CASE STUDY RESEARCH

JOEL M. DURBAN, Ph.D.

■ An approach to research that facilitates exploration of a phenomenon within its context using a variety of data sources (Baxter and Jack, 2008).

■ Refers to a broad array of approaches most often used for observing an individual and reporting on their interactions with variables of interest (e.g., life events, psychological intervention, and so on) (Nock, Michel and Photos, 2007).

■ A “systematic inquiry into an event or a set of related events which aims to describe and explain the phenomenon of interest (Bromley, 1990 cited in Zucker, 2009).

■ A detailed intensive study of a unit, person or organization that stresses factors contributing to its success or failure; an exemplary or cautionary model; an instructive model.

Twofold definition of case study (Yin, 2014)

1. A case study is an empirical inquiry that1. Investigates a contemporary phenomenon (the ‘case’) in depth

and within its real-world context, especially when2. The boundaries between phenomenon and context may not be

clearly evident. 2. A case study inquiry

1. Copes with the technically distinctive situation in which there will be many more variables of interest than data points, and as a result

2. Relies on multiple sources of evidence, with data needing to converge in a triangulating fashion, and as a result

3. Benefits from the prior development of theoretical propositions to guide data collection and analysis.

Philosophical Underpinnings

■Constructivist Paradigm (Miller and Crabtree, 1999 as cited by Baxter & Jack, 2008)

– Claims that truth is relative and that it is dependent on one’s perspective.

– Recognizes the importance of the subjective human creation of meaning, but doesn’t reject outright some notion of objectivity.

– Pluralism, not relativism, is stressed with focus on the circular dynamic tension of subject and object

Components of Case Study (Yin, 2014)

■ The research question(s) - Case studies are most appropriate for research questions that are of the “how” and “why” variety

■ The proposition – are statements that help direct attention to something that should be examined in the case study. It tells the researcher where to look for relevant evidence.

■ Some studies may not have propositions –this implies a topic of “exploration”

■ Note: Even exploratory studies should have both clearly-stated purposes and clearly-stated criteria for success

■The unit(s) of analysis ■ The unit of analysis defines what a “case” is in a case study. Example: a

unit of analysis (case) may be an individual, and the case study may be the life history of that person

■ Other units of analysis include decisions, social programs, processes, changes

■ Note: It is important to clarify the definition of these cases as they may be subjective, e.g. the beginning and end points of a process

■ What unit of analysis to use generally depends on the primary research questions

■ Once defined, the unit of analysis can still be changed if desired, e.g. as a result of discoveries based on data

■ To compare results with previous studies (or allow others to compare results with yours), try to select a unit of analysis that is or can be used by others

Examples of Unit of Analysis

■For the Study of the Level of ICT Integration among SPED Schools– Schools

■Leadership and Management Styles Among School Administrators– Administrators; Principals; School Heads

■Medical Care of Successful Hospitals– The process of medical care

■ A determination of how the data are linked to the proposition – Logic or reasoning to link data to propositions– One of the least well developed components in case studies– Many ways to perform this, but none as precisely defined as the

treatment/subject approach used in experiments– One possibility is pattern matching

■ Describe several potential patterns, then compare the case study data to the patterns and see which one is closer

■ Criteria to interpret the findings– Need criteria for interpreting a study’s findings– Also a relatively undeveloped component in case studies– Statistical tests not possible when only single data points are

captured (as is the case with single-case studies)■ Currently there is no precise way of setting the criteria for interpreting

these types of findings

When to use a Case Study approach?

■The focus of the study is to answer “how” and “why” questions;

■You cannot manipulate the behavior of those involved in the study;

■You want to cover contextual conditions because you believe they are relevant to the phenomenon under study; or

■The boundaries are not clear between the phenomenon and context.

STEPS IN CONDUCTING A CASE STUDY

(TEACHING AND LEARNING UNIT, UNIVERSITY OF MELBOURNE, 2010)

step 1: Establish the broad case to investigate

■Before embarking on a case study, ask yourself:

– Can I gain access of the data?– Is there enough literature on the chosen subject?– Is too much information already available?– Will you be able to conduct the study in your

available time?

Step 2: Determine and Define the Research Question(s)

■Once the case has been identified or the focus of the study has been identified, you form questions about the situation or problem to be studied and determine the purpose of the study.

■Most research question begin with: how, why, what or can, and they are clearly formulated, narrow and researchable.

■A research statement can be used to guide your investigation.

■If the research question has been identified, you need to do an extensive literature review to find what others have done in this area.

Step 3: Select the precise case(s) to be used

■Choose a precise case (or cases) to study.■A single case might be the operation of a certain

library. A multiple case might involve looking at several different university libraries.

■When using multiple cases, you need to treat each case as a single case. Devote a chapter or section of your study to each case.

■The conclusions from each case can then be used as information to the whole study, but each case should remain separate in your treatment.

■ It is useful to select cases that:

– Represent a variety of geographic regions– Represent a variety of size parameters (i.e., big and

small libraries)– Represent different libraries (using parameters such

as number of borrowed books in a particular period; number of users in a certain period).

Step 4: Determine Data Gathering and Analysis Techniques

■Good case studies use a number of different research tools to increase validity.

■Use both qualitative and quantitative approaches and different data collection instruments (surveys, interviews, documentation review, artifacts).

■Triangulate your research instruments or techniques so they provide different views of the case.

Step 5: Prepare to Collect the Data

■You need a method of coding, categorizing and sorting your data.

■It is no good conducting your study and then finding that all good and relevant data was not recorded properly or that you missed opportunities.

■Consider establishing any or all of the following:

– Databases designed to codify data– Protocols for interviews and survey– Pilot studies that capture the concepts and data

needed– Format for narrative reporting– Field notes– Procedures for tape or video recordings

■When carrying out the study, be flexible in real-life situations and have contingency plans for things that may go wrong. Specifically:– Anticipate key events and problems– Have a plan for unexpected changes, delayed

disappointments, unavailability of respondents, etc.– Be open to contrary findings and unexpected events

or interview responses.– Approach people who feel threatened or unsure

about the case study in a delicate manner.– Be prepared to revise the research design.

Step 6: Collect the Data

■Things to consider when collecting data:

– Evidence must be collected systematically. While the case study methodology is very flexible, it must be clear how the data from various sources contribute to the overall aims of the study.

– Do not collect the data randomly. There needs to be a purpose for collecting certain data. Refine your research question/statement if necessary.

– Data must be stored in formats that can be referenced so that the patterns of information are clear.

■Researchers should be able to see causal factors associated with the information collected (How is X related to Y?)/

■If changes need to be made to the data collection procedure, these changes need to be recorded and documented.

■You need to be able to record anecdotes, comments and illustrations/examples easily-these might turn out to be vital pieces of qualitative information.

■Notes should be kept recording the thoughts you have about the evolving case study.

Step 7: Analyze the Data

■Aim to seek data that answers the research objective.

■Good researcher cross-check the facts and discrepancies of their data. They also tabulate information so that it can be checked easily.

■Focus interviews may be needed to re-confirm existing data.

■Flow charts or other displays, and tabulating frequency of events are a good way of recording and analyzing information.

■Quantitative data can be used to corroborate and support the qualitative data obtained and vice-versa.

■Multiple investigators can assist in seeing the patterns in the data.

■You should also investigate across case studies (from one case to another). Don’t just settle on one example from one case.

Step 8: Prepare the Report■ Qualitative data: stories, anecdotes, quotations, interview

transcripts, artifacts, recordings, etc. are placed in the Result section along with empirical data.

■ Where possible, empirical evaluation techniques are used. The standard empirical report style is usually modified to make it clear how the data from different sources answer and/or illuminate the research question(s).

■ Generally, the writer refers back to research question (s) with quotations or other qualitative/quantitative evidence collected.

■ The report also includes evidence from published literature that confirms and disconfirms the data collected. This is generally placed in the Discussion section, and analyzed carefully.

Determining the case/unit of analysis

■When considering for a research question, one must also consider what the case is.

■The case is defined as, “a phenomenon of some sort occurring in the bounded context.”

■ The case is, “in effect, the unit of analysis.”

Questions to consider in determining the case/unit of analysis

■Do I want to ‘analyze” the individual?■Do I want to “analyze” a program? ■Do I want to “analyze” the process?■Do I want to “analyze” the difference between

organizations?

DEFINITIONS AND EXAMPLES OF DIFFERENT TYPES OF CASE STUDIES

Case Study Type

Definition Published Study Example

Explanatory(How or why did something happened?)

This type of case study would be used if you were seeking to answer a question that sought to explain the resumed causal links in real-life interventions that are too complex for the survey or experimental strategies. In evaluation language, the explanations would link program implementation with program effects (Yin, 2003).

Joia (2002) Analysing a web-based e-commerce learning community: A case study in Brazil. Internet Research, 12, 305-317.

Case Study Type

Definition Published Study Example

Exploratory (What(ness), How(ness) or why(ness) did something happened?)

This type of case study is used to explore those situations in which the intervention being evaluated has no clear, single set of outcomes (Yin, 2003)

Lotzkar & Bottorff (2001). An observational study of the development of a nurse-patient relationship. Clinical Nursing Research, 10, 275-294.

Descriptive ( What is happening or has happened?)

This type of case study is used to describe an intervention or phenomenon and the real-life context in which it occurred (Yin, 2003).

Tolson, Fleming, & Schartau (2002). Coping with menstruation: Understanding the needs of women with Parkinson’s disease. Journal of Advanced Nursing, 40, 513-521.

Case Study Type

Definitions Published Study Example

Multiple-case studies

A multiple case study enables the researcher to explore differences within and between cases. The goal is to replicate findings across cases. Because comparisons will be drawn, it is imperative that the cases are chosen carefully so that the researcher can predict similar results across cases, or predict contrasting results based on theory (Yin, 2003)

Campbell & Ahrens (1998). Innovative community services for rape victims: An application of multiple case study methodology. American Journal of Community Psychology, 26, 537-571.

Case Study Type

Definitions Published Study Example

Intrinsic Stake (1995) uses the term intrinsic and suggests that researchers who have a genuine interest in the case should use this approach when the intent is to better understand the case. It is not undertaken primarily because the case represents other cases or because it illustrates a particular trait or problem, but because in all its particularity and ordinariness, the case itself is of no interest. The purpose is NOT to come to understand some abstract construct or generic phenomenon. The purpose is NOT to build theory (although that is an option; Stake, 1995).

Hellstrom, Nolan, & Lundh (2005). “We do things together” A case study of “couplehood” in dementia. Dementia, 4(1), 7-22.

Case Study Type

Definition Published Study Example

Instrumental

Is used to accomplished something other than understanding a particular situation. It provides insight into an issue or helps to refine a theory. The case is of secondary interest; it plays a supportive role, facilitating our understanding of something else. The case is often looked at in depth, its contexts scrutinized, its ordinary activities detailed, and because it helps the researcher pursue the external interest. The case may or may not be seen as typical of other cases (Stake, 1995).

Luck, Jackson, & Usher (2007). STAMP: Components of observable behavior that indicate potential for patient violence in emergency departments. Journal of Advanced Nursing, 59, 11-19.

Case Study Example

Definition Published Study Example

Collective Collective case studies are similar in nature and description to multiple case studies (Yin, 2003)

Scheib (2003). Role stress in the professional life of the music teacher: A collective case study. Journal of Research in Music Education, 51, 124-136.

ANALYZING CASE STUDY EVIDENCE

■The analysis of case study evidence is one of the least developed aspects of doing case studies.

■Some researchers start case studies without having the notion about how the evidence is to be analyzed.

Five analytic techniques

■Pattern Matching ■Explanation Building ■Time-Series Analysis■Logic Models ■Cross-Case Synthesis

Pattern matching

■Pattern matching compares an empirically based pattern with a predicted one if the patterns coincide, the results can strengthen the internal validity of the case study

Types of pattern matching: 1. Nonequivalent dependent variables as a pattern 2. Rival explanations as patterns 3. Simpler patterns

Explanation building

■Analyzes the case study data by building an explanation about the case

■Stipulates a presumed set of causal links, which are similar to the independent variables in the use of rival explanations

■Has mostly occurred in narrative form ■May lead to starting a cross-case analysis, not just an

analysis of each individual case■Disadvantage: may drift away from original focus

Time-series analysis■The objective of time series analysis is to examine relevant

“how” and “why” questions about the relationship of events over time

■Time series analysis can follow intricate patterns■The more intricate the pattern, the firmer the foundation for

conclusions of the case study ■Simple Time Series ■Three types of Time Series Analyses:■Complex Time Series ■Chronologies

Logic Models■Stipulate a complex chain of events over time ■Events are staged in repeated cause-effect-cause-effect patterns ■Match empirically observed events to theoretically predicted

eventsFour types of logic models: ■Individual-Level Logic Model■Firm or Organizational-Level Logic Model■An alternative configuration for an Organizational-Level Logic

Model■Program-Level Logic Model

Cross-Case Synthesis■Case study consists of at least 2 cases ■Using multiple case studies will■Treat each individual case study as a separate study ■Have to create word tables that display data from

individual cases according to some uniform framework ■Examine word tables for cross-case patterns ■ Rely strongly on argumentative interpretation, not

numeric properties ■Be directly analogous to cross-experiment interpretations

STRATEGIES USED TO GENERATE MEANING

(MILES & HUBERMAN, 1994 CITED BY ZUCKER, 2009)

What Goes with What? Noting Patterns Clustering Seeing Plausibility

Integrate Among diverse Pieces of Data Making Metaphors

What’s There? Counting

Sharpen our Understanding Making Comparisons Partitioning Variables

See Things and Their Relationships More Abstractly Subsuming Particular Into the General Factoring Noting Relations Between Variables Finding Intervening Variables

Assemble a Coherent Understanding of the Data Building a Logical Chain of Evidence Making Conceptual/Theoretical Coherence

Significant Statement

Concept Construct Theme

Transcript Concept Construct ThemePamangkin ko sya doc…anak sya ng kapatid ko na nasa Taiwan ngayon. (Maria)Apo ko.(Paul)Pamangkin ko sya dahil kapatid ko yung Mama nya. (Yuan)Kc nga isa lang naman ang anak naming… lalaki yun…at nag aaral sa FEU ng Fine Arts, kaso nag ka girl friend mula sa San Sebastian College…ayaw nga naming nun…pero yung babae na rin yung habol ng habol kaya nabuntis…ayun. (Cheers)Apo ko po sya(Daryl)

Informing the relationship Relational factors

Torn between caring and abandonment

Kasi doc yung Mama nya nag hanap na ng trabaho kc yung Papa nya patay na. Kaya yung Mama nya na kapatid ko naghanap ng trabaho para mabuhay sya.(Maria)

Mother having work Circumstantial events

Namatay sa stroke doc…kaya nag apply yung Mama nya sa Taiwan bilang factory worker at kaya napunta sa akin si Maria kc ako ang nag aalaga. (Maria)

Sudden death so the mother has to work

Yung isa kung kapatid doc, pero ewan ko bigla na lang hinatid sa bahay ko at ako na daw mag aalaga.(Maria)Basta inaalagaan ko sya, kasi nga iniwan ng mga magulang nya sa akin. Nasa Bicol pa kasi kami nun tapos pumunta kami rito sa Manila. (Paul)

Sudden arrival of the child at home

Pareho nasa ibang bansa yung Mama at Papa nya… pero nandito ngayon yung Mama nya kasi nag babakasyon. (Yuan)

Parents working abroad

Pareho nasa Dubai po nagtatrabaho ang mga magulang nya…hindi ko lang alam kung ano ang work nila dun. (Yuan)Pareho nagtatrabaho yung Mama at Papa nya. …Yung Mama nya namamasukan bilang katulong at yung Papa nya sa contrsuction….Umuuwi naman kaso bihira lang. Yung Mama nya umuuwi minsan sa isang buwan pero isang araw lang, tapos balik ulit sa pinapasukan nya…. Umuuwi rin, siguro minsan sa isang buwan din pero ngayon magtatatlong buwan na. …Nasa construction sa probinsya kasi at kahit umuwi yung Papa nga hindi rin sila nag ba bonding. (Daryl)

Describing the circumstances of parents

Opo, kasi maliit pa ang dalawang bata at hindi nila pwede ipagkatiwala sa ibang tao. (Paul)

Acceptance of care Contextual factors

Kasi dalawang buwan pa lang sya nung inalagaan ko, kaya ako na ang halos kinagisnan nya. (Paul)Yun na nga ayaw magpakita sa anak nya…matagal na sila hindi nagkikita. (Cheers)

Acknowledging the circumstantial events of the child

Meron kasi mild autism at mild mental retardation sya…(Yuan) Informing of the child’s disabilities Ayaw dalhin ng Mama nya…kasi nga abnormal daw and bata. (Cheers) Non acceptance of the child due to

his disabilitiesNag asawa na rin sir…kaya naiwan na yung bata sa amin.(Cheers) Parent marrying again Bihira lang, hindi na rin kasi pumupunta yung anak naming sa bahay namin. (cheers) Parent not visiting the childNung una nasa magulang nya sya talaga, kaso nung nag hiwalay at nung hindi sya kinuha ng Mama nya nasa amin na napunta. (Cheers)

Dealing with parental separation

Mga tatlo o apat na ton na doc (anim na taon na doc). (Maria)Halos mga pitong taon na. (Paul)Halos mga pitong taon na rin. (Yuan)

Period of care Length of caring

Being accustomed through time

Mga tatlong taon na pero non pa ako na nag aalaga kay Yuan kahit nandito pa mga magulang nya…kasi me mga trabaho rin nung panahon na yun. (Yuan)Mga tatlong taon sya nung dinala sya sa amin.(Cheers)Magpipitong taon ko na rin inaalagaan sya, kaya malapit na rin sya sa akin. (Daryl)

Time started caring the child

Oo, pareho din sila me trabaho, kaya mga dalawang buwan pa lang yun iniwan na sa akin ng kapatid ko kasi babalik na sya sa trabaho nya. (Yuan)Kami na talaga nag aalaga sa kanya.(Paul)

Informing the length of care

Dalawang taon pa lang sya iniwan na sya sa amin ng mga magulang nya. (Paul) Maliit pa sya halos ako na ang nag alaga sa kanya . (Yuan) 

Caring the child at a very young age

Time of care

Siguro yung pinaka una doc yung merong naka pagsabi sa akin na pwede pala mag aral dito si Maria. (Maria)Kasi doc nung una hindi ko alam na meron dito SPED school, tapos nung nakita ng kapitbahay ko na nanjan ang pamngkin ko sa akin at medyo napansin nya na me deperensya ba…sinabi nya sa akin na dalhin dito para mag aral. (Maria)

Availability of information Providing educational support

Home and school involvement of caregiver

Kasi doc nung dinala ko sya sa school para mag aral yung teacher na ang nagrecommend na dalhin sya sa doctor. (Maria)

Yielding to professional opinion regarding education

Yung pangalawang anak ko na high school ang nag tututor sa kanya, gabi gabi yun. (Maria)Oo, minsan tinutulungan ko sya sa mga leksyon nya sa bahay. (Yuan)

Educational support at home

Hinahatid ko sya araw araw sa school…tapos pag may oras, tinutulungan ko sya sa pag aaral nya. (Yuan)Ayun, hinahatid ko sya araw araw dito sa school.(Daryl)

Bringing the child to school every day and helping him with his studies

Pinag aral naming yun sir, dati nga pinag aral ko yan sa KUMON.(Cheers)Mga tatlong taon din sya nag KUMON.(Cheers)Nung mga 6 years old sya pinasok sya naming sa KUMON. (Cheers)

Enrolled in KUMON

Oo naman, bali P1800.00 a month ang bayad ko nun para lang matuto sya sa KUMON. (Cheers)

Financially supporting the child

Wala naman, pero meron lang syang service para ihatid sya sa school at sunduin pagkatapos ng klase. (Cheers)

Giving transportation services

Yung pag enroll nya rito. Mabuti na lang at me nakapagsabi sa akin na me SPED school dito kaya napasok ko sya rito sa Old Balara Elementary School. (Daryl)

Involvement in the enrolment of the child

Hindi pa. Nung una pinasok ko sya sa kinder nung mga six years old sya pero sabi ng teacher sped daw. (Daryl)

Enrolled the child in a kindergarten program but informed as special child by the teacher

Wala man, bahala na ang school. (Paul) Sa totoo lang hindi na naming sya tinuturuan sa bahay dito na lang kami umaasa na matoto sya sa school. (Paul) Wala. Kung ano ang tinuturo sa kanya dito sa school yun na yun. (Paul) Wala naman sya assignment, basta kung ano ang mga activities nya para sa school, yung teacher na ang bahala. (Paul)

Relying on school Passing on of the educational support

Kasi daw po hindi daw sya kumikilos at nagsasalitang mag isa, tapos natapos na ang buong taon na hindi pa rind aw marunong sumulat.(Daryl)

Reasons for analyzing the child as special education pupil

Concern for the child’s school performance Yung sa pangalan nya ang alam nya lang isulat ay ang letrang D at letrang A yung sa apelyido

nya E at tsaka C. (Daryl)The child can only write four letters from his name

References■ Baxter, P. and Jack, S. (2008) Qualitative Case Study Methodology: Study Design and

Implementation for Novice Researchers. The Qualitative Report. Vol 13 (4) 544-559.

■ Eisenhardt, K. and Graebner, M. (2007)Theory Building From Cases: Opportunities and Challenges. Academy of Management Journal. Vol 50 (1) 25-32.

■ Nock, M., Michel, B., and Photos, V. (2007) Single-Case Research Designs. Retrieved from www.sagepub.com/upm-data/19353_Chapter_22.pdf.

■ Rowley, Jennifer (2002) Using Case Studies in Research. Management Research News. Vol 25 (1) 16-27.

■ Starman, A. (2013) The Case study as a Type of qualitative Research. Journal of Contemporary Educational Studies (1) 28-43

■ Yin, Robert (2014) Case Study Research : Design and Methods (5th edition). Thousand Oaks, California: SAGE Publications.

■ Yazan, Bedrettin (2015) Three Approaches to Case Study Methods in Education: Yin, Merriam, and Stake. The Qualitative Report. Vol 20 (2)134-152.

■ Zucker, Donna (2009) How to Do Case Study Research. School of Nursing Faculty Publication Series. Retrieved from: http://scholarworks.umass.edu/nursing_faculty_pubs/2

SALAMAT PO!!!