第六课 案例分析

1、Case Study(案例研究) Case Study Research. Design and Methods (1994, Second edition. Thousand Oaks: Sage) By Robert K. Yin （案例分析研究，设计与方法）When to use case study method?什么时候使用案例研究方法？ The type of research question: typically to answer questions like “how” or “why” 研究问题的类型：主要是回答诸如“怎样”和“为什么”的问题。 Extent of con

2、trol over behavioural events: when investigator has a little/no possibility to control the events； 控制行为事件的程度：研究者几乎或者根本不能控制事件。 General circumstances of the phenomenon to be studied: contemporary phenomenon in a real-life context 所要研究的现象的通常情形：真实生活情境下的当前的现象。Case study is an empirical inquiry, in which:

3、案例研究是一种实证研究，这种研究-Focus is on a contemporary phenomenon within its real-life context & boundaries between phenomenon and its context are not clearly evident Suitable for studying complex social phenomena关注点在真实生活情境下同时发生的现象并且现象与情境的边界并非泾渭分明。适用于研究复杂的社会现象-Procedural characteristics in the situation in

4、clude: Many variables of interest; multiple sources of evidence; theoretical propositions to guide the collection and analysis of data这种情况下的程序性特点包括：许多感兴趣的变量；证据来源多元化；指导数据收集和分析的理论假设。-Types of case studies might be: explanatory; exploratory; descriptive案例研究的类型包括：解释型，探索型和描述型。-Designs can be single- or m

5、ultiple-case studies设计可以是对一个或多个案例的研究。-Used methods can be qualitative, quantitative, or both所使用的方法可以是定性的，定量的或者二者同时使用。Typical criticisms towards case studies & correcting answers:对案例分析的典型批评与纠正的答案 -Lack of systematic handling of data - Systematic reporting of all evidence 缺少系统化的数据处理- 系统地报告所有证据 -No

6、 basis for scientific generalization - Purpose is to generalize to theoretical propositions, not to population as in statistical research 没有科学化泛化的基础- 目的是归纳出理论假设，并非像统计研究一样泛化到样本的总体 -Take too long, end up with unreadable documents - Time limits & writing formula depend on the choices of investigato

7、rs 耗时过长，结果得出不可读的文件- 时间限制而且写作格式取决于研究者的选择。Case study research design案例分析研究的设计Central components of a case study design & their functions: 案例研究设计的主要构成成分及其功能： A studys questions “how”, “why” 研究问题怎样，为什么 Studys (theoretical) propositions pointing attention, limiting scope, suggesting possible links be

8、tween phenomena 研究（理论）假设指明关注点，限定研究范围，提出现象间的可能联系 Studys units of analysis main units must be at the same level as the study questions & typically comparable to those previously studied 研究的分析单位主要单位应该是与研究问题在同一层面上，并且通常与之前的研究具有可比性。 Logic linking the data to the propositions matching pieces of informa

9、tion to rival patterns that can be derived from the propositions 数据与假设之间富有逻辑的联系将信息片断与从假设推导出的相应模式相联系。 Criteria for interpreting the findings iteration between propositions and data, matching sufficiently contrasting rival patterns to data; there is no precise way of setting the criteria 解读研究发现的标准重复验证

10、假设与数据，充分地匹配相应的模式与数据；没有精确的方式确定标准。 Research design links the data to be collected and conclusions to be drawn to the initial questions of the study it provides a conceptual framework & an action plan for getting from questions to set of conclusions. 研究设计将收集的数据与研究最初问题会得出的结论联系在一起该研究设计为我们从问题得出一系列结论提供

11、了一套构想框架以及一种执行计划。 Preliminary theory & blueprint of the study: having solved the five steps mentioned above leads to the formation of a loose theory & a blueprint related to the topic of study 初步理论及研究设想：上述五个步骤的完成促成了松散的理论的形成以及相关研究课题的设想。 -Initial theory & understanding of what is being stud

12、ied is necessary before any field contacts; the complete research design embodies a “theory” of what is being studied 初始理论以及在实地调研前有必要了解研究的是什么；完整的研究设计包含了关于研究的是什么的“理论”。Deciding between explanatory, exploratory and descriptive designs:解释性、探索性与描述性案例研究设计的确定解释性、探索性与描述性案例研究设计的确定 -Depends on the richness of

13、 the rival propositions in theories related to the topic of the study; richest theories allow explanatory designs 取决于相关研究课题的相反理论假设的充足性；最为丰富的理论可以使用解释性设计。 - Search for theoretical propositions that can be elaborated to cover study questions, propositions, units of analysis, data-proposition links &

14、; criteria of interpretation 寻找此类理论假设：足可以详细阐述而得出研究问题，假设，分析单位，数据假设的联系以及解读标准。 - Reviewing literature, discussing with investigators, asking challenging questions, thinking what is to be learned from the study 文献综述，与研究者进行讨论，询问挑战性问题，反思从该研究要学到什么。 - Being aware of the range of theories & selecting the

15、 required level (individual, organization, societal) 注意理论范围；选择与之相适应的层次（个体的；组织的；社会的） - Construction of the design / conceptual framework takes time & can be difficult, but is a crucial step for the success of the study 设计的构建 概念框架的建构耗时费力，但是成功研究的关键一步。Selection of the cases:案例选择： -Cases should be se

16、lected in the same way as the topic of an experiment is selected 案例的选择应与选择实验的主题方式一致。 - Developed preliminary theory is used as a template with which to compare the characteristics & empirical findings from the case(s) 现有的初步理论用作模版来比较从案例中得到的特性和实证结论。 - Selected cases should reflect characteristics

17、& problems identified in the underlying theoretical propositions / conceptual framework 所选案例应反映潜在的理论假设和概念框架中存在的特性和问题。 The level of generalization of the study results = appropriately developed preliminary theory / study design 研究结果的泛化水平：初始理论或研究设计得研究结果的泛化水平：初始理论或研究设计得到恰当的发展到恰当的发展 -Mode of general

18、ization = theory-related analytic generalization, not statistical 泛化模式：理论有关的分析归纳，不是统计的归纳 -Analytic generalization possible from one or more cases 从一个或多个案例中得出分析式归纳 HOW MANY OF CASES & UNITS OF ANALYSIS?需要多少案例和分析单位？ Case represents somehow the interesting topic of the study empirically (e.g. the r

19、ole of the United States in the world economy) 案例-从实证角度以某种方式表现了感兴趣的研究题目（例如，美国在世界经济中的作用） Unit of analysis is the actual source of information: individual, organizational document, artifact, for example (e.g. the capital flow between countries, an economic policy) 分析单位-信息的实际来源：个体，组织文件， 人工制品 （例如，国家间的资金

20、流动，经济政策）Cases案例 A) Single cases if case seems to represent a critical test to existing theory; rare or unique events - Important to select case & unit of analysis properly A) 单个案例如果案例代表了对现存理论的关键性检验；少有的或独特的事件 合理地选择案例和分析单位至关重要B) Multiple cases if a “replication logic” is supposed to reveal support

21、 for theoretically B) 多个案例 如果“复制逻辑”被认为在理论上支持i: Similar results 类似结果ii: Contrasting results for predictable reasons 可预见原因的对比性结果- Theoretical framework must identify clearly the conditions, when a particular phenomenon is likely to be found (i.) and when it is not likely (ii.) 理论框架必须清楚地指出条件，何时某一特定现象可能

22、被发现(i.) ；或何时某一现象不太可能被发现(ii.) 。- Theoretical framework is the vehicle for generalizing to new cases; if empirical cases do not work as predicted, modifications must be made to the theory 理论框架是泛化到新案例的手段；如果实证案例没有如预计的那样，那么必须对该理论作出修改。- Number of case replications depends upon the certainty wanted to achi

23、eve & richness of the underlying theoretical propositions 案例复制的数量取决于想要达到的确定性以及支撑的理论假设的丰富性。Units of analysis分析单位: A) Holistic designs include a single unit of analysis; if aim is to study the global nature of the phenomenon; when no logical sub-units can be pointed - danger of abstractness A)整体设计

24、包括单个分析单位；如目标是研究该现象的全球性本质；当不能指出逻辑次级单位的时候抽象性的危险 B) Embedded designs include multiple units of analysis; study may include main & smaller units on different levels - looking for consistent patterns of evidence across units, but within a case B) 嵌入设计包括多个分析单位；研究可包括不同层级的主要的和次一级的单位跨分析单位寻找一致的证据模式，但仍在同一个

25、案例中 The flexibility of case study design is in selecting cases different from those initially identified, not in changing the purpose or objectives of the study to suit the cases 案例研究设计的灵活性在于选择与起初确定的不同的案例，而不是改变研究的目的以适应案例。Conducting case studiesDesired skills of the investigator:-Good knowledge of th

26、e phenomenon (-collection procedures are not routinized)-Sensitivity for novel & unexpected issues in data collection-Asking good questions-Being a good “listener”-Adaptiveness & flexibility进行案例分析研究者的技能要求：-通晓现象的背景知识（-收集程序非日常化）-对数据收集中新颖的&未预料问题的敏感度-问好的问题-做一个好“听众”-适应性&灵活性A case study pr

27、otocol should be essential part of every case study project A protocol contains the instrument for the research, but also the procedures and general rules that should be followed using the instrument: Overview of the study project (objectives, issues, readings, literature & research) Field proce

28、dures (access to field sites, sources of information) Case study questions posed to INVESTIGATORS; key classifications; suggestions for likely sources of evidence (not the literal questions to be asked) A guide for the case study report Note: Case study protocol should be co-authored by all study in

29、vestigators案例分析研究计划案例分析研究计划应是每个案例分析项目的基本部分 计划包括研究工具，以及使用该工具需遵守的程序和一般规则- 研究项目综述（目标、问题、阅读材料、文献和研究） 调研程序（进入研究实地，信息来源） -对研究者提出的案例分析问题；关键分类；示意可能的证据来源（非提出的文字问题） 案例分析报告指导 注意：案例分析研究计划必须由所有研究者合著完成。Important to identify different levels of questions: A) Single case level：Questions asked of specific interviewe

30、es； Questions asked of the individual case B) More general levels：Findings across multiple cases；Findings across an entire study (including reviewed literature)；Normative questions about policy recommendations & conclusions Sometimes a pilot study may provide useful help区分不同层次的问题很重要区分不同层次的问题很重要

31、A) 单一案例层面：对特定被访者提出的问题；关乎个案的问题 B) 更一般层面： 多案例间的发现；整体研究的发现（包括查看的文献）；关于政策建议&结论的规范性问题 -有时前导性研究可能很有帮助。Collecting the evidence 搜集证据 Six sources of evidence:证据的6种来源 Documents (letters, agendas, progress reports) 文件（信件，议程，进度报告） Archival records (Service records, organizational charts, budgets etc.) 档案记录（

32、服务记录，组织图，预算） Interviews (typically open-ended, but also focused, structured & surveys are possible) 采访（典型的开放式结尾，但重点突出，结构良好的调研） Direct observations (formal or casual; useful to have multiple observers) 直接观察(正式的或非正式的；有多个观察者很有帮助) Participant observation (assuming a role in the situation & getti

33、ng an inside view of the events) 参与性观察（情境中扮演一个角色，对事情有深层次的看法） Physical artefacts 实际的人工物品Three principles of data collection: 数据收集的三原则Use multiple sources of evidence 证据收集来源的多元化 Triangulation = searching converging findings from different sources - increases construct validity 多元检测=从不同来源中找出一致证据， 增加概念效

34、度）2) Create a case study database 创建案例分析数据库创建案例分析数据库 -A database separate from the final report to be written, containing数据库不同于最终写出的研究报告，包括Case study notes (clear & available for later use) 案例分析笔记（清楚，以后可用）Case study documents案例分析文件Tabular materials (collected & created)表格资料（收集，自创）Narratives

35、(initial open-ended answers to the study questions suggested by investigators)叙述（调查者提出的研究问题的初始开放性答案） 3) Maintain a chain of evidence保留证据链保留证据链 The link between initial study questions and case study procedure should be pointed out in the case study protocol, as also the circumstances of the evidence

36、 to be collected 最初案例分析的问题和案例分析的程序两者之间的联系应该在案例分析的研究计划中指出来，而且收集的证据的情形也要说明 Putting the data collection to practice on the basis of the protocol 在研究计划的基础上把数据收集付诸实践 Actual evidence storage in the database for later checks (specific collection circumstances indicated) 数据库中的实际证据收集以备日后检验（表明具体数据收集环境）Suffici

37、ent citing of the case study data base & evidence in the final report and conclusions to be drawn 数据分析数据库和证据在最终报告与结论中的充分引用。Analysing the evidence分析证据 Analysis of evidence is one the least developed and most difficult aspects of doing case studies. Most important is to have a general analytic str

38、ategy, which helps to choose among different techniques. In absence， preliminary techniques matrixes, tabulation of frequencies, temporal schemes etc. can be tried out to get the analysis started. 分析证据是案例分析中研究的最少并且最难的方面。最重要的是要有一个总体分析策略来帮助从不同的技巧中选择。如果没有的话，初步处理技巧矩阵，频率表，时间图例等，都可以用来开始分析的第一步。Two general

39、analytic strategies:两个总体分析策略 Relying on theoretical propositions: theoretical orientation guiding the analysis; following theoretical propositions that have formed the design of the case study - helps to focus attention on certain data & to ignore other data Developing a case description: a desc

40、riptive framework for organizing the case study; analysis organized on the basis of description of the general characteristics and relations of the phenomenon in question 依赖理论假设：理论导向引导分析；根据构成案例分析设计的理论假设关注某些数据，忽视其他数据 加强案例描述：构建案例研究的描述框架；以研究现象的一般特点与关系的描述为基础构建分析Analytic techniques to be used as part of

41、the general strategy:分析技巧作为总体策略的一部分1) Pattern matching (explanatory / descriptive) -Comparing empirically based patterns with predicted one(s)a) Expected outcomes as a pattern: comparing if the initially predicted results have been found and alternative patterns are absentb) Rival explanations as pa

42、tterns: searching if some of the theoretically salient explaining conditions might be articulated in empirical findings; then the presence of certain explanation should exclude the presence of othersc) Simpler patterns: pattern matching is possible also with only few variables, if the derived patterns are predicted to have enough clear differences1）模式匹配（说明性/描述性）-对比以实证为基础的模式和预测模式a) 预期成果作为一种模式：对比起初预测的结果是否出现，是否缺少可选择的模式b) 敌对解释作为模式：探究理论上显著的解释条件可能会在实证结果中阐