THE NATURE OF CASE STUDIES
Case study methods involve systematically gathering enough information about a particular person, social setting, event, or group to permit the researcher to effectively understand how it operates or functions. The case study is not actually a data-gathering technique, but a methodological approach that incorporates a number of data-gathering measures (Hamel, Dufour, & Fortin, 1993). The approach of case studies ranges significantly from general field studies to the interview of a single individual or group. Case stud- ies may focus on an individual, a group, or an entire community and may uti- lize a number of data technologies such as life histories, documents, oral histo- ries, in-depth interviews, and participant observation (Hagan, 1993; Yin, 1994).
Given the scope of the method, case studies can be rather pointed in their focus, or approach a broad view of life and society. For example, an investigator may confine his or her examination to a single aspect of an indi- vidual's life such as studying a medical student's actions and behaviors in medical school. Or, the investigator might attempt to assess the social life of an individual and their entire background, experiences, roles, and motiva- tions that affect his or her behavior in society. Extremely rich, detailed, and in- depth information characterize the type of information gathered in a case study. In contrast, the often extensive large-scale survey research data may seem somewhat superficial in nature (Champion, 1993).
The case method is not a new style of data gathering and analytic tech- nique. The fields of medicine and psychology, for example, by their very nature have required physicians and psychologists to examine patients case by case. Cases studies are commonly used in business and law curricula to help students bridge the gap between foundational studies and practice. The use of diaries and biographies, a popular method among some feminist and other social scientists (Reinharz, 1992) approximate the case study method. In education, case studies of interest include both unique people and programs and special programming or their commonality (McLeod, 1994; Stake, 1995).
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In fact, case studies by certain social scientists represent classical research efforts in sociology and criminology. Consider, for example, Edward Suther- land's (1937) The Professional Thief, or Clifford R. Shaw's (1930) The Jack Roller;
Bogdan's (1974) lengthy life history/autobiography, Being Different: The Auto- biography of Jane Fry; and Rettig, Torres, and Garrett's (1974) Manny: A Crimi- nal Addict's Story.
THE INDIVIDUAL CASE STUDY
As in any other research situation, one must determine how broad an area of social life will be covered. In most research this decision is largely dictated by the research question and the nature of the research problem under investi- gation. When examining an individual case study, a similar type of assess- ment must be undertaken. In some instances, a single lengthy interview may yield sufficient information to produce answers to the research question(s). In other circumstances, several interviews may be necessary, and these may require supplementation by field notes during direct observation, copies of journal or diary entries from the subject, or other forms of documentation.
Several reasons may make it necessary for a broader, more sweeping investigation. First, the research may itself focus on a broad area such as the subject's relationships in a particular group, necessitating that the group also be examined. It would be unwise, for example, to examine various aspects of changes in the quality of life of hemodialysis patients without also examining how family members perceive changes occurring in the family group itself.
A second reason for broadening a case study is the realization that all the aspects of an individual's social life are interconnected and often one of them cannot be adequately understood without consideration of the others.
The Use of Interview Data
The particular focus of a study might be a woman's adjustment to becoming
"the boss" in some predominantly male corporate organization. In order to fully understand this adjustment, it would be helpful to learn how she adjusts to changes in other situations, perhaps adjustments in her home or among friends or in social organizations. These may be accomplished using various standard techniques of interviewing to collect data.
Of these areas of additional study, perhaps the most generally reward- ing to the subject is found to be her home and family background. The phys- ical aspects of the home—its size, its neatness or disorder, its furnishings, indications of intellectual, athletic, or aesthetic interests such as books, pic- tures, records, sporting equipment, and the like—can all be of value in this case study. Even evidence of social support from family members should be observed and included in the research. Obviously to understand the subject's
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adjustments to the work role, the research must observe the subject in the work site and to speak with various coworkers. It should be likewise obvious that to understand the subject's role in her family, several visits to the home will be necessary. Also, it may be fruitful to speak with (interview) various family members (husband, children, or other relatives in the home) who can provide various pieces of background information and insights.
Unless an individual is exceptionally isolated, he or she is likely to have some role in the neighborhood community. Some people enjoy an elevated position of respect and position in their business, social, or political life. Oth- ers may hold no particularly high level of respect, but function as participants in various activities. Still others may actually be social outcasts. This type of information could be very useful for understanding how a woman business executive adjusts to her new position in the company. Visits to neighbors, var- ious social organizations to which the subject may be a member, conversa- tions with local tradespersons, the subject's clergy person, all may supply useful information.
Throughout the preceding paragraphs the chief suggestions for infor- mation (data) gathering has been the use of interviews and observation. As implied earlier, however, it is often also useful to supplement this information with various documentary sources. You should, therefore, be familiar with the possible use of records concerning the life course of the subject. These may include birth, marriage, divorce, property ownership, and educational records of the subject. They may additionally include an assortment of other more or less official documents such as police actions, court records, evalua- tions of work records, and so forth. All of these official documents are poten- tially valuable sources of information in a case study.
The Use of Personal Documents
The general use of personal documents is discussed in Chapter 8 of this book.
As suggested there, personal documents involve any written record created by the subject that concerned his or her experiences. The common types of docu- ments classified under this label include autobiographies, diaries and journals, letters, and memos written by a subject in a research investigation. In addition, and given the extent to which people today use photographic and video equipment, these items may also serve as categories of personal documents.
Autobiographical documents include a considerable variety of written material. They may be published or unpublished documents, cover an entire life span, or focus on only a specific period in a subject's life or even a single event. Even a written confession to a crime may be seen by some researchers as a type of autobiographical document.
Diaries and journals also may arise in a number of varieties. A diary may be kept with no purpose in mind beyond the writer's personal desire to maintain a record of daily events. It may be maintained in order to provide
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some therapeutic release; or as a kind of log and chronological listing of daily events during new experiences such as an internship. Or, a diary or journal may be created at the specific request of a researcher as a contribution to some study. In the latter case, one may consider the material in a solicited docu- ment (see Chapter 8).
Letters provide an intriguing view into the life of the author. Typically, letters are not created by the writer with the intention of having them used by a researcher. As a result, they frequently reflect the inner worlds of the writer.
They may record the writer's views, values, attitudes, and beliefs about a wide variety of subjects. Or, they may describe the writer's deepest thoughts about some specific event or situation about which they report. Historians have long seen the value of letters to document events during past time peri- ods. Letters written by military figures and politicians, for example, may allow researchers to better understand how and why certain battles have been fought. Letters written by criminals such as serial killers and bombers provide insight into how the culprit thinks and potential explanations for their actions. Letters are simply replete with potentially useful information.
The use of memoranda has become commonplace in virtually all work settings. Memos may contain strictly work-related information, or casual insider jokes and communications. They may reflect the tone and atmosphere of a work setting as well as the potential level of anxiety, stress, and morale of the writer. Moreover, they may even show the research aspects of the work- place culture or work folkways. Also, they may contain information relevant to understanding the general organizational communications network used in the setting, the leadership hierarchy, various roles present in the setting, and other structural elements.
Photographic and video equipment have become so inexpensive that many people now regularly record their lives and the lives of their family members in this manner. It becomes important, therefore, for researchers to consider how these items may illustrate various aspects of the subject's life and relationships. This may involve stepping back and examining the entire photograph in terms of what it shows in general; it may include an examina- tion of the expressions of people shown in the picture; it could involve con- sideration of where the picture or video was taken or recorded such as on a vacation, in the home, or at a party; or it may involve determination of the reason the photograph or video was created—as a simple family record to commemorate some situation, to have as a keepsake, to document some event or situation, and so forth.
The literal value of personal documents as research data is frequently underestimated in contemporary research texts and courses. While such doc- uments are certainly extremely subjective in their nature, this data should not be viewed as a negative or in this case even as some sort of limitation or short- coming. It is the very fact that these documents do reflect the subjective views and perceptions of their creators that makes them useful as data in a case
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study. It is precisely through this subjectivity that these documents provide information and insight about the subject that might not be captured through some other more pedestrian data-collection technique.
INTRINSIC, INSTRUMENTAL, AND COLLECTIVE CASE STUDIES
Stake (1994, 1995) suggests that researchers have different purposes for studying cases. He suggests that case studies can be classified into three dif- ferent types: intrinsic, instrumental, and collective.
Intrinsic case studies are undertaken when a researcher wants to better understand a particular case. It is not undertaken primarily because it repre- sents other cases or because it illustrates some particular trait, characteristic, or problem. Rather, it is because of its uniqueness or ordinariness that a case becomes interesting (Stake, 1994). The role of the researcher is not to under- stand or test abstract theory or to develop new theoretical explanations;
instead, the intention is to better understand intrinsic aspects of the particu- lar child, patient, criminal, organization, or whatever the case may be.
Instrumental case studies provide insights into an issue or refine a theo- retical explanation (Stake, 1994). In these situations, the case actually becomes of secondary importance. It will serve only a supportive role, a background against which the actual research interests will play out. Instrumental case studies often are investigated in depth, and all aspects and activities are detailed, but not simply to elaborate the case per se. Instead, the intention is to assist the researcher to better understand some external theoretical ques- tion or problem. Instrumental case studies may or may not be viewed as typ- ical of other cases. However, the choice of a particular case for study is made because the investigator believes that his or her understanding about some other research interest will be advanced.
Stake (1994) also points out that since researchers often have multiple interests, there is no solid line drawn between intrinsic and instrumental case studies. In fact, a kind of "zone of combined purpose separates them" (Stake, 1994, p. 237).
Collective case studies involve the extensive study of several instrumental cases. The selection of these cases is intended to allow better understanding or perhaps enhanced the ability to theorize about a broader context.
CASE STUDY DESIGN TYPES
There are several appropriate designs for case studies according to Yin (1994) and Winston (1997). These include exploratory, explanatory, and descriptive cases studies. These three approaches consist of either single or multiple-case
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studies in which multiple cases studies are actual replications, not sampled cases. Each approach is discussed below.
Exploratory Case Studies
When conducting exploratory case studies, fieldwork and data collection may be undertaken before defining a research question. This type of study may be seen as a prelude to a large social scientific study. Nonetheless, the study must have some type of organizational framework that has been designed prior to beginning the research. This sort of exploratory study may be useful as a pilot study, for example, when planning a larger, more com- prehensive investigation.
Explanatory Case Studies
Explanatory case studies are useful when conducting causal studies. Particu- larly in complex studies of organizations or communities, one might desire to employ multivariate cases to examine a plurality of influences. This might be accomplished using a pattern-matching technique suggested by Yin and Moore (1988). Pattern-matching is a situation where several pieces of informa- tion from the same case may be related to some theoretical proposition.
Descriptive Case Studies
Descriptive case explorations require that the investigator present a descrip- tive theory, which establishes the overall framework for the investigator to follow throughout the study. What is implied by this approach is the forma- tion and identification of a viable theoretical orientation before enunciating research questions. The investigator must also determine before beginning the research exactly what the unit of analysis in the study will be.
In creating formal designs for case-study investigations, Yin (1994, p. 20) recommends five component elements:
Study questions
Study propositions (if any are being used) or theoretical framework Identification of the unit(s) of analysis
The logical linking of the data to the propositions (or theory) The criteria for interpreting the findings
A study's questions are generally directed toward how and why consid- erations, and their articulation and definition is the first task of the researcher.
Sometimes, the study's propositions derive from these how and why questions and assist in developing a theoretical focus. Not all studies will have propo- sitions. An exploratory study, rather than having propositions, may have a
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stated purpose or criteria that will provide guidance and a kind of operating framework for the case study to follow. The unit of analysis defines what the case study is focusing on (what the case is), such as an individual, a group, an organization, a city, and so forth. Linkages between the data and the propositions (or theory) and the criteria for interpreting the findings, according to Yin (1994) typically are the least developed aspects of cases studies.
Unfortunately, researchers do not always have good theories to work with in a given situation, particularly when exploring cutting-edge issues. In these situations, a logic model, or what Patton (1997) calls a "theory of action," may be developed. This theory of action will define how the researcher expects an intervention, event, or process to take a case from one situation to the next. In effect, this theory of action will define the issues to be examined during the analysis, and thereby, provide linkages between the research ques- tion^), propositions, and analytic criteria.
THE SCIENTIFIC BENEFIT OF CASE STUDIES
The scientific benefit of the case study method lies in its ability to open the way for discoveries (Shaughnessy & Zechmeister, 1990). It can easily serve as the breeding ground for insights and even hypotheses that may be pursued in subsequent studies. However, whenever one considers the scientific value of case studies, two points should be addressed. First, does this procedure involve too many subjective decisions made by the investigator to offer gen- uinely objective results? Second, does this method offer information that can be seen as useful beyond the individual case? In other words, can findings be generalized? Let us consider each of these questions separately.
Objectivity and the Case Method
Objectivity is a somewhat elusive term. For some researchers it involves the creation of analytic strategies in an almost sterile environment. Often, quali- tative research of any type is viewed as suspect when questions of objectivity are asked. However, objectivity is actually closely linked with reproducibility (replication). The question is not simply whether or not an individual researcher has made some subjective decision regarding how the researcher should progress or how the study is designed. These types of considerations are regularly undertaken by all who undertake social scientific research—
whether quantitatively or qualitatively oriented.
When a quantitative methodologist identifies which level of statistical acceptability he or she will use for some statistical measure, it is often a sub- jective decision. For example, let's say the researcher sets the level at .05. Does that alter the findings when it is statistically significant at the .05 level, but not at the .001 level? Thus, objectivity apparently lies someplace other than in the
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kinds of decisions made by a researcher regarding various aspects of the research strategy.
For many researchers, objectivity rests on the ability of an investigator to articulate what the procedures are so that others can repeat the research if they so choose. It also has the effect of placing the researcher's professional ego on the line. It is akin to saying, "Here is how I did my research, and here are my results. If any reader has questions or challenges, go out and repeat the study to see what you find." From this perspective, case studies, like any other research procedure, require that the investigator clearly articulate what areas have been investigated, and through what means. If someone has doubts about the findings, they are free to replicate the research with a simi- lar case subject.
If the investigator's findings and analysis were correct, subsequent research will corroborate this. If the research produced from a case study is faulty, in error, or inaccurate, this too will be shown by subsequent research.
As in any scientific research, findings from a single study are seldom accepted immediately without question and additional research investigations. In this light, case methods are as objective as any other data-collection-and-analysis strategies used by social scientists.
G eneralizability
The second concern addresses the question of generalizability. For many, the question is not even necessary to ask. This is because there is clearly a scien- tific value to gain from investigating some single category of individual, group, or event simply to gain an understanding of that individual, group, or event. For those with a more positivist orientation, where concern about gen- eralizing to similar types of individuals, groups, or events, case methods are still useful and to some extent generalizable.
When case studies are properly undertaken, they should not only fit the specific individual, group, or event studied, but generally provide under- standing about similar individuals, groups, and events. This is not to say that an explanation for why one gang member is involved in drug dealing imme- diately informs us about why all drug-dealing gang members are also involved in this activity. It does, however, suggest an explanation for why some other gang members are likely to be involved in these behaviors. The logic behind this has to do with the fact that few human behaviors are unique, idiosyncratic, and spontaneous. In fact, if this were the case, the attempt to undertake any type of survey research on an aggregate group would be use- less. In short, if we accept the notion that human behavior is predictable—a necessary assumption for all behavior science research—then it is a simple jump to accept that case studies have scientific value. "It is the task of the researcher to determine what it is he or she is studying; that is, of what is this a case?" (Bogdan & Biklen, 1992, p. 66).
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CASE STUDIES OF ORGANIZATIONS
Case studies of organizations may be defined as the systematic gathering of enough information about a particular organization to allow the investigator insight into the life of that organization. This type of study might be fairly general in its scope, offering approximately equal weight to every aspect of the organization. For instance, you might conduct an organizational case study on a police department. During this investigation you may examine subunits such as the juvenile division, traffic division, criminal investigations, homicide, and so forth. The results will be a thorough understanding about how the agency operates, and how each subunit fits together and serves the overall objectives of the organization.
On the other hand, you may specialize, during an organizational case study, by placing particular emphasis on a specific area or situation occurring in the organization. For example, you may undertake an examination of how nurses steal drugs and hospital equipment while working in intensive care units. Both focuses can accurately be considered examples of case studies.
There are a number of reasons that a particular organization may be selected for a case study. For example, a researcher may undertake a case study of an organization to illustrate the way certain administrative systems operate in certain types of organizations. Or, the researcher may be interested in access- ing how decisions are made in certain types of organizations, or even how com- munications networks operate. In fact, the case method is an extremely useful technique for researching relationships, behaviors, attitudes, motivations, and stressors in organizational settings.
CASE STUDIES OF COMMUNITIES
A community can be defined as some geographically delineated unit within a larger society. Such a community is small enough to permit considerable cul- tural (or subcultural) homogeneity, diffuse interactions and relationships between members, and to produce a social identification by its members. The literal application of this term community is somewhat fluid. However, it does not actually include an entire nation, a state, or even a large city. It would, however, include a particular neighborhood within a city such as a China- town, a Little Italy, or the Jewish section, or even an enclave of Amish farm- ers all residing within a four- or five-mile radius.
A case study of a community may, however, address a larger entity by placing its focus on a smaller unit of analysis, perhaps a group or social insti- tution such as the Catholic church. Linkogle (1998), for example, recently undertook a study of the role of popular religion in social transformation in Nicaragua from 1979 to 1998. He examined some general issues around popular religion in Latin America and its relationship to the practice and