Qualitative Research in Information Systems: References on Case Study Research
Section Editor: Michael D. Myers
This is a list of references on case study research. After a brief introduction which suggests those works which are essential reading for newcomers to the field, the list is organized into two parts: the first part lists citations related to the approach in Information Systems, the second lists citations related to the approach in other disciplines. You can use the Edit Find command to look for a specific citation.
Please send additional references and/or short abstracts of items on this page (approximately 100 words) to the Section Editor at: m.myers@auckland.ac.nz
[Introduction] [Citations in Information Systems] [Citations in Other Disciplines]
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Introduction
A standard text for anyone wanting to do case study research is the book by Yin (2002). Three important methodological articles on the case study method in the IS field are those by Benbasat et al. (1987), Dubé and Paré (2003) and Lee (1989). One of the most cited empirical examples of case study research in Information Systems is the article by Markus (1983).
For interpretive case studies, Walsham's (1993) book is excellent. Two empirical examples of the interpretive case study method in IS are the articles by Myers (1994) and Walsham and Waema (1994).
Citations in Information Systems
Baskerville, R., Pentland, B.T. and Walsham, G. "A Workshop on Two Techniques for Qualitative Analysis: Interviewing and Evaluation," Proceedings of the Fifteenth International Conference on Information Systems, 1994, p. 503-4.
Benbasat, I., Goldstein, D.K. and Mead, M. "The Case Research Strategy in Studies of Information Systems," MIS Quarterly (11:3) 1987, pp. 369-386.
Beynon-Davies, P. "Information Management in the British National Health Service: The Pragmatics of Strategic Data Planning," International Journal of Information Management, 14 , 1994, pp. 84-94.
Abstract: The UK National Health Service (NHS) has been conducting an open exercise in global data modelling for the past 12 years and therefore constitutes a unique resource for the student of information management. This article aims to document some of the history of this exercise as well as placing this corporate data modelling within the social, political and economic context of the NHS, thereby explaining some of its current shape. Finally, using the case of the NHS we make some comments about the success, or otherwise, of conducting data modelling on the corporate scale.
Comment: This paper illustrates how data can be collected from a variety of sources in order to understand the history and context of the unit of analysis in the case study. It leads to a number of important lessons for both researchers and practitioners (Provided by M. Broadbent and G. Shanks).
Boland, R. "The process and product of system design," Management Science (28:9), 1978, pp. 887-898.
Boland, R. "Control, causality and information system requirements," Accounting, Organizations and Society (4:4), 1979, pp. 259272.
Broadbent, M. and Weill, P. "Improving business and information strategy alignment: Learning from the banking industry," IBM Systems Journal, (32:1), 1993, pp. 162-179.
Abstract: Four large Australian banks provided the setting for an empirical study exploring business and information strategy alignment in an information-intense and competitive environment. The aim of the study which firms had information and IT-based advantages and to identify organizational practices that contributed to and enhanced alignment. Using a multiple case approach, multiple sources of evidence were collected from each firm, including written and interview-based information from executive business and IT managers and strategic planning and other internal documentation. The firm-wide strategy formation processes of the banks, rather than their IS methodology was central to the nature and level of alignment. The interdependence of firm-wide processes and IS factors are emphasized in a strategic alignment model that summarizes the findings of the study. The papaer concludes with a discussion of the management implications and requirements for action in both firm-wide strategy and IS areas.
Comment: This is an example of an early empirical study of the nature of business and IS alignment. It draws heavily on senior business and IT managers as "key informants" and the use of confidential firm documentation. This paper illustrates how a case paper can be written and results communicated while maintaining the confidentiality of participant firms and managers (Provided by M. Broadbent and G. Shanks).
Burgess, G., Clark, T.D., Hauser Jr., R.D. and Zmud, R.W., The Application of Causal Maps to Develop a Collective Understanding of Complex Organisational Contexts in Requirements Analysis, Accounting, Management and Information Technology, (2:3), 1992, pp. 143-164.
Abstract: This article examines causal mapping as a tool to facilitate the requirements analysis process. Although a number of methodologies are available to facilitate the causal mapping process, a major difficulty is that little is empirically known about the appropriate behaviours to be followed when applying causal mapping techniques. The benefits of applying causal mapping to overcome certain human information processing limitations that impede the requirements analysis process are discussed. The effective application of causal mapping as a RA tool is presented and a case study is described in which the causal mapping technique was applied to develop a rich understanding of an ill-structured organisational phenomenon. Finally, insights gained from the case study are used to assess the validity of several propositions intended to guide the process.
Comment: This paper is particularly rigorous in its design and presentation of evidence leading to the discussion and implications. The results of the case study method are clearly related to outcomes of the literature review (Provided by M. Broadbent and G. Shanks).
Bussen, Wendy, and Michael D. Myers. 1997. "Executive Information Systems Failure: A New Zealand Case Study." Journal of Information Technology Vol. 12, No.2, June 1997, pp. 145-153.
Cavaye, A.L.M. "Case study research: a multi-faceted research approach for IS," Information Systems Journal (6:3) 1996, pp. 227-242.
Cavaye, A.L.M. & Cragg, P.B. "Factors contributing to the success of customer oriented interorganizational systems", Journal of Strategic Information Systems, (4:1), 1995, pp. 13-30.
Abstract: Interorganizational systems (IOS) can help firms to become more efficient and more competitive by streamlining operations between companies. To build successful IOS, the development process needs to be well understood. This paper uses a four-stage model of the IOS development process to examine the experiences of nine systems that link firms with customers. the data provides considerable support for the model and its numerous factors. Technological awareness by customers was found to have a strong influence on the rate of adoption. Extent of adoption is themajor determinant of ultimate success of the IOS.
Comment: Carefully completed case research on an emerging area of IS practice. Good use of tables for cross-case comparison (Provided by M. Broadbent and G. Shanks).
Curtis, B., Krasner, H. and Iscoe, N. "A Field Study of the Software Design Process for Large Systems," Communications of the ACM, (31:11), 1988, pp. 1268-1287.
Abstract: The problems of describing large software systems were studied through interviewing personnel from 17 large projects. A layered behavioural model is used to analyse how three of these problems - the thin spread of application knowledge, fluctuating and conflicting requirements, and communication bottlenecks and breakdowns - affected software productivity and quality through their impact on cognitive, social, and organisational processes.
Comment: This paper presents a rigorous study of the design of large software systems. The research design and data collection are comprehensively described, and the discussion includes comments from case study participants as evidence. The topic of study is important and outcomes from the study are relevant to both the research community and practitioners (Provided by M. Broadbent and G. Shanks).
Darke, P. and Shanks, G. "User Viewpoint Modelling: Understanding and Representing User Viewpoints During Requirements Definition," Information Systems Journal, (7:3), 1997, (forthcoming)
Abstract: There has been increasing awareness of the impact of the early stages of systems development on the quality of information systems. A critical early activity is requirements definition, when the requirements for an information system are determined. Traditional requirements capture techniques do not support the collaborative nature of requirements definition or the emergent nature of requirements themselves. This paper focuses on viewpoint development as a means of resolving some of the difficulties of requirements definition. It proposes a user viewpoint model for capturing and representing the viewpoints of users during requirements acquisition. The model can facilitate communication and interaction between analysts and users and help build a shared understanding of requirements. It can be used to structure the requirements acquisition process. The model provides for evaluation of requirements acquisition techniques to guide the selection of appropriate techniques for developing user viewpoint models. The paper reports a multiple case study of requirements definition efforts which examined user viewpoint development in practice and used the cases to empirically validate the concepts of the user viewpoint model. The implications of the case study findings for requirements definition practice are discussed, and some areas for future research are identified.
Comment: This paper shows how case study research can be used in theory testing. A model of user viewpoint development is proposed and then concepts in the model are validated using three case studies of requirements definition (Provided by M. Broadbent and G. Shanks).
Darke, P., Shanks, G. and Broadbent, M. "Successfully completing case study research: combining rigour, relevance and pragmatism," Information Systems Journal (8:4), 1998, pp. 273-289.
Davies, L., Newman, M. and Kaplan, B. "A Workshop on Two Techniques for Qualitative Analysis: Interviewing and Evaluation," Proceedings of the Fourteenth International Conference on Information Systems, 1993, p. 399.
Dubé, L., and Paré, G. "Rigor in Information Systems Positivist Case Research: Current Practices, Trends, and Recommendations," MIS Quarterly (27:4) 2003, pp 597-636.
Earl, M.J. "Experiences in Strategic Information Systems Planning," MIS Quarterly (17:1), 1993, pp. 1-24.
Abstract: Strategic information systems planning (SISP) remains a top concern among many organisations. Accordingly, researchers have investigated SISP practice and proposed both formal methods and principles of good practice. SISP cannot be understood by considering formal methods alone. The processes of planning and the implementation of plans are equally important. However, there have been very few field investigations of these phenomena. This study examines SISP experiences in 27 companies and, unusually, relies on interviews not only with IS managers but also with general managers and line managers. By adopting this broader perspective, the investigation reveals companies were using five different SISP approaches: Business-Led, Method-Driven, Administrative, Technological, and Organisational. Each approach has different characteristics and, therefore, a different likelihood of success. The results show that the Organisational approach appears to be the most effective. The taxonomy of the five approaches potentially provides a diagnostic tool for analysing and evaluating an organisation's experience with SISP.
Comment: Earl's paper provides a good example of how to present the results of case study research. The introduction establishes the importance of the topic and the research method section explains clearly how the case study was undertaken. The implications discussed in the paper are important for both researchers and practitioners (Provided by M. Broadbent and G. Shanks).
Gable, G. "Integrating Case Study and Survey Research Methods: An Example in Information Systems," European Journal of Information Systems, Volume 3, Number 2, 1994, pp. 112-126.
Gerson, E.M. and Star, S.L. "Analyzing Due Process in the Workplace," ACM Transactions on Office Information Systems (4:3), July 1986, pp. 257-270.
Goodhue, D., Kirsch, L.J., Quillard, J.A. and Wybo, M.D. "Strategic Data Planning: Lessons from the Field," MIS Quarterly, (16:1) ,1992, pp. 11-34.
Abstract: In spite of strong conceptual arguments for the value of strategic data planning as a means to increase data integration in large organisations, empirical research has found more evidence of problems than of success. In this paper, four detailed case studies of SDP efforts, along with summaries of five previously reported efforts, are analysed. Fifteen specific propositions are offered, with two overall conclusions. The first conclusion is that SDP, though conceived of as a generally appropriate method, may not be the best planning approach in all situations. The second conclusion is that the SDP method of analysing business functions and their data requirements may not be the best way to develop a Òdata architectureÓ, given the required level of commitment of talented individuals, the cost, the potential errors, and the high level of abstraction of the result. These lessons can aid practitioners in deciding when t use SDP and guide them as they begin the process of rethinking and modifying the SDP to be more effective.
Comment: A very well framed paper, which develops a number of propositions as the outcome of the analysis of case study data. The literature review provides the necessary motivation for the case study and the research method is well described. The two main conclusions are highly relevant to both researchers and practitioners (Provided by M. Broadbent and G. Shanks).
Hewitt, C. "Offices are Open Systems," Transactions on Office Information Systems (4:3), 1986, pp. 271-287.
Journal of Information Technology Case and Application Research
Kaplan, B. and Duchon, D. "Combining Qualitative and Quantitative Methods in Information Systems Research: A Case Study," MIS Quarterly (12:4) 1988, pp. 571-587.
Larsen, M. and Myers, M.D. 1999. "When success turns into failure: a package-driven business process re-engineering project in the financial services industry," Journal of Strategic Information Systems, Vol. 8, No. 4, December 1999, pp. 395-417.
Lee, A.S. "A Scientific Methodology for MIS Case Studies," MIS Quarterly (13:1), 1989, pp. 33-52.
Lee, A.S. "Case Studies as Natural Experiments," Human Relations, (42:2), 1989, pp. 117-137.
Lee, A. S. "Integrating Positivist and Interpretive Approaches to Organizational Research," Organization Science, (2), 1991, pp. 342-365.
Lee, A.S. "Electronic Mail as a Medium for Rich Communication: An Empirical Investigation Using Hermeneutic Interpretation," MIS Quarterly (18:2), June 1994, pp. 143-157.
Lee, A.S., Baskerville, R.L. and Davies, L. "A Workshop on Two Techniques for Qualitative Data Analysis: Action Research and Ethnography," Proceedings of the Thirteenth International Conference on Information Systems, 1992, p. 305-306.
Levine, H.G. and Rossmore, D. "Diagnosing the Human Threats to Information Technology Implementation: A Missing Factor in Systems Analysis Illustrated in a Case Study," Journal of Management Information Systems, (10:2), Fall 1993, pp. 55-73.
Madsen, K.H. "Breakthrough by Breakdown," in Information Systems Development for Human Progress in Organizations, H.K. Klein and K. Kumar (eds.), 1989, pp. 41-53.
Manning, P.K. "Information Technology in the Police Context: The "Sailor" Phone," Information Systems Research (7:1), 1996, pp. 52-62.
Markus, M.L. "Power, Politics and MIS Implementation," Communications of the ACM, 26, 1983, pp. 430-444.
Abstract: Theories of resistance to management information systems (MIS) are important because they guide the implementation strategies and tactics chosen by implementors. Three basic theories of the causes of resistance underlie many prescriptions and rules for MIS implementation. Simply stated, people resist MIS because of their own internal factors, because of poor system design, and because the interaction of specific system design features with aspects of the organisational context of system use. These theories differ in their basic assumptions about systems, organisations, and resistance; they also differ in predictions that can be derived from them and in their implications for the implementation process. These differences are described and the task of evaluating the theories on the bases of the differences is begun. Data from a case study are used to illustrate the theories and to demonstrate the superiority, for implementors, of the interaction theory.
Comment: A very well known example of case study research which clearly shows the importance of organisational context for the implementation of information systems (Provided by M. Broadbent and G. Shanks).
Note: This classic article was discussed in a panel session chaired by Allen S. Lee at ICIS 2000. The various presentations are available.
Markus, M.L. "Case Selection in a Disconfirmatory Case Study" in The Information Systems Research Challenge, Harvard Business School Research Colloquium, Boston: Harvard Business School, 1989, pp. 20- 26.
Markus, M.L. "Finding a Happy Medium: Explaining the Negative Effects of Electronic Communication on Social Life at Work", ACM Transactions on Information Systems, 12,2, April 1994, pp. 119-149.
Markus, M.L., "Electronic Mail as the Medium of Managerial Choice," Organization Science, Volume 5, Number 4, 1994, pp. 502-527.
Myers, M.D. "A disaster for everyone to see: an interpretive analysis of a failed IS project," Accounting, Management and Information Technologies (4:4), 1994, pp. 185-201.
Abstract: The New Zealand Education Department attempted to implement a centralised payroll system in 1989. The difficulties that the department experienced were broadcast on national radio and television and publicised on the front page of The New Zealand Herald. In the end, the centralised payroll system was scrapped by the government. This paper examines this case study using the critical hermeneutics of Gadamer and Ricoeur. Critical hermeneutics, as an integrative theoretical framework, combines both interpretive and critical elements, and addresses those social and organisational issues, which are key to the successful implementation of information systems. This paper suggests critical hermeneutics as a conceptual foundation for information systems implementation research.
Comments: This paper shows how critical hermeneutics can be used in the interpretation of case study data. The case study is presented in a way which clearly explains the changing perspectives of the various stakeholders in the information system implementation (Provided by M. Broadbent and G. Shanks).
Myers, M. D. "Quality in Qualitative Research in Information Systems", Proceedings of the 5th Australasian Conference on Information Systems, 1994, pp. 763-766.
Myers, M.D. "Dialectical hermeneutics: a theoretical framework for the implementation of information systems," Information Systems Journal (5:1), 1995, pp. 51-70.
Orlikowski, W.J. "CASE Tools as Organizational Change: Investigating Incremental and Radical Changes in Systems Development," MIS Quarterly (17:3), September 1993, pp. 309-340.
Orlikowski, W.J. "Improvising Organizational Transformation Over Time: A Situated Change Perspective," Information Systems Research (7:1), 1996, pp. 63-92.
Orlikowski, W.J., Markus, M.L. and Lee, A.S. "A Workshop on Two Techniques for Qualitative Data Analysis: Analytic Induction and Hermeneutics," Proceedings of the Twelfth International Conference on Information Systems, 1991, p. 390-1.
Paré, G. "Investigating Information Systems with Positivist Case Study Research," Communications of the Association for Information Systems (13:1), 2004, pp. 233-264.
Abstract: This paper offers a rigorous step-by-step methodology for developing theories and contains specific and detailed guidelines for IS researchers to follow in carrying out positivist case studies. The methodology is largely inspired by the work of Yin [2003], Eisenhardt [1989], Miles and Huberman [1994] and several others who are strong proponents of and have wide experience in this research approach. It also relies on previous key contributions to the positivist case research method in IS [Benbasat et al., 1987; Lee, 1989; Dubé and Paré, 2003]. We illustrate how this methodology can be applied in our field to help find new perspectives and empirical insights. In addition, the desired qualities associated with several of the proposed concepts and the techniques and tools included in the methodology are presented. We believe that the two detailed case studies presented in this paper represent highly rigorous, yet different applications of the positivist case research method and, hence, we strongly encourage IS researchers to follow their respective approaches.
Pare, G. and Elam, J.J. "Using Case Study Research to Build Theories of IT Implementation," in Information Systems and Qualitative Research, A.S. Lee, J. Liebenau and J.I. DeGross (eds.), Chapman and Hall, London, 1997, pp. 542-568.
Robey, D. and Sahay, S. "Transforming Work through Information Technology: A Comparative Case Study of Geographic Information Systems in County Government," Information Systems Research (7:1), 1996, pp. 93-110.
Romm, C.T. and Pliskin, N. "Playing Politics with E-mail: A Longitudinal Conflict-Based Analysis," in Information Systems and Qualitative Research, A.S. Lee, J. Liebenau and J.I. DeGross (eds.), Chapman and Hall, London, 1997, pp. 362-388.
Sauer, C. Why Information Systems Fail: A Case Study Approach, Alfred Waller Ltd, Henley-on-Thames, 1993.
Shanks, G. "The Challenges of Strategic Data Planning: an Interpretive Case Study," Journal of Strategic Information Systems, 6, 1997, pp. 69-90.
Abstract: Many organisations have had great difficulty with strategic data planning despite strong arguments about its value. A number of empirical studies of strategic data planning have identified various factors important to its success but few have presented detailed contextual explanations. This paper reports an in-depth, interpretive case study which examines the strategic data planning process in a large Australian bank. The paper explains why strategic data planning is such a difficult undertaking and suggests three important implications for practitioners. First, both business managers and information systems staff find the output data architecture difficult to understand, and improved representations and explanations of the data architecture should be used. Second, strategic data planning is a complex social activity and an understanding of the organisational context within which it takes place is crucial to its success. Third, strategic data planning may not be the best way to build a data architecture, and other approaches which facilitate participation should be considered.
Comments: This paper provides a useful example of how to report a large case study within the limits of a journal length paper. The research approach is described in detail and the case study analysis is clearly linked back to the literature review. The results are expressed in the form of three implications which are relevant to practitioners and also form the basis of future research (Provided by M. Broadbent and G. Shanks).
Sillince, J.A.A. and Mouakket, S. "Varieties of Political Process During Systems Development," Information Systems Research (8:4), December 1997, pp. 368-397.
Walsham, G. Interpreting Information Systems in Organizations, Wiley, Chichester, 1993.
Walsham, G. "Interpretive case studies in IS research: nature and method," European Journal of Information Systems (4), 1995, pp. 74-81.
Walsham, G. and Waema, T. "Information Systems Strategy and Implementation: A Case Study of a Building Society," ACM Transactions on Information Systems (12:2), April 1994, pp. 150-173.
Citations in Other Disciplines
Campbell, D. "'Degrees of Freedom' and the Case Study," Comparative Political Studies, Volume 8, Number 2, 1975, pp. 178-193.
Dukes, W. "N=1," Psychological Bulletin, Volume 64, 1965, pp. 74-79.
Dyer, W.G. Jr. and Wilkins, A.L. "Better Stories, Not Better Constructs, to Generate Better Theory: A Rejoinder to Eisenhardt," Academy of Management Review (16:3), 1991, pp. 613-619.
Eisenhardt, K.M. "Building Theories from Case Study Research," Academy of Management Review (14:4), 1989, pp. 532-550.
Eisenhardt, K.M. "Better Stories and Better Constructs: The Case for Rigor and Comparative Logic," Academy of Management Review (16:3), 1991, pp. 620-627.
Hamel, J. Case study method, Beverly Hills, CA: Sage Publications, 1993.
Luthans, F. and Davis, T.R.V. "An Idiographic Approach to Organizational Behavior Research: The Use of Single Case Experimental Designs and Direct Measures," Academy of Management Review (7:3), July 1982, pp. 380-391.
McCutcheon, D. and Meredith, J., "Conducting Case Study Research in Operations Management," Journal of Operations Management, Volume 11, 1993, pp. 239-256.
Nardulli, P.F. The Courtroom Elite: An Organizational Perspective on Criminal Justice, Ballinger Press, Cambridge, MA, 1978.
Ragin, Charles C. and Becker, Howard S., What Is a Case?: Exploring the Foundations of Social Inquiry, Cambridge University Press, Cambridge, 1992.
Stake, Robert E. The Art of Case Study Research. Sage Publications, Thousand Oaks, CA, 1995.
Whyte, W.F. Street Corner Society: The social structure of an Italian slum, University of Chicago Press, Chicago, 1943.
Yin, R. K. "The Case Study Crisis: Some Answers," Administrative Science Quarterly (26), 1981, pp. 58-65.
Yin, R. K. "The Case Study as a Serious Research Strategy," Knowledge (3), 1981, pp. 97-114.
Yin, R. K. Case Study Research, Design and Methods, 3rd ed. Newbury Park, Sage Publications, 2002.
Yin, R. K. "Enhancing the Quality of Case Studies in Health Services Research," Health Services Research (34:5-part 2), 1999, pp. 1209-1224.
Yin, R. K. and Heald, K. A. "Using The Case Survey Method To Analyse Policy Studies," Administrative Science Quarterly (20), 1975, pp. 371-381.
[Back to Qualitative Research in Information Systems]
This living work was published in MISQ Discovery on May 20, 1997. The originally accepted work is available in the MISQ Discovery Archive. This living version is maintained by Michael D. Myers. Corrections, clarifications, and suggested modifications should be directed to him at m.myers@auckland.ac.nz.
Case Study of Characteristics of Effective Leadership in Graduate Student Collaborative Work.
by Lee S. Duemer , Mary Christopher , Fred Hardin , Lezlie Olibas , Terry Rodgers , Kevin Spiller
The purpose of the study was to determine the effective leadership characteristics of graduate students working in a collaborative setting. A secondary goal was be to develop recommendations that will help faculty better utilize group collaboration as a learning experience for graduate students. Data consisted of interviews of graduate students who participated in a collaborative writing exercise. Four themes related to effective group leadership surfaced during the analysis of data: interpersonal skills, group management, time management, and expertise.
Problem and Review of Related Literature
The concept of teamwork is gaining rapid acceptance in numerous organizations and disciplines (Ancona, 1990; Bettenhausen, 1991; Gallucci, 1985). Researchers have concluded that the skills needed to work in a collaborative setting are essential to the development of effective leaders (Glaser, Guilar, & Piland, 1992; Freeman, 1996). The emergence of the teamwork concept has brought a new awareness to research on leadership (Kolb, 1998).
Cragan and Wright (1990) suggest that group settings should be utilized in research situations. Unfortunately, only a limited amount of the literature exists in the area of informal leadership within groups, and there is currently no existing literature on student perspectives as it relates to the collaborative group process. This contribution to the literature will be to examine graduate students working in a collaborative setting was to determine effective qualities of group leaders. A secondary goal will be to develop recommendations that will help faculty better utilize group collaboration as a learning experience for graduate students.
Methods and Data Sources
We utilized a phenomenological approach to better understand the meanings of events and interactions shared by a group (Bogdan & Bilken, 1998; Merriam, 1998). We perceived the collaborative writing exercise as a phenomenon that was shared by group members. The interactions and situations that occurred within the exercise allowed us to better understand how graduate students experience and negotiate collaborative writing.
Although this study uses an instrumental case study method (Stake, 1994), the case itself was of secondary interest (Campbell, 1975). The particular case served to pursue and facilitate our understanding of student collaboration and to reveal what lessons could be learned to inform faculty who utilize student collaborative exercises.
This study originated in the summer of 2001 at a research university in a graduate course about qualitative data analysis. Much of the course centered on a student collaborative writing exercise in which students were required to work in groups to produce an original research manuscript. The class consisted of 17 students who worked in four groups that consisted of four to five students in each group.
The subjects in this study were the 17 students enrolled the course. Of the 17 students, 14 agreed to participate in the study, one declined to participate, and two could not be located after the course ended. Interviews were chosen because they provided a focused method that directed the participants to concentrate on the topic of interest and allowed the researchers to gain insight from the participants' perspectives of the situation (Yin, 1994). The data were analyzed across individual characteristics, utilizing an atomistic approach reflecting the intent to present useful and accurate generalizations rather than articulating a narrative (Husen, 1979; Willis & Jost, 1999). Interviews were analyzed as a whole instead of making comparisons between groups. Such an approach allowed for the discovery and reporting of interactions and meanings on a generalized localized level within the context of the study. Data analysis began with the use of open coding in an issue-related framework (Malinowski, 1984) to identify interactions that pertained to collaborative writing. Significant elements were separated from the surrounding texts and organized into a new data-driven context of a generalized nature (Malinowski, 1984) that was descriptive of student experiences and perceptions in collaborative writing (Muldur, 1994). Pseudonyms were used in reporting data in order to preserve the identities of participants.
Characteristics of Effective Leaders
Four themes related to effective group leadership surfaced during the analysis of data: interpersonal skills, group management, time management, and expertise. Effective group leaders exhibited specific interpersonal skills during the collaborative writing process, such as, confidence, assertiveness, and facilitation. A statement by Margaret helped understand how a confident leader helped the other members of the group.
Well, the one who kind of emerged
as the leader was confident about
what she was doing and was far
enough in ...
A Case Study Approach to Ethics
The following case studies, obtained in 1994 from the Medical Research Council (now known as the Canadian Institutes of Health Research), provide material for thought. They cover cases concerning intellectual property, publications, authorship, conflict of interest, human subjects and a miscellaneous section. The case studies can be used in discussion groups or by single members of the research community who are interested in learning about ethical concerns. A series of questions are embedded in each case study, that stimulate contemplation, discussion and understanding. We will be pleased to receive questions regarding any issue that you may have on research ethics and integrity. We will forward them to "experts" within the research community to obtain an answer.
Intellectual Property
1. Professor A, a prominent and senior researcher is invited by a colleague to attend a presentation by Mr. G., a graduate student. She discovers that the student developed a concept identical to one she has been working on for some time; she also knows that her ideas pre-date those of Mr. G and that they have never appeared in the literature. The concept in question is not the central focus of Mr. G's work, yet is important to his thesis. The researcher hurries to publish her ideas before the graduate student.
• Should Professor A have accelerated the publication of her work? Why or why not? What other options should she have considered, if any?
2. A professor has been asked to review a manuscript for a journal. To do a thorough review, she would like another opinion on specific issues, but knows that she would have to show the manuscript to a third party.
• How can she honour the principles of confidentiality in scientific integrity and still carry out a thorough review?v
3. Ed, a fourth-year graduate student, was still several months away from finishing an ongoing research project when a new post doc arrived from a laboratory doing similar work. After the two were introduced, Ed automatically asked about the work going on in the other lab and was surprised to hear that the researchers there had successfully developed a reagent that he was still struggling to perfect. Knowing that both labs had policies requiring the sharing of research materials, Ed, wrote a letter to the head of the other lab asking if the laboratory could share some of the reagent with him. He didn't expect there to be a problem, because his project was not in competition with the work of the other lab, but a couple of weeks later he got a letter from the lab director saying that reagent could not be shared because it was still "poorly developed and characterized."
The new post doc, upon hearing the story, said, "That's ridiculous. They just don't want to give you a break."
• Where can Ed go for help in obtaining the materials?
• Are there risks in involving other people in this situation?
• What kinds of information is it appropriate for researches to share with their colleagues when they change laboratories?
Publications
1. Dr. F has received funds from a peer-reviewed agency for an outcome study on a new treatment for depression. When developing the experimental design, she had considered measuring depression every week during the 2-month treatment. In the end, however, she included in the application the intent to assess depression only before and after treatment. She is about to begin the experiment when she is asked to review a manuscript for a journal that routinely blinds the reviewers to the names of the authors. She gladly accepts, reads the manuscript and discovers that the authors have tested exactly the same hypothesis as hers, and that they have concluded that measurements performed only before and after treatment are not satisfactory, and that weekly measurements are necessary.
• What are Dr. F's responsibilities, if any, to the editor of the journal?
• Should Dr. F declare a conflict of interest?
• Would it be appropriate for Dr. F to change her methodology based on the new information, and proceed with her funded research?
• Does Dr. F have any responsibility to communicate this new information and any possible changes to her methodology to the funding agency?
• What should journals or peer review boards do when a reviewer declares a conflict of interest but still submits a written review?
2. A year ago, a professor with a distinguished research career obtained an award of $60,000 per annum for 2 years, on the basis of a theory which she had developed and which was thought to be a significant contribution to the field. However, the initial results obtained with the funds from the grant did not support her hypotheses. She recognizes a responsibility to publish her results in order to help maintain an environment of informed criticism design. She is also now preparing her application for renewal of research support. She wonders what she should state about her negative results in her research re-application.
• What are the researcher's responsibilities in regards to informing the granting agency, or publishing her preliminary results?
3. Dr. S claims to have found an intervention that appears to be effective for an important disease. He has submitted an article which is "in press", and now presents his results at a colloquium in his department. In discussion, a colleague suggests that he should carry out further research because of major problems with his study. Her comments include the statements that it has been demonstrated over and over again that the assays used by Dr. S are not valid under the circumstances of his work and that the statistical analyses were inappropriate. Other members of the department agree. Dr. S defends his research by saying what he had done was common practice.
• Is Dr. S's defense ethically justifiable? Why or why not?
• What is the responsibility, if any, of Dr. S's colleagues and department, to ensure that the most rigorous methodologies, measures and statistical procedures are used?
• Considering that the publication is in press, what are the responsibilities, if any, of all the parties?
Authorship
1. Three researchers have worked together for several years on a series of projects that have resulted in several joint publications. They plan to continue the collaboration for several more years. On the suggestion of one of the team, they decide to include two additional colleagues as regular co-authors. One colleague is a senior staff member who is very helpful in securing research funds for the team and the other is a close friend with whom the team often brainstorms research ideas.
• Should the colleagues be co-authors? Why or why not?
2. A master's student who has just completed his thesis research is approached by his advisor about the possibility of publishing the work together. The two have not discussed joint authorship previously, although the student knew that co-publication was a common practice. The advisor, an untenured professor known to need publications, suggests that she should be first author since the student's research was an extension of her theoretical ideas. She offers to write up the proposed submission, pointing out that she has had more experience. She also offers to provide funds from her research grant to send the student to an international meeting to present the research. The student feels ownership of his thesis material slipping away. He points out that he did all of the data collection and analysis. She reminds him that it was her conceptual framework. She further argues that if she allowed the student to be the first author, the student might be thought of as having the original idea. The student is uncomfortable about being relegated to second author, but he is also aware that he needs his supervisor's support as the oral defense approaches.
• How do you think this might work out in real life?
• What are the pressures or vulnerabilities, if any, on the two protagonists?
• Who should be the first author? Why?
• What further information would persuade you to lean in favour of the professor or the student?
• If the professor and student cannot come to an agreement, to whom might they turn and what might the individual or organization do?
• How could this situation have been prevented?
3. A technician, whose salary is paid through a grant, requests co-authorship on a publication for which she performed an essential set of measurements. The researcher was prepared only to acknowledge the technician's work at the end of the paper. The technician had been responsible for bringing the assay to the researcher's laboratory, helped by a visit to the laboratory where the assay had been developed.
• Should the technician be a co-author or only be acknowledged?
• What further information would strengthen or alter your opinion?
• Are your views on this case affected if the person performing the assays was (a) a research associate with a doctoral degree, or (b) a post-doctoral fellow, instead of a technician?
Conflict of Interest
1. Dr. H has developed a mouse tissue culture model in which the addition of certain neurotropic peptides leads to the proliferation and regeneration of CNS neurones obtained from mouse fetuses. Dr. H wishes to test the results from the mouse model with human tissues. Funding for this project is secured from a pharmaceutical house (Growth Inc) whose principal line is directed towards neurodegenerative diseases. Dr. H has a large stock portfolio in Growth Inc.
• What ethical issues, if any, are raised by this situation?
• What should Dr. H do?
• What should the Research Ethics Board do?
• What guidelines should be in effect in this area?
• What are, or should be, Dr. H's responsibilities with respect to financial disclosures?
• What policies, if any, should be in place at the institution on financial conflict of interest?
• Should financial conflict of interest disqualify an investigator from participating in research, and, if so, at what point?
2. A researcher receives a grant to study the differences in assimilation of immigrants from two different countries. She discovers that there are much higher incidences of child and spouse abuse, and other antisocial behaviours in one of the immigrant groups, but that the incidences of these problems in the other immigrant group is comparable to those of the general population. In her research report, she emphasizes a long history of violent conflict in the first immigrant group's country of origin and asserts that similarly high incidences of violent conflict can be found In the three other countries populated primarily by the same ethnic group. Her research report states that "the possibility of high aggression and criminality being inbred in this group's genetic pool must be faced". Colleagues are aware that the study was funded by a private foundation that, for some years, has advocated more restrictive immigration policies for persons from certain ethnic groups. Although the researcher names the foundation in the report's acknowledgments, the foundation's reputation is not generally known.
• What ethical issues are raised by this situation and how might they be addressed?
• To what extent does a researcher have a responsibility to ensure that sources of funding do not compromise scientific integrity?
• What are the responsibilities, if any, of the researcher, her colleges and her institution?
3. Dr. T published a report on research which she had carried out with her hospital patients, on her own time, but while an employee of the hospital. She assigns no credit to the hospital and has consulted no responsible staff in the hospital regarding publication.
• What ethical issues are raised by this situation, and how might they be addressed?
• Do you believe the issues are different if: a) Dr. T did the work with her private patients, on her own time? b) Dr. T did the work using hospital resources and while being paid?
• For a) and b), should Dr. T cite her affiliation with the hospital in her publication, or present herself as a private practitioner?
Human Subjects
1. Margaret D, chair of the Research Ethics Board (REB) for a major Canadian university, is rapidly considering her options. A difficult case, that had consumed the REB for weeks, has now become a public relations problem, and she is expected to respond skillfully in a press conference at the end of the day, defending the REB's decision.
The source of the controversy is a study by the university's Respiratory Research Laboratory, funded by General Tobacco, Inc., to study the safety and efficacy of a new "safe" cigarette developed by the company. The cigarette contains tobacco that has been chemically altered to burn without generating cancer-causing products. The study will measure various lung and blood parameters in committed smokers during a 6-month randomized program comparing the new product with standard cigarettes. In particular, a new and very sensitive blood test for abnormal (and possibly cancerous) cell growth development at the university will be used. Research results are expected to lead eventually to production of the new "safe" cigarette and the reduction of risk to confirmed smokers from their habit.
A medical services firm under contract to General Tobacco will recruit subjects. They must be confirmed smokers who have smoked at least one pack per day over the last three years and do not intend to quit smoking regardless of the study. They will be recruited through ads on campus and newspaper announcements. When they apply, they will be interviewed to ascertain that they are not planning to quit smoking within the next six months, since all study participants will be asked to smoke for the duration of the study, and about half will be given standard cigarettes. Anyone with proven lung disease of any kind, or with measured lung function outside 20% of normal range, will be excluded. Women who are taking the birth control pill may not enter the study. In addition to receiving free "smoking materials," subjects will be paid modest amounts to compensate for their time.
When the project was reviewed, several members of the REB questioned the ethics of encouraging the use of any tobacco product given the current public concern for the risks of smoking and the high health care costs stemming from it. As well, there were concerns noted about a potential conflict of interest as General Tobacco's president, an MBA graduate from the university, had just promised the University's School of Business funding for a new building. After the investigator revised the consent form to clearly describe smoking risks, however, the study was approved.
• Can a Research Ethics Board ever legitimately approve research involving the distribution of cigarettes to human beings?
• Do the risks and potential benefits of this particular study seem acceptable?
• Have issues stemming from the selection of subjects for research been adequately attended to?
• Should the REB review newspaper advertisements for study recruitment?
• Is the exclusion of women taking the birth control pill legitimate?
• Is the payment of subjects for their time permissible?
• How should the REB Chair respond to the press?
2. Dr. C. is experiencing difficulty in recruiting subjects to his study which has been approved by the Research Ethics Board (REB). Accordingly, he advises his institution's medical House Staff that he will pay Residents $25 for each patient they recruit to the study, anticipating that each resident will add approximately 10 patients to the study.
• Does the payment of finders' fees raise issues of scientific integrity? Why or why not?
• Would an offer of (a) $5 (b) $500 per patient change your views?
• What might be the impacts on the patients?
• How might patients view such practices?
• What should the REB do, if anything, if it learns of this offer?
• What ethical principles underlie any actions the REB might take?
3. Dr. Q has designed a needle to biopsy skeletal muscle tissue. The Q needle, in dog experiments, has yielded superb specimens for histopathologial diagnosis. Because they consider that the new needle is a variant of several commercially available biopsy needles, Dr. Q and her colleagues begin to use it in their clinical practices as a "clinical innovation". After 27 biopsies have yielded superb results, Dr. Q and her colleagues submit a report to a prominent journal that accepts the manuscript contingent upon ethics approval. The local Research Ethics Board (REB) is asked by Dr. Q to grant retrospective approval in view of the fact that their report reflects "innovative diagnosis" rather than original research.
• Does this case cause concern? Why or why not?
• Assume you are Dr. Q. Develop your defense against an allegation of misconduct.
• Assume you are the Chair of the Committee that has decided to investigate possible misconduct. Develop your line of enquiry.
Miscellaneous
1. An untenured professor has been asked to review a manuscript for a prestigious journal. He believes that doing the review will help him get tenure. However, he is overloaded and cannot afford the time. He passes the manuscript to a graduate student, who writes a review, which the professor edits slightly, signs and sends off to the journal.
• What ethical issues, if any, are raised by this vignette?
• Under what conditions, if any, could a graduate student ethically conduct such a review?
2. A researcher is on vacation several hours' flight from her lab. Her graduate student is also away for several days at the funeral of his father. The laboratory animals are being cared for by university support staff. The researcher learns, through the media, of a strike of support staff. Telephone calls to university officials, the Department Chair, and colleagues do not satisfy her concerns abut continued care for the animals.
• What the responsibilities, if any, of the researcher?
• What are the responsibilities, if any, of the department and institution administration?
• What are the responsibilities, if any, of the university support staff?
3. Dr. R, a junior faculty member has become aware that Dr. T, a senior and eminent colleague, has not been effectively supervising his graduate student because of his very busy schedule. It is hectic being eminent. The problem has developed over the past eight months. Dr. R brings the matter to Dr. T's attention. Dr. T. asks her to help out for several months after which time his schedule will become less problematic. Dr. R is not familiar wit either the area of investigation in question, nor with the methods used.
• Was it ethical for Dr. T to request this help from Dr. R? Why or why not?
• Should R. R accept the request? Why or why not?
• Should the student have been involved in the discussions? If so, why and how?
Approaching the Dissertation: Appropriate Methodologies1
Introduction
The way you approach your question will have a profound effect upon the way you construct your dissertation. You may not be fond of statistics, but that does not exclude the potential relevance of a quantitative approach. Similarly, the idea of conducting your own research may fill you with foreboding, but a qualitative analysis can nonetheless yield valuable data. This section discusses the types of research you might undertake for your dissertation. The merits of primary research are debated, and advice is given on the use of existing research data. The possibilities of using quantitative and qualitative data are also discussed, and the use of literature and case studies is considered.
What approach should I take - qualitative or quantitative?
Dissertations can be based on either quantitative or qualitative data, or on a combination of both. How you choose this may depend on your preferences and abilities, and the suitability of particular approaches to your chosen topic. You need to be able to justify why you have chosen to use such data. Quantitative data is particularly useful when you wish to discover how common particular forms of behaviour such as illegal drug use are for a particular age group. Qualitative data is particularly useful when you wish to find out why people engage in such behaviour.
Your approach, research design, and research question are all connected. 'Approach' means something more than the type of data you use – it refers to your overall orientation to research and the type of claims you will make for your study.
Think about the Research Methods modules you have taken so far. Think about the different kinds of studies you have read for other modules. There is plenty of scope to use the approaches and methods that you are most comfortable with. You need, however, to justify your approach and methods, and to cite appropriate literature to help you do this.
What if I want to find out about social trends, or the measurable effects of particular policies?
You will probably want to use large datasets and undertake quantitative data analysis, and you will be adopting a realist approach to the topic studied. Quantitative dissertations are likely to be nearer to the lower end of the range of approved lengths for the dissertation (e.g. if the length is to be 5,000-8,000 words, dissertations based on quantitative analysis are likely to be closer to 5,000 words in length). They will also include tables and figures giving your important findings. Remember that all tables must be carefully titled and labelled and that sources of your data must be acknowledged.
What if I want to record people's views on an issue, and give them a 'voice'?
You will probably want to use in-depth qualitative data, and you may wish to adopt a realist, a phenomenologist, or a constructionist approach to the topic. Qualitative dissertations will include descriptive material, usually extracts from interviews, conversations, documents or field notes, and are therefore likely to be nearer to the upper limit of your word range (e.g. 8,000 words). The types of method suitable for a dissertation could include content analysis, a small scale ethnographic study, small scale in-depth qualitative interviewing.
Whether you choose qualitative or quantitative analysis will depend on several things:
• Your preferred philosophical approach (realist, phenomenologist or constructionist).
• Your skills and abilities with methods of data collection (if needed) and analysis.
• The topic or issue you are interested in.
• How you frame your research question.
Can I combine qualitative and quantitative methods?
There are many ways in which qualitative and quantitative data and analysis can be combined. Here are two examples.
• You may be interested in doing an analysis that is primarily quantitative, looking at social trends, or policy implications. However you also want to introduce a 'human touch' by conducting one or several interviews asking what these trends mean to people or how particular individuals experience events. After doing your quantitative analysis, you should include a chapter or section on the qualitative data you have collected. In your discussion of findings you can use the qualitative data to help you understand the patterns in the quantitative analysis.
• You may be interested in doing an evaluative case study of a process or policy. You will have a particular focus – a 'case' that you are looking at. You will triangulate methods – i.e. collect data in several different ways, and some of these data may be quantitative. You will analyse each type of data and describe this, and then write a discussion that shows how each piece of analysis contributes to the overall picture of what is going on.
Your supervisor or research methods tutor may be able to give you detailed examples of these or other ways to combine methods.
Click on the icon to watch a video clip relevant to this section. This video clip contains comments from the following academics:
Dr Iain Garner
Principal Lecturer in Psychology
Alan McGauley
Senior Lecturer in Social Policy
Shawna McCoy
Lecturer in Criminology
Kevin Bonnett
Executive Dean of the Faculty of Development and Society, Sheffield Hallam University
Can my dissertation be entirely literature-based?
Yes. If you decide to do a primarily theoretical dissertation, it is almost certain that your dissertation will be entirely literature-based. This is likely to be the methodology of theoretical analysis: selection and discussion of theoretical material and descriptive material, in context, and detailed comparison of theories in terms of their applicability. You might ask how useful certain concepts or theories are for understanding particular patterns of behaviour. How useful is the concept of institutional racism? Is objectivity in the media possible? How useful is subcultural theory for understanding virtual communities? Here, the focus of attention is not so much to discover something about the social world, for example virtual communities, as to reach a judgement about the value of key concepts or theories in understanding that world. How the study is approached and how contrasting approaches are drawn upon needs to be stated very clearly.
A library-based or theoretical study is not necessarily 'easier' than an empirical study: indeed, it may well be harder. Remember that theoretical studies, like data-based studies, need to have their research design spelled out from the start.
But even if your dissertation is more empirically focused, it could still be entirely literature-based. You might choose to conduct a review of a field of work. What does the research literature in this field tell us about x? While all dissertations will include a literature review, it is possible to produce a dissertation that is entirely based on a review of the literature. If you do this, it is important to review the literature from an explicit angle and identify some themes to make the review distinctive. You might, for example, explore empirical debates in your chosen field across different countries or time periods.
What is case study research?
Whilst it is possible for dissertations to be entirely literature-based, the most common form of dissertation takes the form of a case study. Here the focus of attention is on a particular community, organisation or set of documents. The attraction of this kind of dissertation is that it stems from empirical curiosity but is at the same time practical. You may be interested in a wider question but a case study enables you to focus on a specific example. A major challenge in case study dissertations is connecting your own primary research or re-analysis with the broader theoretical themes and empirical concerns of the existing literature.
What's an empirical study?
Most dissertations demand either primary or secondary research. In other words, you usually have to analyse data that you have either collected yourself or data that is already available. The reason for this is that the questions dissertations usually address take the following form: Is x happening? Is x changing? Why is x happening? Why is x changing? These questions demand primary or secondary analysis of data.
Click on the icon to read a case study relevant to this section.
What is secondary analysis?
Secondary analysis is when you analyse data which was collected by another researcher. It allows the researcher to explore areas of interest without having to go through the process of collecting data themselves in the field. The problem with using fieldwork methods in an undergraduate dissertation, however, is that they are costly in terms of time (which is relatively scarce in your final year!) and possibly your own financial resources too. You may choose, therefore, to undertake secondary research, analysing existing data.
Where do I find existing research data?
There are a range of documents that already contain research data that you can analyse. You may, for example, be interested in exploring whether gender stereotypes in the media are changing. This might entail content analysis of newspapers, magazines, video or other media over different time periods. Here you would not be collecting your own data but instead would be analysing existing documents.
Click on the icon to read a case study relevant to this section.
If you are interested, for example, in doing historical research, you may need to visit archives. Government reports and autobiographies may also be used as data.
Other documents include official statistics, datasets (statistical data), and banks of interview transcripts which are all freely available to the academic community. Increasingly, documents, databases and archives are readily accessible online. Research Methods tutors on your course will be able to advise on the availability and accessibility of such data sets.
There are some advantages of doing secondary analysis, particularly if you are doing a quantitative study. You will be able to work with much larger datasets than you could have collected yourself. This has the following advantages:
• They allow you to discuss trends and social changes.
• The data are often collected through a random sample, which allows you to generalise to the population under consideration.
• They may also allow you to make comparisons over time, as some datasets are products of longitudinal studies. Examples of large datasets include the British Crime Survey, and the Youth Cohort Study. Smaller, more targeted datasets may also be available.
• Secondary analysis has disadvantages also: the data were collected for a purpose different from yours.
• You have to find out something about that purpose, as well as the methods of collection, in order to justify your use of a secondary dataset.
Collecting you own data - primary research
Quantitative data may also result from non-participant observations or other measurements (e.g. in an experimental design). Also, sometimes data that are collected through qualitative processes (participant observation, interviews) are coded and quantified. Your research methods tutor can give you further information on these types of data, but here are some common quantitative data collection methods and their definitions:
Self-completion questionnaires A series of questions that the respondent answers on their own. Self-completion questionnaires are good for collecting data on relatively simple topics, and for gaining a general overview of an issue. Questionnaires need to have clear questions, an easy to follow design, and not be too long.
Structured interviews Similar to a self-completion questionnaire, except that the questions that are asked by an interviewer to the interviewee. The same questions are read out in the same way to all respondents. There will typically be a fixed choice of answers for the respondents.
Structured observation Watching people and recording systematically their behaviour. Prior to the observation, an observation schedule will be produced which details what exactly the researcher should look for and how those observations should be recorded.
If you are conducting a qualitative analysis you are likely to wish to use at least some original material. This may be collected through in-depth interviews, participant observation recordings and fieldnotes, non-participant observation, or some combination of these. Below are some data collection methods that you might want to use for your dissertation:
In-depth interviews A way of asking questions which allows the interviewee to have more control of the interview. The interview could be semi-structured, which uses an interview schedule to keep some control of the interview, but also allows for some flexibility in terms of the interviewee’s responses. The interview could be unstructured, here the aim is to explore the interviewee’s feelings about the issue being explored and the style of questioning is very informal. Or the interview could be a life history where the interviewer tries to find out about the whole life, or a portion of the person’s life.
Focus groups A form of interviewing where there are several participants; there is an emphasis in the questioning on a tightly defined topic; the accent is on interaction within the group and the joint construction of meaning. The moderator tries to provide a relatively free rein to the discussion.
Participant observation This involves studying people in naturally occurring settings. The researcher participates directly in the setting and collects data in a systematic manner. The researcher will observe behaviour, listen to conversations, and ask questions.
Spend some time looking at general books about research - they will give you an overview of the data collection methods available and help you to make the best choice for your project. Bryman (2004) would be a useful starting point.
For any piece of research you conduct, be it empirically based (quantitative or qualitative) or library based, its methods must be justified. You need to show in the final dissertation how you have given consideration to different methods, and why you have chosen and eliminated these.
Findings from our research
In our research we found that supervisors saw part of their role as to tease out their students’ reasons for choosing a particular research approach. Often in early supervision meetings they get their students to justify their reasons for choosing a library-based or an empirical study (Todd, Smith and Bannister 2006, p167). Your supervisor will want you to be able to come up with some convincing reasons as to why you’ve chosen the approach you have - so be ready!
If you’re having difficulty making that choice, don’t be afraid to ask your supervisor for their advice. This was particularly useful for one of our respondents:
It's been a valuable experience for me it's so different from other stuff. With other essays you can rush them if you have to ... but this is so much work, you can't rush it. It demands more. (Todd, Bannister and Clegg, 2004, p340)
Note: Research must be conducted in a sensible and ethical manner; data must be analysed and presented in a rational manner. It is important that students do not expose themselves or others to dangers or risks when conducting research. Students need the approval of their dissertation supervisor before embarking on any type of fieldwork (see the section on Research Ethics for more information).
Will my research be inductive or deductive?
In general, deductive research is theory-testing and inductive research is theory-generating. Often people link deductive research with quantitative experiments or surveys, and inductive research with qualitative interviews or ethnographic work. These links are not hard and fast – for instance, experimental research, designed to test a particular theory through developing a hypothesis and creating an experimental design, may use quantitative or qualitative data or a combination. If your research starts with a theory and is driven by hypotheses that you are testing (e.g. that social class background and social deprivation or privilege are likely to affect educational attainment), it is, broadly speaking, deductive. However much research combines deductive and inductive elements.
What's all this about research design?
Research design is key to conducting a good piece of work. At the start of your research you need to set down clearly:
• Your research focus and research question.
• How you propose to examine the topic:
o approach
o methods of data collection
o methods of data analysis
• The types and sources of information you need.
• How you will access these sources of information (be they people, existing datasets, biographical accounts, media articles or websites, official records).
• The proposed outcome of this research (in your case, a dissertation) and the form it will take.
• A time-frame for all this.
You and your supervisor will discuss your design and decide whether the research is 'do-able'. Your university may require you to produce a report (e.g. an 'interim framework report' or a short 'research proposal') that specifies your research design. Other people may have to look at the design to ascertain whether there are ethical issues that affect your research.
Summary
• Quantitative or qualitative? A quantitative approach will mean you will need substantial datasets, as well as the inclusion of tables and statistics in your final submission. This information could come from a variety of sources - remember to acknowledge them! A qualitative approach will probably mean conducting interviews or focus groups or observing behaviour. Ask yourself if you are prepared to do this, and think about the best way of getting the answers you want from people. Will you stop people in the street? Will you conduct telephone interviews? Will you send out survey forms and hope that people return them? Will you be a participant or non participant observer?
• Deductive or inductive? Deductive research is theory-testing, which is often linked to datasets, surveys or quantitative analysis. Inductive research is theory-generating, and is often linked to qualitative interviews.
• Empirical or theoretical? An empirical study could involve close analysis of statistics or some form of qualitative research. However, a theoretical study brings its own challenges, and you may be called upon to compare theories in terms of their applicability.
• Once you have decided upon your approach, you can write out a research design, i.e. how you are going to approach the project.
• Now look a little at the research methods that you have studied. Apart from matching your research to your general sense of objective/subjective reality, it is important to ensure that you match your methodology to the problem you are pursuing.
• What kind of data do you need to answer your question/test your hypothesis? How would you best be able to collect that data?
• Again, consider time and feasibility of the exercise. The ability to manage your time will be directly related to your ability to control the boundaries of the study – especially if it is closely linked to your workplace.
• Now that you have got so far, try to write up your research proposal as far as you can. Make sure that you identify where your proposal needs further work and, at the same time, where you will have to put your maximum effort. It may be helpful to draw a critical path so that you are clear which actions you need to take and in what sequence. You will find it helpful to plot your research questions on the chart on the next page and ensure that your plans for collecting data really answer the question as well as avoiding ethical problems.
• At this stage you must be really ruthless with yourself. How viable is it? What are the threats to the study? Try some 'what if?' questions on yourself. It will be better to go back to the drawing board now, than once the project is underway.
• IMPORTANT: Whatever approach you settle on, you MUST be able to justify its appropriateness to your topic and question.
Key Questions
• Does the data required to answer your question already exist or will you have to generate your own data?
• Can you combine quantitative with qualitative methods? e.g. a survey which includes interviews or a case study that looks at a situation from numerous angles.
• What factors may limit the scope of your research? (time, resources, etc.)
• Which method(s) best suit the questions and time you have available to do this study?
• Do you know the differences between types of data, and types of analysis?
• Does your project have clear links between theory and practice?
Further Reading
BRYMAN, A. (2004). Social Research Method. 2nd ed., Oxford, Oxford University Press
CRESWELL, J.(2002). Research Design: Qualitiative, Quantitative, and Mixed Methods Approaches. 2nd ed., London, Sage
SEALE, C.(2006). Researching society and culture. London, Sage
Here are some references for specific methods:
ARKSEY, H and KNIGHT, P.(1999). Interviewing for social scientists: an introductory resource. London, Sage
DALE,A.; ARBER, S.; AND PROCTOR, M.(1998). Doing Secondary Analysis. London, Allen and Unwin
HAMMERSLEY, M. and ATKINSON, P.(1995). Ethnography: Principles in Practice. London, Routledge
OPPENHEIM, A. N.(1992). Questionnaire Design, Interviewing and Attitude Measurement. London, Pinter
Web Resources
Here are some web resources that you might find useful:
Identifying a research topic:
A template for structured observation:
http://www.sociology.org.uk/methsi.pdf
A site devoted to survey design:
http://www.whatisasurvey.info/
A chapter on structured interviewing:
http://informationr.net/tdw/publ/INISS/Chap1.html
A chapter on qualitative interviewing:
http://webspace.ship.edu/cgboer/qualmethfour.html
An introduction to ethnographic research:
http://www2.chass.ncsu.edu/garson/PA765/ethno.htm
Materials for focus group interviews:
http://www.tc.umn.edu/~rkrueger/focus.html
________________________________________
Footnote
© 1. Professor Chris Winch (University College Northampton), Dr Malcolm Todd (C-SAP), Ian Baker (Sheffield Hallam University), Dr Jenny Blain (Sheffield Hallam University), Dr Karen Smith (Heriot Watt University)
Ethnography
Ethnography (Greek ἔθνος ethnos = folk/people and γράφειν graphein = writing) is a qualitative research method often used in the social sciences, particularly in anthropology and in sociology.[1] It is often employed for gathering empirical data on human societies/cultures. Data collection is often done through participant observation, interviews, questionnaires, etc. Ethnography aims to describe the nature of those who are studied (i.e. to describe a people, an ethnos) through writing.[2] In the biological sciences, this type of study might be called a "field study" or a "case report," both of which are used as common synonyms for "ethnography".[3]
Introduction
Ethnographic studies are usually holistic, founded on the idea that humans are best understood in the fullest possible context, including: the place where they live, the improvements they've made to that place, how they are making a living and providing food, housing, energy and water for themselves, what their marriage customs are, what language(s) they speak and so on. Ethnography has connections to genres as diverse as travel writing, colonial office reports, the play and the novel.[4] Many cultural anthropologists consider ethnography the essence of the discipline.[5] It would be a rare program in graduate cultural anthropology that didn't require an ethnography as part of the doctoral process.[6]
[edit] Evaluating Ethnography
Ethnographic methodology is not usually evaluated in terms of philosophical standpoint (such as positivism and emotionalism). Ethnographies nonetheless need to be evaluated in some manner. While there is no consensus on evaluation standards, Richardson (2000, p. 254) [7] provides 5 criteria that ethnographers might find helpful.
1. Substantive Contribution: “Does the piece contribute to our understanding of social-life?”
2. Aesthetic Merit: “Does this piece succeed aesthetically?”
3. Reflexivity: “How did the author come to write this text…Is there adequate self-awareness and self-exposure for the reader to make judgments about the point of view?”
4. Impact: “Does this affect me? Emotionally? Intellectually?” Does it move me?
5. Expresses a Reality: “Does it seem ‘true’—a credible account of a cultural, social, individual, or communal sense of the ‘real’?”
[edit] Data Collection methods
One of the most common methods for collecting data in an ethnographic study is direct, first-hand observation of daily participation. This can include participant observation. Another common method is interviewing, which may include conversation with different levels of form and can involve small talk to long interviews. A particular approach to transcribing interview data might be genealogical method. This is a set of procedures by which ethnographers discover and record connections of kinship, descent and marriage using diagrams and symbols. Questionnaires can be used to aid the discovery of local beliefs and perceptions and in the case of longitudinal research, where there is continuous long-term study of an area or site, they can act as valid instrument for measuring changes in the individuals or groups studied.
[edit] Differences across disciplines
The ethnographical method is used across a range of different disciples, primarily by anthropologists but also frequently by sociologists. Cultural studies, economics, social work, education, ethnomusicology, folklore, geography, history, linguistics, communication studies, performance studies, psychology, usability and criminology are other fields which have made use of ethnography.
[edit] Cultural and social anthropology
Cultural anthropology and social anthropology were developed around ethnographic research and their canonical texts which are mostly ethnographies: e.g. Argonauts of the Western Pacific (1922) by Bronisław Malinowski, Coming of Age in Samoa (1928) by Margaret Mead, The Nuer (1940) by E. E. Evans-Pritchard, Naven (1936, 1958) by Gregory Bateson or "The Lele of the Kasai" (1963) by Mary Douglas. Cultural and social anthropologists today place such a high value on actually doing ethnographic research that ethnology—the comparative synthesis of ethnographic information—is rarely the foundation for a career.[citation needed] The typical ethnography is a document written about a particular people, almost always based at least in part on emic views of where the culture begins and ends. Using language or community boundaries to bound the ethnography is common.[8] Ethnographies are also sometimes called "case studies."[9] Ethnographers study and interpret culture, its universalities and its variations through ethnographic study based on fieldwork. An ethnography is a specific kind of written observational science which provides an account of a particular culture, society, or community. The fieldwork usually involves spending a year or more in another society, living with the local people and learning about their ways of life. Ethnographers are participant observers. They take part in events they study because it helps with understanding local behavior and thought. Classic examples are Carol Stack's All Our Kin, Jean Briggs' "Never in Anger," Richard Lee's "Kalahari Hunter-Gatherers," Victor Turner's "Forest of Symbols," David Maybry-Lewis' "Akew-Shavante Society," E.E. Evans-Pritchard's "The Nuer" and Claude Lévi-Strauss' "Tristes Tropiques." Iterations of ethnographic representations in the classic, modernist camp include Bartholomew Dean’s recent (2009) contribution, Urarina Society, Cosmology, and History in Peruvian Amazonia. [1]
A typical ethnography attempts to be holistic[10][11] and typically follows an outline to include a brief history of the culture in question, an analysis of the physical geography or terrain inhabited by the people under study, including climate, and often including what biological anthropologists call habitat. Folk notions of botany and zoology are presented as ethnobotany and ethnozoology alongside references from the formal sciences. Material culture, technology and means of subsistence are usually treated next, as they are typically bound up in physical geography and include descriptions of infrastructure. Kinship and social structure (including age grading, peer groups, gender, voluntary associations, clans, moieties, and so forth, if they exist) are typically included. Languages spoken, dialects and the history of language change are another group of standard topics.[12] Practices of childrearing, acculturation and emic views on personality and values usually follow after sections on social structure.[13]. Rites, rituals, and other evidence of religion have long been an interest and are sometimes central to ethnographies, especially when conducted in public where visiting anthropologists can see them.[14]
As ethnography developed, anthropologists grew more interested in less tangible aspects of culture, such as values, worldview and what Clifford Geertz termed the "ethos" of the culture. Clifford Geertz's own fieldwork used elements of a phenomenological approach to fieldwork, tracing not just the doings of people, but the cultural elements themselves. For example, if within a group of people, winking was a communicative gesture, he sought to first determine what kinds of things a wink might mean (it might mean several things). Then, he sought to determine in what contexts winks were used, and whether, as one moved about a region, winks remained meaningful in the same way. In this way, cultural boundaries of communication could be explored, as opposed to using linguistic boundaries or notions about residence. Geertz, while still following something of a traditional ethnographic outline, moved outside that outline to talk about "webs" instead of "outlines" [15] of culture.
Within cultural anthropology, there are several sub-genres of ethnography. Beginning in the 1950s and early 1960s, anthropologists began writing "bio-confessional" ethnographies that intentionally exposed the nature of ethnographic research. Famous examples include Tristes Tropiques (1955) by Claude Lévi-Strauss, The High Valley by Kenneth Read, and The Savage and the Innocent by David Maybury-Lewis, as well as the mildly fictionalized Return to Laughter by Elenore Smith Bowen (Laura Bohannan). Later "reflexive" ethnographies refined the technique to translate cultural differences by representing their effects on the ethnographer. Famous examples include "Deep Play: Notes on a Balinese Cockfight" by Clifford Geertz, Reflections on Fieldwork in Morocco by Paul Rabinow, The Headman and I by Jean-Paul Dumont, and Tuhami by Vincent Crapanzano. In the 1980s, the rhetoric of ethnography was subjected to intense scrutiny within the discipline, under the general influence of literary theory and post-colonial/post-structuralist thought. "Experimental" ethnographies that reveal the ferment of the discipline include Shamanism, Colonialism, and the Wild Man by Michael Taussig, Debating Muslims by Michael F. J. Fischer and Mehdi Abedi, A Space on the Side of the Road by Kathleen Stewart, and Advocacy after Bhopal by Kim Fortun.
[edit] Sociology
Sociology is another field which prominently features ethnographies. Urban sociology and the Chicago School in particular are associated with ethnographic research, with some well-known early examples being Street Corner Society by William Foote Whyte and Black Metropolis by St. Clair Drake and Horace R. Caton. Some of the influence for this can be traced to the anthropologist Lloyd Warner who was on the Chicago sociology faculty, and to Robert Park's experience as a journalist. Symbolic interactionism developed from the same tradition and yielded several excellent sociological ethnographies, including Shared Fantasy by Gary Alan Fine, which documents the early history of fantasy role-playing games. Other important ethnographies in the discipline of sociology include Pierre Bourdieu's work on Algeria and France, Paul Willis's Learning To Labour on working class youth, and the work of Elijah Anderson, Mitchell Duneier, Loic Wacquant on black America and Glimpses of Madrasa From Africa,2010 Lai Olurode. But even though many sub-fields and theoretical perspectives within sociology use ethnographic methods, ethnography is not the sine qua non of the discipline, as it is in cultural anthropology.
[edit] Communication Studies
Beginning in the 1960s and 70s, ethnographic research methods began to be widely employed by communication scholars. Studies such as Gerry Philipsen's analysis of cultural communication strategies in a blue-collar, working class neighborhood on the south side of Chicago, Speaking 'Like a Man' in Teamsterville, paved the way for the expansion of ethnographic research in the study of communication.
Scholars of communication studies use ethnographic research methods to analyze communication behaviors, seeking to answer the "why" and "how come" questions of human communication.[16] Often this type of research results in a case study or field study such as an analysis of speech patterns at a protest rally or the way firemen communicate during "down time" at a fire station. Like anthropology scholars, communication scholars often immerse themselves, participate in and/or directly observe the particular wikt:social group being studied.[17]
[edit] Other fields
The American anthropologist George Spindler was a pioneer in applying ethnographic methodology to the classroom.
Anthropologists like Daniel Miller and Mary Douglas have used ethnographic data to answer academic questions about consumers and consumption. In this sense, Tony Salvador, Genevieve Bell, and Ken Anderson describe design ethnography as being "a way of understanding the particulars of daily life in such a way as to increase the success probability of a new product or service or, more appropriately, to reduce the probability of failure specifically due to a lack of understanding of the basic behaviors and frameworks of consumers."[18]
Businesses, too, have found ethnographers helpful for understanding how people use products and services, as indicated in the increasing use of ethnographic methods to understand consumers and consumption, or for new product development (such as video ethnography). The recent Ethnographic Praxis in Industry (EPIC) conference is evidence of this.[citation needed] Ethnographers' systematic and holistic approach to real-life experience is valued by product developers, who use the method to understand unstated desires or cultural practices that surround products. Where focus groups fail to inform marketers about what people really do, ethnography links what people say to what they actually do—avoiding the pitfalls that come from relying only on self-reported, focus-group data.
[edit] Ethics
This section may require cleanup to meet Wikipedia's quality standards. Please improve this section if you can. (October 2007)
Gary Alan Fine argues that the nature of ethnographic inquiry demands that researchers deviate from formal and idealistic rules or ethics that have come to be widely accepted in qualitative and quantitative approaches in research. Many of these ethical assumptions are rooted in positivist and post-positivist epistemologies that have adapted over time, but nonetheless are apparent and must be accounted for in all research paradigms. These ethical dilemmas are evident throughout the entire process of conducting ethnographies, including the design, implementation, and reporting of an ethnographic study. Essentially, Fine maintains that researchers are typically not as ethical as they claim or assume to be — and that “each job includes ways of doing things that would be inappropriate for others to know”.[19]
Fine is not necessarily casting blame or pointing his finger at ethnographic researchers, but rather is attempting to show that researchers often make idealized ethical claims and standards which in actuality are inherently based on partial truths and self-deceptions. Fine also acknowledges that many of these partial truths and self-deceptions are unavoidable. He maintains that “illusions” are essential to maintain an occupational reputation and avoid potentially more caustic consequences. He claims, “Ethnographers cannot help but lie, but in lying, we reveal truths that escape those who are not so bold”.[20] Based on these assertions, Fine establishes three conceptual clusters in which ethnographic ethical dilemmas can be situated: “Classic Virtues,” “Technical Skills,” and “Ethnographic Self.”
Much debate surrounding the issue of ethics arose after the ethnographer Napoleon Chagnon conducted his ethnographic fieldwork with the Yanomamo people of South America.
[edit] Classic Virtues
• “The kindly ethnographer” – Most ethnographers present themselves as being more sympathetic than they actually are, which aids in the research process, but is also deceptive. The identity that we present to subjects is different from who we are in other circumstances.
• “The friendly ethnographer” – Ethnographers operate under the assumption that they should not dislike anyone. In actuality, when hated individuals are found within research, ethnographers often crop them out of the findings.[citation needed]
• “The honest ethnographer” – If research participants know the research goals, their responses will likely be skewed. Therefore, ethnographers often conceal what they know in order to increase the likelihood of acceptance.[21]
[edit] Technical Skills
• “The Precise Ethnographer” – Ethnographers often create the illusion that field notes are data and reflect what “really” happened. They engage in the opposite of plagiarism, giving credit to those undeserving by not using precise words but rather loose interpretations and paraphrasing. Researchers take near-fictions and turn them into claims of fact. The closest ethnographers can ever really get to reality is an approximate truth.
• “The Observant Ethnographer” – Readers of ethnography are often led to assume the report of a scene is complete – that little of importance was missed. In reality, an ethnographer will always miss some aspect because they are not omniscient. Everything is open to multiple interpretations and misunderstandings. The ability of the ethnographer to take notes and observe varies, and therefore, what is depicted in ethnography is not the whole picture.
• “The Unobtrusive Ethnographer” – As a “participant” in the scene, the researcher will always have an effect on the communication that occurs within the research site. The degree to which one is an “active member” affects the extent to which sympathetic understanding is possible.[22]
[edit] The Ethnographic Self
The following appellations are commonly misconvieved conceptions of Ethnographers:
• “The Candid Ethnographer” – Where the researcher situates themselves within the ethnography is ethically problematic. There is an illusion that everything reported has actually happened because the researcher has been directly exposed to it.
• “The Chaste Ethnographer” – When ethnographers participate within the field, they invariably develop relationships with research subjects/participants. These relationships are sometimes not accounted for within the reporting of the ethnography despite the fact that they seemingly would influence the research findings.
• “The Fair Ethnographer” – Fine claims that objectivity is an illusion and that everything in ethnography is known from a perspective. Therefore, it is unethical for a researcher to report fairness in their findings.
• “The Literary Ethnographer” – Representation is a balancing act of determining what to “show” through poetic/prosaic language and style versus what to “tell” via straightforward, ‘factual’ reporting. The idiosyncratic skill of the ethnographer influences the face-value of the research.[23]
Seven principles should be considered for observing, recording and sampling data according to Denzin:
1. The groups should combine symbolic meanings with patterns of interaction.
2. Observe the world from the point of view of the subject, while maintaining the distinction between everyday and scientific perceptions of reality.
3. Link the group’s symbols and their meanings with the social relationships.
4. Record all behaviour.
5. Methodology should highlight phases of process, change and stability.
6. The act should be a type of symbolic interactionism.
7. Use concepts that would avoid casual explanations.
[edit] Ethnographic nudity
Raoucha by Étienne Dinet 1901, Musée des Beaux Arts d'Alger. Example of ethnographic nudity.
Depictions of what could tentatively be called "ethnographic" nudity have appeared both in serious research works on ethnography, ethnology, and anthropology, as well as in commercial documentaries and in the National Geographic magazine in the United States. These depictions are often a cause for controversy, as in some cases, media outlets may show nudity which occurs in a "natural" or spontaneous setting in news programs or documentaries, while blurring out or censoring the nudity in a dramatic work.
The ethnographic focus provided an exceptional framework for painters and photographers to depict peoples whose nudity was, or still is, acceptable within the setting of their traditional culture".[24]
Detractors of ethnographic nudity often dismiss nude portrayal of "natives" as mere colonial gaze preserved as "ethnographic" imagery. On the other hand the works of some ethnographic painters and photographers, like Irving Penn, Casimir Zagourski,[25] Hugo Bernatzik and Leni Riefenstahl are highly valued, having received worldwide acclaim for capturing what is perceived as a documentation of the dying mores of societies, often idealized as "paradises", subject to the onslaught of average modernity.[26]
Integrating the Grounded Theory Method and Case Study Research Methodology Within IS Research: A Possible 'Road Map'
Abstract
Grounded theory is used by many IS researchers. Sometimes they apply it as a method and sometimes they apply it as a methodology. This different application stems from the debate between Glaser and Strauss; the originators of this theory. Some IS research implies the simultaneous use of case study and grounded theory. However, no conceptual/theoretical research for IS researchers yet specifies how grounded theory can be used as a method to be embraced within an interpretive case study strategy, to define a research methodology. This paper is therefore written to help IS researchers who are considering the use of grounded theory as a data analysis method in a manner compatible with the case study strategy, by first justifying the use of Strauss’s approach in this integration and secondly showing how this integration might be achieved.
Recommended Citation
Halaweh, Mohanad; Fidler, Christine; and McRobb, Steve, "Integrating the Grounded Theory Method and Case Study Research Methodology Within IS Research: A Possible 'Road Map'" (2008). ICIS 2008 Proceedings. Paper 165.
http://aisel.aisnet.org/icis2008/165
Designing a PhD: Study Design and Methodology
There are a huge number of possible study designs for a PhD, depending upon your subject area. However, all PhDs need a credible study design and a rationale for why you chose it. At the end of your PhD, you should always reflect on how well your chosen design served your needs.
Designing a PhD Study
The design of a PhD study is crucial to its success. The design process varies enormously according to the discipline. In the physical sciences, you are governed by the principles of scientific method. Study design may focus on detailed decisions about how you design your experiments and apparatus. In some cases, the contribution to knowledge may actually be in building an apparatus which enables a new experiment to be done. In medical studies, the study design often involves selecting from a range of prescribed trial methodologies. Broadly categorised as randomised control trials, seeking to randomise out confounding factors and reproduce a laboratory setting with the human body, in reality, the student will need to identify the particular flavour of trial that meets the needs of their study.
In the social sciences and humanities, it is much less likely that a prescribed study design will exist and the choice and justification of your study design is likely to be a very important part of your study. I have met physical science PhDs from very respectable Universities who when asked “Why did you do your study that way?” would answer “Because my supervisor told me to!”. This is not likely to go down well in a social science context, where very often in my experience, discussion of methodology at examination time lasts longer than discussion of the results themselves as it provides very good evidence of the level of understanding of the student, and provides confidence in the results.
Choosing your PhD Study Design
In reality, the study design will almost certainly be based upon an existing approach or approaches. Therefore, the first step is to identify the possible study design approaches. At the most basic level, are you seeking to generate numerical or qualitative data, or perhaps a combination of the two? Once possible methods have been identified, then you can either adopt an existing approach, or adapt it for your own study. You may also need to combine different methods within your overall design, especially if you are intending to use a mixture of qualitative and quantitative design
Structuring your PhD design
A PhD is quite a big piece of work. Therefore your study design may well need to be constructed in phases. For example, at my University, a student will enrol on an MPhil programme with a view to transferring to the PhD once the student has demonstrated that they have the skills needed and that their project is viable at PhD level. This creates a natural structure for the study design. The first part (leading to MPhil or transfer to PhD) is generally concerned with analysing an existing problem situation, gathering prior knowledge and baseline data on the problem. It allows the student to demonstrate their ability to carry out independent research. This phase will often conclude with proposing a solution to address the problem. The PhD phase is then concerned with developing and evaluating the proposed solution.
Some Pitfalls to Avoid
I deliberately described a PhD as quite a big piece of work. That’s because students often overestimate what can be achieved. Once you start to study a problem, it can start to grow in scope quite alarmingly, so it is important to start focused. Another problem is that some classical research approaches are simply too big for an individual PhD, so unless your PhD is part of a team project you may not be able to use them. For example, many medical trials last longer than a typical PhD. On the qualitative side, the grounded theory approach is popular with qualitative researchers. However, it is in essence an iterative approach, and many PhD studies do not allow enough iterations to truly be regarded as implementations of the classical grounded theory approach. On the other hand, it is perfectly valid to use a design based upon grounded theory and then discuss in the reflections and conclusions at the end whether the approach taken truly captures all the features of grounded theory as a limitation of the study. This is the final stage of study design. At the end of your PhD, you should always reflect on how well your chosen design served your needs. A good starting point for these reflections is to consider which bits of the study design would you do differently if you had your time again and why.
Read more: http://www.brighthub.com/education/postgraduate/articles/69263.aspx#ixzz0nsRqLgt3
Qualitative Research: Case Study Guidelines
The following guidelines are provided for submissions reporting case study research aimed at understanding a bounded phenomenon by examining in depth, and in a holistic manner, one or more particular instances of the phenomenon. Case study research in TESOL and second language acquisition (SLA) has its origins in psychology and linguistics (e.g., Hatch, 1978), with a focus on the development of L2 syntax, morphology, phonology, and so on, as analyzed by an ostensibly objective researcher. More recently, TESOL case studies have adopted the more subjective and interpretive stance typical of case studies in education and other fields (Gall, Borg, & Gall, 1996; Johnson, 1992; Stake, 1994, 1995), with less emphasis on the acquisition of discrete linguistic elements and more emphasis on such issues as learners' and teachers' identities, skill development and its consequences for learners, teachers' professional development experiences, and the implementation of language policies in programs and countries. Both approaches are legitimate but require sufficient detail and contextualization.
Assumptions
1. In TESOL, a case typically refers to a person, either a learner or a teacher, or an entity, such as a school, a university, a classroom, or a program (see Faltis, 1997; Johnson, 1992; Nunan, 1992). In language policy research, the case may be a country. Case studies may be included in larger quantitative or qualitative studies to provide a concrete illustration of findings, or they may be conducted independently, either longitudinally or in a more limited temporal period. Unlike ethnographic research, case studies do not necessarily focus on cultural aspects of a group or its members. Case study research may feature single cases or multiple cases (e.g., often two to four).
2. Acknowledging multiple realities in qualitative case studies, as is now commonly done, involves discerning the various perspectives of the researcher, the case/participant, and others, which may or may not converge (Yin, 1994). As an interpretive, inductive form of research, case studies explore the details and meanings of experience and do not usually attempt to test a priori hypotheses. Instead, the researcher attempts to identify important patterns and themes in the data. The richness of case studies is related to the amount of detail and contextualization that is possible when only one or a small number of focal cases and issues are analyzed. The writer's ability to provide a compelling and engaging profile of the case, with suitable examples and linkages to broader issues, is also very important.
Methods
Context. Provide sufficient contextual information about the case, including relevant biographical and social information (depending on the focus), such as ESL learning/teaching history, L1 background, years of residence in a new country, data collection site(s), or other relevant descriptive information pertaining to the case and situation.
Sampling. Purposeful sampling is generally used in case study research; therefore, explain sampling procedures and case selection, and the defining characteristics and typicality or atypicality of the case: Note whether the case in question is a deviant or extreme case, a critical case, a convenience case, a politically significant case, and so on (Creswell, 1998; Miles & Huberman, 1994). Because attrition may deeply affect longitudinal case studies based on just one or two participants, sampling carefully is crucial. If multiple cases are used, researchers often provide a detailed account of each and then some form of cross-case comparison, either in prose or in a tabular summary (Creswell, 1998). Multiple cases are often preferable to single cases, particularly when the cases may not be representative of the population from which they are drawn and when a range of behaviors/profiles, experiences, outcomes, or situations is desirable. However, including multiple cases limits the depth with which each case may be analyzed and also has implications for the structure and length of the final report.
Data. Draw data either from one primary source (e.g., oral interviews, journals, or essays) or from multiple sources. As in ethnography, bringing together (triangulating) multiple perspectives, methods, and sources of information (e.g., from interviews, observations, field notes, self-reports or think-aloud protocols, tests, transcripts, and other documents) adds texture, depth, and multiple insights to an analysis and can enhance the validity or credibility of the results. Observations and data collection settings may range from natural to artificial, with relatively unstructured to highly structured elicitation tasks and category systems, depending on the purpose of the study and the disciplinary traditions associated with it (Cohen & Manion, 1994). Data in SLA studies may be somewhat more restricted (either interviews, tests, writing samples, think-aloud protocols, or grammaticality judgments), and the analytic focus may be narrower and more technical as well, such as the development of linguistic or rhetorical structures in oral or written L2 production. Establishing a trusting relationship with research participants, using multiple elicitation tasks (data collection procedures), obtaining adequate relevant background information about case participants and sites, and having access to or contact with the case over a period of time are, in general, all highly desirable.
Analysis and Interpretation
Analysis. Case study data analysis generally involves an iterative, spiraling, or cyclical process that proceeds from more general to more specific observations (Creswell, 1998; Palys, 1997; Silverman, 2000). Data analysis may begin informally during interviews or observations and continue during transcription, when recurring themes, patterns, and categories become evident. Once written records are available, analysis involves the coding of data and the identification of salient points or structures. Having additional coders is highly desirable (but is less common in qualitative research than in quantitative research), especially in structural analyses of discourse, texts, syntactic structures, or interaction patterns involving high-inference categories leading ultimately to the quantification of types of items within categories. Data reduction may include quantification or other means of data aggregation and reduction, including the use of data matrices, tables, and figures (Miles & Huberman, 1994).
In multiple case studies, each case may represent a different thematic finding, such as a different type of learner, teacher, or program (e.g., highly successful vs. less successful, domestic vs. international), which you may also portray as a clustering of properties or even a metaphor; alternatively, you may analyze and discuss each of the cases in terms of a small number of pervasive and important themes that run across them to varying degrees.
Interpretation. Establishing the significance or importance of themes or findings is crucial; the discussion should ideally link these themes explicitly to larger theoretical and practical issues. However, generalization to populations is not appropriate or desirable in most case studies. Be cautious about drawing unwarranted inferences because of the small sample size, particularly if the case is not typical of others in the same set. L2 researchers frequently propose models or principles based on their results to be supported, tested, compared, or refuted by themselves or others in subsequent research (e.g., Schmidt, 1983; Schmidt & Frota, 1986).
Data may be analyzed and interpreted through a variety of ideological lenses (e.g., positivist, poststructuralist, feminist, or critical (Duff, 2002; Merriam, 1998; Yin, 1994), although descriptive/interpretive approaches are still the most common in TESOL. Provide sufficient evidence for your claims or interpretations to make them clear, credible, and convincing to others. Consider alternate explanations, and account for results that run contrary to the themes that emerge or for differences among triangulated sources. It may be worthwhile to consult case participants for their interpretation of (nontechnical) data or findings. Young L2 learners or others who are not highly proficient in their L2 may not have the maturity or the linguistic competence to convey their perspectives easily; in some cases, an assistant who can speak the participant's L1 to explain the research purposes and elicit the participant's views in their L1 may be helpful, depending on the focus of the study (Duff, in press).
The Case Study Report
Reports of case studies submitted to TESOL Quarterly should include the following elements:
• a statement of the study's purpose and the theoretical context
• the problem or issue being addressed
• central research questions
• a detailed description of the case(s) and explanation of decisions related to sampling and selection
• context of the study and case history, where relevant
• issues of access to the site/participants and the relationship between you and the research participant (case)
• the duration of the study
• evidence that you obtained informed consent, that the participants' identities and privacy are protected, and, ideally, that participants benefited in some way from taking part in the study
• methods of data collection and analysis, either manual or computer-based data management and analysis (see Weitzman & Miles, 1995), or other equipment and procedures used
• findings, which may take the form of major emergent themes, developmental stages, or an in-depth discussion of each case in relation to the research questions; and illustrative quotations or excerpts and sufficient amounts of other data to establish the validity and credibility of the analysis and interpretations
• a discussion of factors that might have influenced the interpretation of data in undesired, unanticipated, or conflicting ways
• a consideration of the connection between the case study and larger theoretical and practical issues in the field
References and Further Reading on Case Study Research
Cohen, L., & Manion, L. (1994). Research methods in education (4th ed.). London: Routledge.
Creswell, J. W. (1998). Qualitative inquiry and research design: Choosing among five traditions. Thousand Oaks, CA: Sage.
Duff, P. (2002). Research approaches in applied linguistics. In R. A. Kaplan (Ed.), The Oxford handbook of applied linguistics (pp. 13-23). Oxford: Oxford University Press.
Duff, P. (in press). Case study research in applied linguistics. Mahwah, NJ: Erlbaum.
Faltis, C. (1997). Case study methods in researching language and education. In N. Hornberger & D. Corson (Eds.), Research methods in language and education (pp. 145-152). Dordrecht, Netherlands: Kluwer.
Gall, M. D., Borg, W. R., & Gall, J. P. (1996). Educational research: An introduction (6th ed.). London: Longman.
Hatch, E. (Ed.). (1978). Second language acquisition: A book of readings. Rowley, MA: Newbury House.
Johnson, D. M. (1992). Approaches to research in second language learning. New York: Longman.
Merriam, S. B. (1998). Qualitative research and case study applications in education. San Francisco: Jossey-Bass.
Miles, M. B., & Huberman, A. M. (1994). Qualitative data analysis: A sourcebook of new methods (2nd ed.). Thousand Oaks, CA: Sage.
Nunan, D. (1992). Research methods in language learning. Cambridge: Cambridge University Press.
Palys, T. (1997). Research decisions: Quantitative and qualitative perspectives (2nd ed.). Toronto, Ontario, Canada: Harcourt Brace Jovanovich.
Schmidt, R. (1983). Interaction, acculturation and the acquisition of communicative competence: A case study of an adult. In N. Wolfson & E. Judd (Eds.), Sociolinguistics and second language acquisition (pp. 137-174). Rowley, MA: Newbury House.
Schmidt, R. W., & Frota, S. N. (1986). Developing basic conversational ability in a second language: A case study of an adult learner of Portuguese. In R. R. Day (Ed.), Talking to learn: Conversations in second language acquisition (pp. 237-322). Rowley, MA: Newbury House.
Silverman, D. (2000). Doing qualitative research: A practical handbook. Thousand Oaks, CA: Sage.
Stake, R. E. (1994). Identification of the case. In N. K. Denzin & Y. S. Lincoln (Eds.), Handbook of qualitative research (pp. 236-247). Thousand Oaks, CA: Sage.
Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage.
Weitzman, E. A., & Miles, M. B. (1995). Computer programs for qualitative data analysis: A software sourcebook. Thousand Oaks, CA: Sage.
Yin, R. K. (1994). Case study research: Design and methods. Thousand Oaks, CA: Sage.
More Resources:
• Quantitative Research Guidelines
• How to Get Published in ESOL and Applied Linguistics Serials (PDF)
• Qualitative Research: Conversation Analysis Guidelines
• Qualitative Research: (Critical) Ethnography Guidelines
• Gender and English Language Learners
Qualitative Research in Information Systems
Welcome
Welcome to the ISWorld Section on Qualitative Research in Information Systems (IS). This section aims to provide qualitative researchers in IS - and those wanting to know how to do qualitative research - with useful information on the conduct, evaluation and publication of qualitative research.
The originally accepted work was published in MISQ Discovery in 1997 and is available in the MISQ Discovery Archive. This work also received the Value-Added Site award for 1996-97 sponsored by the Academy of Management?s Organizational Communication and Information Systems Division and ISWorld. More recently, this work received an ISWorld Challenge Award from the Association for Information Systems in 2004.
Acknowledgments: I am very grateful to Allen S. Lee and M. Lynne Markus for their earlier encouragement and advice.
Introduction
This section is dedicated to qualitative research in Information Systems (IS). Qualitative research involves the use of qualitative data, such as interviews, documents, and participant observation data, to understand and explain social phenomena. Qualitative researchers can be found in many disciplines and fields, using a variety of approaches, methods and techniques. In Information Systems, there has been a general shift in IS research away from technological to managerial and organizational issues, hence an increasing interest in the application of qualitative research methods.
This section is organized as follows. After a general overview of qualitative research, philosophical perspectives which can inform qualitative research are discussed. This is followed by sections on qualitative research methods, qualitative research techniques, and modes of analyzing and interpreting qualitative data. This is then followed by a number of sub-sections that relate to qualitative research in general, i.e. citation lists, links to resources on the Internet for qualitative researchers, links to software tools and calls for papers.
The goal is to provide the IS community with useful information on qualitative research in IS (subject to copyright considerations) with as much material as possible provided -- through links -- by the original authors themselves.
If you wish to cite this work, the complete citation information is included below. Please send suggestions for improvement to the Section Editor at: m.myers@auckland.ac.nz
Overview of Qualitative Research
Research methods can be classified in various ways, however one of the most common distinctions is between qualitative and quantitative research methods.
Quantitative research methods were originally developed in the natural sciences to study natural phenomena. Examples of quantitative methods now well accepted in the social sciences include survey methods, laboratory experiments, formal methods (e.g. econometrics) and numerical methods such as mathematical modeling. See the ISWorld Section on Quantitative, Positivist Research edited by Straub, Gefen and Boudreau (2004).
Qualitative research methods were developed in the social sciences to enable researchers to study social and cultural phenomena. Examples of qualitative methods are action research, case study research and ethnography. Qualitative data sources include observation and participant observation (fieldwork), interviews and questionnaires, documents and texts, and the researcher's impressions and reactions (Myers 2009).
The motivation for doing qualitative research, as opposed to quantitative research, comes from the observation that, if there is one thing which distinguishes humans from the natural world, it is our ability to talk! Qualitative research methods are designed to help researchers understand people and the social and cultural contexts within which they live. Kaplan and Maxwell (1994) argue that the goal of understanding a phenomenon from the point of view of the participants and its particular social and institutional context is largely lost when textual data are quantified.
Although most researchers do either quantitative or qualitative research work, some researchers have suggested combining one or more research methods in the one study (called triangulation). Good discussions of triangulation can be found in Gable (1994), Kaplan and Duchon (1988), Lee (1991), Mingers (2001) and Ragin (1987) . An empirical example of the use of triangulation is Markus' (1994) paper on electronic mail.
As well as the qualitative/quantitative distinction, there are other distinctions which are commonly made. Research methods have variously been classified as objective versus subjective (Burrell and Morgan, 1979), as being concerned with the discovery of general laws (nomothetic) versus being concerned with the uniqueness of each particular situation (idiographic), as aimed at prediction and control versus aimed at explanation and understanding, as taking an outsider (etic) versus taking an insider (emic) perspective, and so on. Considerable controversy continues to surround the use of these terms, however, a discussion of these distinctions is beyond the scope of this section. For a fuller discussion see Luthans and Davis (1982), and Morey and Luthans (1984). See also the section on philosophical perspectives below.
»General References on Qualitative Research
»ICIS 1996 Panel on Survey Research
»ICIS 2000 Panel on Markus' 1983 Classic Study
Philosophical Perspectives
All research (whether quantitative or qualitative) is based on some underlying assumptions about what constitutes 'valid' research and which research methods are appropriate. In order to conduct and/or evaluate qualitative research, it is therefore important to know what these (sometimes hidden) assumptions are.
For our purposes, the most pertinent philosophical assumptions are those which relate to the underlying epistemology which guides the research. Epistemology refers to the assumptions about knowledge and how it can be obtained (for a fuller discussion, see Hirschheim, 1992).
Guba and Lincoln (1994) suggest four underlying "paradigms" for qualitative research: positivism, post-positivism, critical theory, and constructivism. Orlikowski and Baroudi (1991), following Chua (1986), suggest three categories, based on the underlying research epistemology: positivist, interpretive and critical. This three-fold classification is the one that is adopted here. However it needs to be said that, while these three research epistemologies are philosophically distinct (as ideal types), in the practice of social research these distinctions are not always so clear cut (e.g. see Lee, 1989). There is considerable disagreement as to whether these research "paradigms" or underlying epistemologies are necessarily opposed or can be accommodated within the one study.
It should be clear from the above that the word 'qualitative' is not a synonym for 'interpretive' - qualitative research may or may not be interpretive, depending upon the underlying philosophical assumptions of the researcher. Qualitative research can be positivist, interpretive, or critical (see Figure 1). It follows from this that the choice of a specific qualitative research method (such as the case study method) is independent of the underlying philosophical position adopted. For example, case study research can be positivist (Yin, 2002), interpretive (Walsham, 1993), or critical, just as action research can be positivist (Clark, 1972), interpretive (Elden and Chisholm, 1993) or critical (Carr and Kemmis, 1986). These three philosophical perspectives are discussed below.
Figure 1 - Underlying philosophical assumptions
1. Positivist Research
Positivists generally assume that reality is objectively given and can be described by measurable properties which are independent of the observer (researcher) and his or her instruments. Positivist studies generally attempt to test theory, in an attempt to increase the predictive understanding of phenomena. In line with this Orlikowski and Baroudi (1991, p.5) classified IS research as positivist if there was evidence of formal propositions, quantifiable measures of variables, hypothesis testing, and the drawing of inferences about a phenomenon from the sample to a stated population.
Examples of a positivist approach to qualitative research include Yin's (2002) and Benbasat et al's (1987) work on case study research. See also the ISWorld Section on Quantitative, Positivist Research edited by Straub, Gefen and Boudreau (2004).
2. Interpretive Research
Interpretive researchers start out with the assumption that access to reality (given or socially constructed) is only through social constructions such as language, consciousness and shared meanings. The philosophical base of interpretive research is hermeneutics and phenomenology (Boland, 1985). Interpretive studies generally attempt to understand phenomena through the meanings that people assign to them and interpretive methods of research in IS are "aimed at producing an understanding of the context of the information system, and the process whereby the information system influences and is influenced by the context" (Walsham 1993, p. 4-5). Interpretive research does not predefine dependent and independent variables, but focuses on the full complexity of human sense making as the situation emerges (Kaplan and Maxwell, 1994).
Examples of an interpretive approach to qualitative research include Boland's (1991) and Walsham's (1993) work. Klein and Myers' (1999) paper suggests a set of principles for the conduct and evaluation of interpretive research.
»References on Interpretive Research
3. Critical Research
Critical researchers assume that social reality is historically constituted and that it is produced and reproduced by people. Although people can consciously act to change their social and economic circumstances, critical researchers recognize that their ability to do so is constrained by various forms of social, cultural and political domination. The main task of critical research is seen as being one of social critique, whereby the restrictive and alienating conditions of the status quo are brought to light. Critical research focuses on the oppositions, conflicts and contradictions in contemporary society, and seeks to be emancipatory i.e. it should help to eliminate the causes of alienation and domination.
One of the best known exponents of contemporary critical social theory is Jurgen Habermas, who is regarded by many as one of the leading philosophers of the twentieth century. Habermas was a member of the Frankfurt School, which included figures such as Adorno, Horkheimer, Lukacs, and Marcuse. Examples of a critical approach to qualitative research include Ngwenyama and Lee's (1997) and Hirschheim and Klein's (1994) work.
»References on Critical Social Theory
Qualitative Research Methods
Just as there are various philosophical perspectives which can inform qualitative research, so there are various qualitative research methods. A research method is a strategy of inquiry which moves from the underlying philosophical assumptions to research design and data collection. The choice of research method influences the way in which the researcher collects data. Specific research methods also imply different skills, assumptions and research practices. The four research methods that will be discussed here are action research, case study research, ethnography and grounded theory - for more detail see Myers (2009).
1. Action Research
There are numerous definitions of action research, however one of the most widely cited is that of Rapoport?s, who defines action research in the following way:
Action research aims to contribute both to the practical concerns of people in an immediate problematic situation and to the goals of social science by joint collaboration within a mutually acceptable ethical framework (Rapoport, 1970, p. 499).
This definition draws attention to the collaborative aspect of action research and to possible ethical dilemmas which arise from its use. It also makes clear, as Clark (1972) emphasizes, that action research is concerned to enlarge the stock of knowledge of the social science community. It is this aspect of action research that distinguishes it from applied social science, where the goal is simply to apply social scientific knowledge but not to add to the body of knowledge.
Action research has been accepted as a valid research method in applied fields such as organization development and education (e.g. see the Special Issue on action research in Human Relations, Vol. 46, No. 2, 1993, and Kemmis and McTaggart, 1988). In information systems, however, action research was for a long time largely ignored, apart from one or two notable exceptions (e.g. Checkland, 1991). More recently, there seems to be increasing interest in action research.
A brief overview of action research is the article by Susman and Evered (1988). The article by Baskerville and Wood-Harper (1996) provides a good introduction to how action research might be used by IS researchers. An empirical example of action research is the article by Ytterstad et al. (1996).
»Investigating Information Systems with Action Research
»References on Action Research
» MIS Quarterly Special Issue on Action Research in Information Systems. See Baskerville and Myers (2004).
2. Case Study Research
The term "case study" has multiple meanings. It can be used to describe a unit of analysis (e.g. a case study of a particular organisation) or to describe a research method. The discussion here concerns the use of the case study as a research method.
Case study research is the most common qualitative method used in information systems (Orlikowski and Baroudi, 1991; Alavi and Carlson, 1992). Although there are numerous definitions, Yin (2002) defines the scope of a case study as follows:
A case study is an empirical inquiry that:
• investigates a contemporary phenomenon within its real-life context, especially when
• the boundaries between phenomenon and context are not clearly evident (Yin 2002).
Clearly, the case study research method is particularly well-suited to IS research, since the object of our discipline is the study of information systems in organizations, and "interest has shifted to organizational rather than technical issues" (Benbasat et al. 1987).
Case study research can be positivist, interpretive, or critical, depending upon the underlying philosophical assumptions of the researcher (for a fuller discussion, see the section of Philosophical Perspectives above). Yin (2002) and Benbasat et al. (1987) are advocates of positivist case study research, whereas Walsham (1993) is an advocate of interpretive in-depth case study research.
»References on Case Study Research
3. Ethnography
Ethnographic research comes from the discipline of social and cultural anthropology where an ethnographer is required to spend a significant amount of time in the field. Ethnographers immerse themselves in the lives of the people they study (Lewis 1985, p. 380) and seek to place the phenomena studied in their social and cultural context.
After early ground-breaking work by Wynn (1979), Suchman (1987) and Zuboff (1988), ethnography has now become more widely used in the study of information systems in organizations, from the study of the development of information systems (Hughes et. al, 1992; Orlikowski, 1991; Preston, 1991) to the study of aspects of information technology management (Davies, 1991; Davies and Nielsen, 1992). Ethnography has also been discussed as a method whereby multiple perspectives can be incorporated in systems design (Holzblatt and Beyer, 1993) and as a general approach to the wide range of possible studies relating to the investigation of information systems (Pettigrew, 1985).
In the area of the design and evaluation of information systems, some very interesting work is taking place in a collaborative fashion between ethnographers on the one hand, and designers, IS professionals, computer scientists and engineers on the other. This collaborative work is especially strong in the UK and Europe and is growing in the US.
»Myers (1999) overview article entitled "Investigating Information Systems with Ethnographic Research" (this is the PDF version of a paper published in Communications of the AIS. Please note that the Association for Information Systems owns the copyright and use for profit is not allowed)
»AIS-Pert Workshop on Ethnographic Research in Information Systems from 8-11 March 1999
»References on Ethnographic Research
4. Grounded Theory
Grounded theory is a research method that seeks to develop theory that is grounded in data systematically gathered and analyzed. According to Martin and Turner (1986), grounded theory is "an inductive, theory discovery methodology that allows the researcher to develop a theoretical account of the general features of a topic while simultaneously grounding the account in empirical observations or data." The major difference between grounded theory and other methods is its specific approach to theory development - grounded theory suggests that there should be a continuous interplay between data collection and analysis.
Grounded theory approaches are becoming increasingly common in the IS research literature because the method is extremely useful in developing context-based, process-oriented descriptions and explanations of the phenomenon (see, for example, Orlikowski, 1993).
»References on Grounded Theory
»Wanda Orlikowski's MISQ Paper of the Year '93
Qualitative Techniques for Data Collection
Each of the research methods discussed above uses one or more techniques for collecting empirical data (many qualitative researchers prefer the term "empirical materials" to the word "data" since most qualitative data is non-numeric). These techniques range from interviews, observational techniques such as participant observation and fieldwork, through to archival research. Written data sources can include published and unpublished documents, company reports, memos, letters, reports, email messages, faxes, newspaper articles and so forth.
In anthropology and sociology it is a common practice to distinguish between primary and secondary sources of data. Generally speaking, primary sources are those data which are unpublished and which the researcher has gathered from the people or organization directly. Secondary sources refers to any materials (books, articles etc.) which have been previously published.
Typically, a case study researcher uses interviews and documentary materials first and foremost, without using participant observation. The distinguishing feature of ethnography, however, is that the researcher spends a significant amount of time in the field. The fieldwork notes and the experience of living there become an important addition to any other data gathering techniques that may be used.
Good discussions of qualitative techniques for data collection can be found in Denzin and Lincoln (2005), Miles and Huberman (1994), Rubin and Rubin (1995) and Silverman (1993). Myers and Newman (2007) suggest guidelines for the conduct of qualitative interviews based on a dramaturgical model of the qualitative interview.
»Should you Tape Research Interviews? A summary of responses to an ISWorld posting
Modes of Analysis
Although a clear distinction between data gathering and data analysis is commonly made in quantitative research, such a distinction is problematic for many qualitative researchers. For example, from a hermeneutic perspective it is assumed that the researcher's presuppositions affect the gathering of the data - the questions posed to informants largely determine what you are going to find out. The analysis affects the data and the data affect the analysis in significant ways. Therefore it is perhaps more accurate to speak of "modes of analysis" rather than "data analysis" in qualitative research. These modes of analysis are different approaches to gathering, analyzing and interpreting qualitative data . The common thread is that all qualitative modes of analysis are concerned primarily with textual analysis (whether verbal or written).
Although there are many different modes of analysis in qualitative research, just three approaches or modes of analysis will be discussed here: hermeneutics, semiotics, and approaches which focus on narrative and metaphor. It could be argued that grounded theory is also a mode of analysis, but since grounded theory has been discussed earlier, that discussion will not be repeated here.
1. Hermeneutics
Hermeneutics can be treated as both an underlying philosophy and a specific mode of analysis (Bleicher, 1980). As a philosophical approach to human understanding, it provides the philosophical grounding for interpretivism (see the discussion on Philosophical Perspectives above). As a mode of analysis, it suggests a way of understanding textual data. The following discussion is concerned with using hermeneutics as a specific mode of analysis.
Hermeneutics is primarily concerned with the meaning of a text or text-analogue (an example of a text-analogue is an organization, which the researcher comes to understand through oral or written text). The basic question in hermeneutics is: what is the meaning of this text? (Radnitzky 1970, p. 20). Taylor says that:
"Interpretation, in the sense relevant to hermeneutics, is an attempt to make clear, to make sense of an object of study. This object must, therefore, be a text, or a text-analogue, which in some way is confused, incomplete, cloudy, seemingly contradictory - in one way or another, unclear. The interpretation aims to bring to light an underlying coherence or sense" (Taylor 1976, p. 153).
The idea of a hermeneutic circle refers to the dialectic between the understanding of the text as a whole and the interpretation of its parts, in which descriptions are guided by anticipated explanations (Gadamer 1976, p. 117). It follows from this that we have an expectation of meaning from the context of what has gone before. The movement of understanding "is constantly from the whole to the part and back to the whole" (ibid, p. 117). As Gadamer explains, "It is a circular relationship. . . The anticipation of meaning in which the whole is envisaged becomes explicit understanding in that the parts, that are determined by the whole, themselves also determine this whole." Ricoeur suggests that "Interpretation . . . is the work of thought which consists in deciphering the hidden meaning in the apparent meaning, in unfolding the levels of meaning implied in the literal meaning" (Ricoeur 1974, p. xiv).
There are different forms of hermeneutic analysis, from "pure" hermeneutics through to "critical" hermeneutics, however a discussion of these different forms is beyond the scope of this section. For a more in-depth discussion, see Bleicher (1980), Myers (2004), Palmer (1979), and Thompson (1981).
If hermeneutic analysis is used in an information systems study, the object of the interpretive effort becomes one of attempting to make sense of the organization as a text-analogue. In an organization, people (e.g. different stakeholders) can have confused, incomplete, cloudy and contradictory views on many issues. The aim of the hermeneutic analysis becomes one of trying to make sense of the whole, and the relationship between people, the organization, and information technology.
Good examples of research articles in IS which explicitly use hermeneutics are those by Boland (1991), Lee (1994), and Myers (1994). Myers (2004) provides an overview of the use of hermeneutics in IS research.
»References on Interpretive Research
2. Semiotics
Like hermeneutics, semiotics can be treated as both an underlying philosophy and a specific mode of analysis. The following discussion concerns using semiotics as a mode of analysis.
Semiotics is primarily concerned with the meaning of signs and symbols in language. The essential idea is that words/signs can be assigned to primary conceptual categories, and these categories represent important aspects of the theory to be tested. The importance of an idea is revealed in the frequency with which it appears in the text.
One form of semiotics is "content analysis." Krippendorf (1980) defines content analysis as "a research technique for making replicable and valid references from data to their contexts." The researcher searches for structures and patterned regularities in the text and makes inferences on the basis of these regularities.
Another form of semiotics is "conversation analysis." In conversation analysis, it is assumed that the meanings are shaped in the context of the exchange (Wynn, 1979). The researcher immerses himself/herself in the situation to reveal the background of practices.
A third form of semiotics is "discourse analysis." Discourse analysis builds on both content analysis and conversation analysis but focuses on "language games." A language game refers to a well-defined unit of interaction consisting of a sequence of verbal moves in which turns of phrases, the use of metaphor and allegory all play an important part.
At ICIS 1996 in Cleveland, the subject of The Merits of Three Qualitative Research Methods was discussed in a panel session. The Panel Session was chaired by Michael D. Myers, with Heinz K. Klein, Duane Truex and Eleanor Wynn as panelists. The presentation by Duane Truex on the subject of Text-Based Analysis Techniques is available.
A brief introduction to the use of semiotics in information systems is the book by Liebenau and Backhouse (1990). Wynn's (1991) paper is a good example of the use of conversation analysis in information systems, while Klein and Truex's (1995) paper is a good example of the use of discourse analysis in IS.
»References on Interpretive Research
3. Narrative and Metaphor
Narrative is defined by the Concise Oxford English Dictionary as a "tale, story, recital of facts, especially story told in the first person." There are many kinds of narrative, from oral narrative through to historical narrative. Metaphor is the application of a name or descriptive term or phrase to an object or action to which it is not literally applicable (e.g. a window in Windows 95).
Narrative and metaphor have long been key terms in literary discussion and analysis. In recent years there has been increasing recognition of the role they play in all types of thinking and social practice. Scholars in many disciplines have looked at areas such as metaphor and symbolism in indigenous cultures, oral narrative, narrative and metaphor in organizations, metaphor and medicine, metaphor and psychiatry etc.
In IS the focus has mostly been on understanding language, communication and meaning among systems developers and organizational members. In recent years narrative, metaphor and symbolic analysis has become a regular theme in the IFIP 8.2 Working Group conferences, the proceedings of which are now published by Kluwer.
»References on Narrative and Metaphor
»Narrative Psychology is an excellent resource on narrative and related areas.
»MENO (Multimedia, Education and Narrative Organisation) is concerned with the role of narrative in the design of interactive multimedia systems
»Rhetorical Criticism - A summary of responses to an ISWorld posting
Writing up Qualitative Research
Just as there are many different qualitative methods and approaches to qualitative data analysis, so there are many different writing styles and approaches. For a brief overview of some of these styles as they relate to ethnography, see Harvey and Myers (1995) and Myers (1999). It is hard to over-emphasise the importance of good writing.
For writing up qualitative research in general, I highly recommend Wolcott?s (1990) book. This book has many practical suggestions. For example, Wolcott points out that many qualitative researchers make the mistake of leaving the writing up until the end i.e. until they have got ?the story? figured out. However, Wolcott makes the point that ?writing is thinking?. Writing actually helps a researcher to think straight and to figure out what the story should be. The motto of every qualitative researcher should be to start writing as soon as possible.
A common problem for qualitative IS researchers is that IS researchers are expected to publish their work in journal articles. Generally speaking, journal articles are regarded much more highly than books in business schools. However, most types of qualitative research lead to the gathering of a significant mass of data. It can be difficult for qualitative researchers to write up their results within the space constraints of a journal article. Another problem is the expectation that singular findings will be presented in each paper i.e. each journal article should have just one main point. Often a qualitative doctoral thesis such as an ethnographic study will have many points.
One solution is for qualitative researchers to treat each paper as a part of the whole. That is, a qualitative researcher has to devise a way to carve up the work in such as way that parts of it can be published separately. Then the issue becomes which part of the story is going to told in one particular paper. A qualitative researcher has to come to terms with the fact that it is impossible to tell the "whole story" in any one paper, so he or she has to accept that only one part of it can be told at any one time. One advantage of such a strategy is that there is potential for an ethnographer to publish many papers from just the one period of fieldwork. Usually it is possible to tell the same story but from different angles. For more suggestions about writing and publishing, see Myers (2009).
References on Qualitative Research
The following are lists of references which relate to qualitative research in IS. The lists are indicative only of what is available and are not intended to be definitive. There is also considerable overlap between the lists because some citations fit into multiple categories. Please send additional references and/or short abstracts of items (maximum 100 words) to the Section Editor at: m.myers@auckland.ac.nz
»General References on Qualitative Research
»References on Interpretive Research
»References on Critical Research
»References on Action Research
»References on Case Study Research
»References on Ethnographic Research
»References on Grounded Theory
»References on Narrative and Metaphor
»Doctoral Dissertations in Information Systems
»An EndNote file of all the above references (original version kindly supplied by David Avison) is available in zip format.
»Myers Qualitative website references in EndNote
Resources for Qualitative Researchers
The following are links to resources on the Internet for qualitative researchers:
»The Qualitative Report is an online journal dedicated to qualitative research and critical inquiry.
»Qualitative Research Email Resources
»Sage Publications is arguably the leading publisher of qualitative methodology texts
»Narrative Psychology is an excellent resource on narrative and related areas.
»Association for Qualitative Research
»Qualitative Research Resources on the Internet
»QualPage includes calls for papers, conferences, discussion forums, publishers etc.
»International Journal of Social Research Methodology is a new cross-disciplinary journal designed to foster discussion and debate in social research methodology
»Qualitative Sociology Review is a new journal devoted to qualitative sociology.
»Society for the Study of Symbolic Interactionism
»Research Resources for the Social Sciences
»Semiotics
»Social Research Update is published by the Department of Sociology, University of Surrey, England.
»Forum: Qualitative Social Research is a bilingual (English/ German) online journal for qualitative research edited by Katja Mruck. The main aim of FQS is to promote discussion and cooperation between qualitative researchers from different nations and social science disciplines.
»The Open Memo Pages of Grounded Theory Methodology
»Evaluation and Social Research Methods has links to books, manuals, and articles on how to do evaluation and social research.
Software Tools for Qualitative Researchers
The software "bible" for qualitative researchers is the book by Weitzman, E.A. and Miles, M.B. Computer Programs for Qualitative Data Analysis, Sage, Thousand Oaks, 1995. Although their discussion about the differences between the various software packages is somewhat dated, their categorisation of the different types of packages and their guidelines for choosing a package are still very useful. I believe that an updated edition is coming soon.
The following email messages provides a summary of the responses to an ISWorld posting in April 2000 regarding the use of Qualitative Data Analysis (QDA) software.
»Articles/ Books on Qualitative Data Analysis software: A summary of responses to an ISWorld posting
The following are links to resources on the Internet regarding software tools for qualitative researchers:
»CAQDAS is the Computer Assisted Qualitative Data Analysis Software Networking Project
»Qualitative Data Analysis Software Resources
»QSR International offer three software products for qualitative data analysis. One of these is the most widely used QDA software product called NUD*IST (or N6), another is NVivo
»The Ethnograph (v 4.0) is the second most widely used software for qualitative data analysis in the world
»ATLAS/ti is a software product for qualitative data analysis
»Qualrus is a general-purpose qualitative analysis program which supports text and multimedia sources
»WordStat is a content analysis / qualitative analysis software product
»Leximancer identifies key themes, concepts and ideas from unstructured text
»TextAnalyst is a system for semantic text analysis and navigation (released November 1998)
»Annotape is a system for recording, analysing and transcribing audio data for qualitative research
»HyperResearch is qualitative data analysis software package enabling you to code and retrieve, build theories, and conduct analyses of your data
Teaching Qualitative Research
If you are involved with the teaching of qualitative research in information systems, the following resources may be helpful:
»The book by Myers (2009) discusses the use of qualitative research in all of the business disciplines including information systems.
»CIS 9300 - Qualitative Research Methods in Information Systems. This is Dan Robey's doctoral seminar at Georgia State University.
»MÉTHODOLOGIE DE LA RECHERCHE - RESEARCH METHODS. This was Allen Lee's research methods course (not just qualitative) for all management/business students in the doctoral program at McGill University, Montreal.
»LIS 450EI - Ethnography of Information Systems. This is a an RTF file of Geoffrey Bowker and Susan Leigh Star's doctoral course at the University of Illinois
»The book by Myers and Avison (2002) includes many of the recommended readings from this web site.
»Resources For A Course In Ethnographic Methods - A summary of responses to an ISWorld posting
Calls for Papers
Forthcoming
The following are calls for papers relating to qualitative research in information systems:
»QualIT2010. The fifth International Conference on Qualitative Research in IT & IT in Qualitative Research. It will be held in Brisbane (29-30 November, 2010), as a co-located event with ACIS 2010.
»All of the IFIP Working Group 8.2 conferences welcome qualitative research articles. Forthcoming conferences are listed on the IFIP WG 8.2 website.
Previous
The following are links to previous calls for papers. Most of these have details of the final program and papers accepted, and some include PDF files of abstracts etc.
»QualIT 2007. The fourth International Conference on Qualitative Research in IT & IT in Qualitative Research in the Southern Hemisphere. Held in Wellington, New Zealand, from November 18-20, 2007.
»QualIT 2006. The third International Conference on Qualitative Research in IT & IT in Qualitative Research in the Southern Hemisphere. Held in Brisbane, Australia, from November 27-29, 2006.
»QualIT 2005. The second International Conference on Qualitative Research in IT & IT in Qualitative Research in the Southern Hemisphere. Held in Brisbane, Australia, from November 23-25, 2005.
»QualIT 2004. The first International Conference on Qualitative Research in IT & IT in Qualitative Research in the Southern Hemisphere. Held in Brisbane, Australia, from November 24-26, 2004.
»Qualitative Methods and the Dynamics of Change. Special Issue of International Journal of Learning and Change.
»IFIP Working Group 8.2 IS Research Methods Conference - held in Manchester from July 15-17, 2004, 20 years after the original IS research methods conference was held there.
» MIS Quarterly Special Issue on Action Research in Information Systems. The special issue was published in September 2004.
» IFIP Working Group 8.2 Working Conference on: Global and organizational discourse about information technology, December 12-14, 2002.
»IFIP Working Group 8.2 Working Conference, Boise, Idaho, US, July 2001.
»IFIP Working Group 8.2 Working Conference, IS2000: The Social and Organizational Perspective on Research and Practice in Information Technology, Aalborg, Denmark, 9-11 June, 2000.
»New Information Technologies in Organizational Processes: Field Studies and Theoretical Reflections on the Future of Work, St. Louis, MO, USA, August 20 - 22, 1999
»Information Technology and Critical Theory in the New Millenium: Is there still hope? A Workshop in the Critical Management Studies Conference Hulme Hall, Manchester University, UK, July 14-16 1999
»Journal of Information Technology - Special Issue on Interpretive Research
» MIS Quarterly Special Issue on Intensive Research
»IFIP Working Group 8.2 Working Conference on Information Systems and Qualitative Research, Philadelphia, USA, May 31 - June 3, 1997
Journals
Most IS journals and conferences accept qualitative research. The following journals tend to favor it:
» Information and Organization (formerly Accounting, Management and Information Technologies)
» Information Systems Journal
» Information, Technology & People
Help Build this Page
You are most welcome to contribute links to qualitative research material. Additionally, I am soliciting short abstracts of items in the references pages (maximum 100 words). Please contact the Section Editor by email m.myers@auckland.ac.nz to see how you can help.
Citation Information
The complete citation for this work is as follows:
Myers, M. D. "Qualitative Research in Information Systems," MIS Quarterly (21:2), June 1997, pp. 241-242. MISQ Discovery, archival version, June 1997, http://www.misq.org/discovery/MISQD_isworld/. MISQ Discovery, updated version, last modified: May 13, 2010 www.qual.auckland.ac.nz
Application of a Case Study Methodology
by
Winston Tellis+
The Qualitative Report, Volume 3, Number 3, September, 1997
(http://www.nova.edu/ssss/QR/QR3-3/tellis2.html)
________________________________________
Abstract
In the preceding article (Tellis, 1997), the goals and objectives were presented and explained in detail. In this article, the methodology to accomplish those goals and objectives will be examined. The reader will become familiar with the specific techniques that are used in the current study, and supported by the literature that was reviewed in the previous article. That methodology will follow the recommendation of Yin (1994) and has four stages:
1. Design the case study,
2. Conduct the case study,
3. Analyze the case study evidence, and
4. Develop the conclusions, recommendations and implications.
The article begins with an introduction, that includes some of the background information that is intended to inform the reader. Following that section, each step of the methodology will be explored in detail. Finally a summary will connect all the information in a concise manner.
Introduction
Case study is an ideal methodology when a holistic, in-depth investigation is needed (Feagin, Orum, & Sjoberg, 1991). Case studies have been used in varied investigations, particularly in sociological studies, but increasingly, in instruction. Yin, Stake, and others who have wide experience in this methodology have developed robust procedures. When these procedures are followed, the researcher will be following methods as well developed and tested as any in the scientific field. Whether the study is experimental or quasi-experimental, the data collection and analysis methods are known to hide some details (Stake, 1995). Case studies, on the other hand, are designed to bring out the details from the viewpoint of the participants by using multiple sources of data.
Yin (1993) has identified some specific types of case studies: Exploratory, Explanatory, and Descriptive. Stake (1995) included three others: Intrinsic - when the researcher has an interest in the case; Instrumental - when the case is used to understand more than what is obvious to the observer; Collective - when a group of cases is studied. Exploratory cases are sometimes considered as a prelude to social research. Explanatory case studies may be used for doing causal investigations. Descriptive cases require a descriptive theory to be developed before starting the project. Pyecha (1988) used this methodology in a special education study, using a pattern-matching procedure. In all of the above types of case studies, there can be single-case or multiple-case applications.
Case study research is not sampling research; that is a fact asserted by all the major researchers in the field, including Yin, Stake, Feagin and others. However, selecting cases must be done so as to maximize what can be learned in the period of time available for the study.
The unit of analysis is a critical factor in the case study. It is typically a system of action rather than an individual or group of individuals. Case studies tend to be selective, focusing on one or two issues that are fundamental to understanding the system being examined.
Case studies are multi-perspectival analyses. This means that the researcher considers not just the voice and perspective of the actors, but also of the relevant groups of actors and the interaction between them. This one aspect is a salient point in the characteristic that case studies possess. They give a voice to the powerless and voiceless. When sociological investigations present many studies of the homeless and powerless, they do so from the viewpoint of the "elite" (Feagin, Orum, & Sjoberg, 1991).
Case study is known as a triangulated research strategy. Snow and Anderson (cited in Feagin, Orum, & Sjoberg, 1991) asserted that triangulation can occur with data, investigators, theories, and even methodologies. Stake (1995) stated that the protocols that are used to ensure accuracy and alternative explanations are called triangulation. The need for triangulation arises from the ethical need to confirm the validity of the processes. In case studies, this could be done by using multiple sources of data (Yin, 1984). The problem in case studies is to establish meaning rather than location.
Denzin (1984) identified four types of triangulation: Data source triangulation, when the researcher looks for the data to remain the same in different contexts; Investigator triangulation, when several investigators examine the same phenomenon; Theory triangulation, when investigators with different view points interpret the same results; and Methodological triangulation, when one approach is followed by another, to increase confidence in the interpretation.
The issue of generalization has appeared in the literature with regularity. It is a frequent criticism of case study research that the results are not widely applicable in real life. Yin in particular refuted that criticism by presenting a well constructed explanation of the difference between analytic generalization and statistical generalization: "In analytic generalization, previously developed theory is used as a template against which to compare the empirical results of the case study" (Yin, 1984). The inappropriate manner of generalizing assumes that some sample of cases has been drawn from a larger universe of cases. Thus the incorrect terminology such as "small sample" arises, as though a single-case study were a single respondent.
Stake (1995) argued for another approach centered on a more intuitive, empirically-grounded generalization. He termed it "naturalistic" generalization. His argument was based on the harmonious relationship between the reader's experiences and the case study itself. He expected that the data generated by case studies would often resonate experientially with a broad cross section of readers, thereby facilitating a greater understanding of the phenomenon.
Yin (1994) presented at least four applications for a case study model:
1. To explain complex causal links in real-life interventions
2. To describe the real-life context in which the intervention has occurred
3. To describe the intervention itself
4. To explore those situations in which the intervention being evaluated has no clear set of outcomes.
Information technologies involve all four of the above categories, but this study will only report on the last two. Since the Levy (1988) case study of the University of Arizona, there has been very little literature relating to the pace of acquisition of information technology at institutions of higher education. For this reason, Levy (1988) conducted a case study after consulting with experts in the field and with senior case researchers. Their recommendation was to conduct an in-depth study of the institution using the case methodology. This study replicates and extends that study and thereby adds to the body of knowledge on the nature of information technology acquisition at universities.
Levy (1988) used a single-case design for the study at the University of Arizona. Single cases may be used to confirm or challenge a theory, or to represent a unique or extreme case (Yin, 1994). Single-case studies are also ideal for revelatory cases where an observer may have access to a phenomenon that was previously inaccessible. These studies can be holistic or embedded, the latter occurring when the same case study involves more than one unit of analysis. Multiple-case studies follow a replication logic. This is not to be confused with sampling logic, where a selection is made out of a population, for inclusion in the study. This type of sample selection is improper in a case study. Each individual case study consists of a "whole" study, in which facts are gathered from various sources and conclusions drawn on those facts.
As in all research, consideration must be given to construct validity, internal validity, external validity, and reliability (Yin, 1989). Levy (1988) established construct validity using the single-case exploratory design, and internal validity using the single-case explanatory design. Yin (1994) suggested using multiple sources of evidence as the way to ensure construct validity. The current study used multiple sources of evidence ; survey instruments, interviews, and documents. The specification of the unit of analysis also provides the internal validity as the theories are developed and data collection and analysis test those theories. External validity is more difficult to attain in a single-case study. Yin (1994) provided the assertion that external validity could be achieved from theoretical relationships, and from these generalizations could be made. It is the development of a formal case study protocol that provides the reliability that is required of all research.
The design of this case study closely follows that of the Levy study. The methodology selected by Levy (1988) was based on the seminal work by Yin (1984) and confirmed by Feagin, Orum, and Sjoberg (1991). That single-case study methodology was used in the current study and is described below. Danziger (1985) has established the "context of use" as a mitigating factor in the study of computing in organizations. The "pattern matching" (Yin, 1984) of acquisition and use established in other environments may be shown to be applicable in higher education. Yin (1994) listed six sources of evidence for data collection in the case study protocol: documentation, archival records, interviews, direct observation, participant observation, and physical artifacts. Not all need be used in every case study (Yin, 1994). In this study, the last three types of sources are not relevant, since they are related to direct sociological investigation, and are not used.
For this case study, the researcher replicated Levy's (1988) study, but also adds to the field by examining aspects of client/server computing, the Internet, and the WWW. It is based on a modification of the methodology devised by Yin (1984). Each stage of the methodology will consist of a discussion of procedures recommended in the literature, followed by a discussion of the application of those procedures in the proposed study:
1. Design the case study protocol:
a. determine the required skills
b. develop and review the protocol
2. Conduct the case study:
a. prepare for data collection
b. distribute questionnaire
c. conduct interviews
3. Analyze case study evidence:
a. analytic strategy
4. Develop conclusions, recommendations, and implications based on the evidence
The following sections expand on each of the stages listed above, in the order in which they are executed in the current study. Each section begins with the procedures recommended in the literature, followed by the application of the recommended procedure in the current study.
Design the Case Study Protocol
The first stage in the case study methodology recommended by Yin (1994) is the development of the case study protocol. This stage is composed of two subheadings: Determine the Required Skills and Develop and Review the Protocol. These are presented in the following discussion.
Determine the Required Skills
Recommended Procedures
Yin (1994) suggested that the researcher must possess or acquire the following skills: the ability to ask good questions and to interpret the responses, be a good listener, be adaptive and flexible so as to react to various situations, have a firm grasp of issues being studied, and be unbiased by preconceived notions. The investigator must be able to function as a "senior" investigator (Feagin, Orum, & Sjoberg, 1991).
Application of Recommended Procedures
This researcher has had thirty years of experience in both academic and administrative computing and was adequately prepared for the investigation. This researcher's training in systems analysis is adequate preparation for the project.
< Recommended Protocol the Review and>
A draft of the protocol will be developed by the researcher. This follows extensive relevant readings on the topic which would help in developing the draft questions. Yin (1994) recommended that this be conducted in a seminar format if there are multiple investigators. The purpose of the seminar or review, in the case of a single investigator, is to discover problems in the plans or any phase of the study design. If there is a team of investigators, the seminar format would perhaps highlight team-member incompatibilities and perhaps potentially productive partnerships amongst the members. If there are unreasonable or unattainable deadlines in the plan, this will most likely be discovered by the team.
Some of the early criticism of the case study as a research methodology was that it was unscientific in nature, and because replication was not possible. The literature contains major refutations by Yin, Stake, Feagin, and others whose work resulted in a suggested outline for what a case study protocol could include. Yin (1994) reminded the researcher that there is more to a protocol than the instrument. He asserted that the development of the rules and procedures contained in the protocol enhance the reliability of case study research. While it is desirable to have a protocol for all studies, Yin (1994) stated that it is essential in a multiple-case study. The protocol should include the following sections:
• An overview of the case study project - this will include project objectives, case study issues, and presentations about the topic under study
• Field procedures - reminders about procedures, credentials for access to data sources, location of those sources
• Case study questions - the questions that the investigator must keep in mind during data collection
• A guide for the case study report - the outline and format for the report.
The discipline imposed on the investigator by the protocol is important to the overall progress and reliability of the study. It helps keep the investigator's focus on the main tasks and goals, while the process of development brings out problems that would only be faced during the actual investigation. The overview of the project is a useful way to communicate with the investigator, while the field procedures are indispensable during data collection. The case study questions are those under study, not those contained in the survey instrument. Each question should also have a list of probable sources.
The guide for the case study report is often omitted from case study plans, since investigators view the reporting phase as being far in the future. Yin (1994) proposed that the report be planned at the start. Case studies do not have a widely accepted reporting format - hence the experience of the investigator is a key factor. Some researchers have used a journal format (Feagin, Orum, Sjoberg, 1991) which was suitable for their work, but not necessarily for other studies. Indeed the case study at Fairfield University is not served by such a format, nor was the Levy (1988) study before it. The reason for the absence of a fixed reporting format is that each case study is unique. The data collection, research questions and indeed the unit of analysis cannot be placed into a fixed mold as in experimental research.
Application of Recommended Procedures
Yin (1984) presented three conditions for the design of case studies: a) the type of research question posed, b) the extent of control an investigator has over actual behavioral events, and c) the degree of focus on contemporary events. In the Levy (1988) study and this study, there are several "what" questions. This type of research question justifies an exploratory study. Examples of such questions include:
• What patterns of acquisition emerge from the current computing environment and the perceived needs for computing?
• What patterns are revealed from historical inventory records?
• Was there any change in the perceived needs related to the Internet and the WWW?
• What characteristics of the categories of computing use contribute to the patterns of acquisition?
• What managerial issues arise from the rapid acquisition of information technology and how important have those technologies become to the organization?
• Since replacement and enhancement of information technologies are projected to increase, what economic impact will that have on the planning and budgeting of the university?
• Was there any particular budgetary and/or systematic preparation for the implementation of client/server computing?
• What was the level of managerial commitment to information technology?
• What was the level of faculty commitment to information technology?
• What was the degree of decentralization/decentralization of information technologies?
• What resources were or will be needed for conversion to a client/server environment?
• What additional resources will be needed now and in the future for university community access to the WWW?
The existence of several "how" questions in the questionnaires make the study explanatory as well, which is not uncommon (Yin, 1994). Examples of such questions include:
• How do the respondents view the availability of computing resources in comparison to peer institutions?
• How are information technology resources allocated?
• How are information technology resources financed?
• How will the institution balance the need for technological changes with the need to continue the accomplishment of routine tasks?
• How does Fairfield University plan to meet current demand for service while preparing for strategic long term goals?
• How does the university evaluate the cost-benefit of its computing environment?
The researcher had no control over the behavioral events, which is a characteristic of case studies. The third condition, that was present in the Levy (1988) study and is evident in the current study, is that the events being examined are contemporary, although historic information was used.
An empirical investigation of a contemporary phenomenon within its real-life context is one situation in which case study methodology is applicable. Yin (1994) cautioned that case study designs are not variants of other research designs. Yin (1994) proposed five components of case studies:
1. A study's questions,
2. Its propositions, if any,
3. Its unit(s) of analysis,
4. The logic linking the data to the propositions, and
5. The criteria for interpreting the findings (Yin, 1994, p. 20).
The research questions framed as "who", "what", "where", "how", and "why" determine the relevant strategy to be used. In the Levy (1988) study and the current study, the nature of the questions lead to an explanatory-exploratory case study. The Levy (1988) study and this proposed study, both being exploratory, need not, and do not have a proposition (Yin, 1994). The unit of analysis in a case study could be "an individual, a community, an organization, a nation-state, an empire, or a civilization" (Sjoberg, Williams, Vaughan, & Sjoberg, 1991). The Levy (1988) study used the case study organization as the unit of analysis. The linking of the data to the propositions and the criteria for interpretation of the findings are not well developed in case studies. However they are represented in the data analysis and report.
Levy (1988) established the single-case explanatory- exploratory methodology as the most suitable choice for the investigation of information technology. The explanatory strategy came from the need to determine the extent to which the patterns of acquisition and use that were established in other environments were applicable to higher education environment also. The exploratory strategy was used to examine the economic aspects of information technologies. As a replication of the Levy study, this study also followed that methodology.
Conduct the Case Study, Preparation for Data Collection, Distribution of the Questionnaire, and Conducting interviews
Recommended Procedures
The second stage of the methodology recommended by Yin (1994) and which were used in the current study, is the Conduct of the case study. There are three tasks in this stage that must be carried out for a successful project: Preparation for Data Collection, Distribution of the Questionnaire, and Conducting Interviews. These stages are presented together in the following section, since they are interrelated. Once the protocol has been developed and tested, it puts the project into the second phase - the actual execution of the plan. In this phase the primary activity is that of data collection. The protocol described above addresses the types of evidence that are available in the case organization. In case studies, data collection should be treated as a design issue that will enhance the construct and internal validity of the study, as well as the external validity and reliability (Yin, 1994). Most of the field methods described in the literature treat data collection in isolation from the other aspects of the research process (Yin, 1994), but that would not be productive in case study research.
Yin (1994) identified six primary sources of evidence for case study research. The use of each of these might require different skills from the researcher. Not all sources are essential in every case study, but the importance of multiple sources of data to the reliability of the study is well established (Stake, 1995; Yin, 1994). The six sources identified by Yin (1994) are:
• documentation,
• archival records,
• interviews,
• direct observation,
• participant observation, and
• physical artifacts.
No single source has a complete advantage over the others; rather, they might be complementary and could be used in tandem. Thus a case study should use as many sources as are relevant to the study. Table 1 indicates the strengths and weaknesses of each type:
Table 1
Types of Evidence
Source of Evidence Strengths Weaknesses
Documentation • stable - repeated review
• unobtrusive - exist prior to case study
• exact - names etc.
• broad coverage - extended time span • retrievability - difficult
• biased selectivity
• reporting bias - reflects author bias
• access - may be blocked
Archival Records • Same as above
• precise and quantitative • Same as above
• privacy might inhibit access
Interviews • targeted - focuses on case study topic
• insightful - provides perceived causal inferences • bias due to poor questions
• response bias
• incomplete recollection
• reflexivity - interviewee expresses what interviewer wants to hear
Direct Observation • reality - covers events in real time
• contextual - covers event context • time-consuming
• selectivity - might miss facts
• reflexivity - observer's presence might cause change
• cost - observers need time
Participant Observation • Same as above
• insightful into interpersonal behavior • Same as above
• bias due to investigator's actions
Physical Artifacts • insightful into cultural features
• insightful into technical operations • selectivity
• availability
(Yin, 1994, p. 80)
Documents could be letters, memoranda, agendas, study reports, or any items that could add to the data base. The validity of the documents should be carefully reviewed so as to avoid incorrect data being included in the data base. One of the most important uses of documents is to corroborate evidence gathered from other sources. The potential for over-reliance on document as evidence in case studies has been criticized. There could be a danger of this occurrence if the investigator is inexperienced and mistakes some types of documents for unmitigated truth (Yin, 1994).
Archival records could be useful in some studies since they include service records, maps, charts, lists of names, survey data, and even personal records such as diaries. The investigator must be meticulous in determining the origin of the records and their accuracy.
Interviews are one of the most important sources of case study information. The interview could take one of several forms: open-ended, focused, or structured. In an open-ended interview, the researcher could ask for the informant's opinion on events or facts. This could serve to corroborate previously gathered data. In a focused interview, the respondent is interviewed for only a short time, and the questions asked could have come from the case study protocol. The structured interview is particularly useful in studies of neighborhoods where a formal survey is required. The use of tape recorders during the interviews is left to the discretion of the parties involved.
Direct observation in a case study occurs when the investigator makes a site visit to gather data. The observations could be formal or casual activities, but the reliability of the observation is the main concern. Using multiple observers is one way to guard against this problem.
Participant observation is a unique mode of observation in which the researcher may actually participate in the events being studied. This technique could be used in studies of neighborhoods or organizations, and frequently in anthropological studies. The main concern is the potential bias of the researcher as an active participant. While the information may not be available in any other way, the drawbacks should be carefully considered by the researcher.
Physical artifacts could be any physical evidence that might be gathered during a site visit. That might include tools, art works, notebooks, computer output, and other such physical evidence.
Yin (1994) suggested three principles of data collection for case studies:
1. Use multiple sources of data
2. Create a case study database
3. Maintain a chain of evidence
The rationale for using multiple sources of data is the triangulation of evidence. Triangulation increases the reliability of the data and the process of gathering it. In the context of data collection, triangulation serves to corroborate the data gathered from other sources. The cost of using multiple sources and the investigator's ability to carry out the task, should be taken into account prior to deciding on the use of this technique.
The data that are collected during this phase need to be organized and documented just as it is in experimental studies. The two types of databases that might be required are the data and the report of the investigator. The design of the databases should be such that other researchers would be able to use the material based on the descriptions contained in the documentation. All types of relevant documents should be added to the database, as well as tabular materials, narratives, and other notes.
In recommending that a chain of evidence be maintained, Yin (1994) was providing an avenue for the researcher to increase the reliability of the study. The procedure is to have an external observer follow the derivation of evidence from initial research questions to ultimate case study conclusions. The case study report would have citations to the case study database where the actual evidence is to be found.
Application of Recommended Procedures
This study used the methodology established by Levy (1988) in his investigation of the impacts of information technology at the University of Arizona. The methodology recommended by Yin (1984) and others was adapted for use at Fairfield University.
The questionnaire developed by Levy (1988) was modified for use at Fairfield University. The modifications were approved by Levy (1988). The modified instruments reflect both the current case organization and the technology environment under study. The modified instruments were tested on a group of individuals from the administration and from the faculty at Fairfield University, the case organization. The results from the test group indicated that changes to the instruments would be beneficial, and these changes were made. The remodified instruments were reviewed by Levy. King and Kraemer (1985) provided the logical categories for context of use in computing environments and were adapted by Levy in the 1988 study: technological development, structural arrangements, socio-technical interface, political/economic environment, and benefits/problems. Specific questionnaire items cover these areas. These categories were also employed in the analysis.
The primary data gathering was accomplished using the "Administrator Assessment of Computing" and the "Faculty Assessment of Computing" questionnaires developed for the Levy study, appropriately modified to reflect recent developments and concerns specific to Fairfield University. The purpose of the modifications to the instruments was to gather data on the client/server aspects of the computing environment, as well as the use of the Internet and the WWW. Permission to use the questionnaires from Levy's study was obtained.
Some of the items in the instruments that relate to each of the categories above are:
• Technological Development:
o There is considerable support for the acquisition of PC networks within my department/unit
o More local area networks
o Access to the Internet and WWW
o Access to networked CD's from classroom
o Ability to create class material for use on the WWW
o Video Conference capability
o Microcomputer classrooms for instruction only
o More classrooms connected to networks
o More instructional software
o Support for WWW/Multimedia course development
o Ability to transfer large files with sound, images, etc.
• Structural Arrangements:
o University policy has provided effective guidelines for computing use in the university
o The university's central administration has been equitable in allocating available resources for computing
o Satisfied with our level of computing decisions
• Socio-Technical Interface:
o Hands-on workshops designed specifically for faculty and research uses of information technology tools would be useful for me
o Current support programs
o Sufficient data communications capabilities
o Access to Internet, WWW, E-mail, from the Office
o Access to Internet, WWW, E-mail, from the Classroom
o Access to Internet, WWW, E-mail, from the Home
o Use the services of an Instructional Computing group to help faculty use computing for instruction
o Use the services of a Research Computing group to help faculty use computing for instruction
• Political/Economic Environment:
o All students should have access to computing, regardless of the course in which they are enrolled
o Faculty positions
o Support positions
o Plant and Equipment maintenance
o Current instructional programs
o There is sufficient support for instructional computing in my department
• Benefits/Problems:
o The scope of the work I am able to undertake is directly increased by the use if computing
o Attracting undergraduate students
o Attracting faculty
o Able to adequately discuss needs with mainframe support staff
o Satisfied with system response time
o Satisfied with institutional data sets available for analysis
The questionnaires were distributed through the office of the Academic Vice President (AVP) to all full-time faculty and academic administrators, and specific others recommended by the deans and the AVP. This data gathering activity was co-sponsored by the Education Technology committee. The questionnaire for faculty was also distributed to the permanent faculty of the School of Engineering, although they are not full-time faculty. They are heavy users of technology and their views were considered valuable. Including part-time faculty other than the School of Engineering, carried the risk of including several hundred instructors who teach in the School of Continuing Education and whose access to computing resources is limited. They are adjunct lecturers who could be classified as part-time instructors. Their number is too large to warrant the potential distortion in the results. The completed questionnaires were returned to the office of the Academic Vice President.
A reminder notice was sent to all faculty and administrators one week after the original contact, so as to encourage participation. This action increased the response rate. The Educational Technology Committee made phone calls to colleagues to encourage participation.
Levy (1988) used open-ended interviews as recommended by Yin (1984) to expand the depth of data gathering, and to increase the number of sources of information. In this study the researcher used the same interview questions and protocol that were used in the Levy study. As in the Levy study, the survey was enhanced by interviews of key individuals so as to acquire information that might not have become available through the questionnaire. The interviews were conducted according to the interviewee's schedule and availability, as suggested by Feagin, Orum, and Sjoberg (1991). The list of those to be interviewed included the Academic Vice President, the Vice President of Administration, the Director of Telecommunications, the Deans of Arts and Sciences, Business, and Engineering, and the Chair of the academic Educational Technology committee. The interview protocol used by Levy (1988) was free form and followed the recommendations of Yin (1984). It was ideal for the case organization under study. The researcher is well qualified to conduct this form of inquiry. The interview questions are contained in Appendix E.
The source of the quantitative data was various university records in the public domain. The historic financial information, Financial Statements, 1989-1995 (Fairfield University Controller, 1995) was available through the appropriate university officers. Permission was obtained from the Fairfield University Controller, for use of the documents. The Long Range Planning Committee Report (1993) and the Computer User Group Report (1993) were the primary sources of information on future projections. Both the documents were available in the university Library. The academic Educational Technology Committee minutes would have been very informative for some of the historic and anecdotal issues, but were unavailable for non-committee use.
Analyze Case Study Evidence
Analytic Strategy
Recommended Procedure
The following discussion will present the Analytic Strategy that should be followed in the course of evaluating data gathered in the previous stage of the study. There are various viewpoints relating to this phase of the study, and one of them is that statistical robustness is not an absolute necessity in all case studies. This researcher will present the specific statistical techniques that will be used in this study later in the section.
"Data analysis consists of examining, categorizing, tabulating, or otherwise recombining the evidence to address the initial propositions of a study" (Yin, 1994). The analysis of case study is one of the least developed aspects of the case study methodology. The researcher needs to rely on experience and the literature to present the evidence in various ways, using various interpretations. This becomes necessary because statistical analysis is not necessarily used in all case studies. This case study employs a series of statistical tests to help in the presentation of the data to the reader. However not all case studies lend themselves to statistical analysis, and in fact the attempt to make the study conducive to such analysis could inhibit the development of other aspects of the study. Miles and Huberman (1984) have suggested alternative analytic techniques of analysis in such situations, such as using arrays to display the data, creating displays, tabulating the frequency of events, ordering the information, and other methods. This must be done in a way that will not bias the results.
Yin (1994) suggested that every investigation should have a general analytic strategy, so as to guide the decision regarding what will be analyzed and for what reason. He presented some possible analytic techniques: pattern-matching, explanation-building, and time-series analysis. In general, the analysis will rely on the theoretical propositions that led to the case study. If theoretical propositions are not present, then the researcher could consider developing a descriptive framework around which the case study is organized.
Trochim (1989) considered pattern-matching as one of the most desirable strategies for analysis. This technique compares an empirically based pattern with a predicted one. If the patterns match, the internal reliability of the study is enhanced. The actual comparison between the predicted and actual pattern might not have any quantitative criteria. The discretion of the researcher is therefore required for interpretations.
Explanation-building is considered a form of pattern-matching, in which the analysis of the case study is carried out by building an explanation of the case. This implies that it is most useful in explanatory case studies, but it is possible to use it for exploratory cases as well as part of a hypothesis-generating process. Explanation-building is an iterative process that begins with a theoretical statement, refines it, revises the proposition, and repeating this process from the beginning. This is known to be a technique that is fraught with problems for the investigator. One of those problems is a loss of focus, although keeping this in mind protects the investigator from those problems.
Time-series analysis is a well-known technique in experimental and quasi-experimental analysis. It is possible that a single dependent or independent variable could make this simpler than pattern-matching, but sometimes there are multiple changes in a variable, making starting and ending points unclear.
There are some things that the researcher must be careful to review to ensure that the analysis will be of high quality, including: showing that all relevant evidence was used, that all rival explanations were used, that the analysis addressed the most significant aspect of the case study, and that the researchers knowledge and experience are used to maximum advantage in the study.
Application of Recommended Procedure
The data analysis for the current case study follows the logical categories used in the Levy (1988) study, and was adapted from the categories developed by King and Kraemer (1985). The categories are:
1. Technological development
2. Structural arrangements
3. Socio-technical interface
4. Political economic environment, and
5. Benefits/problems.
Those categories were supported by the selection of indicators that were "functionally equivalent" items for each concept (King & Kraemer, 1985). Functional equivalence means that the same variable may be measured by a variety of different indicators, all of which have some bearing on the concept.
This researcher modified the Levy questionnaires to reflect current technology developments and items of interest to Fairfield University. All references to the University of Arizona were replaced by references to Fairfield University. Several items were added to gather data concerning the Internet and the WWW. A factor analysis was executed to determine if the current case population produced the same groupings as in the Levy study. Loehlin (1992) recommended an exploratory factor analysis for the type of data that was gathered in this study.
Some of the items added to the original instrument include:
• Current use / could use / would enhance future use
o Internet resources (Gopher, FTP etc.)
o World Wide Web (WWW) resources (Netscape, etc.)
o Networked PC access from classroom
• The following contribute to the effectiveness of my work
o Access to the Internet, WWW, Email from the office, classroom, and home
• These developments could be important in five years
o Access to the Internet and WWW
o Access to networked CD's from classroom
o Ability to create class material for use on WWW
• High priority should be placed on the following
o More powerful network servers
o Microcomputer/Multimedia classrooms for instruction only
o More classrooms connected to the network
o Support for WWW/Multimedia course development
o More instructional software
o Ability to transfer large files with sound, images etc.
o Ability to scan and store documents on WWW for instruction
• Table adding up to one hundred percent
o Use of the Internet for: Instruction, Research, Professional Interest, Email, and Personal Interest/Surfing.
Aczel (1996) recommended cross tabulations to explore a hypothesis such as that relating to differences between faculty and administration within the King and Kraemer (1985) categories. The hypothesis was that there is no significant difference between the responses of the two groups of respondents with regard to the factors relating to the rate of technology acquisition. Cross tabulations were used to explore the differences in responses of the faculty by school. Cross tabulations and the chi- square were computed to determine if the differences that appeared among the sub groups of the university community such as faculty and administrators, were significant. A contingency coefficient for each cross tabulation indicated the strength of the relationship (Reynolds, 1977).
The Likert-type variables were analyzed using frequency distributions. The ordinal items in the questionnaires were analyzed using the mean and median. The results will be presented in subsequent article in this journal.
For those items in the questionnaires that are common to the Levy study (University of Arizona) and the current case organization (Fairfield University), a paired comparison of the sample populations was run. The statistical tests were the Cross tabulation and Chi square, so that inferences may be drawn about the comparison of the two very different institutions. Those inferences could lead to grounded theory regarding the aspects of information technology at universities of different sizes. The Chi-square was used to assess whether the differences that emerged were significant (Aczel, 1996).
All analyses were carried out using SPSSx version 7.1 on an IBM Pentium 75 megahertz PC compatible running Windows 95. These resources were available to the researcher at Fairfield University. The data capture was carried out on a DEC Vax 6430 using Accent R, creating a database and screen driven programs. The researcher created the programs to validate the data as it was entered so as to minimize data entry errors.
There are hundreds of private colleges that are about the same size as Fairfield University. By applying the case study to this type of institution, the analytic generalizations could be informative to other similar institutions. The literature has pointed to increasing costs and declining revenues (Blumenstyk, 1994; Deitch, 1994; DeLoughry, 1994; DePalma, 1991; Evangelauf, 1992). Those are issues that many higher education institutions face.
Develop Conclusions, Recommendations, and Implications Based on the Evidence
Recommended Procedure
The reporting aspect of a case study is perhaps most important from the user perspective. It is the contact point between the user and the researcher. A well designed research project that is not well explained to the reader, will cause the research report to fall into disuse. In this section, the researcher must refrain from technical jargon and resort to clear explanations. Those explanations are necessary to help the user understand the implications of the findings.
Application of Recommended Procedure
The results of this study will be presented in a future article in this publication, and will include a detailed description of procedures and the results derived from the statistical tests. These results are presented not exclusively as statistical results, but with accompanying explanations of the meaning of those test results. In that way both the technical requirements and the informational needs are met.
Summary
The case study methodology has been subjected to scrutiny and criticism at various times since the 1930's. As a research tool, it has not been a choice that is listed in the major research texts in the social sciences. However, as this researcher has shown in this article and in the preceding article in this journal, case study is a reliable methodology when executed with due care. The literature, while not extensive, contains specific guidelines for researchers to follow in carrying out case studies. Yin and Stake have designed protocols for conducting the case study, which enhance the reliability and validity of the investigation.
The current study followed the design used by Levy (1988) in his case study of the impacts of information technology at the University of Arizona. The survey instruments used by Levy (1988) were modified for use at Fairfield University. The modifications included replacing "Fairfield University" for references to the "University of Arizona", deleting environmental references not appropriate for Fairfield University, and adding items to the instruments for the purpose of gathering data on the client/server computing, the Internet, and the World Wide Web.
Once the instruments were modified and the testing completed, the surveys were distributed to the full-time faculty and educational administrators. One week after the initial distribution, a reminder was sent to the groups so as to encourage participation.
The analysis followed conventional analytic techniques using statistical as well as anecdotal analysis. Differences between the responses of the administrators and faculty were explored using cross tabulations. These differences were examined within the categories described by King and Kraemer (1985) and adapted for use by Levy (1988) in a case study of the University of Arizona. For the Likert-type variables frequency distributions were used to analyze the data. For those items where the original Levy (1988) instruments and the current instruments were identical, a cross tabulation and chi-square were executed to examine the significance of the differences, if any, between the groups. All these tests were run at Fairfield University using SPSSX version 7.1 on an IBM Pentium 75 megahertz PC compatible running Windows 95.
The goals and objectives of the study were presented in the previous article by this author (Tellis, 1997). This article has presented the methodology that was used to conduct the current study. In a future edition of this journal, the results will be presented in accord with the goals and objectives of the study so as to confirm that what was proposed was in fact executed. The conclusions will also be presented in the subsequent article, and will once again follow the goals and objectives outlined in the introductory article and confirm that what was proposed was in fact accomplished.
References
Aczel, A. (1996). Complete business statistics. New York: Richard Irwin.
Blumenstyk, G. (1994, November). Colleges struggle to develop formal strategies to pay for computing. Chronicle of Higher Education, 41(10), A44-45.
Computer User Group, Fairfield University. (1993). A plan for the strategic implementation, use and development of a university-wide computing environment. Fairfield, CT: Fairfield University.
Danziger, J. (1985). Social science and the social impacts of computer technology. Social Science Quarterly, 66, 1.
Deitch, K. (1994, May 1). A price war for higher education. Change, 26(3), 53-54.
DeLoughry, T., Wilson, D. (1994, June 22). Is new technology worth it?. Chronicle of Higher Education, 40(42), A19, A21.
Denzin, N. (1984). The research act. Englewood Cliffs, NJ: Prentice Hall.
DePalma, A. (1991, November 27). As a deficit looms, 26 threaten to quit key Columbia posts. New York Times, 141(48797), A1.
Evangelauf, J. (1992, March 11). At public colleges more double digit tuition growth. Chronicle of Higher Education, 38(27), 29,32.
Fairfield University Controller. (1995). Analysis of revenue and expenditures from fiscal year 1989 - 1995. Fairfield, CT: Fairfield University.
Feagin, J., Orum, A., & Sjoberg, G. (Eds.). (1991). A case for case study. Chapel Hill, NC: University of North Carolina Press.
King, J., & Kraemer, K. (1985). The dynamics of computing. New York: Columbia University Press.
Levy, S. (1988). Information technologies in universities: An institutional case study. Unpublished doctoral dissertation, Northern Arizona University, Flagstaff.
Loehlin, J. (1992). Latent variable models. Hillsdale, NJ: Lawrence Erlbaum Associates.
Long-Range Planning Committee. (1992). The long range plan 1993-1998. Fairfield, CT: Fairfield University.
Miles, M., & Huberman, M. (1984). Qualitative data analysis: A source book for new methods. Beverly Hills, CA: Sage Publications.
Pyecha, J. (1988). A case study of the application of noncategorical special education in two states. Chapel Hill, NC: Research Triangle Institute.
Reynolds, H. (1977). The analysis of cross-classifications. New York: The Free Press.
Sjoberg, G., Williams, N.,Vaughan, T., & Sjoberg, A. (1991). The case study approach in social research. In Feagin, J., Orum, A., & Sjoberg, G. (Eds.), (1991). A case for case study (pp. 27-79). Chapel Hill, NC: University of North Carolina Press.
Stake, R. (1995). The art of case research. Newbury Park, CA: Sage Publications.
Tellis, W. (1997, July). Introduction to case study [68 paragraphs]. The Qualitative Report [On-line serial], 3(2). Available: http://www.nova.edu/ssss/QR/QR3-2/tellis1.html
Trochim, W. (1989). Outcome pattern matching and program theory. Evaluation and Program Planning, 12(4), 355.
Yin, R. (1984). Case study research: Design and methods (1st ed.). Beverly Hills, CA: Sage Publishing.
Yin, R. (1989). Case study research: Design and methods (Rev. ed.). Newbury Park, CA: Sage Publishing.
Yin, R. (1993). Applications of case study research. Newbury Park, CA: Sage Publishing.
Yin, R. (1994). Case study research: Design and methods (2nd ed.). Thousand Oaks, CA: Sage Publishing.
Author Note
+Winston Tellis, Ph.D. is Director of Undergraduate Programs in Fairfield University's School of Business and formerly he was Director of Technical Services also in the School of Business at Fairfield. He received his B.Com. at the University of Bombay, India; his M.A. from Fairfield University; and his Ph.D. from Nova Southeastern University. He can be contacted at Fairfield University School of Business, Fairfield, CT 06430. His email address is winston@fair1.fairfield.edu.
Article Citation
Tellis. W. (1997, September). Application of a case study methodology [81 paragraphs]. The Qualitative Report [On-line serial], 3(3). Available:http://www.nova.edu/ssss/QR/QR3-3/tellis2.html
Winston Tellis
1997 copyright
Basics of Developing Case Studies
© Copyright Carter McNamara, MBA, PhD, Authenticity Consulting, LLC.
(NOTE: Much of the information herein was gathered from Michael Patton's book, "Qualitative Evaluation and Research Methods.")
Sections of This Topic Include:
Uses of Case Studies
Developing a Case Study
General Resources
Sample Case Study Reports
________________________________________
Uses of Case Studies
Case studies are particularly useful in depicting a holistic portrayal of a client's experiences and results regarding a program. For example, to evaluate the effectiveness of a program's processes, including its strengths and weaknesses, evaluators might develop cases studies on the program's successes and failures. Case studies are used to organize a wide range of information about a case and then analyze the contents by seeking patterns and themes in the data, and by further analysis through cross comparison with other cases. A case can be individuals, programs, or any unit, depending on what the program evaluators want to examine through in-depth analysis and comparison.
Developing a Case Study
1. All data about the case is gathered.
For example, if the study is to highlight a program's failure with a client, data would be collected about the program, its processes and the client. Data could result from a combination of methods, including documentation (applications, histories, records, etc.), questionnaires, interviews and observation.
2. Data is organized into an approach to highlight the focus of the study.
In our example, data in the case would be organized in a chronological order to portray how the client got into the program, went through the program and did not receive effective services.
3. A case study narrative is developed.
The narrative is a highly readable story that integrates and summarizes key information around the focus of the case study. The narrative should be complete to the extent that it is the eyes and ears for an outside reader to understand what happened regarding the case. In our example, the narrative might include key demographic information about the client, phases in the program's process through which the client passed and any major differences noticed about that client during the process, early indicators of failures and key quotes from the client.
4. The narrative might be validated by review from program participants.
For example, the client for whom the program failed, would read the narrative to ensure it fully depicted his or her experience and results.
5. Case studies might be cross-compared to isolate any themes or patterns.
For example, various case studies about program failures might be compared to notice commonalities in these clients' experiences and how they went through the program. These commonalities might highlight where in the program the process needs to be strengthened.
General Information
Case Study -- Wikipedia
great how-to's on case studies
Case Study Tips
Introduction to Case Study
Sample Case Study Reports
sample case study from the Leaders Circles program
Empowerment Case Study
Don Clark provides several case studies (scroll down the page to find case studies)
This method of study is especially useful for trying to test theoretical models by using them in real world situations. For example, if an anthropologist were to live amongst a remote tribe, whilst their observations might produce no quantitative data, they are still useful to science.
WHAT IS A CASE STUDY?
Basically, a case study is an in depth study of a particular situation rather than a sweeping statistical survey. It is a method used to narrow down a very broad field of research into one easily researchable topic.
Whilst it will not answer a question completely, it will give some indications and allow further elaboration and hypothesis creation on a subject.
The case study research design is also useful for testing whether scientific theories and models actually work in the real world. You may come out with a great computer model for describing how the ecosystem of a rock pool works but it is only by trying it out on a real life pool that you can see if it is a realistic simulation.
For psychologists, anthropologists and social scientists they have been regarded as a valid method of research for many years. Scientists are sometimes guilty of becoming bogged down in the general picture and it is sometimes important to understand specific cases and ensure a more holistic approach to research.
H.M.: An example of a study using the case study research design.
THE ARGUMENT FOR AND AGAINST THE CASE STUDY RESEARCH DESIGN
Some argue that because a case study is such a narrow field that its results cannot be extrapolated to fit an entire question and that they show only one narrow example. On the other hand, it is argued that a case study provides more realistic responses than a purely statistical survey.
The truth probably lies between the two and it is probably best to try and synergize the two approaches. It is valid to conduct case studies but they should be tied in with more general statistical processes.
For example, a statistical survey might show how much time people spend talking on mobile phones, but it is case studies of a narrow group that will determine why this is so.
The other main thing to remember during case studies is their flexibility. Whilst a pure scientist is trying to prove or disprove a hypothesis, a case study might introduce new and unexpected results during its course, and lead to research taking new directions.
The argument between case study and statistical method also appears to be one of scale. Whilst many ‘physical’ scientists avoid case studies, for psychology, anthropology and ecology they are an essential tool. It is important to ensure that you realize that a case study cannot be generalized to fit a whole population or ecosystem.
Finally, one peripheral point is that, when informing others of your results, case studies make more interesting topics than purely statistical surveys, something that has been realized by teachers and magazine editors for many years. The general public has little interest in pages of statistical calculations but some well placed case studies can have a strong impact.
HOW TO DESIGN AND CONDUCT A CASE STUDY
The advantage of the case study research design is that you can focus on specific and interesting cases. This may be an attempt to test a theory with a typical case or it can be a specific topic that is of interest. Research should be thorough and note taking should be meticulous and systematic.
The first foundation of the case study is the subject and relevance. In a case study, you are deliberately trying to isolate a small study group, one individual case or one particular population.
For example, statistical analysis may have shown that birthrates in African countries are increasing. A case study on one or two specific countries becomes a powerful and focused tool for determining the social and economic pressures driving this.
In the design of a case study, it is important to plan and design how you are going to address the study and make sure that all collected data is relevant. Unlike a scientific report, there is no strict set of rules so the most important part is making sure that the study is focused and concise; otherwise you will end up having to wade through a lot of irrelevant information.
It is best if you make yourself a short list of 4 or 5 bullet points that you are going to try and address during the study. If you make sure that all research refers back to these then you will not be far wrong.
With a case study, even more than a questionnaire or survey, it is important to be passive in your research. You are much more of an observer than an experimenter and you must remember that, even in a multi-subject case, each case must be treated individually and then cross case conclusions can be drawn.
HOW TO ANALYZE THE RESULTS
Analyzing results for a case study tends to be more opinion based than statistical methods. The usual idea is to try and collate your data into a manageable from and construct a narrative around it.
Use examples in your narrative whilst keeping things concise and interesting. It is useful to show some numerical data but remember that you are only trying to judge trends and not analyze every last piece of data. Constantly refer back to your bullet points so that you do not lose focus.
It is always a good idea to assume that a person reading your research may not possess a lot of knowledge of the subject so try to write accordingly.
In addition, unlike a scientific study which deals with facts, a case study is based on opinion and is very much designed to provoke reasoned debate. There really is no right or wrong answer in a case study.
by Martyn Shuttleworth (2008).
Read more: http://www.experiment-resources.com/case-study-research-design.html#ixzz0nsOgjuMm
Writing Guide: Case Studies
This guide examines case studies, a form of qualitative descriptive research that is used to look at individuals, a small group of participants, or a group as a whole. Researchers collect data about participants using participant and direct observations, interviews, protocols, tests, examinations of records, and collections of writing samples. Starting with a definition of the case study, the guide moves to a brief history of this research method. Using several well documented case studies, the guide then looks at applications and methods including data collection and analysis. A discussion of ways to handle validity, reliability, and generalizability follows, with special attention to case studies as they are applied to composition studies. Finally, this guide examines the strengths and weaknesses of case studies.
• Introduction to Case Studies
• Types and Design
• Conducting Case Studies
• Commentary on Case Studies
• Key Terms
• Annotated Bibliography on Case Studies
• Related Web Links
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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Introduction to Case Study
by
Winston Tellis+
The Qualitative Report, Volume 3, Number 2, July, 1997
(http://www.nova.edu/ssss/QR/QR3-2/tellis1.html)
________________________________________
Abstract
This paper is the first of a series of three articles relating to a case study conducted at Fairfield University to assess aspects of the rapid introduction of Information Technology at the institution. This article deals with the nature of the problem faced by Fairfield University, the characteristics of the case methodology, and lays the foundation for the selection of this research technique for the current study. The paper begins with an Introduction section to familiarize the reader with the case organization. The following section on Case Methodology explores the history, and some of the applications of the technique. The section ends with specific research protocols for researchers.
Introduction
Fairfield University is a private liberal arts institution of about 3,000 full time undergraduate students and about 1,000 graduate school students. The undergraduate students are distributed through the College of Arts and Sciences, the School of Business, and the School of Nursing. The graduate students are in the Graduate School of Education, the School of Business, and the School of Nursing. There are also part time students in the School of Continuing Education and the BEI School of Engineering. As with many other private institutions of higher education, Fairfield University faces many challenges.
These challenges come from the declining population of college age students and the growing cost of running the institution. The literature will support the preceding statement (Crossland, 1980), but provide little comfort to the institution. One of the areas of greatest concern to college managers is the continuing cost of information technology. With the constant need to increase staff salaries, it is like salaries, inadvisable to reduce the outlay on information technology. Interviews that were conducted by this researcher with the deans and managers indicated that some of the peer institutions of Fairfield University are in fact doing as much if not more in this area. Hence any interruption in the effort to maintain technological currency would result in a competitive disadvantage for the institution. Therein lies the administrative financial challenge. The expense on information technology must be maintained at a time of declining revenues (Nicklin, 1992).
The field of information technology at a university is very broad and could encompass many technologies hitherto not considered within its purview. However, there has been a relentless and indeed accelerating pace of convergence of the technologies in telecommunications, library services, and video services. The current study is concerned only with the aspects of information technology as it relates to academic computing and will focus on instructional and research computing.
The goals of this study include an examination of the (a) managerial and (b) economic aspects of the rapid acquisition of information technology. The objectives deriving from those goals are:
1. An assessment of the categories of computer use in higher education.
2. An evaluation of the managerial issues of computing, including the centralization/decentralization of computing, client/server computing and the aspects of the Internet and the World Wide Web (WWW)
3. Establish a basis for understanding the current and future economic aspects of information technology acquisition.
The research questions arising from the above objectives were as follows:
Objective 1 above is addressed by the question: "What patterns of acquisition emerge from the current computing environment and the perceived needs for computing?"
Objective 2 is addressed by the question: "What characteristics of the categories of computing use contribute to the patterns of acquisition?" The five categories developed by King and Kraemer (1985) and adapted for use by Levy (1988) in his study at the University of Arizona, are used in this study, to examine the computing use at Fairfield University.
Objective 3 is addressed by the question: "What managerial issues arise from the rapid acquisition of information technology and how important have those technologies become to the organization?"
Objective 4 is addressed by the question: "How will the institution balance the need for technological changes with the need to continue the accomplishment of routine tasks?."
Samuel Levy (1988) conducted a study of instructional and research computing at the University of Arizona. This study replicates and extends the Levy (1988) study, and was conducted at Fairfield University. The current study extends the Levy (1988) study in its examination of aspects of the Internet, the World Wide Web, and Client/Server computing. Levy (1988) established the use of the case study as appropriate for the research project, and this researcher also used the literature to confirm the use of case methodology in the study at Fairfield University.
The history and development of case methodology is reviewed, in support of the current case study at Fairfield University. There have been periods of intense use followed by periods of disuse of this technique, as documented by Hamel, Dufour, and Fortin (1993) as well as others. The relevance of that history to this study is important in that it establishes the known advantages and disadvantages of the methodology. The particular technique of a single-case study is reviewed, since that is the specific implementation of a case study at Fairfield University and was also used by Levy (1988).
Case Study Methodology
The history of case study research is marked by periods of intense use and periods of disuse. The earliest use of this form of research can be traced to Europe, predominantly to France. The methodology in the United States was most closely associated with The University of Chicago Department of Sociology. From the early 1900's until 1935, The Chicago School was preeminent in the field and the source of a great deal of the literature.
There was a wealth of material in Chicago, since it was a period of immigration to the United States and various aspects of immigration of different national groups to the city were studied and reported on (Hamel et al., 1993). Issues of poverty, unemployment, and other conditions deriving from immigration were ideally suited to the case study methodology. Zonabend (1992) stated that case study is done by giving special attention to completeness in observation, reconstruction, and analysis of the cases under study. Case study is done in a way that incorporates the views of the "actors" in the case under study.
The field of sociology is associated most strongly with case study research, and during the period leading up to 1935, several problems were raised by researchers in other fields. This coincided with a movement within sociology, to make it more scientific. This meant providing some quantitative measurements to the research design and analysis. Since The Chicago School was most identified with this methodology, there were serious attacks on their primacy. This resulted in the denigration of case study as a methodology. In 1935, there was a public dispute between Columbia University professors, who were championing the scientific method, and The Chicago School and its supporters. The outcome was a victory for Columbia University and the consequent decline in the use of case study as a research methodology.
Hamel (Hamel et al., 1993) was careful to reject the criticisms of case study as poorly founded, made in the midst of methodological conflict. He asserted that the drawbacks of case study were not being attacked, rather the immaturity of sociology as a discipline was being displayed. As the use of quantitative methods advanced, the decline of the case study hastened. However, in the 1960s, researchers were becoming concerned about the limitations of quantitative methods. Hence there was a renewed interest in case study. Strauss and Glaser (1967) developed the concept of "grounded theory." This along with some well regarded studies accelerated the renewed use of the methodology.
A frequent criticism of case study methodology is that its dependence on a single case renders it incapable of providing a generalizing conclusion. Yin (1993) presented Giddens' view that considered case methodology "microscopic" because it "lacked a sufficient number" of cases. Hamel (Hamel et al., 1993) and Yin (1984, 1989a, 1989b, 1993, 1994) forcefully argued that the relative size of the sample whether 2, 10, or 100 cases are used, does not transform a multiple case into a macroscopic study. The goal of the study should establish the parameters, and then should be applied to all research. In this way, even a single case could be considered acceptable, provided it met the established objective.
The literature provides some insight into the acceptance of an experimental prototype to perceive the singularity of the object of study. This ensures the transformation from the local to the global for explanation. Hamel (Hamel et al., 1993) characterized such singularity as a concentration of the global in the local. Yin (1989a) stated that general applicability results from the set of methodological qualities of the case, and the rigor with which the case is constructed. He detailed the procedures that would satisfy the required methodological rigor. Case study can be seen to satisfy the three tenets of the qualitative method: describing, understanding, and explaining.
The literature contains numerous examples of applications of the case study methodology. The earliest and most natural examples are to be found in the fields of Law and Medicine, where "cases" make up the large body of the student work. However, there are some areas that have used case study techniques extensively, particularly in government and in evaluative situations. The government studies were carried out to determine whether particular programs were efficient or if the goals of a particular program were being met. The evaluative applications were carried out to assess the effectiveness of educational initiatives. In both types of investigations, merely quantitative techniques tended to obscure some of the important information that the researchers needed to uncover.
The body of literature in case study research is "primitive and limited" (Yin, 1994), in comparison to that of experimental or quasi-experimental research. The requirements and inflexibility of the latter forms of research make case studies the only viable alternative in some instances. It is a fact that case studies do not need to have a minimum number of cases, or to randomly "select" cases. The researcher is called upon to work with the situation that presents itself in each case.
Case studies can be single or multiple-case designs, where a multiple design must follow a replication rather than sampling logic. When no other cases are available for replication, the researcher is limited to single-case designs. Yin (1994) pointed out that generalization of results, from either single or multiple designs, is made to theory and not to populations. Multiple cases strengthen the results by replicating the pattern-matching, thus increasing confidence in the robustness of the theory. Applications of case study methodology have been carried out in High-Risk Youth Programs (Yin, 1993) by several researchers.
The effects of community-based prevention programs have been widely investigated using case methodology. Where the high risk youth studies assumed a single case evaluation, these studies have typically used a collection of cases as a multiple-case study. This has been true in the various substance abuse prevention programs that are community-based (Holder, 1987; Sabol, 1990; Yin, 1993). Numerous such studies sponsored by the U. S. General Accounting Office are distributed in the literature between Evans (1976) and Gopelrud (1990). These studies have gone beyond the quantitative statistical results and explained the conditions through the perspective of the "actors." Thus case study evaluations can cover both process and outcomes, because they can include both quantitative and qualitative data.
There are several examples of the use of case methodology in the literature. Yin (1993) listed several examples along with the appropriate research design in each case. There were suggestions for a general approach to designing case studies, and also recommendations for exploratory, explanatory, and descriptive case studies. Each of those three approaches can be either single or multiple-case studies, where multiple-case studies are replicatory, not sampled cases. There were also specific examples in education, and management information systems. Education has embraced the case method for instructional use. Some of the applications are reviewed in this paper.
In exploratory case studies, fieldwork, and data collection may be undertaken prior to definition of the research questions and hypotheses. This type of study has been considered as a prelude to some social research. However, the framework of the study must be created ahead of time. Pilot projects are very useful in determining the final protocols that will be used. Survey questions may be dropped or added based on the outcome of the pilot study. Selecting cases is a difficult process, but the literature provides guidance in this area (Yin, 1989a). Stake (1995) recommended that the selection offers the opportunity to maximize what can be learned, knowing that time is limited. Hence the cases that are selected should be easy and willing subjects. A good instrumental case does not have to defend its typicality.
Explanatory cases are suitable for doing causal studies. In very complex and multivariate cases, the analysis can make use of pattern-matching techniques. Yin and Moore (1988) conducted a study to examine the reason why some research findings get into practical use. They used a funded research project as the unit of analysis, where the topic was constant but the project varied. The utilization outcomes were explained by three rival theories: a knowledge-driven theory, a problem-solving theory, and a social-interaction theory.
Knowledge-driven theory means that ideas and discoveries from basic research eventually become commercial products. Problem-solving theory follows the same path, but originates not with a researcher, but with an external source identifying a problem. The social-interaction theory claims that researchers and users belong to overlapping professional networks and are in frequent communication.
Descriptive cases require that the investigator begin with a descriptive theory, or face the possibility that problems will occur during the project. Pyecha (1988) used this methodology to study special education, using a pattern-matching procedure. Several states were studied and the data about each state's activities were compared to another, with idealized theoretic patterns. Thus what is implied in this type of study is the formation of hypotheses of cause-effect relationships. Hence the descriptive theory must cover the depth and scope of the case under study. The selection of cases and the unit of analysis is developed in the same manner as the other types of case studies.
Case studies have been increasingly used in education. While law and medical schools have been using the technique for an extended period, the technique is being applied in a variety of instructional situations. Schools of business have been most aggressive in the implementation of case based learning, or "active learning" (Boisjoly & DeMichiell, 1994). Harvard University has been a leader in this area, and cases developed by the faculty have been published for use by other institutions. The School of Business at Fairfield University has revised the curriculum so that in place of the individual longitudinal courses in the areas of Management, Marketing, Operations, Finance, and Information Systems, students take one course. That course is designed around cases that encompass those disciplines, but are presented in an integrated manner. The students are therefore made aware of the interrelatedness of the various disciplines and begin to think in terms of wider problems and solutions. Later courses add the international dimension to the overall picture.
Case studies have been used to develop critical thinking (Alvarez, et al., 1990). There are also interactive language courses (Carney, 1995), courses designed to broaden the students' horizons (Brearley, 1990), and even for technical courses (Greenwald, 1991), and philosophical ones (Garvin, 1991).
This investigation is a case study of the aspects of Information Technology that are related to client/server computing, the Internet, and the World Wide Web, at Fairfield University. Thus this paper examines issues that will expand the reader's knowledge of case study methodology as it relates to the design and execution of such a study.
Yin (1994) recommended the use of case-study protocol as part of a carefully designed research project that would include the following sections:
• Overview of the project (project objectives and case study issues)
• Field procedures (credentials and access to sites)
• Questions (specific questions that the investigator must keep in mind during data collection)
• Guide for the report (outline, format for the narrative) (Yin, 1994, p. 64)
The quintessential characteristic of case studies is that they strive towards a holistic understanding of cultural systems of action (Feagin, Orum, & Sjoberg, 1990). Cultural systems of action refer to sets of interrelated activities engaged in by the actors in a social situation. The case studies must always have boundaries (Stake, 1995). Case study research is not sampling research, which is a fact asserted by all the major researchers in the field, including Yin, Stake, Feagin and others. However, selecting cases must be done so as to maximize what can be learned, in the period of time available for the study.
The unit of analysis is a critical factor in the case study. It is typically a system of action rather than an individual or group of individuals. Case studies tend to be selective, focusing on one or two issues that are fundamental to understanding the system being examined.
Case studies are multi-perspectival analyses. This means that the researcher considers not just the voice and perspective of the actors, but also of the relevant groups of actors and the interaction between them. This one aspect is a salient point in the characteristic that case studies possess. They give a voice to the powerless and voiceless. When sociological studies present many studies of the homeless and powerless, they do so from the viewpoint of the "elite" (Feagin, Orum, & Sjoberg, 1991).
Case study is known as a triangulated research strategy. Snow and Anderson (cited in Feagin, Orum, & Sjoberg, 1991) asserted that triangulation can occur with data, investigators, theories, and even methodologies. Stake (1995) stated that the protocols that are used to ensure accuracy and alternative explanations are called triangulation. The need for triangulation arises from the ethical need to confirm the validity of the processes. In case studies, this could be done by using multiple sources of data (Yin, 1984). The problem in case studies is to establish meaning rather than location.
Designing Case Studies
Yin (1994) identified five components of research design that are important for case studies:
• A study's questions
• Its propositions, if any
• Its unit(s) of analysis
• The logic linking the data to the propositions
• The criteria for interpreting the findings (Yin, 1994, p. 20).
The study's questions are most likely to be "how" and "why" questions, and their definition is the first task of the researcher. The study's propositions sometimes derive from the "how" and "why" questions, and are helpful in focusing the study's goals. Not all studies need to have propositions. An exploratory study, rather than having propositions, would have a stated purpose or criteria on which the success will be judged. The unit of analysis defines what the case is. This could be groups, organizations or countries, but it is the primary unit of analysis. Linking the data to propositions and the criteria for interpreting the findings are the least developed aspects in case studies (Yin, 1994).
Campbell (1975) described "pattern-matching" as a useful technique for linking data to the propositions. Campbell (1975) asserted that pattern-matching is a situation where several pieces of information from the same case may be related to some theoretical proposition. His study showed, through pattern-matching, that the observed drop in the level of traffic fatalities in Connecticut was not related to the lowering of the speed limit. His study also illustrated some of the difficulties in establishing the criteria for interpreting the findings.
Construct validity is especially problematic in case study research. It has been a source of criticism because of potential investigator subjectivity. Yin (1994) proposed three remedies to counteract this: using multiple sources of evidence, establishing a chain of evidence, and having a draft case study report reviewed by key informants. Internal validity is a concern only in causal (explanatory) cases. This is usually a problem of "inferences" in case studies, and can be dealt with using pattern-matching, which has been described above. External validity deals with knowing whether the results are generalizable beyond the immediate case. Some of the criticism against case studies in this area relate to single-case studies. However, that criticism is directed at the statistical and not the analytical generalization that is the basis of case studies. Reliability is achieved in many ways in a case study. One of the most important methods is the development of the case study protocol.
Case studies can be either single or multiple-case designs. Single cases are used to confirm or challenge a theory, or to represent a unique or extreme case (Yin, 1994). Single-case studies are also ideal for revelatory cases where an observer may have access to a phenomenon that was previously inaccessible. Single-case designs require careful investigation to avoid misrepresentation and to maximize the investigator's access to the evidence. These studies can be holistic or embedded, the latter occurring when the same case study involves more than one unit of analysis. Multiple-case studies follow a replication logic. This is not to be confused with sampling logic where a selection is made out of a population, for inclusion in the study. This type of sample selection is improper in a case study. Each individual case study consists of a "whole" study, in which facts are gathered from various sources and conclusions drawn on those facts.
Yin (1994) asserted that a case study investigator must be able to operate as a senior investigator during the course of data collection. There should be a period of training which begins with the examination of the definition of the problem and the development of the case study design. If there is only a single investigator, this might not be necessary. The training would cover aspects that the investigator needs to know, such as: the reason for the study, the type of evidence being sought, and what variations might be expected. This could take the form of discussion rather than formal lectures.
A case study protocol contains more than the survey instrument, it should also contain procedures and general rules that should be followed in using the instrument. It is to be created prior to the data collection phase. It is essential in a multiple-case study, and desirable in a single-case study. Yin (1994) presented the protocol as a major component in asserting the reliability of the case study research. A typical protocol should have the following sections:
• An overview of the case study project (objectives, issues, topics being investigated)
• Field procedures (credentials and access to sites, sources of information)
• Case study questions (specific questions that the investigator must keep in mind during data collection)
• A guide for case study report (outline, format for the narrative) (Yin, 1994, p. 64).
The overview should communicate to the reader the general topic of inquiry and the purpose of the case study. The field procedures mostly involve data collection issues and must be properly designed. The investigator does not control the data collection environment (Yin, 1994) as in other research strategies; hence the procedures become all the more important. During interviews, which by nature are open ended, the subject's schedule must dictate the activity (Stake, 1995). Gaining access to the subject organization, having sufficient resources while in the field, clearly scheduling data collection activities, and providing for unanticipated events, must all be planned for.
Case study questions are posed to the investigator, and must serve to remind that person of the data to be collected and its possible sources. The guide for the case study report is often neglected, but case studies do not have the uniform outline, as do other research reports. It is essential to plan this report as the case develops, to avoid problems at the end.
Stake (1995), and Yin (1994) identified at least six sources of evidence in case studies. The following is not an ordered list, but reflects the research of both Yin (1994) and Stake (1995):
• Documents
• Archival records
• Interviews
• Direct observation
• Participant-observation
• Physical artifacts
Documents could be letters, memoranda, agendas, administrative documents, newspaper articles, or any document that is germane to the investigation. In the interest of triangulation of evidence, the documents serve to corroborate the evidence from other sources. Documents are also useful for making inferences about events. Documents can lead to false leads, in the hands of inexperienced researchers, which has been a criticism of case study research. Documents are communications between parties in the study, the researcher being a vicarious observer; keeping this in mind will help the investigator avoid being misled by such documents.
Archival documents can be service records, organizational records, lists of names, survey data, and other such records. The investigator has to be careful in evaluating the accuracy of the records before using them. Even if the records are quantitative, they might still not be accurate.
Interviews are one of the most important sources of case study information. There are several forms of interviews that are possible: Open-ended, Focused, and Structured or survey. In an open-ended interview, key respondents are asked to comment about certain events. They may propose solutions or provide insight into events. They may also corroborate evidence obtained from other sources. The researcher must avoid becoming dependent on a single informant, and seek the same data from other sources to verify its authenticity.
The focused interview is used in a situation where the respondent is interviewed for a short period of time, usually answering set questions. This technique is often used to confirm data collected from another source.
The structured interview is similar to a survey, and is used to gather data in cases such as neighborhood studies. The questions are detailed and developed in advance, much as they are in a survey.
Direct observation occurs when a field visit is conducted during the case study. It could be as simple as casual data collection activities, or formal protocols to measure and record behaviors. This technique is useful for providing additional information about the topic being studied. The reliability is enhanced when more than one observer is involved in the task. Glesne and Peshkin (1992) recommended that researchers should be as unobtrusive as the wallpaper.
Participant-observation makes the researcher into an active participant in the events being studied. This often occurs in studies of neighborhoods or groups. The technique provides some unusual opportunities for collecting data, but could face some major problems as well. The researcher could well alter the course of events as part of the group, which may not be helpful to the study.
Physical artifacts can be tools, instruments, or some other physical evidence that may be collected during the study as part of a field visit. The perspective of the researcher can be broadened as a result of the discovery.
It is important to keep in mind that not all sources are relevant for all case studies (Yin, 1994). The investigator should be capable of dealing with all of them, should it be necessary, but each case will present different opportunities for data collection.
There are some conditions that arise when a case researcher must start data collection before the study questions have been defined and finalized (Yin, 1994). This is likely to be successful only with an experienced investigator. Another important point to review is the benefit of using rival hypotheses and theories as a means of adding quality control to the case study. This improves the perception of the fairness and serious thinking of the researcher.
Analyzing Case Study Evidence
This aspect of the case study methodology is the least developed and hence the most difficult. As a result, some researchers have suggested that if the study were made conducive to statistical analysis, the process would be easier and more acceptable. This quantitative approach would be appealing to some of the critics of the case study methodology. However not all case studies lend themselves to this type of analysis. Miles and Huberman (1984) suggested analytic techniques such as rearranging the arrays, placing the evidence in a matrix of categories, creating flowcharts or data displays, tabulating the frequency of different events, using means, variances and cross tabulations to examine the relationships between variables, and other such techniques to facilitate analysis.
There must first be an analytic strategy, that will lead to conclusions. Yin (1994) presented two strategies for general use: One is to rely on theoretical propositions of the study, and then to analyze the evidence based on those propositions. The other technique is to develop a case description, which would be a framework for organizing the case study. Lynd conducted a widely cited "Middletown" study in 1929, and used a formal chapter construct to guide the development of the analysis. In other situations, the original objective of the case study may help to identify some causal links that could be analyzed.
Pattern-matching is another major mode of analysis. This type of logic compares an empirical pattern with a predicted one. Internal validity is enhanced when the patterns coincide. If the case study is an explanatory one, the patterns may be related to the dependent or independent variables. If it is a descriptive study, the predicted pattern must be defined prior to data collection. Yin (1994) recommended using rival explanations as pattern-matching when there are independent variables involved. This requires the development of rival theoretical propositions, but the overall concern remains the degree to which a pattern matches the predicted one.
Yin (1994) encouraged researchers to make every effort to produce an analysis of the highest quality. In order to accomplish this, he presented four principles that should attract the researcher's attention:
• Show that the analysis relied on all the relevant evidence
• Include all major rival interpretations in the analysis
• Address the most significant aspect of the case study
• Use the researcher's prior, expert knowledge to further the analysis
Stake (1995) recommended categorical aggregation as another means of analysis and also suggested developing protocols for this phase of the case study to enhance the quality of the research. He also presented ideas on pattern-matching along the lines that Yin (1994) presented. Runkel (1990) used aggregated measures to obtain relative frequencies in a multiple-case study. Stake (1995) favored coding the data and identifying the issues more clearly at the analysis stage. Eisner and Peshkin (1990) placed a high priority on direct interpretation of events, and lower on interpretation of measurement data, which is another viable alternative to be considered.
There have been some valuable sources of information and guidance for case study methodologies. Hamel (Hamel et al., 1993), Stake (1995), and Yin (1984, 1989a, 1994) in particular have provided specific guidelines for the development of the design and execution of a case study. This researcher examines the proposed methodology for the development of survey instruments. This aspect is an important element of the data gathering function in the study.
Case study is a valuable method of research, with distinctive characteristics that make it ideal for many types of investigations. It can also be used in combination with other methods. Its use and reliability should make it a more widely used methodology, once its features are better understood by potential researchers.
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________________________________________
Author Note
+Winston Tellis, Ph.D. is Director of Undergraduate Programs in Fairfield University's School of Business and formerly he was Director of Technical Services also in the School of Business at Fairfield. He received his B.Com. at the University of Bombay, India; his M.A. from Fairfield University; and his Ph.D. from Nova Southeastern University. He can be contacted at Fairfield University School of Business, Fairfield, CT 06430. His email address is winston@fair1.fairfield.edu.
Article Citation
Tellis, W. (1997, July). Introduction to case study [68 paragraphs]. The Qualitative Report [On-line serial], 3(2). Available: http://www.nova.edu/ssss/QR/QR3-2/tellis1.html
Winston Tellis
1997 copyright
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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