1. Unit 11: Case studies What is a case study?
Ask students to discuss in small groups what the term case study means to them.
Also, ask them to mention
some possible subjects for a case study
(maybe some examples they know)
reasons why they think a researcher would prefer to do a case study rather than e.g. a survey.
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2. Definitions from the literature:
Case study research is an investigation and analysis of a single or collective case, intended to capture the complexity of the object of study. (Stake, 1995, ).
An empirical inquiry about a contemporary phenomenon (e.g., a “case”), set within its real-world context—especially when the boundaries between phenomenon and context are not clearly evident (Yin, as cited in Yin, 2012, p.4.).
A case study is an approach to research that focuses on gaining an in-depth understanding of a particular entity or event at a specific time. ( 344)
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3. What can be the subject of a case study?
A bounded entity, for example you may wish to understand:
one person ( e.g. a pupil)
a group/ a community (e.g. a group of pupils)
an organization/institution ( e.g. a school)
an event (e.g. a conference, a parents- teacher meeting)
Either of the above are bounded in time (contemporary) and space (location).
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4. When to do a case study?
If we want to get answers to research questions starting with: How…..? Why…….?
If the researcher lacks control over what is happening. ( Yin, 2014, p.11)
Case studies help us understand
1.What is happening or happened?
For example: What is everyday life like in a dormitory?
2. How and why did something happen?
For example: Why is a school exceptionally successful in nurturing gifted students?
Because answering these questions may necessitate an in-depth and holistic understanding of a case.
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5. Types of case studies: what sort of research questions do they answer?
Descriptive case studies answer the question: What happened or is happening and how?
Explanatory case studies answer the questions: Why did it happen or is it happening?
Exploratory case studies:
The researcher explores a case to be able to develop the research questions or the hypotheses, or identify the data collection tools, key participants for his/her subsequent research project.
4. Case studies may also be used to evaluate e.g. an innovative teaching method.
For example: select the case of a school with exceptionally good track record in terms of sending disadvantaged kids to secondary schools.
Explore the case to see what the factors behind the success are. This may be the first step towards a large scale investigation of schools which struggle with similar problems but produce less spectacular results. When investigating those cases one can specifically investigate if the patterns experienced in the successful school are present or not.
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6. Other typologies Single case versus multiple cases ( collective case )
Intrinsic versus instrumental cases
Naturalist versus pragmatic
A multiple case study focuses on more than one case, sometimes over different time periods. ( It is usually an instrumental case study, see below.)
An intrinsic case study deals with one case only, which has peculiar features and thus stands out. An instrumental case is an example of a more general phenomenon and is studied to refine the theory which is used to explain the phenomenon.
Naturalist: describes the case, collects data and then looks for patterns and learning. Pragmatis: starts with specific research question(s) to answer, though the focus may change/ be refined in the course of the research. (
Golnhofer, 2001, p )
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7. Where to start? Step 1: find your wondering
Identify a problem: e.g. how does the long TP work?
Create possible research questions:
a. How is it implemented?(What is happening? )
b. How is the long teaching practice conceptualized by the different stakeholders?
c. Why (based on what evidence) do relevant stakeholders rate the long teaching practice successful or not successful?
Or: What’s the use of the longer working hours in schools? Or: How does bilingual education work at a secondary vocational level?
Alternatively, use Fichtman Dana&Yendol-Hoppey ( 2009, p. 22) list of possible wonderings of a classroom teacher to establish which ‘wondering’ actaully lends itself to the case study approach.
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8. Step 2: consider if the case study method is suitable to research this topic
What can the case study method provide for you that other methods cannot?
Work in small groups and collect the other research methods that you would/could use to answer the research questions above. Give the rationale behind your choices, too. Report back to the group.
Elicit from students how the research could benefit- if at all- from the case study approach.
Other methods:
Questionnaire survey to all the mentors and trainees in one specific year. ( Quantitative data could be gained-generalizable results – BUT in-depth and in context understanding of what is happening and why will not be revealed. Survey data shows what participants think and are willing to share- not what is really going on. )
Structured interviews with a sample of mentors and students. (Limited data – with no opportunity for triangulation)
Portfolio ( i.e. document) analysis (of a selected sample of trainees’ portfolios) ( Exremely time consuming if a large number of portfolios are analysed+ secondary data only)
Observing some trainees’ exam lessons and the follow-up discussion. ( Limited data, no opportunity for triangulation.)
In a case study, a mix of the above methods can be used- though only in one school- thus triangulation should not be a problem. Quantitative data can be sought, too, i.e. conducting a survey of all stakeholders, like parents and students involved in the TP .
Besides using the research tools listed above, in the case study approach the researcher can closely follow the mentor and the trainee, observe several or all lessons and feedback, read the relevant documents, plus the portfolio, and judge if the documents provide valid data on the TP or not, since the researcher will have primary data on what happened.
In a case study approach, the researcher will get an insider’s view of the school where the practice takes place, and may be able to find some decisive but generally overlooked factors that may determine the success of the long TP. ( e.g. how the school handles the trainee, what the work culture of the school is like, if the mentor and the trainee are supported by the management and his/her colleagues. )
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9. Step 3: select a case Which would be best to investigate?
A typical case
An easy to access case ( e.g. my ex-secondary school)
An atypical case ( gyakorló iskola)
A critical case ( e.g. where conflicts have been reported )
Multiple cases
Gaining access then earning the trust of the participants.
In this case possibly a typical case would be best.
You will have to draw their attention to the fact that many other factors may influence their choice of cases. If they want to explore e.g. how the best schools achieve their outstanding results, they will have to choose one or several schools with good reputation and ranking, that is atypical case or cases, because those match their research plan.
Discuss why gaining access is only the first step and gaining trust is vital in case studies.
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10. Step 4: drawing up the case study protocol
It needs to include
the questions the case study seeks to answer
the procedures to be followed in the field
the data that needs to be collected.
It also describes how the questions are linked to the data to be collected.
Two types of protocols: the preliminary protocol and the final protocol.
Explain what is meant by the preliminary and the final protocol: since it is essential for the case study researcher to be flexible, the final protocal should include all the changes that were implemented during the research. Since the researcher does not have any control over the research site or participants, in contrast with e.g. an experiment, he/she must adapt flexibly to the changes that may occur, and keep his/her eye open for factors that may require him/her to change tack so as to arrive at a more dependable case study.
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11. Most frequently used data collection methods in case studies
Direct observation
Participant observation
Interviews (e.g. open-ended conversations with key participants)
Document analysis (e.g. portfolio analysis)
Archival records (e.g. students’ records, competency test results)
Physical artifacts (e.g students’ project works, presentations) (based on Yin, 2012, p.10)
Problems with observation, let that be participant or non-participant observation. Elicit from the group what issues each may raise.
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12. Choosing research tools and participants
Matching tools to the aims: decide what sort of data are needed to answer the research questions.
How to choose the participants? Seek out the key informants on the site based on experience and intuition. If the context is unknown, use the snowball method: find one key informant, and ask him/her to identify further key informants.
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13. Triangulation Aim: to increase the validity of the research.
Data triangulation: collecting data about the same phenomenon using the same data collection method but from three different sources, e.g. interviewing mentors, mentees and students taught by the mentee about the perceived success of the long TP.
Methodological triangulation: collecting data about the same phenomenon using three different data collection methods, e.g. portfolio (document) analysis, interview with mentor/mentee, and observing mentee’s lessons to see if the long teaching practice is successful is not.
To give students extra opportunity to see how triangulation may work in practice, the tutor may wish to ask students to read a case study, or rather a case study summary, and identify the research tools used by the researcher. ( Case study summaries can be found in e.g. Cohen and Manion, 1994, pp The sixth case study ( pp ) may be a good choice, since it is about an adult English language learner. Data collection methods in this case included: taped interviews with the participant as well as his tutors and Director of Studies , study skills and writing sessions with the participant (participatory observation), different inventories filled in by the subject.
Another example could be an exploratory case study described in detail by Hopkins ( 2008, pp. 7-14) This being longer, it is more advisable to assign it as hw.
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14. Ethical issues
Can the researcher keep his identity and his research aims in secret? Can the researcher mislead the participants about his research aims? How can the researcher provide for the validity of data if his/her identity and goals are revealed?
How can the researcher make sure that the participants cannot be identified when the case study is published?
How can the researcher make sure that no one’s feelings will be hurt during the process or when the results come to light?
What happens if the participants do not grant their permission to publish the data once they see the results?/or withdraw their initial permission?
Show only the heading and then ask the students to collect the ethical problems that may crop up. Set a time limit. Ask them to share their list. Put the issues mentioned on the board. Then discuss with them how these problems can be preempted, or handled, once they occur. Ask them to set up a simple but effective protocal for case study research, in terms of researcher’s conduct.
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15. Step 5: building up the case study data base
What should be kept in the data base?
All collected data and circumstances of their collection spelled out.
A log of the researcher’s activities and reflections. ( reflective journal)
Why?
‚Chain of evidence’ (Also called: audit trail)
Pose the question: what shodul a data base include? Students are not very likely to come up with a log of the reseachers’ activities.
Draw their attention to the fact this is essential, since the case study is a flexible approach: the reseacher may change tack in the course of the research, adapting his plan to the context, or maybe new considerations must be taken into account. All these should be recorded.
Also, the researcher’s reflections shed some light on the whole process. Since the researcher and the participants shape the case study together, the researcher’s preconceptions/biases may influence how he/she presents and interprets the data. The reflective journal raises awareness of one’s own biases, preconceptions.
The full documentation of the research process is called a ‚chain of evidence’ .
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16. Step 6: main principles of data analysis
Search for valid interpretation(s) of the data – always try out alternative interpretative frames ( theories, frameworks)
Always control the interpretation (s) for researcher’s bias/preconception. (Reflection, self awareness)
Look for contradictory data and follow them up.
Ask the participants to validate the data and the interpretation (s).
Discuss the interpretation(s) with other researchers.
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17. Data analysis: procedures
Pattern matching: compare the pattern you expected to arrive at the beginning of the research and the emerging pattern. THREAT?
Explanation-building: entertain different hypotheses about the emerging patterns in the findings, and analyse the data in multiple cycles to see which pattern really emerges.
Time series analysis: arrange perceived key events into chronological order to reveal causal connections.
Replication or corroboratory framework in multiple case studies ( Yin, 2012, pp )
Pattern matching: the researcher may be tempted to find the patterns (s)he thought she was going to find. Look for contradictory data, entertain different interpretations, to see which actually fits.
Corroboratory framework: compare the cases to see if any shared patterns emerge in the data.
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18. Step 7: Reporting the case
What does the way of reporting depend on?
Aims of the research (describe,explain, explore, evaluate? )
Target audience
Special traits of the case and the collected data
Problem: how to be selective without compromising validity?
Report types:
Analytical or reflective – depending on whether the researcher’s own voice appears or not.
Reflective: regarded as too subjective to be scientific.
Other categorizations exist, but may not be relevant here. (E.g. narrative, life-like, analytical, illsutrative short description. ( Golnhofer, 2001, p )
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19. Which paradigm does the case study method belong to
Which paradigm does the case study method belong to? Quantitative or qualitative?
The main thrust of a case study: to understand one case holistically, in its context.
In its methodology, it requires conducting and documenting field work for a longer period of time in one or multiple locations.
The reality presented is constructed by the participants and the researcher: subjective.
The case study aims to present the lived reality of the participants: interpretative.
Pose this question to the students and ask them to take sides. They should be able to support their opinion with arguments.
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20. How can the validity (truth value) of a case study be ensured?
1.Researcher’s influence/bias must be minimized by constantly reflecting on it and exploring and presenting it to the reader.
2.Methodological and data triangulation: using different data collecting methods from different sources/participants.
3.Going back to participants to verify if the data is valid or not all through the research project. ( respondent validation)
4.Document your case as fully as possible and discuss the data with fellow researchers.
5.Analyse the data in light of different theories. (theory triangulation)
6.To check the validity of your case study, explore an extreme or contradictory case. ( based on Golnhofer, 2001)
Start by checking if students remember what the concept of validity means. Refer back to slide 6, if need be.
How can the validity of the case study be ensured if the study strives to explore reality as it is constructed by the participants and, inevitably, by the researcher? (i.e. is inevitably a subjective reality).
Start by checking if they remember what the concept of validity means.
How can the validity of the case study be ensured if the study strives to explore reality as it is constructed by the participants and, inevitably, by the researcher? (i.e. is inevitably a subjective reality)
Validity in qualitative research means something different from quantitative research: it can be understood as the researcher’s confidence in the truth of the findings, in the ‘credibility’ of the findings. How can that be ensured?
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21. How can the reliability (consistency) of a case study ensured?
The approved case study techniques for reliability are
a. clarification of the theoretical underpinnings of the research
b. establishing a case study protocol ( detailed design of the case study, which, however, may be modified during data collection. (This is why a preliminary and a final protocol are both needed.)
c. the establishment of a case study data base (audit trail) – for reconstruction purposes. ( Yin, 2010, 84-86)
Ask students what the concept of reliability means. Refer back to slide 6, if need be.
Ask them if this can be ensured in a case study at all?
Since we are doing an investigation of one specific case, whether a different researcher(different bias, preconceptions, theoretical background ) at a different point of time perhaps involving different participants) would arrive at the same conclusion is highly unlikely. (Replication is impossible.)
However, if the case is well-documented and the interpretation(s) firmly grounded in the data, an external audit by an independent researcher can be carried out and thus it can be proven that the case study findings are consistent, i.e. dependable.
Conclusion: validity and reliability are understood differently in case study research from the quantitative paradigm. ( See slide 6 again, if need be. )
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22. Generalizability? Transferability.
Can we generalize the findings of a case study?
No, because the case is specific, and the findings are valid for that context only. They may or may not hold for other contexts.
Can the results be transferred to another situation?
Yes, depending on the extent to which the context is similar.
Can the reader decide if his/her context is similar enough to the context of the case study? Yes, if the case study provides ‚thick description’.
Explain what is meant by thick description.
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23. The advantages of the case study approach.
Case studies:
Explore a complex phenonemon in its natural context –thus provide valuable insight.
Illuminate the case from different perspectives.
Provide a flexible approach, so the researcher can adapt the protocol to the emerging needs of the project .
Can be used for research and educational purposes as well.
Are accessible for the general public.
Can be used to explain, explore or describe reality.
Can also be used to evaluate e.g. educational innovations or may serve as the first step to an action research project.
Students can be challenged to collect advantages and disadvantages of case study on a posters and then share their ideas with the group.
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24. Challenges of case study research:
Choosing the most appropriate case may be difficult as well as gaining access to the site.
Ethical issues: how to achieve validity and respect the participants’ integrity at the same time.
Validity (credibility) and reliability (consistency) issues.
Handling the enormous amount of data may pose a problem and requires superb administrative skills.
Analysing the data, recognizing and then validating patterns in the data require an analytical mind as well as caution.
Reporting the findings in an accessible but not oversimplified fashion is yet another challenge.
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