PhD Seminar SeriesQualitative Research Methodology
Defining and conducting case-based research
Analysing case study data
Klas Eric Soderquist, DBA, Brunel University
ΟΙΚΟΝΟΜΙΚΟ ΠΑΝΕΠΙΣΤΗΜΙΟ ΑΘΗΝΩΝΤΜΗΜΑ ΔΙΟΙΚΗΤΙΚΗΣ ΕΠΙΣΤΗΜΗΣ & ΤΕΧΝΟΛΟΓΙΑΣ
• A Case of Case Study Research
• Recalling the Process of Defining the Research Problem
• Defining the Unit of Analysis
• Research Strategy, Relation to Theory, Methodological Choice
• Data Collection– Interviews, Direct observation, Participant observation
– From research question to interview guide
• Data analysis (case or other qualitative approaches)– Open coding
– Axial coding
– The paradigm model
– Validity and Reliability
Seminar Outline
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
My Case of Case Study Research
Inside the Tier Model: Product Development Organisationand Strategies in Automotive Expert Supplier Firms
Carmaker
First tier
Second tier
Third and fourthtier
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Definition of the Research Problem
Match
REAL WORLD
CONTEXT
RESEARCHQUESTIONS
RESEARCHOBJECTIVE
OVERALLPHICALPOSITION
PHILOSO-
Match /Mismatch
Match /Mismatch
Match /Mismatch
Match
REAL WORLD
CONTEXT
RESEARCHQUESTIONS
RESEARCHOBJECTIVE
OVERALLPHICALPOSITION
PHILOSO-
Match /MismatchMatch /Mismatch
Match /MismatchMatch /Mismatch
Match /MismatchMatch /Mismatch
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
My Real World Context
• Background
– The Lean Production Framework
– The Tier Model
– The Partnership Concept
– Transaction Cost Theory, Strategic Collaboration Theory, Operational Coordination Theory
• Research Problem
– Supplier Perspective
– Operational Perspective
OverallResearchQuestions
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Overall Research Questions
• They tell you what you want to focus on and what you want to know
• They set the rough boundaries of the research: you will study some issues in some context with some actors
• They are oriented towards action and process
• The way they are (implicitly) formulated will determine research strategy later on
• They set the vision for the research project and helps focusing activities
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
My Overall Research Questions
• How does the emergence of new industrial principles take place in expert supplier firms?
• What is the place and role of expert suppliers in the automotive supply chain?
• What lean production techniques are used and how are they adopted for satisfying the needs of the organisation?
• How in practice takes integrated component development place?
• How are organisations and processes designed to support integration?
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Research Objective
• To explain the causality between different observations or the reasons behind a certain situation concerning the phenomenon
• To explore a vague problem or a new area of research
• To describe, i.e., observe and visualise the situation of certain phenomena
One can distinguish between mainly three objectives or purposes with a research project:
The research objective does not automatically define a quantitative or qualitative logic
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Research Objective
• WHAT questions of descriptive nature in the sense “how much” or “how many” call for a quantitative approach
• WHAT questions of explanatory or exploratory nature call for a qualitative approach
• HOW questions and WHY questions call for a qualitative approach
The research questions implicitly determine the research objective, and together they indicate quantitative vs. qualitative research:
Qualitative research is needed when we want to come to terms with the meaning, not the “right” or “wrong” with the phenomena under investigation
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Match / Mismatch
Match
ANALYSIS
Match / Mismatch
UNIT OF
Mismatch Mismatch
Methodological choice
Quantitative
Deductive Logic
Quantitative
Inductive Logic
Qualitative Qualitative
Deductive Logic Inductive Logic Data collection and data
Deduction Induction
Predefinition and test of
a theoretical model.
THEORY EXTENSION
Determination of theory
from observations.
THEORY DEVELOPMENT
RELATION TO THEORY
REAL WORLD
CONTEXT
RESEARCHQUESTIONS
RESEARCH
OBJECTIVE
DEFINITION OF THE RESEARCH PROBLEM
OVERALL
Match
STRATEGY
Match / Mismatch
RESEARCH
Match
Mismatch Mismatch
PHICALPOSITION
PHILOSO-
Match /Mismatch
Match /Mismatch
Match /Mismatch
Mismatch
Match
analysis methods, appropriate
for the chosen methodology
“Full“ProcessModel ofMethodologicalChoice
Unit of Analysis – What is the Case?
It is the Research Object – or unit in the real world context that you will observe
It can be:• An individual,• A role• A group• A process • An organisational entity• An organisation
Or any other definable and observable unit
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Unit of Analysis – Example
Units of analysis in change management research:• Change efforts (e.g., installing new technology, downsizing, a particular
restructuring, effort to change corporate culture…)
• Change events (e.g. a crises);
• The leaders of change (i.e., the individuals that drive through "corporate revolutions" with research focus on their personal traits, leadership styles and leadership levers);
• Sectors undergoing change (i.e., comparative studies of different business sectors in search of similarities and specificities basically in the content of change)
• Employees facing change and acting in change processes.
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
My Unit of Analysis
• Could be a component development project
• Could be the supplier interface
• Could be the product development project
I did chose the Product Development Process in each studied firm because studying the PDP would enable answering all the questions (at least in theory)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Match / Mismatch
Match
ANALYSIS
Match / Mismatch
UNIT OF
Mismatch Mismatch
Methodological choice
Quantitative
Deductive Logic
Quantitative
Inductive Logic
Qualitative Qualitative
Deductive Logic Inductive Logic Data collection and data
Deduction Induction
Predefinition and test of
a theoretical model.
THEORY EXTENSION
Determination of theory
from observations.
THEORY DEVELOPMENT
RELATION TO THEORY
REAL WORLD
CONTEXT
RESEARCHQUESTIONS
RESEARCH
OBJECTIVE
DEFINITION OF THE RESEARCH PROBLEM
OVERALL
Match
STRATEGY
Match / Mismatch
RESEARCH
Match
Mismatch Mismatch
PHICALPOSITION
PHILOSO-
Match /Mismatch
Match /Mismatch
Match /Mismatch
Mismatch
Match
analysis methods, appropriate
for the chosen methodology
“Full“ProcessModel ofMethodologicalChoice
Research Strategy
Five Basic Strategies:
• Experiment
• Survey
• Archival Analysis
• History
• Case Study
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Case Study Research Strategy
Selecting the Case Study Organization: Criterion Sampling
• Purposive rather than random samples
• Samples can evolve as research moves on
• Identify theory driven criteria in order to frame the research
• Inclusive or contradictory samples
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Case Study Research Strategy
My Criterion Sampling
Case Study Organisations should:
• Have a good record for internally generated innovation.
• Innovation has a high profile in the organization.
• Have established links with research laboratories.
• Have an explicit strategy for R&D and R&D driven organizational development
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Match / Mismatch
Match
ANALYSIS
Match / Mismatch
UNIT OF
Mismatch Mismatch
Methodological choice
Quantitative
Deductive Logic
Quantitative
Inductive Logic
Qualitative Qualitative
Deductive Logic Inductive Logic Data collection and data
Deduction Induction
Predefinition and test of
a theoretical model.
THEORY EXTENSION
Determination of theory
from observations.
THEORY DEVELOPMENT
RELATION TO THEORY
REAL WORLD
CONTEXT
RESEARCHQUESTIONS
RESEARCH
OBJECTIVE
DEFINITION OF THE RESEARCH PROBLEM
OVERALL
Match
STRATEGY
Match / Mismatch
RESEARCH
Match
Mismatch Mismatch
PHICALPOSITION
PHILOSO-
Match /Mismatch
Match /Mismatch
Match /Mismatch
Mismatch
Match
analysis methods, appropriate
for the chosen methodology
“Full“ProcessModel ofMethodologicalChoice
Observations
EmpiricalGeneralizations
HypothesesTest
INDUCTION DEDUCTION
DEDUCTIONINDUCTION
Construction
of theory
Application
of theory
Theoretical work
Empirical work
Theoretical work
Empirical work
Theory
Relation to Theory
Theory ExtensionTheory Development
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Methodological Choice
Methodological choice
Quantitative
Deductive Logic
Quantitative
Inductive Logic
Qualitative Qualitative
Deductive Logic Inductive Logic Data collection and data
analysis methods, appropriate
for the chosen methodology
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Participant Observation – longitudinal presence The researcher is part of the organisation on a contractual basis and has a
contextual professional role and reporting responsibility
• Direct Observation – (longitudinal) presence The researcher is present in the organisation as an external observer
• Interviews – occasional visits (can be longitudinal)
• Documentary Analysis - background info and event analysis
Data Collection MethodsCase-Based Research
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• The overall research questions starts broadly and are gradually narrowed by asking sub questions and sub-sub questions
• Research questions should be asked «crude» to managers and experts in an exploratory phase: Pilot interviews or pilot case
Data CollectionFrom Research Question to Interview Guide
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Data Collection through InterviewsFrom Research Question to Interview Guide (I)
The process of generating more detailed questions
Sub, sub-sub… ResearchQuestions
Mental Processing
Researcher‘s
Exploratory Data(Real World)
Overall ResearchQuestions
Personal Experience(Real World)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Data Collection through InterviewsFrom Research Question to Interview Guide (II)
My Interview Guide (minor extract). Semi-structured, open ended• How are organisations and processes designed to support integration?
•What coordination activities exist in the product development process?• When and how is manufacturing staff involved in new development projects?• What are the benefits of their involvement?• What are the drawbacks?• How is coordination with customers organised?• How is coordination with suppliers organised?
•What communication structures exist in the product development process?• Who talks to who in the process?• What channels are used?• Frequency of communication between different players?
• How does communication support coordination?
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Data Collection through InterviewsBasic Interview Techniques
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Not too active, not too passive - The guide serves as a tool for navigating the interviews
• Use of the critical incident technique to start out the interviews or enter into new subjects.
It is efficient when managers have difficulties in articulating answers to specific questions and consists of asking the interviewee to describe specific events that have had a critical impact on the way a specific issue has been managed
• Use re-launch questions:
- Could you tell me more about this?
- Could you specify further? - What are you thinking about in particular?
It is important in such cases not to give any suggestions to interviewees
Between Collection and AnalysisInterview (or observation) Transcripts
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• For serious research, tape record interviews!
• Always keep supportive notes
• Proceed to immediate transcript
• Transcript should reflect the interview at 100 percent
• Ask for feed-back on transcripts
• Fill in uncertainties with a second (phone) interview
Data Analysis / CodingBasics
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• If we talk about case research, we will have at least multiple interviews, possibly a mix of interviews and field notes
• Our analytical problem is that of analysing a mass of text
• Analysis / Coding represents the operations by which data are:
– Broken down
– Conceptualized,
– Put back together in new ways
• The objective is to build theory from data – a “Grounded Theory” approach
Data Analysis / CodingOpen Coding (I)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Labelling events: Consists of placing conceptual labels on discrete happenings, events and instances in data
Data are broken down and conceptualized by taking apart an observation, a sentence, a paragraph and giving each separate incident, idea or event a name that represents a phenomenon. Incident after incident in the field notes are compared in order to give similar events the same name -conceptual label- and nuance and enrich each concept. The process involves asking questions to the data so as to identify properties and dimensions of the incidents
Data Analysis / CodingOpen Coding (II)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Categorising: Consists of grouping conceptual labels into categoriesConcepts that seem to pertain to the same phenomena are then regrouped -categorized- and given a name that should be more abstract than that given during labeling. Categories have conceptual power because they are able to pull together around them groups of concepts. Practically, categorising consists of going through all concepts and asking questions such as 'What is this concept about?' or 'Is this concept similar or different from the one before or after?' In this way, categories are discovered when concepts are compared against one another, and concepts become characteristic components of a category - so called subcategories. If a concept seems not to pertain to an already identified category, it is left aside and might become the entry to a new category as data analysis goes on.
• Categorising can be bottom-up or top-down
Data Analysis / CodingAxial Coding
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Condensation of data, i.e., regrouping and linking categories to each other
Open coding fractures the data and allows the researcher to identify some categories, their properties and dimensions. Axial coding puts these data back together in new ways by making connections between categories.
• The objective is to identify the core category (basically derived from the unit of analysis) and to logically relate other main categories to the core
• The “Paradigm Model” structures the axial coding process
5. Identify the outcomes related to the phenomenon - predictable/intended or not (competences, ressources, knowledge, know-how...).
CONSEQUENCES
The ParadigmModel
1. Identify the phenomenon to be studied (activity, business process...).
PHENOMENON
2. Identify the conditions of directive nature, influencing the phenomenon (driving forces, objectives...).
CAUSAL CONDITIONS
3. Specify the context in which the phenomenon takes place (organization, information....).
CONTEXT
4. Identify the conditions of shaping nature that intervene in carrying out and managing the i phenomenon (reactions from stakeholders, cognitive processes, continuous improvement...).
INTERVENING CONDITIONS
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Data Analysis / CodingAn IterativeProcess
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
My ResearchProcess
Initial literature review,development of researchproposal and topic guide
Pilot interviews, testingof topic relevanceSuppliers 1, 2, 3 and 4
Final version ofthe topic guide
Formal interviews withproduct development managersSuppliers 3 and 4
Formal interviewswith general managersSuppliers 3 and 4
Data analysis:open coding
First case studySupplier 3
Data analysis: open coding,data reduction and develop-ment of case study topic guide
Second case studySupplier 4
1993
1994
1995
1996
Data analysis:Axial coding,comparison of findingswith relevant literature
Second series of formalinterviews (product developmentmanagers) Suppliers 5, 6, 7 and 8
Data analysis: open coding,data reduction and comparishonof concepts with case study one
Category: Problem SolvingSub categories: Objectives, Efficiency, Support StructuresProperties of “Efficiency”: Nature of Topic, Nature of ParticipationDimensions of “Nature of Topic”: Problems, Problems & Causes, Problems, Causes & possible le actionsDimensions of “Nature of Participation”: Participant Driven Management Driven
Data Analysis / CodingMy Open Coding
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Sentence extracted from interview:
«We need performance measurements that enhance the value of inter-functional problem solving»
Data Analysis / CodingMy Axial Coding (I)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Core Category: Operational DesignThe analysis of the category “Problem Solving” led to the identification of four distinctive levels of operational design
Individual workIndividual work
Group work
Intrafunctional between designtechnicians and engineers
Group work
Intrafunctional between designtechnicians and engineers
Project work
Interfunctional within thesupplier company
Project work
Interfunctional within thesupplier company
Systemic work
Involving customers, interface suppliersand lower-tier suppliers
Systemic work
Involving customers, interface suppliersand lower-tier suppliers
Data Analysis / CodingMy Axial Coding (II)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Causal Conditions: Means of Guidance– Guiding Visions, Performance Measurements
Context: Design Support Structures– Specifications, Information transmission support technology,
technology scanning, knowledge repositories
Intervening Conditions– Learning dynamics,
learning model
Intra-company,
intra-functional learning
Intra-company,
intra-functional learning
Purchasing
ProcessEngineering
Sales
Intra-company, inter-functional learning
Purchasing
ProcessEngineering
Sales
Intra-company, inter-functional learning
Purchasing
ProcessEngineering
Sales
Intra-company, inter-functional learning
Inter-company, intra-functional learning
Designfunction ininterfacingsup. firms
Design function incustomer
firms
Inter-company, intra-functional learning
Designfunction ininterfacingsup. firms
Design function incustomer
firms
Designfunction ininterfacingsup. firms
Design function incustomer
firms
Data Analysis / CodingMy Axial Coding (II)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
Causal Conditions: Means of Guidance– Guiding Visions, Performance Measurements
Context: Design Support Structures– Specifications, Information transmission support technology,
technology scanning, knowledge repositories
Intervening Conditions– Learning dynamics,
learning model
Consequences– Model of the process of
building core capabilities
SHARED
VALUES
DevelopmentTechnological
CollectiveLearning
DevelopmentTechnological
CollectiveLearningCollectiveLearning
CAPABILITIESCORE
CAPABILITIESCORE
CAPABILITIESCORE
Adequation with customer needs
Differentiation from competitors
Adequation with customer needs
Differentiation from competitors
Manage-ment
Sys-tems
Manage-ment
Sys-tems
StrategicObjec-
tives
Meansof
Guidance
StrategicObjec-
tives
Meansof
Guidance
Basic Resources
Skills
Basic Resources
Skills
Basic Resources
Skills
Data Analysis / CodingSelective Coding and «Story»
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• The narrative about the core category must identify and define the basic content of the other categories
• Narrative about each category, crossing the results of axial coding with research questions
• Theoretical sampling: Strengthen weak relationships between categories inductively and integrate literature relevant for the results emerging
• Specify action / interaction strategies for how the holistic model or theory operates
Problem solving 1*
Product planning
Productengineering
Processengineering
RunningProduction /Minor modifications
Project 1
Project 2
Project 3
Project 4
SUPPLIER CARMAKER
Design
Transfer of learning
through formal and
Shared knowledge base
Component design
Problem solving 2*
Problem solving 4*
Problem solving 3*
technician S1
Design
technician S2
Design
technician S3
informal group work,
organizational routines
and support structures
Design
Transfer of learning
through formal and
technician C1
Design
technician C3
Design
technician C4
informal group work,
organizational routines
and support structures
* Transfer through supplier - customerproblem solving cycles
Design
technician C2
Transfer of experience
Example: The answer to one of the research questions emerges from the narratives about the core category, the context category and the intervening conditions category
How are organisations and processes designed to support integration?
Reliability and Validity (I)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Reliability consists of demonstrating that the operations of a study -such as the data collection procedures- can be repeated, with the same results
• It is a question of documenting the research procedure
• Reliability is ensured by keeping data in different forms:- Directly taken field notes - from interviews and observations,
- Expanded typed notes made as soon as possible after the field work (this includes comments on problems and ideas that arise during each stage of the fieldwork and that will guide further research),
- A running record of analysis and interpretation (open coding and axial coding).
Reliability and Validity (II)
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist
• Construct validity means establishing correct operational measures for the concepts being studied. It is ensured through:- The use of multiple sources of evidence,
- The establishment of a chain of evidence,
- Letting key informants review draft result reports
• External validity means establishing the domain to which a study's findings can be generalized. It is ensured through the use of a replication logic “Analytical Generalisation”
- Relate case findings to existing or emerging bodies of literature, part of which will have been analysed in the literature section of the thesis
Sources
• Easterby-Smith, M., Thorpe, R., Lowe, A., (1991), Management Research, An Introduction, London: Sage Publications.
• Dey, I. (1993), Qualitative Data Analysis. A User-Friendly Guide for Social Scientists, London: Routledge.
• Miles, M. B. & Huberman, A. M., (1994), Qualitative Data Analyses, An Expanded Sourcebook, Thousand Oaks, CA: Sage Publications.
• Pras, B. & Tarondeau, J-C., (1979), "Typologie de la recherche en gestion" (Typology of Management Research, in French), Enseignement et Gestion, Nouveau Serie no. 9, p. 5-11
• Silverman, D., (1993), Interpreting Qualitative Data, Methods for Analysing Talk, Text and Interaction, London: Sage Publications.
• Strauss, A., & Corbin, J., (1990), Basics of Qualitative Research, Grounded Theory Procedures and Techniques, Newbury Park CA: Sage Publications
• Van Maanen, J., Dabbs, J.M., Faulkner, R.R. (1982), Varieties of Qualitative Research. Beverley Hills, CA: Sage Publications
• Van Maanen, J., (1983), Qualitative Methodology, Beverley Hills, CA: Sage Publications. • Yin, R., K., (2003), Case Study Research, Design and Methods, 3rd edition, Newbury Park,
CA: Sage Publications.
PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist