nebraska – Lincoln • Author of 11 books and founding co-editor of Journal of Mixed-Methods Research • Target Audience: • “This book is intended for graduate students and faculty who seek assistance in preparing a plan or proposal for a scholarly journal article, dissertation, or thesis.”

14. Chapter 5: The Introduction • Differences among quantitative, qualitative, and mixed methods introductions • The deficiency model for writing an introduction • How to design a good narrative hook • How to identify and write a research problem • How to summarize literature about a research problem • Distinguishing among different types of deficiencies in past literature • Considering groups that may profit from your study

15. Differences among quantitative, qualitative, and mixed methods introductions • In a qualitative project, the author will describe a research problem that can best be understood by exploring a concept or phenomenon. • In a quantitative project, the problem is best addressed by understanding what factors or variables influence an outcome. • The mixed methods approach can employ either the qualitative or the quantitative approach, or some combination.

16. The deficiency model for writing an introduction • The deficiencies model of an introduction is a general template for writing a good introduction. It consists of five parts: • The research problem • Studies that have addressed the problem • Deficiencies in the studies • The significance of the study for a particular audience • The purpose statement • Aseparate paragraph can be devoted to each part, for a total of about two pages.

17. How to design a good narrative hook • The first sentence of a study serves to pique interest and convey a distinct research problem or issue. • One way to get a reader’s attention is to use a narrative hook,words that serve to draw, engage, or hook the reader into a study. • Writers can ask themselves: What effect did this sentence have? Would it entice a reader to read on? Was it pitched at a level so that a wide audience could understand it?

18. How to identify and write a research problem • Write an opening sentence that will stimulate interest • Avoid direct quotations (open to misinterpretation) and idiomatic or trite expressions • Consider numeric information for impact • Clearly identify the research problem leading to the study • Indicate why the problem is important • Frame the problem in a manner consistent with the approach • Identify if it’s a single problem, or multiple problems

19. How to summarize literature about a research problem • Refer to literature by summarizing groups of studies, with the intent to establish broad areas of research. • To deemphasize single studies, place the in-text references at the end of a paragraph or at the end of a summary point about several studies. • Review research studies that use qualitative, quantitative, and mixed methods approaches. • Find recent literature to summarize. Cite older studies If they are valuable because they have been widely referenced by others.

20. Distinguishing among different types of deficiencies in past literature • Cite several deficiencies to make the case even stronger for a study. • Identify specifically the deficiencies of other studies (e.g., methodological flaws, variables overlooked) • Write about areas overlooked by past studies, including topics, special statistical treatments, significant implications, etc. • Discuss how a proposed study will remedy these deficiencies and provide a unique contribution to the scholarly literature.

21. Considering groups that may profit from your study • Three to four reasons that the study adds to the scholarly research and literature in the field. • Three to four reasons about how the study helps improve practice. • Three to four reasons as to why the study will improve policy.

22. Chapter 6: The Purpose Statement • A script for writing a qualitative purpose statement • Considering how the script would change depending on your qualitative strategy of inquiry • A script for writing a quantitative purpose statement • Considering how the script would change depending on your quantitative strategy of inquiry • A script for writing a mixed methods purpose statement • Considering how the script would change depending on your mixed methods strategy of inquiry

23. A script for writing a qualitative purpose statement The purpose of this _____ (strategy of inquiry, such as ethnography, case study, or other type) study is (was? will be?) to _____ (understand? describe? develop? discover?) the ______ (central phenomenon being studied) for _____ (the participants, such as the individual, groups, organization) at _____ (research site). At this stage in the research, the _____ (central phenomenon being studied) will be generally defined as _____ (provide a general definition).

24. Considering how the script would change depending on your qualitative strategy of inquiry • …in a qualitative phenomenology study • …in a case study • …in an ethnography • …in a grounded theory study

25. A script for writing a quantitative purpose statement The purpose of this _____ (experiment? survey?) study is (was? will be?) to test the theory of _____ that _____ (compares? relates?) the _____ (independent variable), controlling for _____ (control variable) for _____ (participants) at _____ (the research site). The independent variable(s) _____ will be defined as _____ (provide a definition), and the control and intervening variable(s), _____, (identify the control and intervening variables) will be defined as _____ (provide a definition).

26. Considering how the script would change depending on your quantitative strategy of inquiry • …in a published survey study • …in a dissertation survey study • …in an experimental study

27. A script for writing a mixed methods purpose statement The intent of this concurrent mixed methods study is to _____ (content objective of the study). In the study, _____ (quantitative instrument) will be used to measure the relationship between _____ (independent variable) and _____ (dependent variable). At the same time, the _____ (central phenomenon) will be explored using _____ (qualitative interviews or observations) with _____ (participants) at _____ (research site). The reason for combining both quantitative and qualitative data is to better understand this research problem by converging both quantitative (broad numeric trends) with qualitative (detailed views) data.

28. Considering how the script would change depending on your mixed methods strategy of inquiry • …in a concurrent mixed methods purpose statement • …in a sequential mixed methods purpose statement • …in a transformative concurrent mixed methods purpose statement

29. Chapter 7: Research Questions and Hypotheses • A script for writing a qualitative central question • Considering how this script would change depending on the qualitative strategy of inquiry • A script for writing quantitative research questions and hypotheses • Considering how this script would change depending on the quantitative strategy of inquiry and the different types of hypotheses • A model for presenting descriptive and inferential quantitative questions and hypotheses • Scripts for writing different forms of research questions into a mixed methods study

30. A script for writing a qualitative central question (1/2) • Ask one or two central questions followed by no more than five to seven subquestions. • Relate the central question to the specific qualitative strategy of inquiry. • Begin the research questions with the words what or how to convey an open and emerging design. • Focus on a single phenomenon or concept. • Use exploratory verbs that convey the language of emerging design. • Use open-ended questions.

31. A script for writing a qualitative central question (2/2) _____ (How or What) is the _____ (“story for” the narrative research; “meaning of” the phenomenon for phenomenology; “theory that explains the process of” for grounded theory; “culture-sharing pattern” for ethnography; “issue” in the “case” for case study) of _____ (central phenomenon) for _____ (participants) at _____ (research site).

32. Considering how this script would change depending on the qualitative strategy of inquiry • …in an ethnography • …in a case study

33. A script for writing quantitative research questions and hypotheses (1/2) • The use of variables in research questions or hypotheses is typically limited to three basic approaches: Compare, Relate, or Describe. • The most rigorous form of quantitative research follows from a test of a theory. • The independent and dependent variables must be measured separately. • To eliminate redundancy, write only the research question or hypotheses, not both, unless the hypotheses build on the research question.

34. A script for writing quantitative research questions and hypotheses (2/2) Does _____ (name the theory) explain the relationship between _____ (independent variable) and _____ (dependent variable), controlling for the effects of _____ (control variable)? The null hypothesis might be: There is no significant difference between _____ (the control and experimental groups on the independent variable) on _____ (dependent variable).

35. Considering how this script would change depending on the quantitative strategy of inquiry and the different types of hypotheses • Null hypothesis • Directional hypothesis • Nondirectional hypothesis

36. A model for presenting descriptive and inferential quantitative questions and hypotheses • Descriptive questions and hypotheses seek to describe something. • Inferential questions and hypotheses seek to draw inferences from a sample to a population.

37. Scripts for writing different forms of research questions into a mixed methods study • Write separate quantitative questions or hypotheses and qualitative questions. • Write separate quantitative questions or hypotheses and qualitative questions and follow them with a mixed methods question. • Write only a mixed methods question that reflects the procedures or the content (or write the mixed methods question in both a procedural and a content approach), and do not include separate quantitative and qualitative questions.

38. Chapter 8: Quantitative Methods • A checklist for survey research to form topic selection of a survey procedure • Steps in analyzing data for a survey procedure • A complete survey methods discussion • A checklist for experimental research to form sections for an experimental procedure • Identifying the type of experimental procedure that best fits your proposed study • Drawing a diagram of experimental procedures • Identifying the potential internal validity and external validity threats to your proposed study

39. A checklist for survey research to form topic selection of a survey procedure • What is the timeline for administering the survey? • What are the variables in the study? • How do these variables cross-reference with the research questions and items on the survey? • What specific steps will be taken in data analysis to: • Analyze returns? • Check for response bias? • Conduct a descriptive analysis? • Collapse items into scales? • Check for reliability of scales? • Run inferential statistics to answer the research questions? • How will the results be interpreted? • Is the purpose of a survey design stated? • Are the reasons for choosing the design mentioned? • Is the nature of the survey (cross-sectional vs. longitudinal) identified? • Are the population and its size mentioned? • Will the population be stratified? If so, how? • How many people will be in the sample? On what basis was this size chosen? • What will be the procedure for sampling these individuals (e.g., random, nonrandom)? • What instrument will be used in the survey? Who developed the instrument? • What are the content areas addressed in the survey? The scales? • What procedure will be used to pilot or field test the survey?

40. Steps in analyzing data for a survey procedure • Report information about the number of members of the sample who did and did not return the survey. • Discus the method by which response bias will be determined. • Discuss a plan to provide a descriptive analysis of the data for all independent and dependent variables in the study. • Identify the statistical procedure for the use of scales. • Identify the statistics and software used in the study. • Present the results in tables or figures, and interpret the results from the statistical test.

41. A complete survey methods discussion • The survey design • The population and sample • Instrumentation • Variables in the study • Data analysis and interpretation

42. A checklist for experimental research to form sections for an experimental procedure • What instrument(s) will be used to measure the outcome in the study? Why was it chosen? Who developed it? Does it have established validity and reliability? Has permission been sought to use it? • What are the steps in the procedure (e.g., random assignment of participants to groups, collection of demographic information, administration of pretest, administration of treatment(s), administration of posttest)? • What are potential threats to internal and external validity for the experimental design and procedure? How will they be addressed? • Will a pilot test of the experiment be conducted? • What statistics will be used to analyze the data (e.g., descriptive and inferential)? • How will the results be interpreted? • Who are the participants in the study? • What is the population to which the results of the participants will be generalized? • How were the participants selected? Was a random selection method used? • How will the participants be randomly assigned? Will they be matched? How? • How many participants will be in the experimental and control group(s)? • What is the dependent variable or variables (i.e., outcome variable) in the study? How will it be measured? Will it be measured before and after the experiment? • What is the treatment condition(s)? How was it operationalized? • Will variables be covaried in the experiment? How will they be measured? • What experimental research design will be used? What would a visual model of this design look like?

43. Identifying the type of experimental procedure that best fits your proposed study • In pre-experimental designs, the researcher studies a single group and provide an intervention during the experiment. • In quasi-experimental designs, the researcher used control and experimental groups but does not randomly assign people to them. • In true experimental designs, the researcher randomly assigns the participants to treatment groups. • In single subject design, the researcher observes a single individual over time.

44. Drawing a diagram of experimental procedures • X represents an exposure of a group to an experimental variable or event, the effects of which are to be measured • O represents an observation or measurement recorded on an instrument • Xs and Os in a given row are applied to the same specific persons. Xs and Os in the same column, or placed vertically relative to each other, are simultaneous • The left-to-right dimension indicates the temporal order of procedures in the experiment (sometimes indicated with an arrow) • The symbol R represents random assignment • Separation of parallel rows by a horizontal line indicates that comparison groups are not equal by random assignment. No horizontal line between groups displays random assignment of individuals to treatment groups.

45. Strategies for establishing validity for qualitative studies • Internal validity threats are experimental procedures, treatments, or experiences of the participants that threaten the researcher’s ability to draw correct inferences from the data about the population. • External validity threats arise when experimenters draw incorrect inferences from the sample data to other persons, settings, and past and future situations. • Also: Statistical conclusion validityand construct validity.

46. Chapter 9:Qualitative Procedures • A checklist for qualitative research to form topic sections of a quantitative procedure • The basic characteristics of qualitative research • Determining how reflexivity will be included in a proposed study • The differences between types of data collected in qualitative research • Distinguishing between generic forms of data analysis and analysis within strategies of inquiry • Different levels of analysis in qualitative research • Strategies for establishing validity for qualitative studies

47. A checklist for qualitative research to form topic sections of a quantitative procedure • Has the researcher reviewed the data generally to obtain a sense of the information? • Has coding been used with the data? • Have the codes been developed to form a description or to identify themes? • Are the themes interrelated to show a higher level of analysis and abstraction? • Are the ways that the data will be represented mentioned – such as in tables, graphs, and figures? • Have the bases for interpreting the analysis been specified (personal experiences, the literature, questions, action agenda)? • Has the researcher mentioned the outcomes of the study (developed a theory, provided a complex picture of themes)? • Have multiple strategies been cites for validating the findings? • Are the basic characteristics of qualitative studies mentioned? • Is the specific type of qualitative strategy of inquiry to be used in the study mentioned? Is the history of, a definition of, and applications for the strategy mentioned? • Does the reader gain an understanding of the researcher’s role in the study (post historical, social, cultural experiences, personal connection to sites and people, steps in gaining entry, and sensitive ethical issues)? • Is the purposeful sampling strategy for sites and individuals identified? • Are the specific forms of data collection mentioned and a rationale given for their use? • Are the procedures for recording information during the data collection procedure mentioned (such as protocols)? • Are the data analysis steps identified? • Is there evidence that the researcher has organized the data for analysis?

48. The basic characteristics of qualitative research • Natural setting • Researcher as key instrument • Multiple sources of data • Inductive data analysis • Participants’ meanings • Emergent design • Theoretical lens • Interpretive • Holistic account

49. Determining how reflexivity will be included in a proposed study • Reflexivity means that researchers reflect about how their biases, values, and personal background, such as gender, history, culture, and socioeconomic status, shape their interpretations formed during a study.

50. The differences between types of data collected in qualitative research • Observations • Interviews • Documents • Audio-Visual Materials Every type of data collection has advantages and disadvantages