Case Study Approach and Design

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Table of Contents

Introduction
Research Methodology
Main components of the case study protocol
Categories for evidence analysis in a case study
References

Introduction

Case study

Alvarez et al (1990, pp.3-8) claims a case study is responds to how, why and what questions. The why, what and how questions make it possible for the researcher to demonstrate control over behavioral events and finds application when the researcher has no capability to control behavioral events.

Case study approach based on Glesne and Peshkin (1992) suit determination of contemporary issues in their natural settings and real life context. This implies case studies involve ethnographic approaches that ensure the ethnographer or researcher interacts with the respondents and determines variables in their natural or real life settings (Yin, 1994).

Campbell (1975) in his degrees of freedom of a case study argues that a case study integrates empirical research where a researcher focuses on contemporary issues and variables of the study are investigated in real-life context.

The case study approach base don Giddens (1984) is applied when relationship between study phenomenon and its contextual background are not clearly defined which result into inability to identify study model that could be used to form basis for the study. Carney (1995) in addition suggests case studies are applied when conducting studies on behavioral trends on complex social issues.

Suitability and application of case study

Stake (1995) claims case studies are suitable when conducting studies on a study problem that is characterized by a research phenomena that is defined by extensiveness of variables, has multiple sources of evidences that require multiple methods of collecting the evidences on the phenomenon and where theoretical propositions could be identified or study could contribute into determination of a theoretical proposition or where theoretical proposition could form foundation for collecting the data as well as carrying out data analysis from multiple sources.

Feagin et al (1991) adds that in a case study, the design of the research should be structured such that it demonstrates link between data that would be collected and the conclusion that would be achieved. This ensured study construct validity conforms to study conclusion validity.

In addition, Strauss and Glaser (1967) notes that in a case study should be structured such that conceptual framework, theoretical framework and data collection procedures are aligned to the research instruments and questionnaires which ensure the conclusion validity achieves element of credibility.

This ensures the case study conforms to protocols and standards on reproducibility construct validity of the study which makes it possible for the results to be duplicated (Pyecha, 1988).

The study blueprint and preliminary theory alignment

Determination and structure of the study blueprint based on Strauss and Glaser (1967) should contribute into determination of grounded theory for the case study. This grounded theory should conform to the study problem and satisfy capacity of procedures to contribute into determination of conclusion validity.

It is therefore necessary for study blueprint to be determined as well as grounded theory for the case study before implementing data collection. The theory for the study should form framework for the completeness of the study design (Strauss & Glaser, 1967).

Different kind of case studies

Feagin et al (1991) claims there are three perspectives that could be adopted towards carrying out a case study namely explanatory approach, exploratory approach and descriptive approach. The choice for the approach for the case study based on Pyecha (1988) and Giddens (1984) depended on orientation of theories on the study phenomena.

The capacity to identify appropriate theory that corresponds to expectations of the case study provides opportunity for using exploratory design approach (Yin, 1993).

In adoption of exploratory approach, theoretical propositions on the study phenomena should be demonstrate uniformity and compliance in application to the design of the study in terms of research instruments namely questionnaires of the study, proposed method for data analysis, linkage of the theory with data proposition on the study phenomena and rationale that would be adopted to conduct data interpretation.

The approach that is taken should form basis for rationale and criteria that would be adopted towards review of literature on the study phenomena and frame of reference that is adopted to achieve comprehensive review and survey on the study phenomena.

Thus, as Miles and Huberman (1984) indicate, the expected outcomes of the study depend on the stance that is used for instance exploratory, explanatory or descriptive. The approach further influences on range of theories that could be reviewed during analysis of past primary and secondary studies and scope of case study based on setting of the case study namely at individual level, organizational level or societal level.

The approach of the study influences on the construct of the study design that is eventually adopted and conceptual framework or theoretical foundation of the study and eventually new theories that could emerge from the study. The study would adopt exploratory approach (figure 1) since exploratory approach makes the study to be independent from past studies or recommendation of other studies and their data analysis.

Independence of the study makes the study to form basis for future primary studies since exploratory approach results into determination of new theories, paradigm and principles on the study phenomenon based on current trends that the study outcomes identify and determine (Yin, 1993).

Figure 1: Direction of an exploratory study

Direction of an exploratory study.

Source: Adapted from Alvarez et al, 1990, p.12

Research Design

The research design will be structured such that it conforms to protocols of a case study based on recommendations of Yin (1994).

According to Yin (1994, p.20) a case study design should have structured questionnaire, propositions of the case study, the unit that is employed in analysis of the data, construction of a logical relationship and linkage between the data collected and the proposition of the study and support of rationale or criteria that is use to interpret the findings of the case study.

Observation as the method of collecting data through watching the development of certain events in their dynamics and recording the achieved results has a number of advantages and disadvantages.

Thus, on the one hand, the collected data is reliable and less resource-consuming than other methods can be. On the other hand, people can behave differently if they are aware of their participation in the research, reducing the accuracy of the achieved results.

Questionnaire as the research tool can be defined as a set of questions addressing certain issues and handed out to statistically significant number of respondents for the purpose of collecting data for a survey. The tool of questionnaire is appreciated for the standardized way of collecting the information and a relatively short period of time required for collecting the data.

Regarding the disadvantages of this method, questionnaire can be criticized for the possible misinterpretation of the retrieved results and the difficulties with processing the answers to open-ended questions.

The structure of the questionnaire and survey tool

The design of the case study should deliver the aspect of survey tool that is used or questionnaire that is used to collect the data. Case study questionnaire based on Yin (1993) should be based on how and why questions. The construct of how and why questions should be the first component that the research defines.

The how and why questions form basis or foundation for development of the propositions of the case study. The questions are also vital for focusing the study goals and objectives.

The foundation of exploratory approach in a case study

Exploratory studies do not support propositions for the case study although descriptive and explanatory studies do (Campbell (1975). Exploratory studies have stated criteria or rationale that is used to form foundation for making judgments of the study success.

The unit that exploratory study is based on defines characteristics of the sample of population that is used. In exploratory studies, unit of analysis vary from groups, organization or nations that have particular specific character that the researcher wants to identify and determine.

The role of matching patterns in case study is vital in establishment of relationship between data collected and the propositions of the study. Pattern matching involves relating information on case study to other theories and theoretical framework of the study which make it possible to identify determinants that affect variables being investigated (Brearley, 1993).

This implies, the case study should satisfy construct validity due to influence of researcher objectivity. Researcher objectivity could be managed through use of multiple sources of evidence, establishing a variety of chain of evidence and development of a draft case report that should be peer reviewed to identify external validity and internal validity.

Peer review for internal validity and internal consistency is important in causal approach-based research or explanatory research approach which emerges from inferences on the case study (Campbell, 1975).

External validity should be satisfied regardless of the approach used since external validity influences on capacity to generalize the findings beyond immediate case study rationale. Case study protocol should be developed in order to manage reliability in terms of external and internal validity.

Single and multiple-case study design

Taking into account the fact that case study method is frequently criticized due to the lack of robustness in the research conclusions, it can be stated that the design of case studies has a significant impact upon the accuracy of the retrieved results. The choice between single-case and multiple-case design depends upon the peculiarities of a particular research problem.

The main drawback of single-case design is the inability to make scientific generalizations by drawing the conclusions from only one case. Under certain circumstances, a single-case approach is not only the most appropriate but even the only possible approach (Hamel et al, 1993). This is, for instance, the case with unique events or phenomenon when certain events occurred only once in their unique context.

Deciding on the single-case research design, a researcher can confirm the validity of the research process by supporting the evidence by other methods. The multiple-case design allows making generalizations and can be used for exploring the events which have numerous sources of evidence. This approach involves data on the case replications which are discussed before drawing the final conclusions.

In general, the careful design for a case study is of paramount importance for ensuring the accuracy of the research findings. The background for the research problem and the availability of replication for the case need to be considered for selecting the most appropriate methodology.

Research Methodology

The selection of the method of research needs to be selected in the same way the problem of the study is determined.

Processes of selecting the research methodology

The process of selecting the research method involves development of a preliminary theory on the study phenomena (Carney, 1995). The preliminary theory is used to form a template that is used to compare expected characteristics of the outcomes or findings that paves way for nature of expected empirical findings from the case unit of analysis.

The selected case should reflect characteristics of the problem of the study which should at the same time link or demonstrate relationship with theoretical propositions or relationship between the data and proposed theory and conceptual framework of the study.

The method of research that the study adopts would be a mixed study approach that integrates use of qualitative and quantitative research (sampling and non-sampling techniques).

The use of the quantitative research approach would make it possible to quantify the results and ensure the results could be duplicated in other study settings while qualitative research method would ensure capacity to qualify the findings (Strauss & Glaser, 1967).

Rationale for generalization of findings

The element of generalizability of the findings would be based on preliminary theory of the study design or structure of the study design. The structure of the study design should ensure the study design supports theory-related analytical generalization of the findings (Yin, 1994). This eliminates statistical generalization of the findings but still aligns sampling element of the study to be congruent to qualitative aspect of the study.

Application of Quantitative Methods

Data collection is numerical which qualify use of statistical data analysis. Quantitative research follows set standards, methods of data collection and analysis (Pyecha, 1988). The standard procedures ensure optimization and maximization of objectivity which is lower in qualitative research.

The procedures involve collection of data that seeks fixed and non-flexible responses, tabulation of numerical data, summarization of the numerical data, analysis of the statistical data and development of conclusion based on analyzed data.

Application of Qualitative Methods

Qualitative technique is applied if increasingly more insights and understandings of study variables is being investigated which cannot be obtained in qualitative research approach due to use of closed and structured questionnaires in quantitative research (Giddens, 1984).

As a result, qualitative research represents a form of non-numerical research qualitative research contributes into collection of evidence in natural settings which results into non-biased findings. Qualitative research as a result, describes findings non-numerically which helps to provide qualities of the study variables via observation.

Qualitative technique has own standard approach and procedure that is defined by collecting evidence or data through open ended questions, recording responses non-numerically, interpreting findings, follow up to clarify on the responses hence iterations process in validating data, developing theory from the narrative analysis and establishing conclusion (Garvin, 1991).

Table 1: Comparison between qualitative and quantitative research techniques

Qualitative Research	Quantitative Research
phenomenological	positivistic
inductive	deductive
holistic	particularistic
subjective centered	objective centered
process oriented	outcome oriented
anthropological worldview	natural science worldview
relative lack of control	attempted control of variables
dynamic reality assumed	static reality assumed
discovery orientated	verification orientated
explanatory	confirmatory

Source: Adapted from Campbell, 1975, p.183

Research approach for the case study

The research approach for a case study depends on the number of cases that should be carried out. This further depends on number of units of analysis that the study seeks to use (Alvarez et al 1990). For instance, a case denotes topic of the research empirically while unit of analysis denotes the actual source of information.

Single cases are employed when it becomes necessary to test existing theory which demands appropriation of case and unit of analysis.

On the other hand multiple cases are employed in scenarios representing possibilities of replicating theories or demonstration of evidential support for a specific theorem which is characterized by similarities of findings and realization of contracting results depending on the construct validity of the original study design and possibilities of reproducibility (Stake, 1995).

As a result, theoretical framework of a case study should provide conditions that should be satisfied if a given set of phenomena is to be satisfied and secondly conditions when it is not possible to satisfy a given observation or set of phenomena.

The research approach is defined by the theoretical framework of the study. If there occur a problem with the data, changes ought to be made on the theoretical concepts and theoretical framework. This can also be done if empirical cases do not result as predicted

Research method or instrument

The research instrument will be structured such that it satisfied protocols and standards of a case study. A case study, based on protocols, involves use of more than one research instrument.

As a result, the case study protocol demands definition of procedures and rules that ought to be followed when using the primary instrument of case study research (Glesne & Peshkin, 1992). The research instrument would be created before actual data collection takes place. Research instrument reliability and validity influences on data validity and reliability as well as conclusion validity.

Main components of the case study protocol

The case study protocol will be made up of the following four sections

Overview of the case study research which will provide objectives of the case study, issues that the case study seeks to address, and diverse topics that the case study seeks to provide answer on
Field procedures for the case study for instance credibility of data sources, and sources of the secondary or primary data
Questions for the case study which include all specific questions that the researcher should base his or her study on and which should be reflected during actual data collection
A guide that should be used for the case study report which should be mainly an outline for the case study or general format for the case study report

Source: Yin, 1994, p.64

Observation and questionnaires in relation to case study

The design for the observation protocol and questionnaire should satisfy three main features of principles that govern case study research namely use of multiple sources of evidence, creation of a case study database and maintenance of a chain of evidence on the case study (Glesne & Peshkin, 1992)

Use of multiple sources of evidence in case study research

The use of multiple dimensions in the case study is vital in achievement of triangulation aspect of a case study. The multiple sources of evidence collection ensure evidence analysis results into convergence of issues on study phenomena which is vital in strengthening construct validity of the case study (Stake, 1995)

Creation of a case study database

Creation of a case study database ensures the case study is supported by content or database that represents or is used in creation of the final report on the case study (Garvin, 1991).

A case study database generally contains first case study notes which should be characterized by element of clarity and be able to be used at a later date, secondly documents on the case study, created and collected tabular materials and contents and initial open ended answers to open ended questions which should be presented in form of narratives for narrative analysis and thirdly capacity to demonstrate maintenance of chain of evidence that support the case study (Yin, 1993).

Maintenance of evidence involves demonstrating relationship between initial questions that were used, case procedure documentation based on case study protocol and evidence that supports the case study was actually carried out.

The data that was collected as evidence collection should be analyzed based on protocol and there should be evidence of storage of the data that could be used for future reference or re-use and there should be enough and adequate citing of the case study and its data evidence and evidence analysis in the final report of the study.

The different types of observation

The observation of the case study influences on nature of the evidence that is collected and analyzed as findings of the case study (Yin, 1994).

Collecting the evidence

The evidence collection of the case study depends on source of the evidence. Primarily, there are six evidence collections in a case study namely

Documents that include progress reports, minutes, agenda and communications
Achieving of records for instance service records, charts that are used to form organizational structure, frame of reference or budgets on the study components and variables
Conducting interviews that could be achieved through one-to-one interview or focus groups that could be open ended structured, non-structured or surveys
Direct observation of respondents through formal or casual observation or having multiple observers on a given variable
Participant observation which make the researcher part of data collection because the researcher actively participates in interviews or becomes part of respondent where the variable is tested
Use of physical artifacts

Source: Adapted from Yin (1994), p. 20-22

The study integrates all the methods due to use of mixed method approach in evidence collection.

Analysis of the case study

Evidence analysis of the case study should conform to standards of unit of analysis of the study phenomena. Two approaches would form foundation for the evidence analysis namely holistic design analysis and embedded design analysis. The analysis will satisfy embedded analysis and holistic analysis (Yin, 1994).

In holistic analysis, the analysis will be structured on capacity for single unit of analysis. Holistic analysis will be employed because the study phenomena would be characterized as a global nature which will seek to identify global features of the study phenomenon. Holistic analysis will however not result into logical sub-unit figurative analysis.

Logical sub-unit identification of global nature of the study phenomenon would be achieved through embedded analysis where multiple units of analysis will be employed (Strauss & Glaser, 1967).

The shift will be characterized by use of holistic analysis findings into determination of multi-sub-units where the main concern will be focused on consistency of patterns across different units of analysis of factors that define the study phenomena. This will however be built and structured within the case of study and limits of study inquiry.

Analyzing the evidence in a case study

Alvarez et al (1990) claim evidence analysis in a case study relies on capacity of researcher to develop a general analytical strategy that facilitates in making choice of unit analysis amongst various strategies. If the researcher doesnt have a preliminary analysis schema for the data, Stake (1995) suggests matrices, tabulation of frequencies, temporal schemas could be utilized in developing initial evident analysis construct.

Categories for evidence analysis in a case study

Case description evidence analysis of case study

Case description protocol affirms need for development of a framework that is used to form foundation for organizing the case study. In carrying out evidence analysis, the researcher has to organize descriptions of general characteristics of the study phenomena. This organization of descriptions is based on questionnaire or survey tools (Yin, 1994).

Analytical techniques in evidence analysis of a case study should demonstrate conformity to the general strategy of the research. Pattern matching is important element in case study approach and finds application in explanatory and descriptive approaches (Stake, 1995). Pattern matching is important in determining if different patterns of data have been arrived at.

This is carried out in expected outcomes of data as patterns. It can also be arrived at via rival expectations as patterns. This arises following determination of linkage between empirical findings and data that might be excluded. Explanation building forms basis of the case study subject to use of exploratory approach.

Explanation building involves building explanation on a case through determination of causal relationships and causal links. The explanations are arrived at through series of iterations that from foundation for explanation building.

Iterations however have been documented to contribute into drifting away from initial objectives which might affect capacity to pattern matching of the results (Pyecha, 1988). In iterations, relationships are built from initial theoretical statement where findings are compared and statements are revised.

Case study evidence analysis is backed by time series analysis where the analysis is directed towards seeking answers to how and why questions. The analysis ought to demonstrate linkage and relationship with the evidence, prior knowledge integration and competent empirical evidence development should be clearly demonstrated.

Advantages and disadvantages of case study

The research method of case study has a number of advantages which foster the current popularity of this approach. The first of its strengths is the examination of data within its actual context (Yin, 1994).

Analyzing the details of the situation in which the phenomenon is observed, a researcher has an opportunity for establishing the cause-and-effect links between the various stages of the process and obtaining a deeper insight into the main underlying roots of the issue.

The second advantage is the opportunity to decide between quantitative and qualitative analyses of data or combining both approaches at the researchers discretion. Researchers should avoid confusing the methods of a qualitative research and case study, but bear in mind that certain case studies can be based on quantitative evidence (Yin, 1994).

The third advantage of case study is the detailed account of data which allows considering the complexity of the discussed phenomena for preventing the possible bias and underestimation of the inner links and dynamics.

Regardless of the above mentioned benefits of this research method, case studies are criticized for a number of their limitations. Thus, the lack of accuracy is one of the possible hazards of implementing this approach. The research findings are often drawn from biased views and cannot be regarded as credible (Hammel et al, 1993).

The second disadvantage of case studies is the insufficiency of evidence for making certain scientific generalizations. The third disadvantage is the amount of documentation required for conducting a case study which makes the implementation of this research method rather time-consuming. Yin (1994) criticized the small sampling, defining the methodology of case studies as microscopic.

In general, despite of the fact that the method of case study enables researchers to obtain a detailed qualitative account of the situation, this methodology should be used as an exploratory tool, while the biased interpretation of data on microscopic level makes scientific generalizations inappropriate.

References

Alvarez, M., Binkley, E., Bivens, J., Highers, P., Poole, C., & Walker, P (1990) Case-based instruction and learning: An interdisciplinary project. Proceedings of 34th Annual Conference (pp. 2-18), College Reading Association

Brearley, D. (1993, September). The case study: Threat or opportunity? Counselor Education and Supervision, 33, 35-37.

Campbell, D. (1975). Degrees of freedom and the case study, Comparative Political Studies, 8, 178-185

Carney, C. (1995). Teaching with cases in the Interdisciplinary classroom: Combining business language and culture. In H. Klein (Ed.), WACRA Conference (pp.117-127). Needham, MA.

Feagin, J., Orum, A., & Sjoberg, G. (Eds.), (1991). A case for case study. Chapel Hill, NC: University of North Carolina Press.

Garvin, D. (1991). A delicate balance: Ethical dilemmas and the discussion process. In C. Christensen, et al. (Eds.), Education for judgement: The artistry of discussion leadership (pp. 287-304). Cambridge, MA: Harvard Business School.

Giddens, A. (1984). In R. Yin (1993). Applications of case study research. Beverly Hills, CA: Sage Publishing.

Glesne, C., & Peshkin, A. (1992). Becoming qualitative researchers. New York: Longman.

Hamel, J., Dufour, S., & Fortin, D. (1993). Case study methods. Newbury Park, CA: Sage Publications.

Miles, M., & Huberman, M. (1984). Qualitative data analysis: A source book for new methods. Thousand Oaks, CA: Sage Publication

Pyecha, J. (1988). A case study of the application of noncategorical special education in two states. Chapel Hill, NC: Research Triangle Institute.

Stake, R. (1995). The art of case research. Thousand Oaks, CA: Sage Publications.

Strauss, A., & Glaser, B. (1967). The discovery of grounded theory: Strategies for qualitative research. Chicago: Aldine.

Yin, R. (1993). Applications of case study research. Beverly Hills, CA: Sage Publishing.

Yin, R. (1994). Case study research: Design and methods (2nd ed.). Beverly Hills, CA: Sage Publishing

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