Beginning Research | Action Research | Case Study | Interviews | Observation Techniques | Education Research in the Postmodern
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Now led by Mike Murphy.
© D Hayes, Faculty of Education, University of Plymouth, 2006
Welcome to the module component on Case Study. I hope that you find the information contained in the following pages useful.
Let’s begin by asking a fundamental question: What is meant by a ‘case’?
KEY REFERENCES: Golby (1993); Yin (2003)
The term CASE STUDY is used in a variety of ways:
As an alternative to experimental (scientific) and quantitative (positivist) methods.
As an intensive investigation of single situations which serve to identify and describe basic phenomena.
Focusing on individuals' perceptions of given educational phenomena, carried out largely by means of interviews.
As a study which is almost entirely qualitative in methodology and presentation.
As a type of ethnographic research (see below) incorporating participant observation, qualitative observation and field study.
KEY TERM: Ethnographic
Ethnographic studies are those that take place within a definable cultural setting, such as a school or office or place of employment. In fact, anywhere in which groups of people are found to be sharing the same environment. The researcher is known as the ‘ethnographer’.
There is general agreement that case studies are characterised by the following...
Data are qualitative rather than quantitative. This does not mean that numbers are unimportant but that they are relatively insignificant.
Data are not manipulated (the truth is told plainly). This raises the issue of what ‘truth’ means.
Studies tend to focus on single cases (rather than multiple ones).
Ambiguity in observation and report is tolerated (rather than absolute outcomes). This means that there may not be clinical, clearly defined solutions.
Multiple perspectives are solicited. This means that the opinions and perceptions of many people may be sought.
Holism (the sum of the parts is greater than the whole) is advocated. This means that the greater the range of data, the better.
A search for understanding (for example, by reference to context or history) rather than mere explanation.
Non-technical language is used (however, meanings have to be defined; this is not an excuse for casual use of language).
KEY REFERENCE: Kenny & Groteleuschen (1984)
A case study is often used in one of two ways:
To identify key research questions that can later be used in a questionnaire survey.
To follow up significant issues that have emerged from a questionnaire survey.
So in situation 1, the case study opens up a number of issues that lead to research questions that are answered through questionnaires.
CASE STUDY » RESEARCH QUESTIONS » QUESTIONNAIRE
In situation 2, the reverse is true. Significant issues revealed through an analysis of a questionnaire survey assist the development of the case study.
QUESTIONNAIRE »SIGNIFICANT ISSUES » CASE STUDY
Case studies do not have to be linked to a questionnaire survey. A single case may provide useful insights that provide useful knowledge or stimulate further investigations.
However, case studies provide an excellent opportunity for triangulation; that is, using a number of research methods to complement and confirm findings. For instance, using observation, interviews and questionnaire.
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Descriptions of case studies abound with terms. To make matters worse, different authors use the terms differently! It pays, however, to have some grasp of the vocabulary that is commonly encountered.
The following explanations are intended to help you find your way around the terminology minefield...
Empirical
Qualitative
data are based largely upon an interpretation of events and situations (sometimes referred to as interpretative research, though in fact all research findings require interpretation)
data and analysis are concomitant (i.e. they go hand-in-hand, rather than accumulating data as stage 1 and analysis as stage 2)
Quantitative
data offer a statistical basis for analysis
data and analysis are distinct operations
Ethnography
the study of an intact cultural scene
a means of understanding and interpreting a social situation
takes account of a large number of relevant factors
NB Case studies are frequently ethnographic in character
Positivist research
Hypothesis
Theory
Ontology
Epistemology
Phenomenology
NOTE: The term ‘data’ is plural. This means that the associated verb should also be plural. Thus: ‘the data are’ rather than ‘’the data is’. Don’t let it worry you unduly, however!
Until quite recently, case study (indeed, all qualitative research) was viewed as inferior to the more experimental 'scientific' (positivist) approach..
It is now accepted by the majority of researchers that case study fulfils a particular and important role.
(1) Case study is sometimes (wrongly) viewed as a soft option in research...
no hard numbers to manipulate
no scientific experiments to set up and monitor
people-centred and used in interesting settings
(2) In practice, case study is complex and involve a variety of different research instruments or measures such as careful observation of interactive situations, interviews, questionnaires...
it needs a cool head to negotiate the early stages of uncertainty (case studies do not allow for a 'quick fix' approach)
it demands consistency in collecting data in the knowledge that it won't all be used (some data have to be left to 'rot around the roots' of the research and 'fertilise' the principal data)
considerable perseverance, especially when what you are finding seems like common sense (the trouble with 'common sense' is that it isn't very common!)
the ability to draw together different forms of data and make sense of them
great flexibility of thought as ideas buzz around and priorities alter over time... an early hypothesis, drawn up with reference to the literature, is often superseded by a redefined version which eventually turns into a 'final (though incomplete) product'.
(3) Case studies may be carried out in a variety of situations...
a single classroom, waiting room, clinic, office...
a single school, college department, university faculty
using an identifiable group of people such as children of similar age or ability, groups of people in school or college (such as assistants, parents who help in classrooms...)
And using many different strategies to discover what is going on in the situation and how those happenings can be monitored, described, evaluated and placed within some sort of understandable theoretical framework.
Understandable is a key word for, like action research, case studies are intended to provide findings that are of value to practitioners.
(4) Case studies are, by their very nature, QUALITATIVE and ETHNOGRAPHIC...
QUALITATIVE because there is not normally a clearly defined hypothesis underpinning the research which can be tested by analysing sets of figures... but rather through dealing with interpretation of events, opinions, perceptions... and so forth.
ETHNOGRAPHIC because they deal with real people in real settings doing real things. That is, the context and inter-relationships between people are likely to be very significant in the search for a helpful explanation of the realities being investigated.
(5) Case studies can never be entirely qualitative and ethnographic
BUT NOTE... the case study asks "which teachers?" and "who were they?" and "what was their understanding of the issues?"
... were there hidden agendas?
... was there collusion?
... are there discernible patterns in the voting or stances adopted?
... what are the personal values driving individuals to behave and act that way?
... perhaps there is a 'fear factor' at work (such as the need for higher results)
... or personal ambition (such as gaining 'advanced' status)
... or inexperience (such as being in the induction year)
... what motivates these people?
... why are children behaving in this way?
... how do inter-relationships and the effect of hierarchy impact upon the choices made and decisions taken?
... and so on.
(6) The case study method needs to take close account of the researcher
... what are your motives?
... why have you selected that particular situation?
... if it is your own institution or one with which you are very familiar, how does your relationship with colleagues influence your reactions?
... where should you draw the line when it comes to confidentiality... especially if you are in a position of seniority?
... what informal comments should be taken into account as evidence
... do you rely on your 'gut reaction' (rather than verifiable evidence) due to your familiarity with the situation?
... if so, to what extent is 'instinct' permissible as evidence?
(7) There is a relationship between case study and action research
... case studies are about particular events or situations but they are not wholly unique as there are other, similar events and situations operating under similar constraints elsewhere.
... a single piece of action research is rarely for the purpose of generalising other than when it is taken together with a large number of other pieces of action research of a similar kind.
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A variety of claims are made for the usefulness of case studies...
Case studies communicate directly with the implementers and initiators of education.
They relate clearly to daily experience and have a 'human face'.
They enable well informed reflection to focus on single issues, events and circumstances. ('Freezing the frame')
They allow for entering the experience of others but with the privilege of then standing back and evaluating.
They allow for affirmation of beliefs, modification of some and rejection of others.
They concentrate attention on the way that particular groups of people confront situations and problems.
They offer the opportunity for the researcher to broker diverse viewpoints.
They are often problem-centred, small scale, entrepreneurial enterprises.
They allow immediate accumulation of data on the basis of ideas formulated earlier but with the opportunity to reconceptualise the situation as data emerges ('grounded theory').
They are valid in connecting with their reader's own experiences and representing those experiences through reference to specific cases. ('The ring of truth')
Case studies help to confirm for others that they are not alone in their struggles and that others share their experiences, struggles, conflicts and dilemmas.
(1) Case study research is an intervention, and sometimes an uncontrolled intervention, into the lives of others.
For example, to interview someone, to observe someone teaching, to talk to teachers about the head or with pupils about teaching... can each undermine institutional structures.
Thus, the kinds of questions asked during interviews can itself be a tool for change as it sets the respondent thinking in ways which s/he may never have done otherwise.
A case study can trigger concealed tensions between different members as deeply hidden resentments, concerns and priorities are drawn out.
(2) Case study research provides a biased view and a distorted picture of the way things really are.
For example, the way in which tapes are transcribed and analysed can only give a limited perspective on the truth. As the researcher, you bear the main responsibility for analysis and presentation of findings.
If different groups of respondents say different things, we have to ask whose opinion should carry the greatest influence? For instance, heavy emphasis on what head teachers or college principals say has to be balanced against what other, less influential persons might say.
A final report/study is usually a compromise between what the researcher wants to say and what the school or college is prepared to allow.
Detailed observations of classrooms, playgrounds, staff rooms are often only a consequence of other, more powerful forces such as the influence of the DfEE, TTA, unions, local councils, etc. which are themselves rarely case studied.
(3) Case study research is essentially conservative.
It may only gives a pale reflection of the many realities.
Whichever reality is acclaimed, it is always out of date by the time it is published
Case study therefore tells a truth not the truth...they are always partial accounts, constructions of reality or representations.
Ref: Walker (1986)
The following provides summary notes about case study method. DO NOT TRY TO ABSORB THEM ALL AT ONCE...rather, use them as a memory aid.
General
Case studies are:
empirical (not merely theoretical)
about contemporary real life events (not historical, though historical events may be re-examined)
based on explanations of events and circumstances
They involve
an empirical enquiry
investigation into a contemporary phenomenon within its real-life context
spanning the boundaries between the phenomenon and the context (situation)
uses multiple sources of evidence (rather than a single one).
So...
case study is not the name of a method...many methods can be incorporated
methods should be dictated by the need to understand
case study is appropriate where it is not yet clear what are the right questions to be asked...though preliminary work (using a questionnaire, for instance) may be pointing the way to some important issues
Selecting a case for study...
it has to be a case of something!
so it is important to have a reasonably precise idea what sort of case is being investigated
you must believe something at the beginning that can be tested (case research is not a question of being gormless but of being open-minded!)
this belief is likely to be grounded in previous work on the subject
Why case study...
to improve practice
to forge close links between the academic and the practical
to offer practitioners suggestions about appropriate ways to act
to inform practitioners about a single case as a way of understanding others (that is, generalization)
The attraction of case study...
it resembles detective work
or investigative journalism
the methods used to investigate the case will relate closely to the nature of the case
The problems with case study...
it has been seen by some as atheoretical or imprecise
it requires close commitment by the researcher
progress is often uncertain
generalizations are difficult to argue
There are a number of key questions:
What case are you investigating?
What would count as evidence one way or the other for your answer?
What alternative descriptions of what presents itself to you are possible?
Consequently
Research the alternatives by getting points of view of others
Be open-minded but purposeful
Consider your own prejudices and assumptions
CONSIDER
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Once you have decided that a case study is suitable for your field of interest, you need to become more specific about what, where and how you will carry it out.
Theme of the study
CONSIDER
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Location
CONSIDER
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Evidence
As you contemplate the study, remember that data must be translated into evidence:
Your role
As the researcher you have a vital role to play, especially if you are a participant rather than a non-participant:
SEE THE EXAMPLE: The Influence of Ethnographic Case Study Research On Decision-Making In A Primary School At A Time of Rapid Change
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Validity of the research
Whatever case you choose to investigate, there are principles to be adhered to:
There are two types of validity to keep firmly in mind...
Construct validity: the measures or criteria used to construct the research should be multiple and informants should verify that they have been properly represented. Verification normally takes the form of giving respondents a 'right of reply' in which they confirm that what you thought they meant, they did mean!
External validity: or generalisability. The case study should be intelligible and the ideas should relate to existing knowledge so that other people, in different situations, can appropriate the ideas to themselves and interpret them in the light of their present understanding.
CONSIDER
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Reliability of the research
The research must be consistent, both in terms of procedures and findings...
the case you study must be authentic and recognised as such by the reader
the case study should allow other researchers to use similar approaches in their own situation and come to similar conclusions
documentation, different forms of evidence and source material should be scrupulously compiled
clarity of presentation is essential to allow others to utilise the information effectively (plain English should be used, with minimal jargon)
Methodology
Triangulation
Triangulation normally relies on using different methods to produce different types of evidence... for instance, a questionnaire to elicit key aspects of the case followed by observations followed by interviews of subjects. However it can be approached in two other ways:
Ethics
Your ethics protocol must be agreed in advance of the main study. Take note of the following guidelines:
Writing up
Hazards
As you contemplate your study, be aware that...
Strong studies contain...
Before commencing a case study, it is useful to sketch out your ideas first. The following structure provides a framework for planning...
| BROAD AREA OF INTEREST e.g. small-scale study: implementation of curriculum plan; group interaction; staff meetings; playground behaviour; marketing the school... |
| PREVIOUS SIGNIFICANT WORK IN THIS AREA... e.g. key authors; significant position paper; government edict; documentation; previous case -study... |
| WHY FURTHER INVESTIGATION IS NEEDED... e.g. your own institutional needs, personal aspirations, element of current development plan... |
| REASONS FOR A CASE STUDY RATHER THAN A DIFFERENT TYPE OF STUDY... e.g. interest in a particular circumstance or situation; need to look at whole context; focus on individuals' perceptions... |
| CONTEXT e.g. nursery unit; senior management meetings; staff room; surgery; parents' room; playground... |
| ETHICAL CONSIDERATIONS e.g. relationships; confidentiality; promotion prospects... |
| POSSIBLE METHODS FOR DATA COLLECTION e.g. interviews; close observations; video... |
| TIME SCALE FOR THE STUDY e.g. preliminaries, 3 months; data collection, six months; evaluation, 12 months |
| LOGISTICAL FACTORS e.g. travelling time... |
| YOUR OWN POSITION AS RESEARCHER e.g. membership of same team; junior partner; subordinate; leader; participant/non-participant...... |
| ANTICIPATED WORK SCHEDULE... e.g. two half-days per week on data collection, two evenings and most Saturday mornings on analysis and writing-up findings. |
Case study draws on a range of methods, notably the need to carry our careful observations of people at work
Your relationship with the people you observe is significant. It is important to clarify the boundaries and ensure that there is agreement about the purpose of the observation and what will happen to the findings.
Sensitivity is vital, especially when observing adults engaged in their professional tasks.
The following check list should be used prior to commencement
Ensure that you have all the necessary permission (including staff members).
Decide whether you are a participant or non-participant observer.
If a participant, think about practicalities of recording data. For instance, it may not be possible to record events in detail if you are occupied in a task; you may have to settle for writing things up as soon as possible after the event.
If a non-participant, determine how you will go about distancing yourself from the action. For instance, children may ask you (as an adult in the room) to help them with their work; a head teacher may ask your advice about a decision).
Be specific about what you want to observe. You cannot observe everything!
Do not try to observe too much at once. Even if there are a number of things on your observation schedule, it is best to concentrate on one thing at a time.
Consider using an observation schedule... but get some practice beforehand.
Be realistic about recording... there is a limit to the amount that you can write down.
If videoing, allow time for the subjects to get used to having a camera around.
Remember that analysis of events takes much longer than observing them.
In addition to observation, interviews form an essential part of case study research. The following example is a summary of my own experience in interviewing and serves as a reminder of how on-going contact with respondents can compromise your ability to remain non-influential...
Case study of decision making in a primary school at a time of rapid change: some implications for conducting interviews
BACKGROUND
I conducted a series of interviews with serving teachers about their view of the school policy and procedures for staff involvement in decision making at a primary school in the south-west of England. Twenty one semi-structured staff interviews using two interview schedules and different unstructured agenda were conducted with teachers, of which 4 were with the deputy head, 3 with the second teacher-governor and 2 each with two of the senior management team. The head teacher was interviewed formally and informally on 20 occasions for times varying from fifteen minutes to two hours.
A total of 14 governors’ meetings (full and sub-committee) were attended and 5 foundation governors were interviewed (in addition to the two teacher-governors). NOTE. Interviews lasted between half-an-hour and one hour, depending on the time they were held and the enthusiasm of the participants.
THE IMPACT OF THE INTERVIEWS
Although the interviews confirmed that I was not interfering appreciably with any of the normal processes operating within the school. I was viewed largely by staff as impartial and unimposing.
Over a period of time, however, I became aware that the large number of interviews and casual conversations I was having with staff were affecting their perceptions of the issues in which I was interested. For some teachers, these were previously unthought of issues; for others they confirmed or affected and refined their thinking. I noticed that some teachers began to raise more publicly the kinds of issues that we had discussed at interview. In this respect, I was unintentionally focusing staff attention on particular issues. The term ‘non-participative’ was not synonymous with ‘non-influential,’ as my presence in the school did affect teachers’ perceptions and awareness about the decision-making process and, by inference, decision outcomes.
For a fuller account see: The Influence of Ethnographic Case Study Research On Decision-Making In A Primary School At A Time of Rapid Change
Example A
We have seen that a case study does not just 'happen'. There is a lot of work prior to, and during, the period of the study.
The first case study related to an enquiry about school based decision making at a time of rapid change (see also above). The study was carried out by the author of this component (Denis Hayes) in a medium sized primary school, with part-time attendance at staff meetings over a period of about two years and interviews with the teachers and head teacher. At the heart of the study was a desire to discover how decisions were made during a time of rapid change and the need to conform to external Government requirements.
Note the range of issues that were considered when organising this case study.
There is also a discussion of other aspects of this case study in: The Influence of Ethnographic Case Study Research On Decision-Making In A Primary School At A Time of Rapid Change
Example B
There have been many case studies carried out over the years but Lacey's research was amongst the first to gain significant status and national recognition. HIGHTOWN GRAMMAR Colin Lacey (1970) is a detailed study of a boys' grammar school in a north-western industrial town called Hightown (pseudonym).
CONSIDER the following sub-headings and begin to
compile your own list of priorities relating to your own situation:
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There are six case study scenarios for you to consider. Each has its distinctive nature but all the researchers were attempting to conform to the principles described earlier…
Theory has a bad name among some practitioners. They believe that it confuses issues rather than assists in resolving them and prefer to rely on their own intuition and experience.
Theory, however, is a means of explaining things. There are good theories and poor ones. Every one of us has a theory (or several theories) about the work we do, although we may not be conscious of the fact. All of our actions, whether seemingly spontaneous or carefully weighed, are the result of our beliefs, priorities and values. Sometimes we are not in a position to implement our theories, but they exist all the same!
Read the following carefully and consider the way in which theory evolves through case study...
Basic principles
Theory may enter practice indirectly through the judgement of the teacher (who may hardly be aware that it is happening)
Theories may be lenses the teacher can use to observe concrete phenomena. (looking down a telescope at a situation)
Theories may be conceptual structures that are imposed on an incident. (this theory will help you understand what is going on)
Theory and case studies
Theories normally derive from Case Studies rather than control them .
So your theory should be able to...
explain or describe educational phenomena (it happens this way because...)
provide a hypothesis for redressing a situation (the situation can be improved if we only...)
help provide insights into the moral or ethical issues involved in a particular circumstance (we can explain the influence of factors such as...)
provide assistance in evaluating an educational outcome or assessing results (progress may be measured with respect to these parameters...)
Theoretical understanding allows us to go beyond the trial and error of empirical thinking (see McAninch, 1993)
So for case study we need...
knowledge of specific, well documented and richly described events
theory that is a case of something '
See Shulman (1986), page 11
Therefore the case study needs to...
develop theoretical understanding (by researching the intact cultural scene)
integrate subjective and objective measures (by taking a multiple perspective)
explain what is happening (by collating evidence and presenting it candidly)
See McAninch (1993)
All research findings require interpretation. Case study data can be analysed at three levels:
descriptive level
analytical level
deliberative level
The best studies contain elements of all three.
(1) DESCRIPTIVE ELEMENT
A straightforward description of events, solutions and outcomes.
(Emphasis upon precision and detail.)
VALUE: They help to build up a view of common or acceptable or apparently successful practice, however non-theoretical.
LIMITATIONS: They fail to acknowledge the particularities of the single situation and the variables which need to be taken into account (though isolating the effects of interwoven variables is difficult).
DATA ACCUMULATION: based on close non-participant observations.
(2) ANALYTICAL ELEMENT
Where interpretations and meanings are drawn from the study, stated and presented in depth so that the reader who seeks understanding can see the context, know something of the history of (say) the innovation, how it emerged and why.
Analytical case studies consider one experience in the light of others and is concerned with process over a period of time as well as outcomes.
LIKELY METHODS OF DATA ACCUMULATION may include:
Questionnaires or structured interviews
Observations of events
Informal conversations with participants, past and present
Inspection of relevant documentation
(3) DELIBERATIVE ELEMENT
The deliberative approach focuses attention on:
how things are brought about rather than what they are;
different experiences and value positions of participants;
successive phases in the process, including the negotiation of difficulties and chartering of unknown territories.
That is, the deliberative process consists of a synthesis of the problems, proposals, arguments and clarification which are experienced by the participants in reaching a final outcome.
CONSIDER, from the above information:
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NB Only for those University of Plymouth students undertaking the ‘Research in Education’ module as part of the preparation for the submission of a MA dissertation proposal
Tasks, once completed, should be sent to resined@plymouth.ac.uk, making clear:
It will then be passed on to the component leader (and copied to your supervisor). The component leader will get back to you with comments and advice which we hope will be educative and which will help you in preparing your dissertation proposal once you are ready. (Remember that these tasks are formative and that it is the proposal which forms the summative assessment for the MERS501 (resined) module.) This email address is checked daily so please use it for all correspondence about RESINED other than that directed to particular individuals for specific reasons.
TASK A (NATURE OF EDUCATION RESEARCH)
TASK B (DATA COLLECTION)
TASK C (DATA ANALYSIS)
his promotions (biographical dimension)
his satisfaction with the job (personal dimension)
his motivation.(career dimension)
Note that the head had been in his job for one year and a term.
Bassey, M. (1999) Case Study Research in Educational Settings, Maidenhead: Open University Press.
Gillham, B. (2000) Case Study Research Methods, London: Continuum.
Golby, M. (1993) Case Study as Educational Research, Tiverton: Fair Way Publications.
McAninch, A.M. (1993) Teacher Thinking and the Case Method, New York: Teachers College Press.
Scholz, R. W. and Tietje, O. (2002) Embedded Case Study Methods, London: Sage.
Simons, H. (1996) 'The paradox of case study', Cambridge Journal of Education, Vol. 26, No. 2, pp. 225-40.
Stake, R.E. (1995) The Art of Case Study Research, London: Sage.
Tripp, D. (1985) 'Case study generalization: an agenda for action', in British Educational Research Journal, Vol. 11, No. 2, pp. 33-43.
Walker, R. (1986) 'Three good reasons for not doing case studies in curriculum research', in House, R. (ed. 1986) New Directions in Educational Evaluation, Falmer Press.
Yin, R. K. (2003) Case Study Research: Design and Methods, 3rd edition, London: Sage Publications.
PUBLISHED CASE STUDIES
Ball, S. (1981) Beachside Comprehensive: A Case Study of Secondary Schooling, Cambridge University Press.
Lacey, C. (1970) Hightown Grammar: The School As A Social System, Manchester University Press.
CD-ROM
Barrett, Elizabeth; Lally, Vic; Purcell, S & Thresh, Robert (1999) Signposts for Educational Research CD-ROM: A Multimedia Resource for the Beginning Researcher. Sage Publications, London.
(This CD-ROM includes a section called 'Reconnaisance' that links to 'Destinations' and includes Case Study under 'Approaches and Methods'. Another section called 'Travelogues' gives advice on three commonly used methods of data collection - Interviews, Observation and Questionnaire surveys.)
© D Hayes, Faculty of Arts & Education, University of Plymouth, 2006
Beginning Research | Action Research | Case Study | Interviews | Observation Techniques | Education Research in the Postmodern
Evaluation Research in Education | Narrative| Presentations | Qualitative Research | Quantitative Methods | Questionnaires | Writing up Research
