RECOMMENDED READING MATERIAL

Case Study
Originally prepared by Professor Denis Hayes.
Now led by Mike Murphy.
D Hayes, Faculty of Education, University of Plymouth, 2006

CONTENTS

A.

INTRODUCTION

Part One:

Glossary of terms

Part Two:

B.

What is Case Study?

Case Study Close-Up

THE VALUE OF CASE STUDY

Part One:

Its Usefulness

Part Two:

Its Limitations

Part Three:

C.

A Summary

DESIGNING A CASE STUDY

Part One:

Part Two:

Part Three:

Part Four:

Outline Plans
Observing People at Work
Observer Effect
Examples

D.

SCENARIOS

E.

ANALYSIS

Part One:

The Place of Theory

Part Two:

Interpretation in Context

F.

TASKS

G.

ESSENTIAL READING

A.

INTRODUCTION

Welcome to the module component on Case Study. I hope that you

find the information contained in the following pages useful.
Lets begin by asking a fundamental question: What is meant by a
case?

You may have heard the term being used by detectives trying
to solve a crime or by psychologists when referring to a client,
but what is your perception of a case study?
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Part I: WHAT IS CASE STUDY?

KEY REFERENCES: Golby (1993); Yin (2003)
The term CASE STUDY is used in a variety of ways:
1. As an alternative to postivistic, experiental methods (see the
component on Beginning Research for more on this).

2. As an intensive investigation of single situations which serve to

identify and describe basic phenomena.
3. Focusing on individuals' perceptions of given educational
phenomena, carried out largely by means of interviews.
4. As a study which is almost entirely qualitative in methodology
and presentation.
5. As a type of ethnographic research (see below) incorporating
participant observation, qualitative observation and field study.
KEY TERM: Ethnographic
Ethnographic studies are those that take place within a definable
cultural setting, such as a school or office or place of employment; in
fact, anywhere in which groups of people are found to be sharing the
same environment. The researcher is known as the ethnographer'.
Such an approach usually involves participant observation and can
take place over shorter time periods compared with what might be
regarded as more traditional ethnographic research (which originated
in studies involving long periods 'living with' participants, often in
anthropological studies). Indeed, the term micro-ethnography has
been used to describe some of these shorter periods of ethnography
(see for example, Ball, 1987).
There is general agreement that case studies are
characterised by the following...
a. Data are qualitative rather than quantitative. This does
not mean that numbers are unimportant but that they are
relatively insignificant.

b. Data are not manipulated (the truth is told plainly). This

raises the issue of what truth means.
c. Studies tend to focus on single cases (rather than
multiple ones).The text by Thomas (2011) provides some
very useful information which explores different types of
case studies.
d. Ambiguity in observation and report is tolerated (rather
than absolute outcomes). This means that there may not
be clinical, clearly defined solutions.
e. Multiple perspectives are solicited. This means that the
opinions and perceptions of many people may be sought.
f. Holism (the sum of the parts is greater than the whole) is
advocated. This means that the greater the range of data,
the better.
g. A search for understanding (for example, by reference to
context or history) rather than mere explanation.
h. Non-technical language is used (however, meanings have
to be defined; this is not an excuse for casual use of
language).
KEY REFERENCE: Kenny&Groteleuschen (1984)

A case study is often used in one of two ways:

1. To identify key research questions that can later be used in a
questionnaire survey.
2. To follow up significant issues that have emerged from a
questionnaire survey.
So in situation 1, the case study opens up a number of issues that
lead to research questions that are answered through questionnaires.
CASE STUDY RESEARCH QUESTIONS QUESTIONNAIRE
In situation 2, the reverse is true. Significant issues revealed through
an analysis of a questionnaire survey assist the development of the
case study.
QUESTIONNAIRE SIGNIFICANT ISSUES CASE STUDY
Case studies do not have to be linked to a questionnaire survey. A
single case may provide useful insights that provide useful knowledge
or stimulate further investigations.
However, case studies provide an excellent opportunity for
triangulation; that is, using a number of research methods to
complement and confirm findings. For instance, using observation,
interviews and questionnaire.
CONSIDER

If you carried out a case study, where would it be located?

What practical issues would the location raise for you in terms
of logistics (such as reaching it) or familiarity (such as where
you work)?

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GLOSSARY OF TERMS

Descriptions of case studies abound with terms. To make matters

worse, different authors use the terms differently! It pays, however,
to have some grasp of the vocabulary that is commonly encountered.
The following explanations are intended to help you find your way
around the terminology minefield...
Empirical

derived from experiment or experience, and not merely from

theory

Qualitative

data are based largely upon an interpretation of events and

situations (sometimes referred to as interpretative research,
though in fact all research findings require interpretation)

data and analysis are concomitant (i.e. they go hand-in-hand,

rather than accumulating data as stage 1 and analysis as stage
2)

Quantitative

data offer a statistical basis for analysis

data and analysis are distinct operations

Ethnography

the study of an intact cultural scene

a means of understanding and interpreting a social situation

takes account of a large number of relevant factors

NB Case studies are frequently ethnographic in character

Positivist research

associated with a scientific method or approach

Hypothesis

an educated and informed guess or postulation

Theory

an explanation of behaviour or physical events

the better the theory, the more it explains

Ontology

the study of being; a theory of existence

Epistemology

the study of knowing

Phenomenology

meaning is always subjective; events cannot be objectively

classified or measured

NOTE: The term data is plural. This means that the associated
verb should also be plural. Thus: the data are rather than
the data is. Dont let it worry you unduly, however!
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Part II: CASE STUDY CLOSE-UP

Until quite recently, case study (indeed, all qualitative research) was
viewed as inferior to the more experimental 'scientific' (positivist)
approach..
It is now accepted by the majority of researchers that case study
fulfils a particular and important role.

(1) Case study is sometimes (wrongly) viewed as a soft option

in research...

no hard numbers to manipulate

no scientific experiments to set up and monitor

people-centred and used in interesting settings

(2) In practice, case study is complex and involve a variety of

different research instruments or measures such as careful
observation of interactive situations, interviews, questionnaires...

it needs a cool head to negotiate the early stages of uncertainty

(case studies do not allow for a 'quick fix' approach)

it demands consistency in collecting data in the knowledge that

it won't all be used (some data have to be left to 'rot around
the roots' of the research and 'fertilise' the principal data)

considerable perseverance, especially when what you are

finding seems like common sense (the trouble with 'common
sense' is that it isn't very common!)

the ability to draw together different forms of data and make

sense of them

great flexibility of thought as ideas buzz around and priorities

alter over time... an early hypothesis, drawn up with reference
to the literature, is often superseded by a redefined version

which eventually turns into a 'final (though incomplete)

product'.
(3) Case studies may be carried out in a variety of situations...

a single classroom, waiting room, clinic, office...

a single school, college department, university faculty

using an identifiable group of people such as children of similar

age or ability, groups of people in school or college (such as
assistants, parents who help in classrooms...)

And using many different strategies to discover what is going on in

the situation and how those happenings can be monitored, described,
evaluated and placed within some sort of understandable theoretical
framework.
Understandable is a key word for, like action research, case studies
are intended to provide findings that are of value to practitioners.
(4) Case studies are, by their very nature, QUALITATIVE and
ETHNOGRAPHIC...

QUALITATIVE because there is not normally a clearly defined

hypothesis underpinning the research which can be tested by
analysing sets of figures... but rather through dealing with
interpretation of events, opinions, perceptions... and so forth.

ETHNOGRAPHIC because they deal with real people in real

settings doing real things. That is, the context and interrelationships between people are likely to be very significant in

the search for a helpful explanation of the realities being

investigated.
(5) Case studies can never be entirely qualitative and
ethnographic

numbers can be significant (e.g. a certain number of teachers

supported the proposition)

BUT NOTE... the case study asks "which teachers?" and "who were
they?" and "what was their understanding of the issues?"
... were there hidden agendas?
... was there collusion?
... are there discernible patterns in the voting or stances adopted?
... what are the personal values driving individuals to behave and
act that way?

documentation can be significant (e.g. what are the statutory

requirements influencing the behaviour of individuals?)

... perhaps there is a 'fear factor' at work (such as the need for
higher results)
... or personal ambition (such as gaining 'advanced' status)
... or inexperience (such as being in the induction year)

THE CASE STUDY METHOD looks beyond the surface features of

numbers, circulars, policy documents and management plans,
to ask...
... what motivates these people?
... why are children behaving in this way?
... how do inter-relationships and the effect of hierarchy impact
upon the choices made and decisions taken?
... and so on.

(6) The case study method needs to take close account of the
researcher

your own position in respect of the situation you are examining

is relevant:

... what are your motives?

... why have you selected that particular situation?
... if it is your own institution or one with which you are very familiar,
how does your relationship with colleagues influence your reactions?
... where should you draw the line when it comes to confidentiality...
especially if you are in a position of seniority?

how should you behave with colleagues when you are operating
outside your role as researcher (especially if, when you are not
researching, you are 'one of the team')?

... what informal comments should be taken into account as evidence

... do you rely on your 'gut reaction' (rather than verifiable evidence)
due to your familiarity with the situation?
... if so, to what extent is 'instinct' permissible as evidence?
(7) There is a relationship between case study and action
research

this relates closely to the issue of generalisation... that is, the

extent to which findings from one piece of research can be
useful in interpreting situations elsewhere...

... case studies are about particular events or situations but they are
not wholly unique as there are other, similar events and situations
operating under similar constraints elsewhere.
... a single piece of action research is rarely for the purpose of
generalising other than when it is taken together with a large number
of other pieces of action research of a similar kind.

whereasaction research is normally about an event or situation

which has been established by the researcher for the purpose of
enhancing an existing situation, a case study is most often
investigating someone else's situation. Note though, that this

does not stop you as a research exploring your own situation in

relation to another; a comparative case study. Or, you might
use an evaluative or exploratory case study (see, for example,
Thomas, 2011).

CONSIDER

How much is case study like detective work?

Which situations are not suitable for case study?

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B.

THE VALUE OF CASE STUDY

Part I: ITS USEFULNESS

A variety of claims are made for the usefulness of case studies...
1. Case studies communicate directly with the implementers and
initiators of education.
2. They relate clearly to daily experience and have a 'human face'.
3. They enable well informed reflection to focus on single issues,
events and circumstances. ('Freezing the frame')
4. They allow for entering the experience of others but with the
privilege of then standing back and evaluating.
5. They allow for affirmation of beliefs, modification of some and
rejection of others.

6. They concentrate attention on the way that particular groups of

people confront situations and problems.
7. They offer the opportunity for the researcher to broker diverse
viewpoints.
8. They are often problem-centred, small scale, entrepreneurial
enterprises.
9. They allow immediate accumulation of data on the basis of
ideas formulated earlier but with the opportunity to
reconceptualise the situation as data emerges ('grounded
theory').
10. They are valid in connecting with their reader's own
experiences and representing those experiences through
reference to specific cases. ('The ring of truth')
Case studies help to confirm for others that they are not alone
in their struggles and that others share their experiences,
struggles, conflicts and dilemmas.
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Part II: ITS LIMITATIONS

(1) Case study research is an intervention, and sometimes an
uncontrolled intervention, into the lives of others.

For example, to interview someone, to observe someone

teaching, to talk to teachers about the head or with pupils
about teaching... can each undermine institutional structures.

Thus, the kinds of questions asked during interviews can itself

be a tool for change as it sets the respondent thinking in ways
which s/he may never have done otherwise.

A case study can trigger concealed tensions between different

members as deeply hidden resentments, concerns and priorities
are drawn out.

(2) Case study research provides a biased view and a

distorted picture of the way things really are.

For example, the way in which tapes are transcribed and

analysed can only give a limited perspective on the truth. As
the researcher, you bear the main responsibility for analysis and
presentation of findings.

If different groups of respondents say different things, we have

to ask whose opinion should carry the greatest influence? For
instance, heavy emphasis on what head teachers or college
principals say has to be balanced against what other, less
influential persons might say.

A final report/study is usually a compromise between what the

researcher wants to say and what the school or college is
prepared to allow.

Detailed observations of classrooms, playgrounds, staff rooms

are often only a consequence of other, more powerful forces
such as the influence of the DfEE, TTA, unions, local councils,
etc. which are themselves rarely case studied.

(3) Case study research is essentially conservative.

It may only gives a pale reflection of the many realities.

Whichever reality is acclaimed, it is always out of date by the

time it is published

Case study therefore tells a truth not the truth...they are

always partial accounts, constructions of reality or
representations.

Ref: Walker (1986)

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Part III: CASE STUDY: A SUMMARY

The following provides summary notes about case study method. DO
NOT TRY TO ABSORB THEM ALL AT ONCE...rather, use them as a
memory aid.
General

Case studies are:

empirical (not merely theoretical)

about contemporary real life events (not historical, though

historical events may be re-examined)

based on explanations of events and circumstances

They involve

an empirical enquiry

investigation into a contemporary phenomenon within its reallife context

spanning the boundaries between the phenomenon and the

context (situation)

uses multiple sources of evidence (rather than a single one).

So...

case study is not the name of a method...many methods can be

incorporated

methods should be dictated by the need to understand

case study is appropriate where it is not yet clear what are the
right questions to be asked...though preliminary work (using a

questionnaire, for instance) may be pointing the way to some

important issues
Selecting a case for study...

it has to be a case of something!

so it is important to have a reasonably precise idea what sort of

case is being investigated

you must believe something at the beginning that can be tested

(case research is not a question of being gormless but of being
open-minded!)

this belief is likely to be grounded in previous work on the

subject

Why case study...

to improve practice

to forge close links between the academic and the practical

to offer practitioners suggestions about appropriate ways to act

to inform practitioners about a single case as a way of

understanding others (that is, generalization)

The attraction of case study...

it resembles detective work

or investigative journalism

the methods used to investigate the case will relate closely to

the nature of the case

The problems with case study...

it has been seen by some as atheoretical or imprecise

it requires close commitment by the researcher

progress is often uncertain

generalizations are difficult to argue

There are a number of key questions:

What case are you investigating?

What would count as evidence one way or the other for your
answer?

What alternative descriptions of what presents itself to you are

possible?

Consequently

Research the alternatives by getting points of view of others

Be open-minded but purposeful

Consider your own prejudices and assumptions

CONSIDER

Is your field of interest amenable to a case study? (It

might be, for instance, that a large scale questionnaire
survey would be adequate or use of a measuring
'instrument' that can be statistically analysed)

Do you have sufficient time and determination to carry

out a case study?

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C.

DESIGNING A CASE STUDY

Once you have decided that a case study is suitable for your field of
interest, you need to become more specific about what, where and
how you will carry it out.
Theme of the study

select something which has a sense of urgency and immediate

relevance

be realistic about the time and logistical constraints upon

yourself

examine time frames and possible consequences of delays or

departures

select topics which will be of interest to others

anticipate the ethical dilemmas which may emerge as a result

of the case study (establishing a good 'ethics protocol' is
essential so that you and the participants are clear about the
boundaries)

CONSIDER

What ethical dilemmas would need to be considered if

you investigated your own institution or school?

Location

selecting a single site such as a school is normal

multiple sites such as homes, schools, LEA offices can be used

but add to the complexity of your work

CONSIDER

How much travelling time might be involved if you

investigated a setting outside your own institution or
school?

Evidence
As you contemplate the study, remember that data must be
translated into evidence:

selection of data needs to be continuous (you cannot use every

piece of information and must make rapid judgements about
priorities)

interrogation of data must take place continuously (data

analysis has to run alongside data accumulation)

data cannot be used as evidence until it has been interrogated

and interpreted as being significant (this is a complex but
important dimension of your work)

judgement is required about what to include and exclude from

data (for example, the amount of information about the
context, the disposition of the people involved, the general
climate of co-operation existing, etc.)

your field notebook must be a constant companion and contain

both data and initial analysis drawn from it (it is useful to put
data on one page and your analysis on the opposite page)

Your role
As the researcher you have a vital role to play, especially if you are a
participant rather than a non-participant:

you have to remain 'close to the action'

you need to have good access to data but avoid becoming overfamiliar with participants if it compromises the ethical basis of
your research

your research also includes a recognition and acknowledgement

of the part you have played in influencing affairs, your own predisposition, prejudices and preferences

your own perceptions, emotions and sensitivities also need to

be documented for the reader to evaluate (this means that the
use of the first person singular "I" is not only permissible but
desirable)

SEE THE EXAMPLE: The Influence of Ethnographic Case Study

Research On Decision-Making In A Primary School At A Time
of Rapid Change
CONSIDER

How difficult would you find it to be a non participant if

you investigate your own institution?

Validity of the research

Whatever case you choose to investigate, there are principles to be
adhered to:

though it contains a great deal of 'self', the case study needs to

move towards greater objectivity in documenting conclusions

you need to be aware of observer bias, how atypical events

might be represented as being typical, the likelihood of false
inferences (assumptions about cause-and-effect) and shaky
generalisations (based on minimal or context-specific evidence)

There are two types of validity to keep firmly in mind...

Construct validity: the measures or criteria used to construct the
research should be multiple and informants should verify that they
have been properly represented. Verification normally takes the form
of giving respondents a 'right of reply' in which they confirm that
what you thought they meant, they did mean!
External validity: or generalisability. The case study should be
intelligible and the ideas should relate to existing knowledge so that
other people, in different situations, can appropriate the ideas to
themselves and interpret them in the light of their present
understanding.
CONSIDER

What sort of bias might you be bringing to an

investigation of your own institution or school?

Reliability of the research

The research must be consistent, both in terms of procedures and
findings...

the case you study must be authentic and recognised as such

by the reader

the case study should allow other researchers to use similar

approaches in their own situation and come to similar
conclusions

documentation, different forms of evidence and source material

should be scrupulously compiled

clarity of presentation is essential to allow others to utilise the

information effectively (plain English should be used, with
minimal jargon)

Methodology

you can work from a participant or non-participant perspective

(though being completely non-participant is difficult in practice)

consider whether observation, interviews and questionnaires

will be used as methods of data collection

consider the extent to which you will use documents,

photographs, video or artefacts as part of your evidence (video
requires considerable organisation)

recognise that although all evidence is useful, some is more so

than others

accept the fact that practicalities will sometimes dictate

preference of method (for example, some interviewees will not
want to be taped; photographs take time to develop; it may not
be possible to take away sources of documentation)

remember that methodology is not a 'free for all' but a selection

from a range of possibilities (it all depends on what you are
trying to find out)

evidence must be selected with reference to the principles of

validity and reliability (see above)

Triangulation
Triangulation normally relies on using different methods to produce
different types of evidence... for instance, a questionnaire to elicit key
aspects of the case followed by observations followed by interviews of
subjects. However it can be approached in two other ways:

by using three viewpoints of the same event (say, teacher,

pupil, researcher)

by asking two other people (apart from yourself) to give their

impressions of the same event(s)

Ethics
Your ethics protocol must be agreed in advance of the main study.
Take note of the following guidelines:

honesty and openness are essential to retain the trust of

respondents (with due attention to confidentiality)

case studies within the researcher's own establishment may

present temptations for self-advancement or crusades (for
example, a respondent might use you as a 'vehicle' for carrying
an opinion into the view of, say, a senior manager or influential
figure in the organisation)

as publication of results might expose individuals or institutions

it is vital to build in safeguards such as pseudonyms, anonymity
and 'a right of reply' from key subjects of the study (see
earlier)

Writing up

the truth must be told as you see it; of course, other people
may interpret things differently and give their own versions of
'the truth' (phenomenology), so your version must be attended
by closely argued evidence

good quality descriptions are the hallmark of case studies

(description is not a dirty word!)

analysis can be located within the descriptions rather than

separate from them

in the formal discussion of issues that follows the descriptions,

a more neutral, formal prose style may be needed

some case studies (such as the diary of a head teacher at work

over a period of time) rely heavily on a continuous
commentary, drawn together in establishing principles, drawing
conclusions and making recommendations

Hazards
As you contemplate your study, be aware that...

immersion in the uniqueness of a case so that you lose sight of

wider factors (such as the prevailing political situation, the
impact of new legislation, etc.)

too much data, with too little explanation and analysis,

confuses the issues rather than clarifying them

data and claims of emerging evidence can become detached

from the study's original intentions, so that the research
meanders from issue to issue

too little attention can be paid to the representative nature of

the study (generalisability, see earlier)

weak links with literature may deprive a study of its academic

status and is usually indicative of a narrow-minded approach

too little emphasis upon the impact of the researcher robs the
work of authenticity and weakens the interpretative paradigm

a failure to focus more closely on the detail over the period of

the study exposes the research to the danger of superficiality

Strong studies contain...

a significant focus

a sense of completeness together with some interesting

speculation and unanswered questions (you can't discover it
all!)

an acknowledgement of alternative explanations and positions

(such that in your write-up you make strong claims for things
you feel certain about and acknowledge areas of uncertainty)

close scrutiny and discussion of the ideas presented

evidence that is marshalled systematically for ease of reading

and understanding

ethical principles that are shown to be relevant and important

to the case study

successful integration of the many forms of data

a convincing feel, taking the reader forward in depth of

understanding of the issues concerned
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Part I: OUTLINE PLANS

Before commencing a case study, it is useful to sketch out your ideas
first. The following structure provides a framework for planning...
BROAD AREA OF INTEREST e.g. small-scale study: implementation of
curriculum plan; group interaction; staff meetings; playground
behaviour; marketing the school...

PREVIOUS SIGNIFICANT WORK IN THIS AREA... e.g. key authors;

significant position paper; government edict; documentation;
previous case -study...

WHY FURTHER INVESTIGATION IS NEEDED... e.g. your own

institutional needs, personal aspirations, element of current
development plan...

REASONS FOR A CASE STUDY RATHER THAN A DIFFERENT TYPE OF

STUDY... e.g. interest in a particular circumstance or situation; need
to look at whole context; focus on individuals' perceptions...

CONTEXT e.g. nursery unit; senior management meetings; staff

room; surgery; parents' room; playground...

ETHICAL CONSIDERATIONS e.g. relationships; confidentiality;

promotion prospects...

POSSIBLE METHODS FOR DATA COLLECTION e.g. interviews; close

observations; video...

TIME SCALE FOR THE STUDY e.g. preliminaries, 3 months; data

collection, six months; evaluation, 12 months

LOGISTICAL FACTORS e.g. travelling time...

YOUR OWN POSITION AS RESEARCHER e.g. membership of same

team; junior partner; subordinate; leader; participant/nonparticipant......

ANTICIPATED WORK SCHEDULE... e.g. two half-days per week on

data collection, two evenings and most Saturday mornings on
analysis and writing-up findings.
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Part II: OBSERVING PEOPLE AT WORK

Case study draws on a range of methods, notably the need to carry
our careful observations of people at work
Your relationship with the people you observe is significant. It is
important to clarify the boundaries and ensure that there is
agreement about the purpose of the observation and what will
happen to the findings.
Sensitivity is vital, especially when observing adults engaged in their
professional tasks.
The following check list should be used prior to commencement

1. Ensure that you have all the necessary permission (including

staff members).
2. Decide whether you are a participant or non-participant
observer.
3. If a participant, think about practicalities of recording data. For
instance, it may not be possible to record events in detail if you
are occupied in a task; you may have to settle for writing things
up as soon as possible after the event.
4. If a non-participant, determine how you will go about distancing
yourself from the action. For instance, children may ask you (as
an adult in the room) to help them with their work; a head
teacher may ask your advice about a decision).
5. Be specific about what you want to observe. You cannot
observe everything!
6. Do not try to observe too much at once. Even if there are a
number of things on your observation schedule, it is best to
concentrate on one thing at a time.
7. Consider using an observation schedule... but get some practice
beforehand.

8. Be realistic about recording... there is a limit to the amount that

you can write down.
9. If videoing, allow time for the subjects to get used to having a
camera around.
10. Remember that analysis of events takes much longer than
observing them.
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Part III: OBSERVER EFFECT

In addition to observation, interviews form an essential part of case
study research. The following example is a summary of my own
experience in interviewing and serves as a reminder of how on-going
contact with respondents can compromise your ability to remain noninfluential...
Case study of decision making in a primary school at a time of
rapid change: some implications for conducting interviews
BACKGROUND
I conducted a series of interviews with serving teachers about their
view of the school policy and procedures for staff involvement in
decision making at a primary school in the south-west of England.
Twenty one semi-structured staff interviews using two interview
schedules and different unstructured agenda were conducted with
teachers, of which 4 were with the deputy head, 3 with the second
teacher-governor and 2 each with two of the senior management
team. The head teacher was interviewed formally and informally on
20 occasions for times varying from fifteen minutes to two hours.
A total of 14 governors meetings (full and sub-committee) were
attended and 5 foundation governors were interviewed (in addition to
the two teacher-governors). NOTE. Interviews lasted between half-

an-hour and one hour, depending on the time they were held and the
enthusiasm of the participants.
THE IMPACT OF THE INTERVIEWS
Although the interviews confirmed that I was not interfering
appreciably with any of the normal processes operating within the
school. I was viewed largely by staff as impartial and unimposing.
Over a period of time, however, I became aware that the large
number of interviews and casual conversations I was having with staff
were affecting their perceptions of the issues in which I was
interested. For some teachers, these were previously unthought of
issues; for others they confirmed or affected and refined their
thinking. I noticed that some teachers began to raise more publicly
the kinds of issues that we had discussed at interview. In this
respect, I was unintentionally focusing staff attention on particular
issues. The term non-participative was not synonymous with noninfluential, as my presence in the school did affect teachers
perceptions and awareness about the decision-making process and,
by inference, decision outcomes.

For a fuller account see: The Influence of Ethnographic Case

Study Research On Decision-Making In A Primary School At A
Time of Rapid Change
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Part IV: EXAMPLES

Example A
We have seen that a case study does not just 'happen'. There is a lot
of work prior to, and during, the period of the study.
The first case study related to an enquiry about school based decision
making at a time of rapid change(see also above). The study was
carried out by the author of this component (Denis Hayes) in a
medium sized primary school, with part-time attendance at staff
meetings over a period of about two years and interviews with the
teachers and head teacher. At the heart of the study was a desire to

discover how decisions were made during a time of rapid change and
the need to conform to external Government requirements.
Note the range of issues that were considered when organising this
case study.
There is also a discussion of other aspects of this case study in: The
Influence of Ethnographic Case Study Research On DecisionMaking In A Primary School At A Time of Rapid Change

Example B
There have been many case studies carried out over the years but
Lacey's research was amongst the first to gain significant status and
national recognition. HIGHTOWN GRAMMAR Colin Lacey (1970)
is a detailed study of a boys' grammar school in a north-western
industrial town called Hightown (pseudonym).
CONSIDER the following sub-headings and begin to compile
your own list of priorities relating to your own situation:

access

mutual benefit

familiarisation

data collection

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D.

SCENARIOS

There are six case study scenarios for you to consider. Each
has its distinctive nature but all the researchers were
attempting to conform to the principles described earlier

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E.

ANALYSIS

Part I: THE PLACE OF THEORY IN CASE

STUDY RESEARCH

Theory has a bad name among some practitioners. They

believe that it confuses issues rather than assists in resolving
them and prefer to rely on their own intuition and experience.

Theory, however, is a means of explaining things. There are

good theories and poor ones. Every one of us has a theory (or
several theories) about the work we do, although we may not
be conscious of the fact. All of our actions, whether seemingly
spontaneous or carefully weighed, are the result of our beliefs,
priorities and values. Sometimes we are not in a position to
implement our theories, but they exist all the same!

Read the following carefully and consider the way in which theory
evolves through case study...
Basic principles
1. Theory may enter practice indirectly through the judgement of
the teacher (who may hardly be aware that it is happening)
2. Theories may be lenses the teacher can use to observe
concrete phenomena. (looking down a telescope at a situation)

3. Theories may be conceptual structures that are imposed on an

incident. (this theory will help you understand what is going on)
Theory and case studies
Theories normally derive from Case Studies rather than control
them .
So your theory should be able to...
a. explain or describe educational phenomena (it happens this way
because...)
b. provide a hypothesis for redressing a situation (the situation
can be improved if we only...)
c. help provide insights into the moral or ethical issues involved in
a particular circumstance (we can explain the influence of
factors such as...)
d. provide assistance in evaluating an educational outcome or
assessing results (progress may be measured with respect to
these parameters...)
Theoretical understanding allows us to go beyond the trial and error
of empirical thinking (see McAninch, 1993)
So for case study we need...

knowledge of specific, well documented and richly described

events

theory that is a case of something '

See Shulman (1986), page 11

Therefore the case study needs to...

develop theoretical understanding (by researching the intact

cultural scene)

integrate subjective and objective measures (by taking a

multiple perspective)

explain what is happening (by collating evidence and presenting

it candidly)

See McAninch (1993)

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Part II: INTERPRETATION IN CONTEXT

All research findings require interpretation. Case study data can be
analysed at three levels:

descriptive level

analytical level

deliberative level

The best studies contain elements of all three.

(1) DESCRIPTIVE ELEMENT

A straightforward description of events, solutions and outcomes.

(Emphasis upon precision and detail.)
VALUE: They help to build up a view of common or acceptable or
apparently successful practice, however non-theoretical.
LIMITATIONS: They fail to acknowledge the particularities of the
single situation and the variables which need to be taken into account
(though isolating the effects of interwoven variables is difficult).
DATA ACCUMULATION: based on close non-participant observations.

(2) ANALYTICAL ELEMENT

Where interpretations and meanings are drawn from the study, stated
and presented in depth so that the reader who seeks understanding
can see the context, know something of the history of (say) the
innovation, how it emerged and why.
Analytical case studies consider one experience in the light of others
and is concerned with process over a period of time as well as
outcomes.
LIKELY METHODS OF DATA ACCUMULATION may include:

Questionnaires or structured
interviews

Observations of events

Informal conversations with

participants, past and present

Inspection of relevant
documentation

(3) DELIBERATIVE ELEMENT

The deliberative approach focuses attention on:
a. how things are brought about rather than what they are;
b. different experiences and value positions of participants;
c. successive phases in the process, including the negotiation of
difficulties and chartering of unknown territories.
That is, the deliberative process consists of a synthesis of the
problems, proposals, arguments and clarification which are
experienced by the participants in reaching a final outcome.

CONSIDER, from the above information:

the extent to which your analysis conforms to the

criteria for the three categories.

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F.

TASKS

NB Only for those University of Plymouth students

undertaking the Research in Education module as part of the
preparation for the submission of a MA dissertation proposal
Tasks, once completed, should be sent to resined@plymouth.ac.uk,
making clear:

which component it is from;

which task it is (B or C);

the name of your dissertation supervisor.

It will then be passed on to the component leader (and copied to your

supervisor). The component leader will get back to you with
comments and advice which we hope will be educative and which will
help you in preparing your dissertation proposal once you are ready.
(Remember that these tasks are formative and that it is the proposal
which forms the summative assessment for the MERS501 (resined)
module.) This email address is checked daily so please use it for all
correspondence about RESINED other than that directed to particular
individuals for specific reasons.
TASK B (DATA COLLECTION)

Develop a case study design, perhaps for your own research

project, in terms of the structure set out in C. DESIGNING A
CASE STUDY, Part I: Outline Plans.

TASK C (DATA ANALYSIS)

Interviews form an essential part of the case study approach.

The extract given is taken from an interview with a headteacher
from a small school as part of a case study about small primary
schools (pupil numbers fewer than 100) in which the role of the
head teacher forms a significant part.

Read the extract carefully.

CONSTRUCT A SIMPLE REPRESENTATION (graph, series of

pictures, web, etc) WHICH GIVES YOU INSIGHTS INTO THIS
HEAD TEACHER'S PROFILE.

Pay particular attention to one or more of the following issues:

a. his promotions (biographical dimension)
b. his satisfaction with the job (personal dimension)
c. his motivation.(career dimension)

Note that the head had been in his job for one year and a term.

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G.

ESSENTIAL READING

Thomas, G. (2011) How to do your case study: A Guide for Students

and Researchers. London: Sage.

H.

FURTHER READING

Ball, S. J. (1987) The Micro-Politics of the School: Towards a Theory

of School Organisation. London: Methuen.
Bassey, M. (1999) Case Study Research in Educational Settings,
Maidenhead: Open University Press.
Gillham, B. (2000) Case Study Research Methods, London:
Continuum.
Golby, M. (1993) Case Study as Educational Research, Tiverton: Fair
Way Publications.
Kenny, WR &Groteleuschen, A. (1984) 'Making the case for case
study' in Journal of Curriculum Studies, Vol. 16, No. 1, pp. 37-51.
McAninch, A.M. (1993)Teacher Thinking and the Case Method, New
York: Teachers College Press.
Scholz, R. W. and Tietje, O. (2002) Embedded Case Study Methods,
London: Sage.
Simons, H. (1996) 'The paradox of case study', Cambridge Journal of
Education, Vol. 26, No. 2, pp. 225-40.
Stake, R.E. (1995) The Art of Case Study Research, London: Sage.

Tripp, D. (1985) 'Case study generalization: an agenda for action', in

British Educational Research Journal, Vol. 11, No. 2, pp. 33-43.
Walker, R. (1986) 'Three good reasons for not doing case studies in
curriculum research', in House, R. (ed. 1986) New Directions in
Educational Evaluation, Falmer Press.
Yin, R. K. (2003) Case Study Research: Design and Methods, 3rd
edition, London: Sage Publications.

PUBLISHED CASE STUDIES

Ball, S. (1981) Beachside Comprehensive: A Case Study of
Secondary Schooling, Cambridge University Press.
Lacey, C. (1970) Hightown Grammar: The School As A Social System,
Manchester University Press.