Professional Documents
Culture Documents
Volume 7
STRATEGIES
Edited by
Reading, Massachusetts
Amsterdam Don Mills, Ontario Sydney
CONTENTS
Data Sources
Concluding Commen ts
Definitions
An Overview
o the Argument
Types and Uses of Case Study
Objections to the Argument (and Replies to the Objections)
Conclusion
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ZNTRODUCTZON
Tlie extent to which certain kinds of study are carried out in the field o political science seems to be a poor indicator o their perceived utility for building
theories.
The type of study most frequently made in the field is the intensive study
oindividual cases. Case studies run the gamut from the most microscosmic to
the most macrocosmic levels of political phenomena. O n the microlevel, we have
inany studies of conspicuous political personalities (political leaders such
as Lincoln, Stalin, Gandhi), and of particular leadership positions and small
leadersliip groups (the American presidency, the British Cabinet, the prime
minister in British government, tlie operational code of the Soviet leadership,
and so on). At the level o political groupings, the literature o the field teems
witli studies of particular pressure groups, political parties, party systems, revolutionary and protest movements, and political "elites," both on the national
and local levels. More abundant still are studies o individual polities in al1
corners o the world and at many stages o Iiistory and development. Many o
these treat polities as overall macrocosms; many deal with their subsidiary organizations (administrative apparatuses, legislatures, judiciaries, systems o local
government), or witli their programs and policies, or their particular electoral,
legislative, executive, or judicial decision processes. Beyond that level, one finds
a similar profusion of case studies of transnational plienomena: specific processes of and organizations for transnational integration, particular "systems" o
international politics, particular crises in international relations, and the like.
The abundance of examples is such tliat it seems pointless to provide bibliography. Precisely because tlie genre is so common, political scientists can
easily construct a representative list o examples for themselves. If not, a brief
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visit to the political science section o tlie library will serve. I t is not much of
an exaggeration to say tliat the case study literature in the field comes close to
being coterminous witii its literature as sucli.
This plenitude of case studies is not associated witli any perception that
usually is that even widely used concepts are not widely understood in a uniform, unambiguous manner. Readers must therefore bear witli me for a while
as 1 clarify some basic terminology.
DEFZNZTZONS
1. Tlie conception of case study commonly Iield in tlie social sciences is derived from, and closely similar to, tliat of clinical studies in medicine and
psychology. Such studies are usually contrasted dicliotomously (as if tliey were
antitheses) to experimental ones, wliicli furnisli the prevalent conception of
coinparative study. Contrasts generally drawn between tlie two types o study
cover virtually al1 aspects of inquiry: range of researcli, methods and techniques,
manner of reporting findings, and researcli objectives. (See, for example, Riley,
1963, pp. 32-75.)
As to range of research: Experimental studies are Iield to be conducted
with large numbers of cases, constituting samples of populations, wliile clinical
studies deal with single individuals, or at most small numbers of tliem not
statistically representative of a populous set. Experimental studies tlius are
sometimes said to be "extensive" and clinical ones "intensive." Tliese adjectives
do not refer to numbers of individuals alone, but also involve the number of
variables taken into account. I n experimental studies tliat number is deliberately and severely limited, and preselected, for tlie purpose of discovering relationsliips between traits abstracted from individual wholes. Clinical study, to
the contrary, tries to capture the wliole individual-"tries to" because it is, of
course, conceded that doing so is only an approacliable, not an attainable, end.
As for methods and techniqztes: Tlie typical experimental study, first o
all, starts with, and adlieres to, a tiglitly constructed researcli design, whereas
ttie typical clinical study is mucli more open-ended and flexible a t al1 stages.
Tlie clinical researclier may Iiave (probably must liave) in mind some notions
of wliere to begin inquiry, a sort of cliecklist o points to look into during its
course, or perhaps even a preliminary moclel of tlie individual being studied;
but actual study proceeds more by feel ancl improvisation tlian by plan. SecOncl, tlie tecliniques most commonly associated with sucli inquiry in the case
"collective indivicluals" (Le., social units) are the loose ones of participant
~bservation(simply observing tlie unit from witliin, as if a member of it) and
Verstehen (i.e., empathy: understanding the meaning oactions and interactions
from tlie members' own points oview). T h e typical techniques of experimental
lnquiry, per contra, are tliose rigorous ancl ro~itinizedprocedures of data processing and data analysis concocted to ensure liigli degrees of "nonsubjective"
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about everything else. Even before these capabilities existed some comparative
works treated tlie various aspects o complex whole, like polities, as comprehensively as any clinical investigation (e.g., Finer, 1949; and Friedrich, 1968).
Studies o numerous cases also leave room for improvisation i n research. They
are not always tightly designed, do not always use rigorous research techniques,
are sometimes reported in tlie descriptive vein, often Iiave few or no theoretical pretensions, and also often seek direct answers to policy and other action
questions, not answers that amount to the deduction o applied from pure
tlieory.
Tliese points o overlap and ambivalence in tlie distinction between the
clinical and experimental have led to a concerted attack on the dichotomy in
psychology itself. One typical attack argues tliat tlie dichotomy originates in an
archaic and absurd Methodenstreit between "mechanistic" and "romantic"
views o human nature (Holt, 1962). Anotlier argues tliat experimental modes
o study can also be used profitably in researcli into single cases; this is the
theme o a notable book o essays, N =1 (Davidson and Costello, 1969). This
work implies the most important definitional point o all: if case study is defined as clinical study in the traditional sense, then we not only construct a
messy generic (not necessarily classificatory) concept, but also foreclose the possibility o useful argument about case study as a tool in theory building. T h e
definition answers the question: case study and theory are at polar opposites,
linked only by the fortuitous operation o serendipity.
4. This attack on the conventional idea o case study serves a constructive as
well as destructive purpose. I t provides ammunition for later arguments against
highly restrictive views concerning the role ocase study in theory building, and
also points tlie way toward a better, and simpler, definition o what case studies
are.
An unambiguous definition ocase stucly should proceed from the one sure
point that has been established: case study is the study of individuals. T h a t is
about as simple as one can get-but, because o one major problem, it is too
simple. Tlie problem is tliat one man's single individual way may be another's
numerous cases. Take an example: In order to help break down the dichotomy
between the clinical and experimental, Davidson and Costello (1969, pp. 214232) reprint a study by Cliassan on the evaluation o drug effects during psychotlierapy. Chassan argues for tlie greater power o single-case study over the
usual "treatment group" versus "control group" design-in this case, for determining the relative effects o tranquilizers and placebos. Readers can catch the
flavor of liis argument tlirougli two o Iiis many italicized passages:
. . . tlie intensive statistical study oa single case can provide more meaningful and statistically significant information than, say, only end-point observations extended over a relatively large number o patients.
Definitions
85
I
I
And so on, in tlie same vein. Tlie wliole paper is an object lesson to those who
seek tlieoretical safety only in numbers. But tliere is a catcli. Chassan studied
only one patient, but used a large number o treatments by drug and placebo:
"frequent observations over periods o sufficiently long duration." T h e "individual" Iiere surely is not tlie patient, although he may be for otlier purposes;
it is eacli treatment, tlie effects o wliicli are being compared. I t is easy enough
to see the advantages o administering clifferent treatments to tlie same person
over a long period (hence, safety in small numbers o a sort), as against using
one patient per observation (although it is to Chassan's credit that he pointed
tliem out in contrast to the more usual procedure). But n , despite tlie title o
tlie book, in tliis case is not one.
If this problem arises with persons, it arises still more empliatically with
"collective inclividuals." A study osix general elections in Britain may be, but
need not be, an n = 1 study. I t might also be an n = 6 study. I t can also be an
n = 120,000,000 study. I t depends on whether the subject of study is electoral
systems, elections, or voters.
Wliat follows from tliis is tliat ambiguity about what constitutes an "individual" (Iience "case") can only be dispelled by not looking at concrete entities
but at tlie measures made o tliem. O n tliis basis, a "case" can be defined techn'ically as a phenomenon for ruhich we report an.d interpret only a
sin'gle measise on any
pertinent variable. TIiis gets us out o answering insoluble metapliysical questions that arise because any concrete entity can be decomposed,
at least potentially, into niimerous entities (not excluding "persons": they
differ almost from moment to moment, from treatment to treatment, and consist of Iiighly numerous cells, wliicli consist o highly numerous particles, and
so on). It also raises starkly tlie critica1 problem o this essay: what useful role
can single descriptive measures (not measures o central tendency, association,
correlation, variance or covariance, al1 o wliicli presuppose numerous measures
of each variable) play in tlie construction of theory?
I f case study can be tlius defined, compa~ativestudy is simply the stzldy o f
num.e~ozucases along the sume lines, ruith a view to reporting and interpreting
n,umerous measzlres o n the sume variables of different "in~dividuals."Tlie indi~iduals,needless now to say, can be persons or collectivities, or tlie same perSon or collectivity at clifferent points in time, in different contexts, or under
different treatments. And tlie term "measure" sliould o course here be treated
With latitude: it miglit be a Iiiglily precise quantity (34.67% o al1 Britons al-
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Definitions
97
dividual cases to more or less general classes, "analytic" scliernes tliat decc
pose complex plienomena into their component elements,
frameworks and
cllecklists for conducting inquiry
(e.g., tlie "systems" approacli to macropolitics,
or "clecision-making" checklists for tlie study of foreign policy formation), any
empiri~alpatterns found in properly processed data, or
anytliing considered
underlie sucli patterns
(e.g., learning processes or class position).
2. If the term tlieory were always prefaced by an appropriate adjective, wrangling about tliese, and less extreme, positions could be avoided. But tliis would
not take us off the Iiook of Iiaving to specify Iiow "goocl theory" as an objective
of inquiry in our field should be conceived. T h e best position on tliis issue, it
seems to me, is neitlier hard nor soft b u t does come closer to tlie Iiard than the
soft extreme. I t rests on two major premises.
T h e first
is tliat it makes no sense wliatever to cal1 any mental construct a
tlieory. Such constructs differ vastly in Iiature arid purpose, so tliat tliey can
Iiarclly be considered to be of tlie same species. MJitli some o them, not much
more can be done than to assign names to plienomena or to order one's filing
cabinets. And it can be demonstrated t h a:~
, strictlly speaking, tlie soft position
compels one to regard as theory any statcEment wliatever in conventional or
technical discourse.
Second, it makes little more sense to restrict tlie term to constructs like
tliose o theoretical pliysics, or tliose abstracted from tliat fielcl by pliilosopliers
of science. Wliile sucli constructs have proved extremely powerful in certain
senses, one may doubt that tliey alone possess power (even in these senses). IE
constructs like tliem are not atta inable ini a field s~iclias our own at its present
stage o development (whicli is :it least a n open question, since constructs like
~.
. -1,
tliem Iiave in fact not been attaineu),
commitment to tlieory in sucli a narrow
sense may induce one to forego tlieoretical inquiry altogetlier. Most important,
tlieories in tlie "liard" sense are a particular form developed, over considerable
time, to realize the purposes-tlie motivating goals, animus, telos-of a n activity; and wliile tliey do this very well, it does not follow tliat tliey are absoliitely required for realizing tliese purposes.
Consequentiy, even if tlie constructs of tlieoretical pliysics are taken as a
mociel, it seems unwise to restrict tlie notion of tlieory entirely to such conStructs. I t seems better to label as tlieory any constructs designecl to realize the
Same eiids ancI foi-mulatecl witli the same aniinus as tliose w1iicl-i cliaracterize
tlie fields in wliicli Iiarcl tlieory Iias been cleveloped-leaving open, anyway
Provisionally, tlie forms sucli constructs may take consistent witli reasonable
"cliievement of tlie ends. O n tliis basis, tlieory is cliaracterized by a telos, or animus, O inquiry rather than by tlie particular form of statenients. Tlie only
'equirement (wliich, Iiowever, is far from soft) is tliat the forms of theoretical
"atements must be conducive to tlie goals of tlieoretical activity.
Sucli a teleologica! conception of tlieory requires tliat tlie goals he made ex-
plicit. They can be cliaracterized under the following lieadings: regvlnrity, reliability, validity, foreknoruledge, and parsimony.
a). T h e quintessential end of theorizing is to arrive at statements of regularity
about the structure, beliavior, and interaction of phenomena. "Regularity"
here means, literally, "rulefulness": tlie discovery of rules that phenomena observe in the concrete world, as players do in games or logicians in logic. Sucli
regularity can exist in many senses. Tlie rules may describe simple relations
among variables without specification of tlieir exact nature; or tliey may describe sequences like causal patlis or historical and genetic patterns; or they
may be statements of the conditions of persistence or efficacy of structures. T h e
rules may also be more or less "ruleful." Tliey may be "probability statements"
that permit no inferences about individual cases but only more or less confident
ones about sets of them, or tliey may be "laws" in which probability is at unity.
Both of these can furtlier vary in "rulefulness" according, for example, to the
number and significance of variables held constant or ignored, or wliether they
state necessary, sufficient, or botli necessary and sufficient conditions if causal
sequences or conditions of viability or performance are specified.
b). Tlie animus of theoretical inquiry requires not merely empirical rules, but
also tliat the rules be as reliable and ualid as possible. Reliability exists to the
extent that inquirers, proceeding in the same manner, arrive at the same results; validity to tlie extent tliat a presumed regularity has been subjected, unsuccessfully, to tough appropriate attempts at falsification. Not al1 presumed or
discovered regularities are subject to tests of reliability and validity, and certainly not to equally tougli ones: e.g., a statistical inference about a set o cases
observed by a researcher tliat cannot be restudied at a11 or i n much tlie same
way can never be reliable and is iinlikely to be valid (i.e., successfully tested).
Hence, just as concepts become theoretical by being used i n regularity statements, so such statements become tlieoretical if tliey are subject to tougli reliability and validity tests.
c). Foreknowledge is tlie correct anticipation, by sound reasoning, o unknowns (wlietlier tlie i~nknownhas or has not yet occurred). Theory not only
does, but needs to, aim at that objective, because tlie toughest, lience most conclusive, test o any rule is tlie correct deduction from it of unobserved experience. I n most cases, theories are sliaped to fit observations already made, and
this is fine, so long as observations are not deliberately selected to fit tlieories.
T h e manner in wliich tlieories are sliapecl to fit observations does te11 us
something about their probable validity. But generally
there are numerous rules
tliat fit well any body of observations and numerous tecliniques that yield different results wlien tlie question of d e s e e of rulefulness arises. Even if this were
not so, al1 we can really learn from rules sliaped to fit knowns is tliat they hold
(in some degree) for tlie cases observetl under tlie wliole complex of conditions
prevailing wlien they were observed, not tliat tliey Iiold for al1 sucli cases, under
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Tliese are
tlie sort of constructs we want about macropolitics. I t sliould be
evident tliat the pivotal point in tlie whole conception is tliat regarcling foreknowledge: validity is Iield to depencl on it, parsimony is mainly required
for tlie sake of establishing valiclity, and regularity statements are not an end
unless valid. Any general appraisal of tlie utility of a metliod of inquiry must
therelore also pivot on tliat point, as will my brief for the case sttidy method.'