Guide 60
Guide 60
Guide 60
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Case study refers to the collection and presentation of detailed information about a
particular participant or small group, frequently including the accounts of subjects
themselves. A form of qualitative descriptive research, the case study looks
intensely at an individual or small participant pool, drawing conclusions only about
that participant or group and only in that specific context. Researchers do not focus
on the discovery of a universal, generalizable truth, nor do they typically look for
cause-effect relationships; instead, emphasis is placed on exploration and
description.
Overview
Unlike quantitative methods of research, like the survey, which focus on the
questions of who, what, where, how much, and how many, and archival analysis,
which often situates the participant in some form of historical context, case studies
are the preferred strategy when how or why questions are asked. Likewise, they
are the preferred method when the researcher has little control over the events, and
when there is a contemporary focus within a real life context. In addition, unlike
more specifically directed experiments, case studies require a problem that seeks a
holistic understanding of the event or situation in question using inductive logic--
reasoning from specific to more general terms.
In scholarly circles, case studies are frequently discussed within the context of
qualitative research and naturalistic inquiry. Case studies are often referred to
interchangeably with ethnography, field study, and participant observation. The
underlying philosophical assumptions in the case are similar to these types of
qualitative research because each takes place in a natural setting (such as a
classroom, neighborhood, or private home), and strives for a more holistic
interpretation of the event or situation under study.
Unlike more statistically-based studies which search for quantifiable data, the goal
of a case study is to offer new variables and questions for further research. F.H.
Giddings, a sociologist in the early part of the century, compares statistical methods
to the case study on the basis that the former are concerned with the distribution of
a particular trait, or a small number of traits, in a population, whereas the case
study is concerned with the whole variety of traits to be found in a particular
instance" (Hammersley 95).
History
Park was an ex-newspaper reporter and editor who became very influential in
developing sociological case studies at the University of Chicago in the 1920s. As a
newspaper professional he coined the term "scientific" or "depth" reporting: the
description of local events in a way that pointed to major social trends. Park viewed
the sociologist as "merely a more accurate, responsible, and scientific reporter."
Park stressed the variety and value of human experience. He believed that
sociology sought to arrive at natural, but fluid, laws and generalizations in regard to
human nature and society. These laws weren't static laws of the kind sought by
many positivists and natural law theorists, but rather, they were laws of becoming--
with a constant possibility of change. Park encouraged students to get out of the
library, to quit looking at papers and books, and to view the constant experiment of
human experience. He writes, "Go and sit in the lounges of the luxury hotels and on
the doorsteps of the flophouses; sit on the Gold Coast settees and on the slum
shakedowns; sit in the Orchestra Hall and in the Star and Garter Burlesque. In
short, gentlemen [sic], go get the seats of your pants dirty in real research."
But over the years, case studies have drawn their share of criticism. In fact, the
method had its detractors from the start. In the 1920s, the debate between pro-
qualitative and pro-quantitative became quite heated. Case studies, when
compared to statistics, were considered by many to be unscientific. From the
1930's on, the rise of positivism had a growing influence on quantitative methods in
sociology. People wanted static, generalizable laws in science. The sociological
positivists were looking for stable laws of social phenomena. They criticized case
study research because it failed to provide evidence of inter subjective agreement.
Also, they condemned it because of the few number of cases studied and that the
Educational Applications
The 1950's marked the dawning of a new era in case study research, namely that
of the utilization of the case study as a teaching method. "Instituted at Harvard
Business School in the 1950s as a primary method of teaching, cases have since
been used in classrooms and lecture halls alike, either as part of a course of study
or as the main focus of the course to which other teaching material is added"
(Armisted 1984). The basic purpose of instituting the case method as a teaching
strategy was "to transfer much of the responsibility for learning from the teacher on
to the student, whose role, as a result, shifts away from passive absorption toward
active construction" (Boehrer 1990). Through careful examination and discussion of
various cases, "students learn to identify actual problems, to recognize key players
and their agendas, and to become aware of those aspects of the situation that
contribute to the problem" (Merseth 1991). In addition, students are encouraged to
"generate their own analysis of the problems under consideration, to develop their
own solutions, and to practically apply their own knowledge of theory to these
problems" (Boyce 1993). Along the way, students also develop "the power to
analyze and to master a tangled circumstance by identifying and delineating
important factors; the ability to utilize ideas, to test them against facts, and to throw
them into fresh combinations" (Merseth 1991).
The case study method also incorporates the idea that students can learn from one
another "by engaging with each other and with each other's ideas, by asserting
something and then having it questioned, challenged and thrown back at them so
that they can reflect on what they hear, and then refine what they say" (Boehrer
1990). In summary, students can direct their own learning by formulating questions
and taking responsibility for the study.
Under the more generalized category of case study exist several subdivisions, each
of which is custom selected for use depending upon the goals and/or objectives of
the investigator. These types of case study include the following:
Individual Theories
These focus primarily on the individual development, cognitive behavior,
personality, learning and disability, and interpersonal interactions of a particular
subject.
Organizational Theories
These focus on bureaucracies, institutions, organizational structure and functions,
or excellence in organizational performance.
Social Theories
These focus on urban development, group behavior, cultural institutions, or
marketplace functions.
Examples
Two examples of case studies are used consistently throughout this chapter. The
first, a study produced by Berkenkotter, Huckin, and Ackerman (1988), looks at a
For example, in Berkenkotter, Huckin, and Ackerman's (1988) study we are told
that the researchers are interested in disciplinary communities. In the first
paragraph, they ask what constitutes membership in a disciplinary community and
how achieving membership might affect a writer's understanding and production of
texts. In the third paragraph they state that researchers must negotiate their claims
"within the context of his sub specialty's accepted knowledge and methodology." In
the next paragraph they ask, "How is literacy acquired? What is the process
through which novices gain community membership? And what factors either aid or
hinder students learning the requisite linguistic behaviors?" This introductory
section ends with a paragraph in which the study's authors claim that during the
course of the study, the subject, Nate, successfully makes the transition from
"skilled novice" to become an initiated member of the academic discourse
community and that his texts exhibit linguistic changes which indicate this transition.
In the next section the authors make explicit the sociolinguistic theoretical and
methodological assumptions on which the study is based (1988). Thus the reader
has a good understanding of the authors' theoretical background and purpose in
conducting the study even before it is explicitly stated on the fourth page of the
study. "Our purpose was to examine the effects of the educational context on one
graduate student's production of texts as he wrote in different courses and for
different faculty members over the academic year 1984-85." The goal of the study
then, was to explore the idea that writers must be initiated into a writing community,
and that this initiation will change the way one writes.
The second example is Janet Emig's (1971) study of the composing process of a
group of twelfth graders. In this study, Emig seeks to answer the question of what
happens to the self as a result educational stimuli in terms of academic writing. The
case study used methods such as protocol analysis, tape-recorded interviews, and
discourse analysis.
In this study, the chief distinction is between the two dominant modes of composing
among older, secondary school students. The distinctions are:
1. The reflexive mode, which focuses on the writer's thoughts and feelings.
2. The extensive mode, which focuses on conveying a message.
Emig also outlines the specific questions which guided the research in the opening
pages of her Review of Literature, preceding the report.
After considering the different sub categories of case study and identifying a
theoretical perspective, researchers can begin to design their study. Research
design is the string of logic that ultimately links the data to be collected and the
conclusions to be drawn to the initial questions of the study. Typically, research
designs deal with at least four problems:
In other words, a research design is basically a blueprint for getting from the
beginning to the end of a study. The beginning is an initial set of questions to be
answered, and the end is some set of conclusions about those questions.
1. A study's questions.
2. A study's propositions (if any).
3. A study's units of analysis.
4. The logic that links the data to the propositions.
5. The criteria for interpreting the findings.
In addition to these five basic components, Yin also stresses the importance of
clearly articulating one's theoretical perspective, determining the goals of the study,
selecting one's subject(s), selecting the appropriate method(s) of collecting data,
and providing some considerations to the composition of the final report.
Participant Selection
Case studies can use one participant, or a small group of participants. However, it
is important that the participant pool remain relatively small. The participants can
represent a diverse cross section of society, but this isn't necessary.
For example, the Berkenkotter, Huckin, and Ackerman (1988) study looked at just
one participant, Nate. By contrast, in Janet Emig's (1971) study of the composition
process of twelfth graders, eight participants were selected representing a diverse
cross section of the community, with volunteers from an all-white upper-middle-
class suburban school, an all-black inner-city school, a racially mixed lower-middle-
class school, an economically and racially mixed school, and a university school.
Often, a brief "case history" is done on the participants of the study in order to
provide researchers with a clearer understanding of their participants, as well as
some insight as to how their own personal histories might affect the outcome of the
study. For instance, in Emig's study, the investigator had access to the school
records of five of the participants, and to standardized test scores for the remaining
three. Also made available to the researcher was the information that three of the
eight students were selected as NCTE Achievement Award winners. These
personal histories can be useful in later stages of the study when data are being
analyzed and conclusions drawn.
Data Collection
1. Documents.
2. Archival records.
3. Interviews.
4.
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4. Direct observation.
5. Participant observation.
6. Artifacts.
1. A writer's drafts.
2. School records of student writers.
3. Transcripts of interviews with a writer.
4. Transcripts of conversations between writers (and protocols).
5. Videotapes and notes from direct field observations.
6. Hard copies of a writer's work on computer.
Protocols, that is, transcriptions of participants talking aloud about what they are
doing as they do it, have been particularly common in composition case studies.
For example, in Emig's (1971) study, the students were asked, in four different
sessions, to give oral autobiographies of their writing experiences and to compose
aloud three themes in the presence of a tape recorder and the investigator.
In some studies, only one method of data collection is conducted. For example, the
Flower and Hayes (1981) report on the cognitive process theory of writing depends
on protocol analysis alone. However, using multiple sources of evidence to
increase the reliability and validity of the data can be advantageous.
Case studies are likely to be much more convincing and accurate if they are based
on several different sources of information, following a corroborating mode. This
conclusion is echoed among many composition researchers. For example, in her
study of predrafting processes of high and low-apprehensive writers, Cynthia Selfe
(1985) argues that because "methods of indirect observation provide only an
incomplete reflection of the complex set of processes involved in composing, a
combination of several such methods should be used to gather data in any one
It can be said then, that cross checking data from multiple sources can help provide
a multidimensional profile of composing activities in a particular setting. Sharan
Merriam (1985) suggests "checking, verifying, testing, probing, and confirming
collected data as you go, arguing that this process will follow in a funnel-like design
resulting in less data gathering in later phases of the study along with a congruent
increase in analysis checking, verifying, and confirming."
Data Analysis
1.
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1. The role of participants.
2. The network analysis of formal and informal exchanges among groups.
3. Historical.
4. Thematical.
5. Resources.
6. Ritual and symbolism.
7. Critical incidents that challenge or reinforce fundamental beliefs, practices,
and values.
There are two purposes of these frameworks: to look for patterns among the data
and to look for patterns that give meaning to the case study.
As stated above, while most researchers begin their case studies expecting to look
for particular observable characteristics, it is not unusual for key variables to
emerge during data collection. Typical variables coded in case studies of writers
include pauses writers make in the production of a text, the use of specific linguistic
units (such as nouns or verbs), and writing processes (planning, drafting, revising,
and editing). In the Berkenkotter, Huckin, and Ackerman (1988) study, for example,
researchers coded the participant's texts for use of connectives, discourse
demonstratives, average sentence length, off-register words, use of the first person
pronoun, and the ratio of definite articles to indefinite articles.
Since coding is inherently subjective, more than one coder is usually employed. In
the Berkenkotter, Huckin, and Ackerman (1988) study, for example, three
rhetoricians were employed to code the participant's texts for off-register phrases.
The researchers established the agreement among the coders before concluding
that the participant used fewer off-register words as the graduate program
progressed.
In the many forms it can take, "a case study is generically a story; it presents the
concrete narrative detail of actual, or at least realistic events, it has a plot,
exposition, characters, and sometimes even dialogue" (Boehrer 1990). Generally,
case study reports are extensively descriptive, with "the most problematic issue
often referred to as being the determination of the right combination of description
Although the Berkenkotter, Huckin, and Ackerman (1988) study does not, case
study reports often include the reactions of the participants to the study or to the
researchers' conclusions. Because case studies tend to be exploratory, most end
with implications for further study. Here researchers may identify significant
variables that emerged during the research and suggest studies related to these, or
the authors may suggest further general questions that their case study generated.
For example, Emig's (1971) study concludes with a section dedicated solely to the
topic of implications for further research, in which she suggests several means by
which this particular study could have been improved, as well as questions and
ideas raised by this study which other researchers might like to address, such as: is
there a correlation between a certain personality and a certain composing process
profile (e.g. is there a positive correlation between ego strength and persistence in
revising)?
Sharan Merriam (1985) also offers several suggestions for alternative presentations
of data:
5.
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5. Prepare analytic summaries with supporting data appendixes.
6. Present data in colorful and/or unique graphic representations.
Once key variables have been identified, they can be analyzed. Reliability becomes
a key concern at this stage, and many case study researchers go to great lengths
to ensure that their interpretations of the data will be both reliable and valid.
Because issues of validity and reliability are an important part of any study in the
social sciences, it is important to identify some ways of dealing with results.
Multi-modal case study researchers often balance the results of their coding with
data from interviews or writer's reflections upon their own work. Consequently, the
researchers' conclusions become highly contextualized. For example, in a case
study which looked at the time spent in different stages of the writing process,
Berkenkotter concluded that her participant, Donald Murray, spent more time
planning his essays than in other writing stages. The report of this case study is
followed by Murray's reply, wherein he agrees with some of Berkenkotter's
conclusions and disagrees with others.
Researchers often debate the relative merits of particular methods, among them
case study. In this section, we comment on two key issues. To read the
commentaries, choose any of the items below:
Most case study advocates point out that case studies produce much more detailed
information than what is available through a statistical analysis. Advocates will also
hold that while statistical methods might be able to deal with situations where
behavior is homogeneous and routine, case studies are needed to deal with
creativity, innovation, and context. Detractors argue that case studies are difficult to
Strengths
Flexibility
Emphasis on Context
Weaknesses
Inherent Subjectivity
"The case study has long been stereotyped as the weak sibling among social
science methods," and is often criticized as being too subjective and even pseudo-
scientific. Likewise, "investigators who do case studies are often regarded as
having deviated from their academic disciplines, and their investigations as having
insufficient precision (that is, quantification), objectivity and rigor" (Yin 1989).
Opponents cite opportunities for subjectivity in the implementation, presentation,
and evaluation of case study research. The approach relies on personal
interpretation of data and inferences. Results may not be generalizable, are difficult
High Investment
Case studies can involve learning more about the subjects being tested than most
researchers would care to know--their educational background, emotional
background, perceptions of themselves and their surroundings, their likes, dislikes,
and so on. Because of its emphasis on "deep data," the case study is out of reach
for many large-scale research projects which look at a subject pool in the tens of
thousands. A budget request of $10,000 to examine 200 subjects sounds more
efficient than a similar request to examine four subjects.
Ethical Considerations
Researchers conducting case studies should consider certain ethical issues. For
example, many educational case studies are often financed by people who have,
either directly or indirectly, power over both those being studied and those
conducting the investigation (1985). This conflict of interests can hinder the
credibility of the study.
The personal integrity, sensitivity, and possible prejudices and/or biases of the
investigators need to be taken into consideration as well. Personal biases can
creep into how the research is conducted, alternative research methods used, and
the preparation of surveys and questionnaires.
1. Prolong the Processes of Data Gathering on Site: This will help to insure
the accuracy of the findings by providing the researcher with more concrete
information upon which to formulate interpretations.
2. Employ the Process of "Triangulation": Use a variety of data sources as
opposed to relying solely upon one avenue of observation. One example of
such a data check would be what McClintock, Brannon, and Maynard (1985)
refer to as a "case cluster method," that is, when a single unit within a larger
case is randomly sampled, and that data treated quantitatively." For instance,
in Emig's (1971) study, the case cluster method was employed, singling out
the productivity of a single student named Lynn. This cluster profile included
an advanced case history of the subject, specific examination and analysis of
individual compositions and protocols, and extensive interview sessions. The
seven remaining students were then compared with the case of Lynn, to
ascertain if there are any shared, or unique dimensions to the composing
process engaged in by these eight students.
3. Conduct Member Checks: Initiate and maintain an active corroboration on
the interpretation of data between the researcher and those who provided the
data. In other words, talk to your subjects.
4. Collect Referential Materials: Complement the file of materials from the
actual site with additional document support. For example, Emig (1971)
supports her initial propositions with historical accounts by writers such as T.S.
Eliot, James Joyce, and D.H. Lawrence. Emig also cites examples of
theoretical research done with regards to the creative process, as well as
examples of empirical research dealing with the writing of adolescents.
Specific attention is then given to the four stages description of the composing
process delineated by Helmoltz, Wallas, and Cowley, as it serves as the focal
point in this study.
5. Engage in Peer Consultation: Prior to composing the final draft of the report,
researchers should consult with colleagues in order to establish validity
through pooled judgment.
Annotated Bibliography
Armisted, C. (1984). How Useful are Case Studies. Training and Development
Journal, 38 (2), 75-77.
This article looks at eight types of case studies, offers pros and cons of
using case studies in the classroom, and gives suggestions for
successfully writing and using case studies.
The case study by Baydere et. al. is just one of the many essays in this book found
in the series "Computer Supported Cooperative Work." Denley, Witefield and May
explore similar issues in their essay, "A case study in task analysis for the design of
a collaborative document production system."
Berninger, V., W., and Gans, B., M. (1986). Language Profiles in Nonspeaking
Individuals of Normal Intelligence with Severe Cerebral Palsy. Augmentative
and Alternative Communication, 2, 45-50.
Bockman, J., R., and Couture, B. (1984). The Case Method in Technical
Communication: Theory and Models. Texas: Association of Teachers of
Technical Writing.
Boyce, A. (1993) The Case Study Approach for Pedagogists. Annual Meeting
of the American Alliance for Health, Physical Education, Recreation and
Dance. (Address). Washington DC.
This paper addresses how case studies 1) bridge the gap between
teaching theory and application, 2) enable students to analyze problems
and develop solutions for situations that will be encountered in the real
world of teaching, and 3) helps students to evaluate the feasibility of
alternatives and to understand the ramifications of a particular course of
action.
No abstract available.
No abstract available.
Daillak, R., H., and Alkin, M., C. (1982). Qualitative Studies in Context:
Reflections on the CSE Studies of Evaluation Use. California: EDRS
The report shows how the Center of the Study of Evaluation (CSE)
applied qualitative techniques to a study of evaluation information use in
This article examines six types of case studies, the type of evaluation
questions that can be answered, the functions served, some design
features, and some pitfalls of the method.
This article examines four of the ethical problems that can happen when
conducting case study research: acquiring permission to do research,
knowing when to stop digging, the pitfalls of doing collaborative research,
and preserving the integrity of the participants.
Ellram, L. M. (1996). The Use of the Case Study Method in Logistics Research.
Journal of Business Logistics, 17, 2, 93.
This case study uses observation, tape recordings, writing samples, and
school records to show that writing in reflexive and extensive situations
caused different lengths of discourse and different clusterings of the
components of the writing process.
Feagin, J. R. (1991). A Case For the Case Study. Chapel Hill: The University of
North Carolina Press.
Feldman, H., Holland, A., & Keefe, K. (1989) Language Abilities after Left
Hemisphere Brain Injury: A Case Study of Twins. Topics in Early Childhood
Special Education, 9, 32-47.
Fidel, R. (1984). The Case Study Method: A Case Study. Library and
Information Science Research, 6.
Explores the ways in which writers actually use different forms of knowing
to create prose.
Gilgun, J. F. (1994). A Case for Case Studies in Social Work Research. Social
Work, 39, 4, 371-381.
No abstract available.
Kenny, R. (1984). Making the Case for the Case Study. Journal of Curriculum
Studies, 16, (1), 37-51.
The article looks at how and why the case study is justified as a viable
and valuable approach to educational research and program evaluation.
This article reviews a course in which students gather data for an original
case study of another person. The task requires the students to design
the study, collect the data, write the narrative, and interpret the findings.
No abstract available.
No abstract available.
Merry, S. E., & Milner, N. eds. (1993). The Possibility of Popular Justice: A
Case Study of Community Mediation in the United States. Ann Arbor: U of
Michigan.
Merseth, K. K. (1991). The Case for Cases in Teacher Education. RIE. 42p.
(ERIC).
This monograph argues that the case method of instruction offers unique
potential for revitalizing the field of teacher education.
"This paper argues for and illustrates an approach to the study of writing
that integrates ethnographic analysis of classroom interaction with
Included in this series of essays is Peter Sturman’s "Team Teaching: a case study
from Japan" and David Nunan’s own "Toward a collaborative approach to
curriculum development: a case study."
Nystrand, M., ed. (1982). What Writers Know: The Language, Process, and
Structure of Written Discourse. New York: Academic Press.
Owenby, P. H. (1992). Making Case Studies Come Alive. Training, 29, (1), 43-
46. (ERIC)
This article provides tips for writing more effective case studies.
---. (1981). Pausing and Planning: The Tempo of Writer Discourse Production.
Research in the Teaching of English, 15 (2),113-34.
No abstract available.
This book provides a series of essays which look at gender identity research,
qualitative research and applications of case study to questions of gendered
pedagogy.
Pirie, B. S. (1993). The Case of Morty: A Four Year Study. Gifted Education
International, 9 (2), 105-109.
This case study describes a boy from kindergarten through third grade
with above average intelligence but difficulty in learning to read, write,
and spell.
---. (1984). The Predrafting Processes of Four High- and Four Low
Apprehensive Writers. Research in the Teaching of English, 18, (1), 45-64.
No abstract available.
No abstract available.
Stahler, T., M. (1996, Feb.) Early Field Experiences: A Model That Worked.
ERIC.
"This case study of a field and theory class examines a model designed
to provide meaningful field experiences for preservice teachers while
remaining consistent with the instructor's beliefs about the role of teacher
education in preparing teachers for the classroom."
Stake, R. E. (1995). The Art of Case Study Research. Thousand Oaks: Sage
Publications.
This book examines case study research in education and case study
methodology.
This article describes the case study method as a form of simulation and
presents guidelines for their use in professional training situations.
Thaller, E. (1994). Bibliography for the Case Method: Using Case Studies in
Teacher Education. RIE. 37 p.
No abstract available.
United Nations. (1975). Food and Agriculture Organization. Report on the FAO
/UNFPA Seminar on Methodology, Research and Country: Case Studies on
Population, Employment and Productivity. Rome: United Nations.
This example case study shows how the methodology can be used in a
demographic and psychographic evaluation. At the same time, it
discusses the formation and instigation of the case study methodology
itself.
Van Vugt, J. P., ed. (1994). Aids Prevention and Services: Community Based
Research. Westport: Bergin and Garvey.
"This volume has been five years in the making. In the process, some of
the policy applications called for have met with limited success, such as
free needle exchange programs in a limited number of American cities,
providing condoms to prison inmates, and advertisements that depict
This paper examines the viability of the case method as a teaching and
learning strategy in instructional systems geared toward the training of
personnel of the administration of various aspects of educational systems.
"R. T. Ogawa and B. Malen's article does not meet its own recommended
standards for rigorous testing and presentation of its own conclusions.
Use of the exploratory case study to analyze multivocal literatures is not
supported, and the claim of grounded theory to analyze multivocal
literatures may be stronger."
---. (1989). Case Study Research: Design and Methods. London: Sage
Publications Inc.
Related Links
Consider the following list of related Web sites for more information on the topic of
case study research. Note: although many of the links cover the general category of
qualitative research, all have sections that address issues of case studies.
Becker, Bronwyn, Patrick Dawson, Karen Devine, Carla Hannum, Steve Hill, Jon
Leydens, Debbie Matuskevich, Carol Traver, & Mike Palmquist. (2005). Case
Studies. Writing@CSU. Colorado State University. https://writing.colostate.edu
/guides/guide.cfm?guideid=60
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