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Building Theories from Case Study Research
Kathleen M. Eisenhardt
The Academy of Management Review, Vol. 14, No. 4. (Oct., 1989), pp. 532-550.
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Tue Jul 31 21:07:56 2007
F
Academy
of
Management
Review,
1989,
Vol
14,
No
4,
532-550
Building Theories from Case
Study Research
KATHLEEN
M.
EISENHARDT
Stanford University
This paper describes the process of inducting theory using case stud-
ies-from specifying the research questions to reaching closure.
Some features of the process, such as problem definition and con-
struct validation, are similar to hypothesis-testing research. Others,
such
as
within-case analysis and replication logic, are unique to the
inductive, case-oriented process. Overall, the process described here
is highly iterative and tightly linked to data. This research approach
is
especially appropriate in new topic areas. The resultant theory is
often novel, testable, and empirically valid. Finally, framebreaking
insights, the tests of good theory fe.g., parsimony, logical coherence),
and convincing grounding in the evidence are the key criteria for
evaluating this type of research.
Development of theory is
a
central activity in lack of clarity about the process of actually
organizational research. Traditionally, authors building theory from cases, especially regard-
have developed theory by combining observa- ing the central inductive process and the role of
tions from previous literature, common sense, literature. Glaser and Strauss (1967) and more
and experience. However, the tie to actual data recently Strauss (1987) have outlined pieces of
has often been tenuous
(Perrow, 1986; Pfeffer,
the process, but theirs is
a
prescribed formula,
1982). Yet, as Glaser and Strauss (1967) argue, it and new ideas have emerged from methodolo-
is the intimate connection with empirical reality
gists
(e.g., Yin, 1984; Miles
&
Huberman, 1984)
that permits the development of
a
testable, rel-
and researchers conducting this type of re-
evant, and valid theory.
search
(e.g., Gersick, 1988; Harris
&
Sutton,
This paper describes building theories from
1986; Eisenhardt
&
Bourgeois, 1988). Also, it ap-
case studies. Several aspects of this process are
pears that no one has explicitly examined when
discussed in the literature. For example, Glaser
this theory-building approach is likely to be
and Strauss
(1
967) detailed
a
comparative
fruitful and what its strengths and weaknesses
method for developing grounded theory, Yin
may be.
(1981, 1984) described the design of case study
This paper attempts to make two contributions
research, and Miles and Huberman (1984) codi-
to the literature. The first is
a
roadmap for build-
fied
a
series of procedures for analyzing quali-
ing theories from case study research. This
tative data. However, confusion surrounds the
roadmap synthesizes previous work on qualita-
distinctions among qualitative data, inductive
tive methods (e.g., Miles
&
Huberman, 1984), the
logic, and case study research. Also, there is
a
design of case study research (e.g., Yin, 1981,
1984), and grounded theory building (e.g., Gla-
search than has existed in the past. This frame-
ser
&
Strauss, 1967) and extends that work in
work is summarized in Table
1.
areas such as
a
priori specification of constructs,
The second contribution is positioning theory
triangulation of multiple investigators, within-
building from case studies into the larger context
case and cross-case analyses, and the role of
of social science research. For example, the pa-
existing literature. The result is
a
more nearly
per explores strengths and weaknesses of theory
complete roadmap for executing this type of re-
building from case studies, situations in which it
Table
1
Process of
Building
Theory from Case
Study
Research
Step
Activity
Reason
Gettlng Started
Definition
of research question
Focuses efforts
Posslbly a prlorl constructs
Provldes better grounding of construct
measures
Nelther theory nor hypotheses
Retains theoretical flexibility
Selecting
Cases
Specified
population
Constrains extraneous
varlation and
sharpens external validlty
Theoretical, not random, sampling
Focuses efforts on
theoretically
useful
cases-i.e., those that
replicate
or extend
theory by filllng conceptual categories
Craftlng Instruments Multiple data collection methods
Strengthens grounding of theory by
and Protocols triangulation of evldence
Qualitative
and
quantitative
data combined
Synerglstlc vlew of evldence
Multiple lnvestlgators
Fosters
divergent
perspectives and
strengthens grounding
Entering the
Fleld
Overlap data
collection
and
analysis,
Speeds analyses and reveals helpful
Including field notes
adjustments to data collection
Flexible and
opportunistic
data
collection
Allows
investigators
to take advantage of
methods
emergent themes and unique case
features
Anaiyzlng Data
Withln-case analysls
Gains famlllarlty
with
data and preliminary
theory
generation
Cross-case pattern search using
divergent
Forces investigators to look beyond lnitlal
techniques
impressions
and see evidence thru
multiple lenses
Shaping Hypotheses
Iterative
tabulation of evldence for each
Sharpens construct
definition,
validity, and
construct
measurability
Repllcatlon, not sampling, loglc across
Confirms, extends, and sharpens theory
cases
Search evldence for "why" behind
Bullds Internal valldity
relationships
Enfolding Literature
Comparison with
conflicting
literature
Builds internal valldity, raises
theoretical
level, and sharpens construct definitions
Comparison
with similar literature
Sharpens generallzability, improves
construct definition, and ralses theoretical
level
Reachlng Closure
Theoretical saturation when possible
Ends process when
marglnal Improvement
becomes small
is an attractive research approach, and some
guidelines for evaluating this type of research.
Background
Several pieces of the process of building the-
ory from case study research have appeared in
the literature. One is the work on grounded the-
ory building by Glaser and Strauss
(1967) and,
more recently, Strauss (1987). These authors
have detailed their comparative method for de-
veloping grounded theory. The method relies on
continuous comparison of data and theory be-
ginning with data collection.
It
emphasizes both
the emergence of theoretical categories solely
from evidence and an incremental approach to
case selection and data gathering.
More recently, Yin (1981, 1984) has described
the design of case study research. He has de-
fined the case study as
a
research strategy, de-
veloped
a
typology of case study designs, and
described the replication logic which is essential
to multiple case analysis. His approach also
stresses bringing the concerns of validity and
reliability in experimental research design to the
design of case study research.
Miles and Huberman (1984) have outlined
specific techniques for analyzing qualitative
data. Their ideas include
a
variety of devices
such as tabular displays and graphs to manage
and present qualitative data, without destroying
the meaning of the data through intensive cod-
ing.
A number of active researchers also have un-
dertaken their own variations and additions to
the earlier methodological work
(e.g., Gersick,
1988; Leonard-Barton,
1988; Harris
&
Sutton,
1986). Many of these authors acknowledge
a
debt to previous work, but they have also devel-
oped their own "homegrown" techniques for
building theory from cases. For example, Sutton
and
Callahan (1987) pioneered
a
clever use of
a
resident devil's advocate, the Warwick group
(Pettigrew, 1988) added triangulation of investi-
gators, and my colleague and
I
(Bourgeois
&
Eisenhardt, 1988) developed cross-case analysis
techniques.
Finally, the work of others such as Van
Maa-
nen (1988) on ethnography, Jick (1979) on trian-
gulation of data types, and Mintzberg (1979) on
direct research has provided additional pieces
for
a
framework of building theory from case
study research.
As
a
result, many pieces of the theory-
building process are evident in the literature.
Nevertheless,
at
the same time, there is substan-
tial confusion about how to combine them,
when to conduct this type of study, and how to
evaluate it.
The Case Study Approach
The case study is
a
research strategy which
focuses on understanding the dynamics present
within single settings. Examples of case study
research include Selznick's (1949) description of
TVA, Allison's (197
1)
study of the Cuban missile
crisis, and Pettigrew's
(1
973) research on deci-
sion making
at
a
British retailer. Case studies
can involve either single or multiple cases, and
numerous levels of analysis
(Yin, 1984). For ex-
ample, Harris and Sutton (1986) studied 8 dying
organizations, Bettenhausen and Murnighan
(1986) focused on the emergence of norms in 19
laboratory groups, and Leonard-Barton (1988)
tracked the progress of 10 innovation projects.
Moreover, case studies can employ an embed-
ded design, that is, multiple levels of analysis
within
a
single study (Yin, 1984). For example,
the Warwick study of competitiveness and stra-
tegic change within major
U.K.
corporations is
conducted
at
two levels of analysis: industry and
firm (Pettigrew, 1988), and the Mintzberg and
Waters (1982) study of Steinberg's grocery em-
pire examines multiple strategic changes within
a
single firm.
Case studies typically combine data collection
methods such as archives, interviews, question-
naires, and observations. The evidence may be
qualitative
(e.g., words), quantitative (e.g.,
numbers), or both. For example, Sutton and
Callahan (1987) rely exclusively on qualitative
data in their study of bankruptcy in Silicon Val-
ley, Mintzberg and McHugh (1985)use qualita-
tive data supplemented by frequency counts in
their work on the National Film Board of Can-
ada, and Eisenhardt and Bourgeois (1988)com-
bine quantitative data from questionnaires with
qualitative evidence from interviews and obser-
vations.
Finally, case studies can be used to accom-
plish various aims: to provide description (Kid-
der,
1982),test theory (Pinfield, 1986; Anderson,
1983), or generate theory (e.g., Gersick, 1988;
Harris
&
Sutton, 1986).The interest here is in this
last aim, theory generation from case study ev-
Table
2
Recent Examples
of
lnductive Case Study Research*
Description Research Data
Study of Cases Problem Sources Investigators Output
Burgelman (1983)
6
mternal cor- Management of Archives Single mvestigator Process model
porate ventures new ventures Intervlews
in
1
malor Some observation
corporation
Mintzberg
&
1
Natlonal Film Formulation of Archives Research team
McHugh (1985) Board of Can- strategy in an Some ~ntervlews
ada, 1939- 1975, adhocracy
wlth 6 perlods
Harris
&
Sutton 8 diverse organl- Parting cere- Interviews Research team
(
1986) zations monies during Archives
organizational
death
linhng multiple
organizational
levels
Strategy-mahng
themes, "grass
roots" model of
strategy forma-
tion
Conceptual
framework
about the
functions of
parting cere-
monies
for
displaced
members
Eisenhardt
&
8
microcomputer
Strategic decision
Interviews
Research team Mid-range theory
Bourgeois (1988) firms making in high Questionnaires
Tandem inter-
linhng power,
velocity environ- Archives views
politics,
and
ments Some observation firm perform-
ance
Gersick (1988) 8 project groups Group develop- Observation Single
investigator
Punctuated
wlth
deadlines
ment in project- Some
interviews
equilibrium
teams model of group
development
Leonard-Barton 10
technical
~nno- Internal technol-
Interviews
Single investigator Process model
(
1988) vations ogy transfer Experiment
Observation
Pettigrew (1988)
1
high performing Strategic change Interviews Research teams In progress
&
1
low per-
&
competi- Archives
forming flrm in tiveness Some observation
each of
4
industries
Examples were chosen from recent organizational writlng to provide illustrations of the possible range of theory building
from case studies.
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