CHAPTER ONE
OVERVIEW OF CASE STUDY RESEARCH
Patricia Hentz
Case study methods are well suited when the aim of a study is to retain the holistic and meaningful characteristics of real-life events (Yin, 2009). In addition, it may also be the method of choice when the researcher plans to investigate contemporary phenomena or contemporary problems in their natural or “real-world context” (Yin, 2014, p. 2). Key factors for choosing case study approaches include the following: (a) when the researcher has little or no control over the phenomenon of interest and/or the behavioral events and (b) when the contemporary phenomenon is inseparable from the social or contextual conditions related to the phenomenon. Case study research provides an in-depth and inside view of the phenomenon within its social context, sensitizing the reader to the issues, problems, and processes. In doing so, its aim is to foster a deeper understanding of the complexity of the phenomenon. An example of this depth and complexity can be seen in the case study by Hentz (2015), which focuses on the experiences of veterans returning from war. The cases uncovered processes that expand our understanding of veterans’ experiences beyond the diagnosis of posttraumatic stress disorder (PTSD) or a list of PTSD-related symptoms. The reader is provided with an inside view of the veterans’ lives after returning home. It is relevant to the study how the social contexts, both in war and then returning home, are critical to understanding the experiences of veterans. In this multiple case study, single cases are presented within their social context, highlighting the veterans’ experiences after they have returned home. The cases examine in depth some of the challenges veterans faced, including a heightened fear process, compensatory survival behaviors, social disengagement, attachment difficulties with family and friends, and attachment bonds related to the military world. Data were obtained from the researcher’s clinical work with veterans; interviews with veterans; discussions with a veteran who was a key informant; historical accounts, literature, films, and research; and theories in the areas of trauma, PTSD, and emotional processing.
CASE STUDY RESEARCH: WHAT IT IS AND WHAT IT IS NOT
When we are presented with the concept, case study, it is important to understand that a single definition does not exist. Within the social sciences, it has been very broadly defined and divided into four categories. Only the fourth category exclusively focuses on case study as a research approach. The first category is the teaching case. The teaching case study does not need to accurately depict a specific individual, event, or process because its primary aim is to enhance learning. The teaching case is illustrative, and although it often has been derived from case study observations, it does not necessarily comply with any specific research methodology. For example, case studies depicting specific psychiatric disorders are grounded in research. These case studies are often developed using a combination of diagnostic criteria and clinical observations. The second category, case histories, is used for the purposes of record keeping. Here again, the primary aim is not research; however, these cases may be useful as data in a research study. Case work, the third category, is used to describe the management of health care for a patient or a population. The fourth category, case research or case study research, is intended for the purpose of “investigating activities or complex processes that are not easily separated from the social context within which they occur” (Cutter, 2004, p. 367). Case study research maintains rigor in its research methodology and its attention to presenting findings that accurately and reliably represent the data.
OVERVIEW OF CASE STUDY RESEARCH
Philosophical Derivation
There is still no standardization or formula on how to conduct case study research (McKee, 2004; Yin, 2014). As stated by Rosenberg and Yates, “The methods used in case study research are pragmatically-rather and paradigmatically-driven” (2007, p. 448). In essence, the phenomenon of interest and the research question(s) determine the method and design. Thus, case study research may be developed at any level of research, including exploratory, descriptive, and explanatory designs. Furthermore, from a qualitative perspective, case study research might draw from phenomenological, ethnographical, and grounded theory research approaches depending on the aim of the study and the research question(s). It should be noted that even though case study research designs are quite flexible, they derive their rigor by creating the research designs in accordance with the research aims, hypotheses, or questions. A clearly developed phenomenon of interest along with the key questions to be explored form the basis for case study design. In case study research, as in any other research method, the researchers must justify their research approach and clearly identify the significance of the study whether the focus is on a single individual, a group of individuals, an organization, processes, neighborhoods, institutions, or events. The emphasis is on identifying the object of study within its social context and the importance of the bond between the object of study and the social context. To illustrate the object of study within its social context, the study by Hentz (2015) explored the experiences of veterans after returning home. The object of study involved exploring their processes of adapting back to “life at home.” Foundational philosophical underpinnings for the case study research approach was adapted from ethnography and grounded theory research methods and an interviewing approach involved constant comparison of data as an ongoing process of data analysis.
The strength of case study research is its adaptability and flexibility. For example, the classic descriptive case studies, “Tally’s Corner” (Liebow, 1967) and “Street Corner Society” Whyte (1955), provide in-depth, inside views of the life of these small groups. The concept used in case study research, unit of analysis, distinguishes the boundaries of the case. In these studies, the unit of analysis included the group of individuals who lived in the specifically defined neighborhood. This is certainly a contemporary phenomenon for its time. These studies illustrate the key aspects of case studies: investigation of a contemporary phenomenon in depth within its real-life context and the obvious interconnection between the phenomenon and the unit of analysis. Another example of a case study that clearly illustrated the interconnection or blurring of the social context and the phenomenon was the 2003 film, Monster (Theron, Damon, Peterson, Kushner, & Wyman, 2003). The film depicts the life story of the first female serial killer. The process of becoming a serial killer and how it is inseparable from her life experiences are strikingly apparent in this portrayal. A tragic and tortured history of dysfunctional and abusive relationships was portrayed. The rich contextual detail of her life story provided insights into how and why she became a serial killer. Here again, the strength of the case study method is apparent. The producers invite the viewer to understand the relevant details and “how” and “why” of her life path.
Because case study research focuses on a unit of study or phenomenon rather than any one specific research methodology, it can be used at any level of knowledge development, including exploratory, descriptive, or explanatory. The rigor of the design is reflected in the congruity and constancy of the research components within the research design. Therefore, the data collection approaches and data analysis strategies all need to be tailored to consistently reflect the research question and the research aims. Given the broad nature of case study method, researchers need to familiarize themselves with the data collection and analysis approaches appropriate for the level or type of case study. Thus, descriptive studies that focus on understanding an individual’s experience regarding a specific phenomenon might consider incorporating a phenomenological approach. These case studies will be rich in description and focus on the lived experience. If the purpose of the study is to understand how individuals respond or adapt when faced with a challenging situations, the focus may be on the process within the social context. The researcher may choose a multiple-case approach, incorporating a constant-comparison approach as seen in grounded theory research. An ethnographic case study might be an approach of choice when the object of study is an organization or a group and may incorporate interviews and participant observation. Inherent in all case study research is the need for the researcher to clearly explain the logic behind the method being applied, show the research process, and clearly present how it is conforming to a rigorous methodological approach (Yin, 2014, p. 3). In essence, “The research design is the logic that links the data to be collected to the initial question of study” (p. 26).
ETHICAL ISSUES
A critical component in the planning process is the attention to the ethical issues and, most specifically, the protection of human subjects. If the research involves sensitive topics or vulnerable groups, the process for obtaining institutional review board (IRB) approval can be challenging. In addition, many members on the IRB may not be very familiar with case study research and may require that the researcher provide additional explanation of the research approach. The researcher needs to be clear on how the participants or cases will be informed fully about the research, informed of any potential risks in participating in the research, and the process of consent. For example, interviewing prisoners about their drug use history may place prisoners at risk legally. Such data need to be carefully collected, coded, and then presented to maintain anonymity. A strategy in this situation and similar cases for maintaining anonymity might be to present the multiple case studies as a cross-case analysis, and thus not depicting any identifiers from a single case (Yin, 2014, p. 196). Such an approach maintains the integrity of the data but it is presented as a case study that does not reflect any single individual’s experience. Yin also discusses creating an exemplary case study when anonymity is a major concern. Given the importance of protection of human subjects, and to some extent the challenges presented in the IRB process, presenting the data as an exemplary case could offer a credible approach for reporting significant findings while maintaining the highest level of protection for those participating in the research. Exemplary case studies still adhere to the rigor of case study analysis and meet the general characteristics of case study research, including justifying the relevance and significance of the study, attending to the case and the social context, having awareness and exploring alternative perspectives that might challenge the findings, finding in-depth and sufficient evidence to support the findings, and presenting in an engaging manner so that the reader is able to “arrive at an independent conclusion about the validity” (Yin, 2014, p. 205). In addition, while adhering to the standards for protecting human subjects, the use of exemplary case study provides for an increased level of anonymity and offers an option for researchers who would like to pursue research on sensitive topics and with vulnerable populations.
CASE STUDY RESEARCH: A REVIEW
Although early studies may not have coined the term case study research, they certainly have served as models for case study research over the years. As discussed, case study research designs may be descriptive, exploratory, or explanatory. Case study research may also be used to describe processes, generate theory, and test theory.
Case study research may involve multiple data collection strategies. Yin (2009, 2014) presented six common types of research evidence: documents, archival records, interviews, direct observation, participant observation, and physical artifacts. The type of evidence depends on the research question and the methodological approach. For example, for a phenomenological case study, we may use open-ended interviews. Ethnographical case studies may draw on several different types of data, including observation, structured interviews, focus interviews, open-ended interviews, archival records, and documents. The use of multiple types of data, termed triangulation of data, provides different vantage points, which can help in providing depth as well as increased credibility to the case study (Figure 1.1)
Figure 1.1 Convergence of evidence (triangulation). Adapted from Yin (2003).
The “Object of Study” Examples
The first step for case study research is to identify the object of study and to define its boundaries. This unit or object of study could be an individual, group, or process with its social context clearly defined. The following exemplars illustrate the object of study and the social context.
Single-case example: In The Jack-Roller, Shaw (1930) presents comprehensive data on one individual, a juvenile delinquent who is the object of study. The case study is presented as a life history, written by him, with material about him from several other sources. The boundaries of this case study is clear; a single juvenile delinquent. The social context of his life is presented in depth.
Multiple case study: In Street Corner Society, Whyte (1943/1955) focuses in detail on two gangs with the social context, a street corner. The object of the study is the “street corner gangs.” The research is exploratory in nature using participant observation as the primary data collection approach. The boundaries of this case study is clear, two specific gangs with the location, a specific street corner.
Multiple case study synthesis to identify themes and patterns: In The Family Encounter of Depression, Angell (1936/1965) focuses on the experiences of university students whose families had suffered a loss of income during the Depression. This case study presented a synthesis of the individual cases, which is an early example of how to offer greater anonymity and confidentiality.
Case study with emphasis on social process: In Boys in White, Becker, Greer, Hughes, and Strauss (1961) focus on the effect of medical school on students. The object of study is medical students and the social context is medical school. Participant observation was the primary data collection strategy in this study. There was also longitudinal component. Researchers focused on different points of time in medical school rather than on the study of individuals in medical school (Platt, 1992).
Case study with emphasis on culture: Goffman’s (1961) classic study of mental institutions provided an in-depth description of the cultural “underlife” that exists in mental institutions and has been instrumental in understanding similar institutions.
Explanatory case study: A group of educators in the late 1950s and 1960s wanted to understand why the changes they had made in educational approaches did not improve test results (Yin, 2003). Case by case, they explored the complexity of the teaching process in practice, widening the lens from the classroom activity to the organization, cultural, economic, and policy contexts in which learning and teaching occur. The object of study involved the educational approaches.
Stay updated, free articles. Join our Telegram channel
Full access? Get Clinical Tree
