Cologne Graduate School Course Methodologies of Case Studies, winter 2010/11 Instructor: Ingo Rohlfing. Reading List

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1 Course number: 1624 Room: 2B.11, Richard-Strauß-Str. 2 Time: The course starts on 14 th October. Reading List Please note the following: As you can see, the mandatory readings include most of the chapters of my book on case study methodology that is forthcoming at Palgrave Macmillan. I think and hope that I am able to draw together what is covered in the major texts listed under the mandatory or additional readings. The chapters are drafts and I am eager to get any comments you have so as to improve my book. You will find all mandatory readings in the course platform in ILIAS before the course starts. For some texts, the relevant pages are a subset of the whole publication. So do not be confused when an article/book section is longer than is written here. In case you are interested in one of the topics, the texts listed under further readings are suggestions that should help you in digging deeper into the field. Texts are ordered chronologically, which generally is the best order to read them. When the order is not chronological, I recommend that you follow the suggested order. The empirical examples that you find in some sections (e.g., Concept formation in practice ) are not mandatory readings. They are just examples for how some issues were handled in practice. The fact that they are mentioned here does not necessarily mean that these are cases of best practice. I will refer to some of these texts in more detail in class and distinguish good from bad practices. Week 1: Structure of the course and introduction Munck, Gerardo L. (2005): Ten Fallacies About Qualitative Research. Qualitative Methods - Newsletter of the APSA Organized Section on Qualitative Methods 3 (1): 2-5. Eisenhardt, Kathleen M. (1989): Building Theories from Case Study Research. The Academy of Management Review 14: I. Formulating concepts and hypotheses Week 2: Concept formation and populations Adcock, Robert and David Collier (2001): Measurement Validity: A Shared Standard for Qualitative and Quantitative Research. American Political Science Review 95 (3): Rohlfing, Ingo: Specification of the population and scope conditions. Chapter 3 of monograph Sartori, Giovanni (1984): Guidelines for Concept Analysis. Sartori, Giovanni (ed.): Social Science Concepts: A Systematic Analysis. Beverly Hills: Sage:

2 Walker, Henry A., and Bernard P. Cohen (1985): Scope Statements - Imperatives for Evaluating Theory. American Sociological Review 50: Collier, David and James E. Mahon (1993): Conceptual Stretching Revisited - Adapting Categories in Comparative-Analysis. American Political Science Review 87 (4): Collier, David and Steven Levitsky (1997): Research Note: Democracy with Adjectives: Conceptual Innovation in Comparative Research. World Politics 49: Adcock, Robert (2005): What Is a Concept? Political Concepts: Committee on Concepts and Methods Working Paper Series, no. 1, April 2005: Gerring, John (2001): Social Science Methodology: A Criterial Framework. Cambridge: Cambridge University Press: Chap. 2. Goertz, Gary (2006): Social Science Concepts: A User's Guide. Princeton: Princeton University Press: Chaps Collier, David and John Gerring (2009): Concepts and Method in Social Science: The Tradition of Giovanni Sartori. New York: Routledge. For those interested in the details of measurement: Berka, Karel (1983): Measurement: Its Concepts, Theories and Problems. Dordrecht: D. Reidel. Zeller, Richard A. and Edward G. Carmines (1980): Measurement in the Social Sciences: The Link between Theory and Data. Cambridge: Cambridge University Press. Concepts and measurement in practice: Sorrentino, Constance (2000): International Unemployment Rates: How Comparable Are They? Monthly Labor Review 123 (6): 3-8. Pahre, Robert (2008): Politics and Trade Cooperation in the Nineteenth Century: The "Agreeable Customs" of Cambridge: Cambridge University Press: Chap. 6 (pp. 1-10). Week 3: Ways to see the world: Types of causal relationships Rohlfing, Ingo: Epistemological Foundations of the Case Study. Chapter 2 of monograph Goldthorpe, John H. (2001): Causation, Statistics, and Sociology. European Sociological Review 17 (1): Gerring, John (2005): Causation: A Unified Framework for the Social Sciences. Journal of Theoretical Politics 17 (2): Mahoney, James, Erin Kimball and Kendra L. Koivu (2009): The Logic of Historical Explanation in the Social Sciences. Comparative Political Studies 42 (1):

3 II. Types of designs and case selection Week 4: Types of cases & case selection I Rohlfing, Ingo: Types of Case Studies and Case Selection. Chapter 4 of monograph Further readings on types of cases: Eckstein, Harry (1975): Case Study and Theory in Political Science. In Greenstein, F.I. and N. W. Polsby (eds) In Strategies of Inquiry. Handbook of Political Science, vol. 7. Reading: Addison-Wesley: Skocpol, Theda (2003): Doubly Engaged Social Science. In Mahoney, James and Dietrich Rueschemeyer (eds): Comparative Historical Analysis in the Social Sciences. Cambridge: Cambridge University Press: Gerring, John (2004): What Is a Case Study and What Is It Good For? American Political Science Review 98 (2): George, Alexander L., and Andrew Bennett (2005): Case Studies and Theory Development in the Social Sciences. Cambridge, Mass.: MIT Press: Chap. 4 (Phase one: Designing case study research). Week 5: Types of cases & case selection II Rohlfing, Ingo: Types of Case Studies and Case Selection. Chapter 4 of monograph Further readings on case selection: Geddes, Barbara (1990): How the Cases You Choose Affect the Answers You Get: Selection Bias in Comparative Politics. Political Analysis 2 (1): King, Gary, Robert O. Keohane and Sidney Verba (1994): Designing Social Inquiry: Scientific Inference in Qualitative Research. Princeton: Princeton University Press: Collier, David and James Mahoney (1996): Insights and Pitfalls: Selection Bias in Qualitative Research. World Politics 49 (1): Dion, Douglas (1998): Evidence and Inference in the Comparative Case Study. Comparative Politics 30 (2): Goertz, Gary and Harvey Starr (2003): Introduction: Necessary Condition Logics, Research Design, and Theory. In: Goertz, Gary and Harvey Starr (eds): Necessary Conditions. Theory, Methodology, and Applications. Rowman & Littlefield: Lanham: Mahoney, James and Gary Goertz (2004): The Possibility Principle: Choosing Negative Cases in Comparative Research. American Political Science Review 98 (4): Ebbinghaus, Bernhard (2005): When Less Is More: Selection Problems in Large-N and Small-N Cross-National Comparisons. International Sociology 20 (2): Shively, W. Phillips (2006): Case Selection: Insights from Rethinking Social Inquiry. Political Analysis 14 (3): Seawright, Jason and John Gerring (2008): Case-Selection Techniques in Case Study Research: A Menu of Qualitative and Quantitative Options. Political Research Quarterly 61 (2): Case selection in practice: Grieco, Joseph M. (1990): Cooperation among Nations: Europe, America, and Non-Tariff Barriers to Trade. Ithaca: Cornell University Press: Chap

4 Lindner, Johannes, and Berthold Rittberger (2003): The Creation, Interpretation and Contestation of Institutions - Revisiting Historical Institutionalism. Journal of Common Market Studies 41 (3): Mahoney, Christine (2008): Brussels Versus the Beltway: Advocacy in the United States and the European Union. Washington, DC: Georgetown University Press: Chap. 3 (Research advocacy). III. Cross-case and within-case analysis Week 6: Cross-case comparisons I Rohlfing, Ingo: The logic and problems of cross-case comparisons. Chapter 5 of monograph Rose, Richard (1991): Comparing Forms of Comparative Analysis. Political Studies 39 (3): Sartori, Giovanni (1991): Comparing and Miscomparing. Journal of Theoretical Politics 3 (3): Lieberson, Stanley (1991): Small Ns and Big Conclusions: An Examination of the Reasoning in Comparative Studies Based on a Small Number of Cases. Social Forces 70 (2): King, Gary, Robert O. Keohane and Sidney Verba (1994): Designing Social Inquiry: Scientific Inference in Qualitative Research. Princeton: Princeton University Press: Lees, Charles (2006): We Are All Comparativists Now: Why and How Single-Country Scholarship Must Adapt and Incorporate the Comparative Politics Approach. Comparative Political Studies 39 (9): Cross-case comparisons in practice: Zangl, Bernhard (2008): Judicialization Matters! A Comparison of Dispute Settlement under GATT and the WTO. International Studies Quarterly 52 (4): Meunier, Sophie (2005): Trading Voices: The European Union in International Commercial Negotiations. Princeton: Princeton University Press: Chap. 2. Week 7: Cross-case comparisons II Rohlfing, Ingo: Cross-case comparisons II. Chapter 5 of monograph Methodologies of Case Studies. George, Alexander L. (1979): Case Studies and Theory Development: The Method of Structured, Focused Comparison. In Lauren, Paul Gordon (ed): Diplomacy. New Approaches in History, Theory, and Policy. New York: Free Press: Ragin, Charles C. (1987). The Comparative Method: Moving Beyond Quantitative and Qualitative Strategies. Berkeley: University of Berkeley Press: Chap. 5 (Combined vs. Synthetic Comparative Strategies). Mahoney, James (1999): Nominal, Ordinal, and Narrative Appraisal in Macrocausal Analysis. American Journal of Sociology 104 (4):

5 George, Alexander L. and Andrew Bennett (2005): Case Studies and Theory Development in the Social Sciences. Cambridge: MIT Press: Chaps Gerring, John and Rose McDermott (2007): An Experimental Template for Case Study Research. American Journal of Political Science 51 (3): Week 8: Within-case analysis: Methodology Rohlfing, Ingo: Within-case analysis. Chapter 6 of monograph Methodologies of Case Studies. Hedström, Peter, and Richard Swedberg (1998): Social Mechanisms: An Analytical Approach to Social Theory. Cambridge: Cambridge University Press. Dessler, David (1991): Beyond Correlations: Toward a Causal Theory of War. International Studies Quarterly 35 (3): Mayntz, Renate (2004): Mechanisms in the Analysis of Social Macro-Phenomena. Philosophy of the Social Sciences 34 (2): George, Alexander L. and Andrew Bennett (2005): Case Studies and Theory Development in the Social Sciences. Cambridge: MIT Press: Chap. 10. Gerring, John (2008): The Mechanismic Worldview: Thinking inside the Box. British Journal of Political Science 38(1): McAdam, Doug, Sidney Tarrow, and Charles Tilly (2008): Methods for Measuring Mechanisms of Contention. Qualitative Sociology 31(4): Gerring, John (forthcoming): Causal Mechanisms: Yes, But... Comparative Political Studies.Hall, Peter A. (2006): Systematic Process Analysis: When and How to Use It. European Management Review 3: Week 9: Within-case analysis: Practice Rohlfing, Ingo: Internal validity. Chapter 7 of monograph Lustick, Ian S. (1996): History, Historiography, and Political Science: Multiple Historical Records and the Problem of Selection Bias. American Political Science Review 90 (3): Thies, Cameron G. (2002): A Pragmatic Guide to Qualitative Historical Analysis in the Study of International Relations. International Studies Perspectives 3 (4): George, Alexander L., and Andrew Bennett (2005): Case Studies and Theory Development in the Social Sciences. Cambridge: MIT Press: Chap. 5. Trachtenberg, Marc (2006): The Craft of International History: A Guide to Method. Princeton: Princeton University Press. Tansey, Oisín (2007): Process Tracing and Elite Interviewing: A Case for Non-Probability Sampling. Political Science & Politics 40 (4): Within-case analysis in practice: Dür, Andreas (2007): Foreign Discrimination, Protection for Exporters, and U.S. Trade Liberalization. International Studies Quarterly 51 (2): Coutain, Bryan (2009): The Unconditional Most-Favored-Nation Clause and the Maintenance of the Liberal Trade Regime in the Postwar 1870s. International Organization 63 (1):

6 IV. From evidence to inference Week 10: Internal validity: Explaining the cases Rohlfing, Ingo: Internal validity: From evidence to inference. Chapter 7 of monograph Fearon, James D. (1991): Counterfactuals and Hypothesis Testing in Political Science. World Politics 43(2): Tetlock, Philip, and Aaron Belkin (eds) (1996): Counterfactual Thought Experiments in World Politics: Logical, Methodological, and Psychological Perspectives. Princeton: Princeton University Press. Tetlock, Philip E. (1999): Theory-Driven Reasoning About Plausible Pasts and Probable Futures in World Politics: Are We Prisoners of Our Preconceptions? American Journal of Political Science 43 (2): Lebow, Richard Ned (2000): What's So Different About a Counterfactual? World Politics 52: Tetlock, Philip E., and Richard Net Lebow (2001): Poking Counterfactual Holes in Covering Laws: Cognitive Styles and Historical Reasoning. American Political Science Review 95 (4): Bunzl, Martin (2004): Counterfactual History: A User's Guide. American Historical Review 109 (3): George, Alexander L., and Andrew Bennett (2005): Case Studies and Theory Development in the Social Sciences. Cambridge: MIT Press: Chap. 6. Bennett, Andrew (2008): Process-Tracing: A Bayesian Perspective. In: Box-Steffensmeier, Janet M., Henry Brady and David Collier (eds): Oxford Handbook of Political Methodology. Oxford: Oxford University Press: Week 11: External validity Rohlfing, Ingo: External validity. Chapter 8 of monograph Bunce, Valerie (2000): Comparative Democratization: Big and Bounded Generalizations. Comparative Political Studies 33 (6-7): Lucas, Jeffrey W. (2003): Theory-Testing, Generalization, and the Problem of External Validity. Sociological Theory 21 (3): Rueschemeyer, Dietrich (2003): Can One or a Few Cases Yield Theoretical Gains? In Mahoney, James and Dietrich Rueschemeyer (eds) Comparative Historical Analysis in the Social Sciences. Cambridge: Cambridge University Press: George, Alexander L. and Andrew Bennett (2005): Case Studies and Theory Development in the Social Sciences. Cambridge: MIT Press:

7 V. Comparative Historical Methodology and mixed-methods designs Week 12: It s special, isn t it? Comparative Historical Analysis (CHA) & Comparative Historical Methodology Skocpol, Theda (2003): Doubly Engaged Social Science. In: Mahoney, James and Dietrich Rueschemeyer (eds): Comparative Historical Analysis in the Social Sciences. Cambridge: Cambridge University Press: Mahoney, James and Dietrich Rueschemeyer (2003) (eds.): Comparative Historical Analysis in the Social Sciences. Cambridge: Cambridge University Press. CHA in practice: Skocpol, Theda (1979): States and Social Revolutions. Cambridge: Cambridge University Press. Week 13: Enriching case studies I: Case studies & Qualitative Comparative Analysis (QCA) Rihoux, Benoit and Gisèle De Meur (2008): Crisp-Set Qualitative Comparative Analysis (csqca). In: Rihoux, Benoit and Charles Ragin (eds): Configurational Comparative Methods. Sage: Thousand Oaks: Rohlfing, Ingo, and Carsten Q. Schneider (2009): Combining fuzzy-set QCA and case studies in the analysis of party competition. Paper to be presented at the ECPR General Conference 2009, Potsdam. Further readings on QCA: Rihoux, Benoit, and Charles Ragin (eds.) (2008): Configurational Comparative Methods. Thousand Oaks: Sage. Ragin, Charles C. (2008): Redesigning Social Inquiry. Chicago: Chicago University Press. Schneider, Carsten Q., and Claudius Wagemann (2006): Reducing Complexity in Qualitative Comparative Analysis (QCA): Remote and Proximate Factors and the Consolidation of Democracy. European Journal of Political Research 45 (5): QCA in practice: Fischer, Jörn, André Kaiser, and Ingo Rohlfing (2006): The Push and Pull of Ministerial Resignations in Germany, West European Politics 29 (4): Koenig-Archibugi, Mathias (2004): Explaining Government Preferences for Institutional Change in EU Foreign and Security Policy. International Organization 58 (1): Week 14: Enriching case studies II: Case studies & regression analysis Lieberman, Evan S. (2005): Nested Analysis as a Mixed-Method Strategy for Comparative Research. American Political Science Review 99 (3): Rohlfing, Ingo (2008): What You See and What You Get: Pitfalls and Principles of Nested Analysis in Comparative Research. Comparative Political Studies 41 (11):

8 Coppedge, Michael (1999): Thickening Thin Concepts and Theories - Combining Large N and Small in Comparative Politics. Comparative Politics 31 (4): Bennett, Andrew, and Bear F. Braumoeller (2005): Where the Model Frequently Meets the Road: Combining Statistical, Formal, and Case Study Methods. Working paper. Bäck, Hanna, and Patrick Dumont (2007): Combining Large-N and Small-N Strategies: The Way Forward in Coalition Research. West European Politics 30 (3): Symposium (2007): Multi-Method Work, Dispatches from the Front Lines. APSA Qualitative Methods Newsletter 5 (1): Seawright, Jason, and John Gerring (2008): Case-Selection Techniques in Case Study Research: A Menu of Qualitative and Quantitative Options. Political Research Quarterly 61 (2): Regression and case studies in practice: Howard, Marc M., and Philip G. Roessler (2006): Liberalizing Electoral Outcomes in Competitive Authoritarian Regimes. American Journal of Political Science 50 (2): Fearon, James D., and David Laitin (2008): Integrating Qualitative and Quantitative Methods. Box-Steffensmeier, Janet M., Henry Brady and David Collier (eds.): The Oxford Handbook of Political Methodology. Oxford: Oxford University Press: Bäck, Hanna, Henk Erik Meier, and Thomas Persson (2009): Party Size and Portfolio Payoffs: The Proportional Allocation of Ministerial Posts in Coalition Governments. Journal of Legislative Studies 15 (1): Week 15: Final session: The place of the case study in the methodological toolbox Rohlfing, Ingo: Conclusion. Chapter 9 of monograph - 8 -