The Case Study as a Research Method
Uses and Users of Information -- LIS 391D.1 -- Spring 1997
Introduction
Case study research excels at bringing us to an understanding
of a complex issue or object and can extend experience or
add strength to what is already known through previous research.
Case studies emphasize detailed contextual analysis of a limited
number of events or conditions and their relationships. Researchers
have used the case study research method for many years across
a variety of disciplines. Social scientists, in particular,
have made wide use of this qualitative research method to
examine contemporary real-life situations and provide the
basis for the application of ideas and extension of methods.
Researcher Robert K. Yin defines the case study research method
as an empirical inquiry that investigates a contemporary phenomenon
within its real-life context; when the boundaries between
phenomenon and context are not clearly evident; and in which
multiple sources of evidence are used (Yin, 1984, p. 23).
Critics of the case study method believe that the study of
a small number of cases can offer no grounds for establishing
reliability or generality of findings. Others feel that the
intense exposure to study of the case biases the findings.
Some dismiss case study research as useful only as an exploratory
tool. Yet researchers continue to use the case study research
method with success in carefully planned and crafted studies
of real-life situations, issues, and problems. Reports on
case studies from many disciplines are widely available in
the literature.
This paper explains how to use the case study method and
then applies the method to an example case study project designed
to examine how one set of users, non-profit organizations,
make use of an electronic community network. The study examines
the issue of whether or not the electronic community network
is beneficial in some way to non-profit organizations and
what those benefits might be.
Many well-known case study researchers such as Robert E.
Stake, Helen Simons, and Robert K. Yin have written about
case study research and suggested techniques for organizing
and conducting the research successfully. This introduction
to case study research draws upon their work and proposes
six steps that should be used:
Determine and define the research questions
Select the cases and determine data gathering and analysis
techniques
Prepare to collect the data
Collect data in the field
Evaluate and analyze the data
Prepare the report
Step 1. Determine and Define the Research Questions
The first step in case study research is to establish a firm
research focus to which the researcher can refer over the
course of study of a complex phenomenon or object. The researcher
establishes the focus of the study by forming questions about
the situation or problem to be studied and determining a purpose
for the study. The research object in a case study is often
a program, an entity, a person, or a group of people. Each
object is likely to be intricately connected to political,
social, historical, and personal issues, providing wide ranging
possibilities for questions and adding complexity to the case
study. The researcher investigates the object of the case
study in depth using a variety of data gathering methods to
produce evidence that leads to understanding of the case and
answers the research questions.
Case study research generally answers one or more questions
which begin with "how" or "why." The questions
are targeted to a limited number of events or conditions and
their inter-relationships. To assist in targeting and formulating
the questions, researchers conduct a literature review. This
review establishes what research has been previously conducted
and leads to refined, insightful questions about the problem.
Careful definition of the questions at the start pinpoints
where to look for evidence and helps determine the methods
of analysis to be used in the study. The literature review,
definition of the purpose of the case study, and early determination
of the potential audience for the final report guide how the
study will be designed, conducted, and publicly reported.
Step 2. Select the Cases and Determine Data Gathering and
Analysis Techniques
During the design phase of case study research, the researcher
determines what approaches to use in selecting single or multiple
real-life cases to examine in depth and which instruments
and data gathering approaches to use. When using multiple
cases, each case is treated as a single case. Each case?s
conclusions can then be used as information contributing to
the whole study, but each case remains a single case. Exemplary
case studies carefully select cases and carefully examine
the choices available from among many research tools available
in order to increase the validity of the study. Careful discrimination
at the point of selection also helps erect boundaries around
the case.
The researcher must determine whether to study cases which
are unique in some way or cases which are considered typical
and may also select cases to represent a variety of geographic
regions, a variety of size parameters, or other parameters.
A useful step in the selection process is to repeatedly refer
back to the purpose of the study in order to focus attention
on where to look for cases and evidence that will satisfy
the purpose of the study and answer the research questions
posed. Selecting multiple or single cases is a key element,
but a case study can include more than one unit of embedded
analysis. For example, a case study may involve study of a
single industry and a firm participating in that industry.
This type of case study involves two levels of analysis and
increases the complexity and amount of data to be gathered
and analyzed.
A key strength of the case study method involves using multiple
sources and techniques in the data gathering process. The
researcher determines in advance what evidence to gather and
what analysis techniques to use with the data to answer the
research questions. Data gathered is normally largely qualitative,
but it may also be quantitative. Tools to collect data can
include surveys, interviews, documentation review, observation,
and even the collection of physical artifacts.
The researcher must use the designated data gathering tools
systematically and properly in collecting the evidence. Throughout
the design phase, researchers must ensure that the study is
well constructed to ensure construct validity, internal validity,
external validity, and reliability. Construct validity requires
the researcher to use the correct measures for the concepts
being studied. Internal validity (especially important with
explanatory or causal studies) demonstrates that certain conditions
lead to other conditions and requires the use of multiple
pieces of evidence from multiple sources to uncover convergent
lines of inquiry. The researcher strives to establish a chain
of evidence forward and backward. External validity reflects
whether or not findings are generalizable beyond the immediate
case or cases; the more variations in places, people, and
procedures a case study can withstand and still yield the
same findings, the more external validity. Techniques such
as cross-case examination and within-case examination along
with literature review helps ensure external validity. Reliability
refers to the stability, accuracy, and precision of measurement.
Exemplary case study design ensures that the procedures used
are well documented and can be repeated with the same results
over and over again.
Step 3. Prepare to Collect the Data
Because case study research generates a large amount of data
from multiple sources, systematic organization of the data
is important to prevent the researcher from becoming overwhelmed
by the amount of data and to prevent the researcher from losing
sight of the original research purpose and questions. Advance
preparation assists in handling large amounts of data in a
documented and systematic fashion. Researchers prepare databases
to assist with categorizing, sorting, storing, and retrieving
data for analysis.
Exemplary case studies prepare good training programs for
investigators, establish clear protocols and procedures in
advance of investigator field work, and conduct a pilot study
in advance of moving into the field in order to remove obvious
barriers and problems. The investigator training program covers
the basic concepts of the study, terminology, processes, and
methods, and teaches investigators how to properly apply the
techniques being used in the study. The program also trains
investigators to understand how the gathering of data using
multiple techniques strengthens the study by providing opportunities
for triangulation during the analysis phase of the study.
The program covers protocols for case study research, including
time deadlines, formats for narrative reporting and field
notes, guidelines for collection of documents, and guidelines
for field procedures to be used. Investigators need to be
good listeners who can hear exactly the words being used by
those interviewed. Qualifications for investigators also include
being able to ask good questions and interpret answers. Good
investigators review documents looking for facts, but also
read between the lines and pursue collaborative evidence elsewhere
when that seems appropriate. Investigators need to be flexible
in real-life situations and not feel threatened by unexpected
change, missed appointments, or lack of office space. Investigators
need to understand the purpose of the study and grasp the
issues and must be open to contrary findings. Investigators
must also be aware that they are going into the world of real
human beings who may be threatened or unsure of what the case
study will bring.
After investigators are trained, the final advance preparation
step is to select a pilot site and conduct a pilot test using
each data gathering method so that problematic areas can be
uncovered and corrected. Researchers need to anticipate key
problems and events, identify key people, prepare letters
of introduction, establish rules for confidentiality, and
actively seek opportunities to revisit and revise the research
design in order to address and add to the original set of
research questions.
4. Collect Data in the Field
The researcher must collect and store multiple sources of
evidence comprehensively and systematically, in formats that
can be referenced and sorted so that converging lines of inquiry
and patterns can be uncovered. Researchers carefully observe
the object of the case study and identify causal factors associated
with the observed phenomenon. Renegotiation of arrangements
with the objects of the study or addition of questions to
interviews may be necessary as the study progresses. Case
study research is flexible, but when changes are made, they
are documented systematically.
Exemplary case studies use field notes and databases to categorize
and reference data so that it is readily available for subsequent
reinterpretation. Field notes record feelings and intuitive
hunches, pose questions, and document the work in progress.
They record testimonies, stories, and illustrations which
can be used in later reports. They may warn of impending bias
because of the detailed exposure of the client to special
attention, or give an early signal that a pattern is emerging.
They assist in determining whether or not the inquiry needs
to be reformulated or redefined based on what is being observed.
Field notes should be kept separate from the data being collected
and stored for analysis.
Maintaining the relationship between the issue and the evidence
is mandatory. The researcher may enter some data into a database
and physically store other data, but the researcher documents,
classifies, and cross-references all evidence so that it can
be efficiently recalled for sorting and examination over the
course of the study.
Step 5. Evaluate and Analyze the Data
The researcher examines raw data using many interpretations
in order to find linkages between the research object and
the outcomes with reference to the original research questions.
Throughout the evaluation and analysis process, the researcher
remains open to new opportunities and insights. The case study
method, with its use of multiple data collection methods and
analysis techniques, provides researchers with opportunities
to triangulate data in order to strengthen the research findings
and conclusions.
The tactics used in analysis force researchers to move beyond
initial impressions to improve the likelihood of accurate
and reliable findings. Exemplary case studies will deliberately
sort the data in many different ways to expose or create new
insights and will deliberately look for conflicting data to
disconfirm the analysis. Researchers categorize, tabulate,
and recombine data to address the initial propositions or
purpose of the study, and conduct cross-checks of facts and
discrepancies in accounts. Focused, short, repeat interviews
may be necessary to gather additional data to verify key observations
or check a fact.
Specific techniques include placing information into arrays,
creating matrices of categories, creating flow charts or other
displays, and tabulating frequency of events. Researchers
use the quantitative data that has been collected to corroborate
and support the qualitative data which is most useful for
understanding the rationale or theory underlying relationships.
Another technique is to use multiple investigators to gain
the advantage provided when a variety of perspectives and
insights examine the data and the patterns. When the multiple
observations converge, confidence in the findings increases.
Conflicting perceptions, on the other hand, cause the researchers
to pry more deeply.
Another technique, the cross-case search for patterns, keeps
investigators from reaching premature conclusions by requiring
that investigators look at the data in many different ways.
Cross-case analysis divides the data by type across all cases
investigated. One researcher then examines the data of that
type thoroughly. When a pattern from one data type is corroborated
by the evidence from another, the finding is stronger. When
evidence conflicts, deeper probing of the differences is necessary
to identify the cause or source of conflict. In all cases,
the researcher treats the evidence fairly to produce analytic
conclusions answering the original "how" and "why"
research questions.
Step 6. Prepare the report
Exemplary case studies report the data in a way that transforms
a complex issue into one that can be understood, allowing
the reader to question and examine the study and reach an
understanding independent of the researcher. The goal of the
written report is to portray a complex problem in a way that
conveys a vicarious experience to the reader. Case studies
present data in very publicly accessible ways and may lead
the reader to apply the experience in his or her own real-life
situation. Researchers pay particular attention to displaying
sufficient evidence to gain the reader?s confidence that all
avenues have been explored, clearly communicating the boundaries
of the case, and giving special attention to conflicting propositions.
Techniques for composing the report can include handling
each case as a separate chapter or treating the case as a
chronological recounting. Some researchers report the case
study as a story. During the report preparation process, researchers
critically examine the document looking for ways the report
is incomplete. The researcher uses representative audience
groups to review and comment on the draft document. Based
on the comments, the researcher rewrites and makes revisions.
Some case study researchers suggest that the document review
audience include a journalist and some suggest that the documents
should be reviewed by the participants in the study.
Applying the Case Study Method to an Electronic Community
Network
By way of example, we apply these six steps to an example
study of multiple participants in an electronic community
network. All participants are non-profit organizations which
have chosen an electronic community network on the World Wide
Web as a method of delivering information to the public. The
case study method is applicable to this set of users because
it can be used to examine the issue of whether or not the
electronic community network is beneficial in some way to
the organization and what those benefits might be.
Step 1. Determine and Define the Research Questions
In general, electronic community networks have three distinct
types of users, each one a good candidate for case study research.
The three groups of users include people around the world
who use the electronic community network, the non-profit organizations
using the electronic community network to provide information
to potential users of their services, and the "community"
that forms as the result of interacting with other participants
on the electronic community network.
In this case, the researcher is primarily interested in determining
whether or not the electronic community network is beneficial
in some way to non-profit organization participants. The researcher
begins with a review of the literature to determine what prior
studies have determined about this issue and uses the literature
to define the following questions for the study of the non-profit
organizations providing information to the electronic community
network:
Why do non-profit organization participants use the network?
How do non-profit organization participants determine what
to place on the electronic community network?
Do the non-profit organization participants believe the community
network serves a useful purpose in furthering their mission?
How?
Step 2. Select the Cases and Determine Data Gathering and
Analysis Techniques
Many communities have constructed electronic community networks
on the World Wide Web. At the outset of the design phase,
the researcher determines that only one of these networks
will be studied and further sets the study boundaries to include
only some of the non-profit organizations represented on that
one network. The researcher contacts the Board of Directors
of the community network, who are open to the idea of the
case study. The researcher also gathers computer generated
log data from the network and, using this data, determines
that an in-depth study of representative organizations from
four categories -- health care, environmental, education,
and religious -- is feasible. The investigator applies additional
selection criteria so that an urban-based and a rural-based
non-profit are represented in the study in order to examine
whether urban non-profits perceive more benefits from community
networks than rural organizations.
The researcher considers multiple sources of data for this
study and selects document examination, the gathering and
study of organizational documents such as administrative reports,
agendas, letters, minutes, and news clippings for each of
the organizations. In this case, the investigator decides
to also conduct open-ended interviews with key members of
each organization using a check-list to guide interviewers
during the interview process so that uniformity and consistency
can be assured in the data, which could include facts, opinions,
and unexpected insights. In this case study, the researcher
cannot employ direct observation as a tool because some of
the organizations involved have no office and meet infrequently
to conduct business directly related to the electronic community
network. The researcher instead decides to survey all Board
members of the selected organizations using a questionnaire
as a third data gathering tool. Within-case and cross-case
analysis of data are selected as analysis techniques.
Step 3. Prepare to Collect the Data
The researcher prepares to collect data by first contacting
each organization to be studied to gain their cooperation,
explain the purpose of the study, and assemble key contact
information. Since data to be collected and examined includes
organizational documents, the researcher states his intent
to request copies of these documents, and plans for storage,
classification, and retrieval of these items, as well as the
interview and survey data. The researcher develops a formal
investigator training program to include seminar topics on
non-profit organizations and their structures in each of the
four categories selected for this study. The training program
also includes practice sessions in conducting open-ended interviews
and documenting sources, suggested field notes formats, and
a detailed explanation of the purpose of the case study. The
researcher selects a fifth case as a pilot case, and the investigators
apply the data gathering tools to the pilot case to determine
whether the planned timeline is feasible and whether or not
the interview and survey questions are appropriate and effective.
Based on the results of the pilot, the researcher makes adjustments
and assigns investigators particular cases which become their
area of expertise in the evaluation and analysis of the data.
Step 4. Collect Data in the Field
Investigators first arrange to visit with the Board of Directors
of each non-profit organization as a group and ask for copies
of the organization?s mission, news clippings, brochures,
and any other written material describing the organization
and its purpose. The investigator reviews the purpose of the
study with the entire Board, schedules individual interview
times with as many Board members as can cooperate, confirms
key contact data, and requests that all Board members respond
to the written survey which will be mailed later.
Investigators take written notes during the interview and
record field notes after the interview is completed. The interviews,
although open-ended, are structured around the research questions
defined at the start of the case study.
Research Question: Why do non-profit organization participants
use the network?
Interview Questions: How did the organization make the decision
to place data on the World Wide Web community network? What
need was the organization hoping to fulfill?
Research Question: How do non-profit organization participants
determine what to place on the electronic community network?
Interview Questions: What process was used to select the
information that would be used on the network? How is the
information kept up to date?
Research Question: Do the non-profit organization participants
believe the community network serves a useful purpose in furthering
their mission? How?
Interview Questions: How does the organization know if the
electronic community network is beneficial to the organization?
How does the electronic community network further the mission
of the organization? What systematic tracking mechanisms exist
to determine how many or what types of users are accessing
the organization information?
The investigator?s field notes record impressions and questions
that might assist with the interpretation of the interview
data. The investigator makes note of stories told during open-ended
interviews and flags them for potential use in the final report.
Data is entered into the database.
The researcher mails written surveys to all Board members
with a requested return date and a stamped return envelope.
Once the surveys are returned, the researcher codes and enters
the data into the database so that it can be used independently
as well as integrated when the case study progresses to the
point of cross-case examination of data for all four cases.
Step 5. Evaluate and Analyze the Data
Within-case analysis is the first analysis technique used
with each non-profit organization under study. The assigned
investigator studies each organization?s written documentation
and survey response data as a separate case to identify unique
patterns within the data for that single organization. Individual
investigators prepare detailed case study write-ups for each
organization, categorizing interview questions and answers
and examining the data for within-group similarities and differences.
Cross-case analysis follows. Investigators examine pairs
of cases, categorizing the similarities and differences in
each pair. Investigators then examine similar pairs for differences,
and dissimilar pairs for similarities. As patterns begin to
emerge, certain evidence may stand out as being in conflict
with the patterns. In those cases, the investigator conducts
follow-up focused interviews to confirm or correct the initial
data in order to tie the evidence to the findings and to state
relationships in answer to the research questions.
Step 6 Prepare the Report
The outline of the report includes thanking all of the participants,
stating the problem, listing the research questions, describing
the methods used to conduct the research and any potential
flaws in the method used, explaining the data gathering and
analysis techniques used, and concluding with the answers
to the questions and suggestions for further research. Key
features of the report include a retelling of specific stories
related to the successes or disappointments experienced by
the organizations that were conveyed during data collection,
and answers or comments illuminating issues directly related
to the research questions. The researcher develops each issue
using quotations or other details from the data collected,
and points out the triangulation of data where applicable.
The report also includes confirming and conflicting findings
from literature reviews. The report conclusion makes assertions
and suggestions for further research activity, so that another
researcher may apply these techniques to another electronic
community network and its participants to determine whether
similar findings are identifiable in other communities. Final
report distribution includes all participants.
Applicability to Library and Information Science
Case study research, with its applicability across many disciplines,
is an appropriate methodology to use in library studies. In
Library and Information Science, case study research has been
used to study reasons why library school programs close (Paris,
1988), to examine reference service practices in university
library settings (Lawson, 1971), and to examine how questions
are negotiated between customers and librarians (Taylor, 1967).
Much of the research is focused exclusively on the librarian
as the object or the customer as the object. Researchers could
use the case study method to further study the role of the
librarian in implementing specific models of service. For
example, case study research could examine how information-seeking
behavior in public libraries compares with information-seeking
behavior in places other than libraries, to conduct in-depth
studies of non-library community based information services
to compare with library based community information services,
and to study community networks based in libraries.
Conclusion
Case studies are complex because they generally involve multiple
sources of data, may include multiple cases within a study,
and produce large amounts of data for analysis. Researchers
from many disciplines use the case study method to build upon
theory, to produce new theory, to dispute or challenge theory,
to explain a situation, to provide a basis to apply solutions
to situations, to explore, or to describe an object or phenomenon.
The advantages of the case study method are its applicability
to real-life, contemporary, human situations and its public
accessibility through written reports. Case study results
relate directly to the common reader?s everyday experience
and facilitate an understanding of complex real-life situations.
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