Published online by Cambridge University Press: 01 August 2014
This paper is a systematic analysis of the comparative method. Its emphasis is on both the limitations of the method and the ways in which, despite these limitations, it can be used to maximum advantage.
The comparative method is defined and analyzed in terms of its similarities and differences vis-à-vis the experimental and statistical methods. The principal difficulty facing the comparative method is that it must generalize on the basis of relatively few empirical cases. Four specific ways in which this difficulty may be resolved are discussed and illustrated: (1) increasing the number of cases as much as possible by means of longitudinal extension and a global range of analysis, (2) reducing the property space of the analysis, (3) focusing the comparative analysis on “comparable” cases (e.g., by means of area, diachronic, or intranation comparisons), and (4) focusing on the key variables.
It is argued that the case study method is closely related to the comparative method. Six types of case studies (the atheoretical, interpretative, hypothesis-generating, theory-confirming, theory-infirming, and deviant case analyses) are distinguished, and their theoretical value is analyzed.
This article is a revised version of a paper presented to the Round Table Conference on Comparative Politics of the International Political Science Association, held in Turin, Italy, September 10–14, 1969. I am very grateful to David E. Apter, Donald T. Campbell, Robert A. Dahl, Giuseppe Di Palma, Harry Eckstein, Lewis J. Edinger, Samuel E. Finer, Galen A. Irwin, Jean Laponce, Juan J. Linz, Stefano Passigli, Austin Ranney, Stein Rokkan, Dankwart A. Rustow, and Kurt Sontheimer for their comments and suggestions on earlier drafts of the paper, which were very helpful in the preparation of the revision.
1 The reverse applies to the relatively new field of “political behavior”: its name indicates a substantive field of inquiry, but especially the derivative “behaviorism” has come to stand for a general approach or set of methods. See Dahl, Robert A., “The Behavioral Approach in Political Science: Epitaph for a Monument to a Successful Protest,” American Political Science Review, 55 (12, 1961), pp. 763–72CrossRefGoogle Scholar.
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6 Almond, Gabriel A., “Political Theory and Political Science,” American Political Science Review, 60 (12, 1966), pp. 877–78CrossRefGoogle Scholar. Almond also argues that comparative politics is a “movement” in political science rather than a subdiscipline. See his “Comparative Politics,” in International Encyclopedia of the Social Sciences, Vol. 12, pp. 331–36Google Scholar.
7 Kalleberg, op. cit., pp. 72–73; see also pp. 75–78.
8 Sartori, op. cit., p. 1033. See also Lazarsfeld, Paul F. and Barton, Allen H., “Qualitative Measurement in the Social Sciences: Classification, Typologies, and Indices,” in Lerner, Daniel and Lasswell, Harold D., eds., The Policy Sciences: Recent Developments in Scope and Method (Stanford: Stanford University Press, 1951), pp. 155–92Google Scholar.
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10 Goldschmidt, Walter, Comparative Functionalism: An Essay in Anthropological Theory (Berkeley: University of California Press, 1966), p. 4 CrossRefGoogle Scholar. Oscar Lewis argues that “there is no distinctive ‘comparative method’ in anthropology,” and that he therefore prefers to discuss “comparisons in anthropology rather than the comparative method.” See his “Comparisons in Cultural Anthropology” in Thomas, William L. Jr., ed., Current Anthropology (Chicago: University of Chicago Press, 1956), p. 259 Google Scholar.
11 For the idea of discussing the comparative method in relation to these other basic methods, I am indebted to Smelser's, Neil J. outstanding and most enlightening article “Notes on the Methodology of Comparative Analysis of Economic Activity,” Transactions of the Sixth World Congress of Sociology (Evian: International Sociological Association, 1966), Vol. 2, pp. 101–17Google Scholar. For other general discussions of the comparative method, see Moulin, Léo, “La Méthode comparative en Science Politique,” Revue Internationale d'Histoire Politique et Constitutionelle, 7 (01-06, 1957), pp. 57–71 Google Scholar; Nadel, S. F., The Foundations of Social Anthropology (London: Cohen and West, 1951), pp. 222–55Google Scholar; Duverger, Maurice, Méthodes des Sciences Sociales (3rd ed., Paris: Presses Universitaires de France, 1964), pp. 375–99Google Scholar; Whiting, John W. M., “The Cross-Cultural Method,” in Lindzey, Gardner, ed., Handbook of Social Psychology (Reading, Mass.: Addison-Wesley, 1954), Vol. 1, pp. 523–31Google Scholar; Moore, Frank W., ed., Readings in Cross-Cultural Methodology (New Haven, Conn.: HRAF Press, 1961)Google Scholar; Przeworski, Adam and Teune, Henry, The Logic of Comparative Social Inquiry (New York: Wiley-Interscience, 1970)Google Scholar; and Holt, Robert T. and Turner, John E., “The Methodology of Comparative Research,” in Holt, and Turner, , eds., The Methodology of Comparative Research (New York: Free Press, 1970), pp. 1–20 Google Scholar.
12 The case study method will be discussed below.
13 Meehan, Eugene J., The Theory and Method of Political Analysis (Homewood, Ill.: Dorsey Press, 1965)Google Scholar. He expresses this idea in three short sentences: “Science seeks to establish relationships” (p. 35); “Science … is empirical” (p. 37); “Science is a generalizing activity” (p. 43).
14 Lazarsfeld, Paul F., “Interpretation of Statistical Relations as a Research Operation,” in Rosenberg, Lazarsfeld and Morris, eds., The Language of Social Research: A Reader in the Methodology of Social Research (Glencoe, Ill.: Free Press, 1955), p. 115 Google Scholar. However, control by means of partial correlations does not allow for the effects of measurement error or unique factor components: see Brewer, Marilynn B., Crano, William D. and Campbell, Donald T., “Testing a Single-Factor Model as an Alternative to the Misuse of Partial Correlations in Hypothesis-Testing Research,” Sociometry, 33 (03, 1970), pp. 1–11 CrossRefGoogle Scholar. Moreover, partial correlations do not resolve the problem of the codiffusion of characteristics, known in anthropology as “Galton's problem”; see Naroll, Raoul, “Two Solutions to Galton's Problem,” Philosophy of Science, 28 (01, 1961), pp. 15–39 CrossRefGoogle Scholar, and Przeworski and Teune, op. cit., pp. 51–53.
15 Nagel, Ernest, The Structure of Science (New York: Harcourt, Brace, and World, 1961), pp. 452f.Google Scholar
16 For instance, if the groups are made equivalent by means of deliberate randomization, the investigator knows that they are alike with a very high degree of probability, but not with absolute certainty. Moreover, as Hubert M. Blalock, Jr., states, so-called “forcing variables” cannot be controlled by randomization. See his Causal Inferences in Nonexperimental Research (Chapel Hill: University of North Carolina Press, 1964), pp. 23–26 Google Scholar. In general, Blalock emphasizes “the underlying similarity between the logic of making causal inferences on the basis of experimental and nonexperimental designs” (p. 26).
17 Lazarsfeld, , “Interpretation of Statistical Relations as a Research Operation,” p. 119 Google Scholar. Talcott Parsons makes a similar statement with regard to the comparative method: “Experiment is … nothing but the comparative method where the cases to be compared are produced to order and under controlled conditions.” See his The Structure of Social Action (2nd ed., New York: Free Press, 1949), p. 743 Google Scholar. Another advantage of the experimental method is that the time variable is controlled, which is especially important if one seeks to establish causal relationships. In statistical design, this control can be approximated by means of the panel method.
18 In order to highlight the special problems arising from the availability of only a small number of cases, the comparative method is discussed as a distinct method. Of course, it can be argued with equal justice that the comparative and statistical methods should be regarded as two aspects of a single method. Many authors use the term “comparative method” in the broad sense of the method of multivariate empirical, but nonexperimental, analysis, i.e., including both the comparative and statistical methods as defined in this paper. This is how A. R. Radcliffe-Brown uses the term when he argues that “only the comparative method can give us general propositions.” ( Brown, , “The Comparative Method in Social Anthropology,” Journal of the Royal Anthropological Institute of Great Britain and Ireland, 81 [1951], p. 22.Google Scholar) Émile Durkheim also follows this usage when be declares that “comparative sociology is not a particular branch of sociology; it is sociology itself, in so far as it ceases to be purely descriptive and aspires to account for facts.” ( Durkheim, , The Rules of Sociological Method, translated by Solovay, Sarah A. and Mueller, John H., [8th ed., Glencoe, Ill.: Free Press, 1938], p. 139.Google Scholar) See also the statements by Lasswell and Almond cited above. Rodney Needham combines the two terms, and speaks of “large-scale statistical comparison,” i.e., the statistical method. ( Needham, , “Notes on Comparative Method and Prescriptive Alliance,” Bijdragen tot de Taal-, Land- en Volkenkunde, 118 [1962], pp. 160–82.CrossRefGoogle Scholar) On the other hand, E. E. Evans-Pritchard uses exactly the same terminology as used by Smelser and as adopted in this paper, when he makes a distinction between “small-scale comparative studies” and “large-scale statistical ones.” See his The Comparative Method in Social Anthropology (London: Athlone Press, 1963), p. 22 Google Scholar.
19 Beer, Samuel H., “The Comparative Method and the Study of British Politics,” Comparative Politics, 1 (10, 1968), p. 19 CrossRefGoogle Scholar.
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23 Hopkins, Terence K. and Wallerstein, Immanuel, “The Comparative Study of National Societies,” Social Science Information, 6 (10, 1967), pp. 27–33 CrossRefGoogle Scholar (italics added). See also Przeworski and Teune, op. cit., pp. 34–43.
24 He adds: “This is a very naive conception of social science propositions; if only perfect correlations should be permitted social science would not have come very far.” Galtung, Johan, Theory and Methods of Social Research (Oslo: Universitetsforlaget, 1967), p. 505 Google Scholar. The functions of deviant case analysis will be discussed below.
25 Mackenzie, W. J. M., Politics and Social Science (Harmondsworth: Penguin Books, 1967), p. 52 Google Scholar. I have been guilty of committing this fallacy myself. In my critique of Giovanni Sartori's proposition relating political instability to extreme multipartism (systems with six or more significant parties), one of my arguments consists of the deviance of a single historical case: the stable six-party system of the Netherlands during the interwar years. See Lijphart, Arend, “Typologies of Democratic Systems,” Comparative Political Studies, 1 (04, 1968), pp. 32–35 CrossRefGoogle Scholar.
26 It is clearly incorrect, therefore, to argue that on logical grounds a probabilistic generalization can never be invalidated; cf. Guenter Lewy's statement: “To be sure, a finding of a very large number of … [deviant cases] would cast doubt upon the value of the proposition, but logically such evidence would not compel its withdrawal. The test of the hypothesis by way of a confrontation with empirical or historical data remains inconclusive.” Lewy, , “Historical Data in Comparative Political Analysis: A Note on Some Problems of Theory,” Comparative Politics, 1 (10, 1968), p. 109 CrossRefGoogle Scholar.
27 Furthermore, unless one investigates all available cases, one is faced with the problem of how representative one's limited sample is of the universe of cases.
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31 Lazarsfeld and Barton, op. cit., pp. 172–75; Barton, “The Concept of Property-Space in Social Research,” in Lazarsfeld and Rosenberg, op. cit., pp. 45–50.
32 Smelser, op. cit., p. 113. Holt and Turner refer to this strategy as the process of “specification” (op. cit., pp. 11–13). It is probably also what Eisenstadt has in mind when he mentions the possibility of constructing “special intensive comparisons of a quasi-experimental nature” (op. cit., p. 424). See also Scheuch, Erwin K., “Society as Context in Cross-Cultural Comparison,” Social Science Information, 6 (10, 1967), esp. pp. 20–23 CrossRefGoogle Scholar; Mackenzie, op. cit., p. 151; Eggan, Fred, “Social Anthopology and the Method of Controlled Comparison,” American Anthropologist, 56 (10, 1954), pp. 743–63CrossRefGoogle Scholar; and Ackerknecht, Erwin, “On the Comparative Method in Anthropology,” in Spencer, Robert F., ed., Method and Perspective in Anthropology (Minneapolis: University of Minnesota Press, 1954), pp. 117–25Google Scholar.
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37 Durkheim, op. cit., pp. 129–30. But he hailed the method of concomitant variations, which he evidently interpreted to mean a combination of the statistical and comparative methods, as “the instrument par excellence of sociological research” (p. 132). See also Bourricaud, François, “Science Politique et Sociologie: Réflexions d'un Sociologue,” Revue Française de Science Politique, 8 (06, 1958), pp. 251–63CrossRefGoogle Scholar.
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51 Lasswell, op. cit., p. 6.
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57 See also the proposed use of “multiple comparison groups,” as an approximation of the experimental method, by Glazer, Barney G. and Strauss, Anselm L., “Discovery of Substantive Theory: A Basic Strategy Underlying Qualitative Research,” American Behavioral Scientist, 8 (02, 1965), pp. 5–12 CrossRefGoogle Scholar.
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60 As Przeworski and Teune state: “The main role of a theory is to provide explanations of specific events. These explanations consist of inferring, with a high degree of probability, statements about particular events from general statements concerning classes of events” (p. 86).
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62 Naroll, , “Scientific Comparative Politics and International Relations,” p. 336 Google Scholar. An example of such a case study is my analysis of the determinants of Dutch colonialism in West Irian. In most cases, both objective (especially economic) and subjective factors can be discerned, but the case of West Irian is unique because of the complete absence of objective Dutch interests in the colony. See Lijphart, , The Trauma of Decolonization: The Dutch and West New Guinea (New Haven: Yale University Press, 1966)Google Scholar.
63 See Kendall, Patricia L. and Wolf, Katherine M., “The Analysis of Deviant Cases in Communications Research,” in Lazarsfeld, and Stanton, Frank, eds., Communications Research: 1948–49 (New York: Harper, 1949), pp. 152–57Google Scholar; Sjoberg, op. cit., pp. 114–15; and Lijphart, , The Politics of Accommodation: Pluralism and Democracy in the Netherlands (Berkeley: University of California Press, 1968)CrossRefGoogle Scholar, chapter 10.
64 This process of refining generalizations through deviant case analysis is what Robert M. Marsh calls “specification.” See his article “The Bearing of Comparative Analysis on Sociological Theory,” Social Forces, 43 (12, 1964), pp. 191–96Google Scholar. Specification should therefore definitely not be regarded as “the garbage bin” of comparative research; see Kottak, Conrad Phillip, “Towards a Comparative Science of Society,” Comparative Studies in Society and History, 12 (01, 1970), p. 102 CrossRefGoogle Scholar. See also Gordon, Milton M., “Sociological Law and the Deviant Case,” Sociometry, 10 (08, 1947), pp. 250–58CrossRefGoogle Scholar; and Köbben, André J. F., “The Logic of Cross-Cultural Analysis: Why Exceptions?”, in Rokkan, , ed., Comparative Research Across Cultures and Nations (Paris: Mouton, 1968), pp. 17–53 CrossRefGoogle Scholar.
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67 In one respect, it is not altogether correct to call the Norwegian case study a theory-confirming study. Because the congruence theory has a rather narrow empirical basis, consisting chiefly of only two cases (Britain and Germany), it is a hypothesis rather than an established theory. The case study of Norway is, of course, not a hypothesis-generating study either. Perhaps it should be called a “hypothesis-strengthening” case study or, as Eckstein himself suggests, a “plausibility probe” (oral comment at the IPSA Round Table Conference in Turin, September 1969).
68 Eckstein, , A Theory of Stable Democracy, Research Monograph No. 10 (Princeton, N.J.: Center of International Studies, 1961)Google Scholar.
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