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Foundations of Set-Theoretic and Case-Oriented Methods

Course Dates and Times

Friday 14 February 13:00–15:00 and 15:30–18:00

Saturday 15 February 09:00–12:30 and 14:00–17:30

Eva Thomann

eva.thomann@uni-konstanz.de

Institution: Universität Konstanz

This course introduces you to the logic and foundations of case-oriented and set-theoretic methods.

It is particularly useful preparation for the main courses on process tracing, comparative research design, and Qualitative Comparative Analysis (QCA).

We will discuss perspectives on causality, case-orientation in empirical social research, and the main features of set-theoretic methods.

We will reflect on different types of research questions, evidence and observations, causal complexity, causal effects, causal mechanisms, and context. The course then covers basics of set theory, measurement and set calibration, logical operations, and the logic of necessary and sufficient conditions as set relations. We will apply these notions by looking at different ways of defining, structuring, and operationalising concepts and cases.

For those taking the QCA course, the lab session includes a (mandatory) introduction to the R software environment. For all other participants, the lab session will provide the opportunity for problem-based learning in groups. We'll look at different areas of application.

Tasks for ECTS Credits

1 credit (pass/fail grade). Attend at least 90% of course hours, participate fully in in-class activities, and carry out the necessary reading and/or other work prior to, and after, class.

Instructor Bio

Eva Thomann is a Senior Lecturer at the Department of Politics of the University of Exeter who specialises in Public Policy and Public Administration. Previously she held research positions at the University of Bern, the Mannheim Centre for European Social Research, the University of Heidelberg, and the European University Institute in Florence.

Eva is the first author of Designing Research with Qualitative Comparative Analysis (QCA). and the award-winning monograph Customized implementation of European Union food safety policy: United in diversity?

She has published extensively on case-oriented and set-theoretic research methods, policy implementation, and Europeanisation using innovative case-oriented and set-theoretic methodology such as Enhanced Standard Analysis, formal set-theoretic theory evaluation, robustness tests, large-N QCA, congruence analysis, explanatory typologies, and Comparative Multilevel Analysis.

Eva Thomann teaches case-oriented and set-theoretic methods at doctoral schools, invited workshops, and at MA level. She serves in various international networks and contributes to the development of pedagogical resources and other innovations in the use and teaching of QCA. See her personal website

@EvaThomann

This course introduces you to the logic and basics of case-oriented and set-theoretic methods. It is useful preparation for the main courses on process tracing and comparative case study design, and Qualitative Comparative Analysis (QCA).

Attendance is mandatory for those taking the main course Introduction to Qualitative Comparative Analysis (QCA).

By the end of the course, you will:

Be able to situate your case-oriented/ set-theoretic research within the plurality of approaches and methodologies in social science research, and identify areas of application
Have a basic understanding of the logical underpinnings, basic notions and analytical goals of case-oriented and set-theoretic methodology
Be familiar with a selection of classic and recent key readings about case-oriented and set-theoretic methodology
Understand, and be able to apply, basic notions of set theory, set calibration and set-theoretic concept formation in real-life research settings
Be able to critically evaluate case-oriented and set-theoretic research with regard to their logical and analytical underpinnings
Be prepared for the main courses on process tracing, comparative case study design, or Qualitative Comparative Analysis (QCA)

The course has an introductory and preparatory focus. It will not provide you with specific methods skills yet, but introduce you to the underlying logic of case-oriented and set-theoretic methods.

The R lab session will not give you sufficient skills to independently perform empirical data analysis with R; instead, it will familiarise you with the very basic operational features of R in R studio, and give you an opportunity to gain a first experience in working with empirical datasets in R.

Session 1
An introduction to basic notions of case-oriented research.

What kind of perspective do such methods adopt?
Why would we want to adopt such a perspective?

We start by identifying different epistemological perspectives in the social sciences and situation case-oriented and set-theoretic research therein. We will then reflect on different types of goals of research and research questions, and how they serve to disentangle different empirical patterns in terms of causal effects or causal mechanisms.

We will also look at and contrast different types of evidence and observations to be used in such analyses, as well as the nature and role of context.

Session 2
We cover he basics of set-theoretic methodology. We start by defining what it means to think of social phenomena as sets, look into types of sets (crisp, fuzzy, multi-value), and how we can attribute empirical cases to sets (calibration).

Next, we get familiar with logical operations on sets, and relations between sets. This leads us to discuss the logic of necessary and sufficient conditions and its applicability in the theory and practice of social science research. Based on this, we will contrast different perspectives on causation (probabilistic versus deterministic, symmetric versus asymmetric).

Session 3

We start to think about the notion of causal complexity. What does it mean when we encounter equifinality and conjunctural patterns in the social world?

In particular, this session introduces you to the notion of INUS and SUIN conditions. We will think of complex combinations of sets in Boolean Algebraic terms, and briefly discuss rules for combining logical operators.

Session 4

We apply these notions by looking at different ways of defining, structuring, and operationalising concepts and cases.

We will discuss the multi-level nature of concepts and how many concepts (for example, definitions of policy target groups or of democracy) are set-theoretic in nature. We will briefly discuss the principles of 'casing', ie, the definition of cases.

Session 5

Lab session. For those on the QCA course, this session includes a mandatory introduction to the R software environment. All other participants will work on a problem-based exercise about set-theoretic concept formation in groups, and prepare an informal presentation of around five minutes' duration, in preparation for Session 6.

Session 6

A wrap-up and outlook on areas of application. We begin by discussing possible solutions to the problem-based exercise of Session 5 and offering constructive feedback.

After that, we look at areas of applying case-oriented and set-theoretic methods in empirical social research, such as process tracing, typologies, and configurational comparative methods. We discuss some possible pitfalls and hands-on advice to tackle them.

You should have basic knowledge of empirical social research design. In particular, the course assumes you know the meaning of:

Theory, hypothesis
Empirical research, data
Case, observations
Variable, explanans, explanandum
Measurement, operationalisation
Qualitative and quantitative empirical techniques

Day	Topic	Details
Friday afternoon 13:00–15:00 and 15:30–18:00 = 4.5 hours	Session 1 (lecture room) Case-oriented research Session 2 (lecture room) Set-theoretic methodology	Session 1 Situating case-oriented methods in the methods space Types of research questions and goals Types of evidence (mechanistic, probabilistic, difference-making) Context, effects, and mechanisms Session 2 Introducing the set-theoretic perspective Sets and set calibration Basic logical operators Set relations: necessity and sufficiency Deterministic (set relations) versus probabilistic (mean effects) patterns
Saturday morning 9:00–10:30 & 11:00–12:30 = 3 hours	Session 3 (lecture room) Causal complexity Session 4 (lecture room) Concepts and cases	Session 3 INUS and SUIN conditions Causal complexity (configurations, asymmetry, equifinality) Rules for combining logical operators Session 4 Defining, structuring and measuring concepts and cases
Saturday afternoon 14:00–15:30 & 16:00–17:30 = 3 hours	Session 5 (lab room) Group 1: Introduction to basics of R (for participants of the main course on QCA / interested in R) Group 2: Problem-based learning (for participants not interested in R) Session 6 (lecture room) Wrap-up and outlook	The class will be split into two groups Session 5 Group 1 (guided lab session) Computer lab. Introduction to basics of R in R studio Group 2 (independent lab session) You will work independently on a problem-based exercise, and prepare a short, informal presentation for Session 6. Session 6 Presentation and discussion of results of Group 2 Overview of areas of application of case-oriented and set-theoretic social science research: process tracing, typologies, configurational comparative methods. Possible pitfalls and practical guidance Q&A

Day

Topic

Details

Friday afternoon 13:00–15:00 and 15:30–18:00 = 4.5 hours

Session 1 (lecture room) Case-oriented research Session 2 (lecture room) Set-theoretic methodology

Session 1

Situating case-oriented methods in the methods space
Types of research questions and goals
Types of evidence (mechanistic, probabilistic, difference-making)
Context, effects, and mechanisms

Session 2

Introducing the set-theoretic perspective
Sets and set calibration
Basic logical operators
Set relations: necessity and sufficiency
Deterministic (set relations) versus probabilistic (mean effects) patterns

Saturday morning 9:00–10:30 & 11:00–12:30 = 3 hours

Session 3 (lecture room) Causal complexity Session 4 (lecture room) Concepts and cases

Session 3

INUS and SUIN conditions
Causal complexity (configurations, asymmetry, equifinality)
Rules for combining logical operators

Session 4

Defining, structuring and measuring concepts and cases

Saturday afternoon 14:00–15:30 & 16:00–17:30 = 3 hours

Session 5 (lab room) Group 1: Introduction to basics of R (for participants of the main course on QCA / interested in R) Group 2: Problem-based learning (for participants not interested in R) Session 6 (lecture room) Wrap-up and outlook

The class will be split into two groups

Session 5

Group 1 (guided lab session)
Computer lab. Introduction to basics of R in R studio

Group 2 (independent lab session)
You will work independently on a problem-based exercise, and prepare a short, informal presentation for Session 6.

Session 6

Presentation and discussion of results of Group 2
Overview of areas of application of case-oriented and set-theoretic social science research: process tracing, typologies, configurational comparative methods.
Possible pitfalls and practical guidance
Q&A

Day	Readings
Friday afternoon	Compulsory readings Blatter, J. and T. Blume (2008) In Search of Co-variance, Causal Mechanisms or Congruence? Towards a Plural Understanding of Case Studies Swiss Political Science Review 14(2): 315–356 Mahoney, J. and R. Sweet Vanderpoel (2015) Set Diagrams and Qualitative Research Comparative Political Studies 48(1): 65–100 Falletti, T. and J. Lynch (2009) Context and Causal Mechanisms in Political Analysis Comparative Political Studies 42(9): 1143–1166 Ragin, C.C. (2004) Turning the tables: how case-oriented research challenges variable-oriented research In: Brady, H.E. and Collier, D., (Eds.) Rethinking social inquiry: diverse tools, shared standards, pp. 123–138 Lanham, MD: Rowman & Littlefield Publishers, Inc. Schneider, C. Q., and C. Wagemann (2012) Set-Theoretic Methods for the Social Sciences. A Guide to Qualitative Comparative Analysis New York: Cambridge University Press, pp. 23–34 Further optional readings Beach, D. (2016) It's all about mechanisms–what process-tracing case studies should be tracing New Political Economy 21(5): 463–472 Della Porta, D. and M. Keating (2008) How many approaches in the social sciences? An epistemological introduction In Della Porta, D. and Keating, M. (eds.). Approaches and Methodologies in the Social Sciences. A Pluralist Perspective, pp19–39 Cambridge: Cambridge University Press Goertz, G. (1994) Contexts of International Politics, pp. 1–51 Cambridge University Press Goertz, G. (2017) Multimethod Research, Causal Mechanisms, and Case Studies: An Integrated Approach, pp. 29–57 (causal mechanisms) Princeton University Press Mackie, J.L. (1965) Causes and Conditions American Philosophical Quarterly 2 (4):245–64 Mahoney, J., and G. Goertz (2006) A Tale of Two Cultures: Contrasting Quantitative and Qualitative Research Political Analysis 14(3): 227–249 Ragin, C.C. (2008) Measurement versus calibration: a set-theoretic approach In Box-Steffensmeier, J. M., Brady, H.E. and D. Collier, The Oxford Handbook of Political Methodology, pp174–198 Oxford Handbooks Online Rohlfing, I. and C.Q. Schneider (2018) A unifying framework for causal analysis in set-theoretic multimethod research Sociological Methods & Research 47(1): 37–63 Rohlfing, I. and C.I. Zuber (2019) Check your truth conditions! Clarifying the relationship between theories of causation and social science methods for causal inference Sociological Methods & Research Toshkov, D. (2016) Types of research and research questions In Research Design in Political Science, pp23–55 Basingstoke: Palgrave
Saturday morning	Compulsory readings Adcock, R., and D. Collier (2001) Measurement Validity: A Shared Standard for Qualitative and Quantitative Research The American Political Science Review 95(3):529–546 Goertz, G. (2006) Structuring and theorizing concepts In: Goertz, G. (Ed.) Social Science Concepts. A User’s Guide, pp27–69 Princeton: Princeton University Press Mahoney, J. Kimball, E. and K.L. Koivu (2009) The logic of historical explanation in the social sciences Comparative Political Studies 42(1): 114–146 Schneider, C. Q., and C. Wagemann (2012) Set-Theoretic Methods for the Social Sciences. A Guide to Qualitative Comparative Analysis, pp. 42–90 New York: Cambridge University Press Further optional readings Barrenechea, R., & I. Castillo. (2019) The many roads to Rome: family resemblance concepts in the social sciences Quality & Quantity 53(1): 107–130 Baumgartner, M. (2009) Inferring causal complexity Sociological Methods & Research 38(1): 71–101 Gerring, J. (1999) What makes a concept good? A criterial framework for understanding concept formation in the social sciences Polity 31(3): 357–393 Goertz, G. (2006) Concept Intension and Extension In: Social Science Concepts. A User’s Guide, pp69–94 Princeton: Princeton University Press Goertz, G. and J. Mahoney. (2005) Two-level theories and fuzzy-set analysis Sociological Methods & Research 33(4): 497–538 Goertz, G. and J. Mahoney. (2009) Scope in case study research In Byrne, D. and C.C. Ragin (Eds). The Sage Handbook of Case based Methods, pp307–318 London: Sage Lazarsfeld, P.F. and A. Barton. (1965) Qualitative measurement in the social sciences: classification, typologies, and indices In Lerner, D. and Lasswell, H.D. (Eds). The Policy Sciences, pp155–192 Stanford: Stanford University Press Mahoney, J. (2008) Toward a unified theory of causality Comparative Political Studies 41(4–5): 412–436 Ragin, C. C. and H.S. Becker (Eds.) (1992) What is a case? Exploring the foundations of social inquiry, pp. 1–18, 217–226 Cambridge: Cambridge University Press
Saturday afternoon	Compulsory readings Bennett, A. and C. Elman (2006) Qualitative research: Recent developments in case study methods Annual Review of Political Science 9: 455–476 ► For those taking the main course Introduction to Qualitative Comparative Analysis (QCA) Thomann, E. Oana, E. and S. Wittwer. 2018. Performing fuzzy- and crisp set QCA with R: A user-oriented beginner’s guide Chapter 1 Further optional readings Collier, D., LaPorte, J., & Seawright, J. (2012) Putting typologies to work: Concept formation, measurement, and analytic rigor Political Research Quarterly 65(1): 217–232 Duşa, A. (2018) QCA with R. A Comprehensive Resource New York: Springer International Publishing Mahoney, J. (2010) After KKV: The new methodology of qualitative research World Politics 62(1): 120–147 Møller, J. and S.E. Skaaning. (2018) Set-theoretic methods in democratization research: an evaluation of their uses and contributions Democratization, 1–19 Møller, J. and S.E. Skaaning (2017) Explanatory typologies as a nested strategy of inquiry: combining cross-case and within-case analyses Sociological Methods & Research 46(4): 1018–1048

Day

Readings

Friday afternoon

Compulsory readings

Blatter, J. and T. Blume (2008)
In Search of Co-variance, Causal Mechanisms or Congruence? Towards a Plural Understanding of Case Studies
Swiss Political Science Review 14(2): 315–356

Mahoney, J. and R. Sweet Vanderpoel (2015)
Set Diagrams and Qualitative Research
Comparative Political Studies 48(1): 65–100

Falletti, T. and J. Lynch (2009)
Context and Causal Mechanisms in Political Analysis
Comparative Political Studies 42(9): 1143–1166

Ragin, C.C. (2004)
Turning the tables: how case-oriented research challenges variable-oriented research
In: Brady, H.E. and Collier, D., (Eds.) Rethinking social inquiry: diverse tools, shared standards, pp. 123–138
Lanham, MD: Rowman & Littlefield Publishers, Inc.

Schneider, C. Q., and C. Wagemann (2012)
Set-Theoretic Methods for the Social Sciences. A Guide to Qualitative Comparative Analysis
New York: Cambridge University Press, pp. 23–34

Further optional readings

Beach, D. (2016)
It's all about mechanisms–what process-tracing case studies should be tracing
New Political Economy 21(5): 463–472

Della Porta, D. and M. Keating (2008)
How many approaches in the social sciences? An epistemological introduction
In Della Porta, D. and Keating, M. (eds.). Approaches and Methodologies in the Social Sciences. A Pluralist Perspective, pp19–39
Cambridge: Cambridge University Press

Goertz, G. (1994)
Contexts of International Politics, pp. 1–51
Cambridge University Press

Goertz, G. (2017)
Multimethod Research, Causal Mechanisms, and Case Studies: An Integrated Approach, pp. 29–57 (causal mechanisms)
Princeton University Press

Mackie, J.L. (1965)
Causes and Conditions
American Philosophical Quarterly 2 (4):245–64

Mahoney, J., and G. Goertz (2006)
A Tale of Two Cultures: Contrasting Quantitative and Qualitative Research
Political Analysis 14(3): 227–249

Ragin, C.C. (2008)
Measurement versus calibration: a set-theoretic approach
In Box-Steffensmeier, J. M., Brady, H.E. and D. Collier, The Oxford Handbook of Political Methodology, pp174–198
Oxford Handbooks Online

Rohlfing, I. and C.Q. Schneider (2018)
A unifying framework for causal analysis in set-theoretic multimethod research
Sociological Methods & Research 47(1): 37–63

Rohlfing, I. and C.I. Zuber (2019)
Check your truth conditions! Clarifying the relationship between theories of causation and social science methods for causal inference
Sociological Methods & Research

Toshkov, D. (2016)
Types of research and research questions
In Research Design in Political Science, pp23–55
Basingstoke: Palgrave

Saturday morning

Compulsory readings

Adcock, R., and D. Collier (2001)
Measurement Validity: A Shared Standard for Qualitative and Quantitative Research
The American Political Science Review 95(3):529–546

Goertz, G. (2006)
Structuring and theorizing concepts
In: Goertz, G. (Ed.) Social Science Concepts. A User’s Guide, pp27–69
Princeton: Princeton University Press

Mahoney, J. Kimball, E. and K.L. Koivu (2009)
The logic of historical explanation in the social sciences
Comparative Political Studies 42(1): 114–146

Schneider, C. Q., and C. Wagemann (2012)
Set-Theoretic Methods for the Social Sciences. A Guide to Qualitative Comparative Analysis, pp. 42–90
New York: Cambridge University Press

Further optional readings

Barrenechea, R., & I. Castillo. (2019)
The many roads to Rome: family resemblance concepts in the social sciences
Quality & Quantity 53(1): 107–130

Baumgartner, M. (2009)
Inferring causal complexity
Sociological Methods & Research 38(1): 71–101

Gerring, J. (1999)
What makes a concept good? A criterial framework for understanding concept formation in the social sciences
Polity 31(3): 357–393

Goertz, G. (2006)
Concept Intension and Extension
In: Social Science Concepts. A User’s Guide, pp69–94
Princeton: Princeton University Press

Goertz, G. and J. Mahoney. (2005)
Two-level theories and fuzzy-set analysis
Sociological Methods & Research 33(4): 497–538

Goertz, G. and J. Mahoney. (2009)
Scope in case study research
In Byrne, D. and C.C. Ragin (Eds). The Sage Handbook of Case based Methods, pp307–318
London: Sage

Lazarsfeld, P.F. and A. Barton. (1965)
Qualitative measurement in the social sciences: classification, typologies, and indices
In Lerner, D. and Lasswell, H.D. (Eds). The Policy Sciences, pp155–192
Stanford: Stanford University Press

Mahoney, J. (2008)
Toward a unified theory of causality
Comparative Political Studies 41(4–5): 412–436

Ragin, C. C. and H.S. Becker (Eds.) (1992)
What is a case? Exploring the foundations of social inquiry, pp. 1–18, 217–226
Cambridge: Cambridge University Press

Saturday afternoon

Compulsory readings

Bennett, A. and C. Elman (2006)
Qualitative research: Recent developments in case study methods
Annual Review of Political Science 9: 455–476

► For those taking the main course Introduction to Qualitative Comparative Analysis (QCA)

Thomann, E. Oana, E. and S. Wittwer. 2018. Performing fuzzy- and crisp set QCA with R: A user-oriented beginner’s guide Chapter 1

Further optional readings

Collier, D., LaPorte, J., & Seawright, J. (2012)
Putting typologies to work: Concept formation, measurement, and analytic rigor
Political Research Quarterly 65(1): 217–232

Duşa, A. (2018)
QCA with R. A Comprehensive Resource
New York: Springer International Publishing

Mahoney, J. (2010)
After KKV: The new methodology of qualitative research
World Politics 62(1): 120–147

Møller, J. and S.E. Skaaning. (2018)
Set-theoretic methods in democratization research: an evaluation of their uses and contributions
Democratization, 1–19

Møller, J. and S.E. Skaaning (2017)
Explanatory typologies as a nested strategy of inquiry: combining cross-case and within-case analyses
Sociological Methods & Research 46(4): 1018–1048

Software Requirements

R and Rstudio (freeware; latest versions)

Hardware Requirements

None

Literature

Beach, D. and R.B. Pedersen (2016)
Causal case study methods: Foundations and guidelines for comparing, matching, and tracing
University of Michigan Press

Blatter, J. and M. Haverland (2012)
Designing Case Studies: Explanatory Approaches in Small-N Research
Basingstoke: Palgrave Macmillan

Byrne, D. and C.C. Ragin (2009)
The Sage handbook of case-based methods
Los Angeles: Sage Publications

Goertz, G. (1994)
Contexts of international politics
Cambridge: Cambridge University Press

Goertz, G. (2006)
Social Science Concepts. A User's Guide
Princeton, NJ: Princeton University Press

Ragin, C. C., & Becker, H. S. (Eds.). (1992)
What is a case? Exploring the foundations of social inquiry
Cambridge University Press

Ragin, C.C. (1987/2014)
The comparative method: Moving beyond qualitative and quantitative strategies
University of California Press

Ragin, C.C. (2000)
Fuzzy-set social science
University of Chicago Press

Rohlfing, I. (2012)
Case Studies and Causal Inference: an integrative framework
Palgrave Macmillan

Thomamm, E. (2019)
Customized Implementation of European Food Safety Policy: United in Diversity?
Palgrave Macmillan, International Series on Public Policy

Toshkov, D. (2016)
Research design in political science
Palgrave Macmillan

Recommended Courses to Cover Before this One

Summer School

R Basics

Recommended Courses to Cover After this One

Summer School

Multi-Method Research: Techniques and Applications
Case Study Research: Method and Practice
Process Tracing Methodology
Qualitative Comparative Analysis and Fuzzy Sets
Qualitative Data Analysis: Concepts and Approaches
Knowing and the Known: The Philosophy and Methodology of the Social Sciences

Winter School

Introduction to Qualitative Comparative Analysis (QCA)
Tools for the Analysis of Complex Social Systems: An Introduction
Working with Concepts in the Social Sciences
Comparative Research Designs
Introduction to Process Tracing
Process Tracing Methods

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Foundations of Set-Theoretic and Case-Oriented Methods

Course Dates and Times

Instructor Bio

@EvaThomann

Compulsory readings

Further optional readings

Compulsory readings

Further optional readings

Compulsory readings

► For those taking the main course Introduction to Qualitative Comparative Analysis (QCA)

Further optional readings

Software Requirements

Hardware Requirements

Literature

Recommended Courses to Cover Before this One

Recommended Courses to Cover After this One