Case+Study


 * Case Study **

It is important to note, the case study has many different meanings in different settings anddisciplines (Glesne, 2006, p. 13). As Glesne suggests, “In qualitative inquiry,it sometimes appears to be used to refer to almost anything” (p. 13). However,the common theme within this methodology is that the case is a bounded system(whether the case is of an individual, group of individuals, or program)(Merriam, 2002, p. 178). The “common denominator” of a bounded system is a unitor single entity which has a finite quality (p. 178). This suggests that “acase study is a good approach when the researcher has clearly identifiablecases with boundaries and seeks to provide an in-depth understanding of thecases or a comparison of several cases” (Creswell, 2007, p. 74).
 * Definitionand Boundaries**

When assessing the appropriateness of case methodology as a research design within astudy, Merriam (1998) discusses how appropriateness depends on the informationthe researcher is interested in knowing (p. 32). Much to the same extent,Strake (2000) suggests, “case study is not a methodological choice but a choiceof what is to be studied” (p. 435). Case study aids the researcher in asking“how” and “why” questions. Rossman and Rallis (2003) also speak to the use ofcase study research in program exploration when they state, “programevaluations are often conducted as case studies to produce rich illustrationsof what is happening in the program, to provide plausible explanations, and toextrapolate lessons learned” (p. p. 104).

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.

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).
 * 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).

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

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.


 * Step 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.

**References** Creswell, J.W. (2007). //Qualitative inquiry and research design: Choosing among five approaches// (2nded.). Thousand Oaks, CA: Sage Publications.

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.

Glesne, C.(2006). //Becoming qualitative researchers: An introduction//. NYC: **PearsonEducation**[|?].

Merriam, S.B.(2002). //Qualitative research in practice: Examples for discussion andanalysis//. San Francisco, CA: Jossey-Bass.

Merriam, S.B. (1998). //Qualitative research and case studyapplications in education// (2nd ed.). San Francisco, CA: Jossey Bass

//Qualitative Research: Case Study Guidelines.// "(n.d.)." Retrieved December 1, 2011, from []

Rossman, G., & Rallis, S.F. (2003). //Learning in the field: An introduction to qualitative research.// Thousand Oaks, CA: Sage Publications.

Stake, R.E. (2000).Case studies. In N.K. Denzin, & Y.S. Lincoln (Ed.), //Handbook of qualitative research// (2nd ed.). (pp. 435-454). Thousand Oaks, CA: Sage.

//The Case Study as a Research Method.// "(n.d.)." Retrieved December 1, 2011, from [|http://www.gslis.utexas.edu/~ssoy/usesusers/l391d1b.htm]

Five Approaches to Qualitative Research