Volume 18, No. 1, Art.

19
January 2017

Case Study Research: Foundations and Methodological Orientations

Helena Harrison, Melanie Birks, Richard Franklin & Jane Mills

Key words: case Abstract: Over the last forty years, case study research has undergone substantial methodological
study; method; development. This evolution has resulted in a pragmatic, flexible research approach, capable of
methodology; providing comprehensive in-depth understanding of a diverse range of issues across a number of
nursing research; disciplines. Change and progress have stemmed from parallel influences of historical
qualitative; transformations in approaches to research and individual researcher's preferences, perspectives,
research design; and interpretations of this design. Researchers who have contributed to the development of case
research study research come from diverse disciplines with different philosophical perspectives, resulting in
a variety of definitions and approaches. For the researcher new to using case study, such variety
can create a confusing platform for its application. In this article, we explore the evolution of case
study research, discuss methodological variations, and summarize key elements with the aim of
providing guidance on the available options for researchers wanting to use case study in their work.

Table of Contents

1. Introduction
2. History and Evolution
3. Foundational Concepts
3.1 Definitions and descriptions
3.2 Methodology or method
3.3 Philosophical orientation
3.4 Philosophical variation
3.4.1 YIN: Realist—postpositivist
3.4.2 MERRIAM: Pragmatic constructivist
3.4.3 STAKE: Relativist—constructivist/interpretivist
4. Common Characteristics of Case Study Research
5. Conclusion
References
Authors
Citation

1. Introduction

Case study research has grown in reputation as an effective methodology to

investigate and understand complex issues in real world settings. Case study
designs have been used across a number of disciplines, particularly the social
sciences, education, business, law, and health, to address a wide range of
research questions. Consequently, over the last 40 years, through the application
of a variety of methodological approaches, case study research has undergone
substantial development. Change and progress have stemmed from parallel
influences from historical approaches to research and individual researcher's
preferences, perspectives on, and interpretations of case study research. Central

This work is licensed under a Creative Commons Attribution 4.0 International License.
Forum Qualitative Sozialforschung / Forum: Qualitative Social Research (ISSN 1438-5627)
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Case Study Research: Foundations and Methodological Orientations

to these variations is the underpinning ontological and epistemological

orientations of those involved in the evolution of case study research.
Researchers who have contributed to the development of case study research
come from diverse disciplines and their philosophical underpinnings have created
variety and diversity in approaches used. Consequently, various designs have
been proposed for preparing, planning, and conducting case study research with
advice on key considerations for achieving success. As a result, while case study
research has evolved to be a pragmatic, flexible research approach, the variation
in definition, application, validity, and purposefulness can create a confusing
platform for its use. [1]

In this article, we examine each of these issues in turn, with the aim of improving
our understanding of case study research and clarifying the requisite tenets to
consider when designing a case study. We begin with an overview of the history
and evolution of case study research, followed by a discussion of the
methodological and philosophical variations found within case study designs. We
end with a summary of the common characteristics of case study research and a
table that brings together the fundamental elements that we found common in all
case study approaches to research. [2]

2. History and Evolution

Case study research as a strategy for methodological exploration, according to

FLYVBJERG (2011) "has been around as long as recorded history" (p.302).
Contemporary case study research is said to have its origins in qualitative
approaches to research in the disciplines of anthropology, history, psychology,
and sociology (MERRIAM, 1998; SIMONS, 2009; STEWART, 2014). Historical
examples of case study stem as far back as the early nineteenth century with the
biography of Charles DARWIN (STEWART, 2014). Most attribute the origins of
case study research to studies undertaken in anthropology and social sciences in
the early twentieth century when lengthy, detailed ethnographic studies of
individuals and cultures were conducted using this design (JOHANSSON, 2003,
MERRIAM, 2009; SIMONS, 2009; STEWART, 2014). Sociologists and
anthropologists investigated people's lives, experiences, and how they
understood the social and cultural context of their world, with the aim of gaining
insight into how individuals interpreted and attributed meaning to their
experiences and constructed their worlds (JOHANSSON, 2003; SIMONS, 2009).
Such investigations were conducted in the natural setting of those experiences
with results presented descriptively or as a narrative (MERRIAM, 2009). The most
notable case studies include THOMAS and ZNANIECKI's (1958 [1918-1920])
study of Polish peasants in Europe and America and, the ethnographic work by
MALINOWSKI (1913) in the Trobriand Islands in Melanesia that spanned over
several years (CRESWELL, HANSON, PLANO CLARK & MORALES, 2007;
JOHANSSON, 2003; STEWART, 2014). [3]

With the emergence and dominance of positivism in science in the late 1940s
and 1950s, quantitative methods became a popular focus for the social sciences.
As a result, surveys, experiments, and statistical methods anchored in

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quantitative approaches were favored and considered more rigorous than

qualitative designs (JOHANSSON, 2003). The dominance of research using
experimental designs continued through the 1960s and 1970s with quantitative
empirical results considered to be gold standard evidence. Case studies
continued to be used during this time, however usually as a method within
quantitative studies or referred to as descriptive research to study a specific
phenomenon (MERRIAM, 2009). At the same time, case study research was
often criticized for its inability to support generalizability and thus considered to
provide limited validity and value as a research design (JOHANSSON, 2003;
MERRIAM, 2009; STEWART, 2014). This context led to a philosophical division
in research approaches: those supporting positivism and quantitative approaches
and those aligned with qualitative methods embedded in constructivist and
interpretivist paradigms. [4]

Antecedents of modern day case study research are most often cited as being
conducted in the Chicago School of Sociology between the 1920-1950s
(STEWART, 2014). Here, anthropologists practiced their methods on university
cultures or by conducting lengthy case studies involving field-based observations
of groups with the aim of understanding their social and cultural lives
(CRESWELL et al., 2007; JOHANSSON, 2003; STEWART, 2014). Parallel to the
use of case studies in anthropology, medicine and disciplines in the social
sciences such as sociology, education and political science also embraced case
study as a form of inquiry (ANTHONY & JACK, 2009; BROWN, 2008;
CRESWELL et al., 2007; GEORGE & BENNETT, 2005; GERRING, 2004;
SIMONS, 2009; YIN, 2014). [5]

A second generation of case study researchers emerged with the advent of

grounded theory methodology (GLASER & STRAUSS, 1967). Grounded theory
"merged qualitative field study methods from the Chicago School of Sociology
with quantitative methods of data analysis" (JOHANSSON, 2003, p.8), resulting in
an inductive methodology that used detailed systematic procedures to analyze
data. This renewed interest in qualitative methodology led to a revival in the use
of case study in a number of disciplines (ANTHONY & JACK, 2009; GEORGE &
BENNETT, 2005; JOHANSSON, 2003; MERRIAM, 2009; STAKE, 1995).
According to JOHANSSON (2003), Robert YIN followed this progress, and
drawing on scientific approaches to research gained from his background in the
social sciences, applied experimental logic to naturalistic inquiry, and blended this
with qualitative methods, further bridging the methodological gap and
strengthening the methodological quality of case study research. He presented a
structured process for undertaking case study research where formal
propositions or theories guide the research process and are tested as part of the
outcome, highlighting his realist approach to qualitative case study research.
While still qualitative and inductive, it was deterministic in nature with an
emphasis on cause and effect, testing theories, and an apprehension of the truth
(BROWN, 2008; YIN, 2014). [6]

Similarly, the uptake of case study research in the political sciences, particularly
during the 1980's and 1990’s, led to a more integrated methodological approach

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with the aim of theoretical development and testing (GEORGE & BENNETT,
2005). The integration of formal, statistical, and narrative methods in a single
study, combined with the use of empirical methods for case selection and causal
inference, demonstrated the versatility of case study design and made a
significant contribution to its methodological evolution (ibid.). Similarly, case
studies in international relations integrated rigorous, standardized methods with
statistical and formal methods, including qualitative comparative analysis and
process tracing to improve understanding of world politics (BENNETT & ELMAN,
2007; GERRING, 2004; LEVY, 2007). According to GEORGE and BENNETT
(2005) "scholars have formalized case study methods more completely and
linked them to underlying arguments in the philosophy of science" (p.6). The
continued use of case study to understand the complexities of institutions,
practices, processes, and relations in politics, has demonstrated the utility of case
study for researching complex issues, and testing causal mechanisms that can
be applied across varied disciplines. [7]

Corresponding with these developments, in the 1970's, educational research

embraced case study as a way to evaluate curriculum design and innovation
(MERRIAM, 2009; SIMONS, 2009; STAKE, 1995). Methods were required that
could be used to explore factors such as participants' perspectives and the
influence of socio-political contexts on curriculum successes and failures
(SIMONS, 2009). Development of case study research in education, focused on
the need to determine the impact of educational programs and provide relevant
evidence for policy and practice decisions that supported social and educational
change in the United Kingdom and the United States (ibid.). The most significant
contributors to this field were STAKE (1995, 2006) and MERRIAM (1998, 2009).
STAKE (1995), an educational psychologist with an interest in developing
program evaluation methods, used a constructivist orientation to case study. This
resulted in placing more emphasis on inductive exploration, discovery, and
holistic analysis that was presented in thick descriptions of the case. Similarly,
MERRIAM (1998, 2009) used case study research to explore and evaluate
educational programs. MERRIAM's approach emphasized defining and
understanding the case through the products of inquiry and drew on the work of
both YIN and STAKE. MERRIAM (2009) described case study research by its
characteristics: particularistic, descriptive and heuristic, highlighting the purpose
and qualitative nature of case study research, the focus on a specific entity and,
the motivation to understand and describe the findings. Similar to STAKE (1995,
2006), MERRIAM (1998, 2009) was not as structured in her approach as YIN
(2014), but promoted the use of a theoretical framework or research questions to
guide the case study and organized, systematic data collection to manage the
process of inquiry. [8]

Simple in theory yet complex in nature, the planning, preparation and execution of
case study research has developed to a point where the continued application of
case study research across a number of professions particularly education,
health, and social sciences, has provided a unique platform for credible research
endeavors. Case study research has grown in sophistication and is viewed as a
valid form of inquiry to explore a broad scope of complex issues, particularly

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when human behavior and social interactions are central to understanding topics
of interest (ANTHONY & JACK, 2009; FLYVBJERG, 2011; GEORGE &
BENNETT, 2005; LUCK, JACKSON & USHER, 2006; MERRIAM, 2009; STAKE,
2006; YIN, 2014). [9]

In Figure 1, developed by JOHANSSON (2003) and adapted for this discussion, a

summary of the evolution of case study across a timeline dating back to 1600 is
displayed. Key contributors to case study research and major contextual
influences on its evolution are included. As the figure highlights, early case
studies were conducted in the social sciences. With the dominance of logical
positivism from the 1940's through to the 1960's and 1970's case study
methodology was viewed with skepticism and criticism. The development of
grounded theory in the 1960's led to a resurgence in case study research, with its
application in the social sciences, education, and the humanities. Over the last 50
years, case study has been re-established as a credible, valid research design
that facilitates the exploration of complex issues.

Figure 1: The history and evolution of case study research (JOHANSSON, 2003, p.7) [10]

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3. Foundational Concepts

While over time the contributions of researchers from varied disciplines have
helped to develop and strengthen case study research, the variety of disciplinary
backgrounds has also added complexity, particularly around how case study
research is defined, described, and applied in practice. In the sections that follow,
the nature of this complexity in explored. [11]

3.1 Definitions and descriptions

There are a number of definitions and descriptions presented across the

literature, which can create confusion when attempting to understand case study
research. The most common definitions come from the work of YIN (2014),
STAKE (1995), and MERRIAM (2009). YIN's two-part definition (2014) focuses
on the scope, process, and methodological characteristics of case study
research, emphasizing the nature of inquiry as being empirical, and the
importance of context to the case. On the other hand, STAKE (1995) takes a
more flexible stance and while concerned with rigor in the processes, maintains a
focus on what is studied (the case) rather than how it is studied (the method). For
STAKE case study research is "the study of the particularity and complexity of a
single case, coming to understand its activity within important circumstances"
(p.xi). MERRIAM (2009) includes what is studied and the products of the research
when defining case study as: "... an in depth description and analysis of a
bounded system" (p.40). Like STAKE, MERRIAM emphasizes the defining
feature of case study research as being the object of the study (the bounded
system; i.e., the case) adding that case study research focuses on a particular
thing and that the product of an investigation should be descriptive and heuristic
in nature. In discussing the proliferation of definitions (and subsequent
confusion), FLYVBJERG (2011) contends that using a simple definition might be
a more useful approach, citing the MERRIAM-WEBSTER DICTIONARY's (2009)
definition, as an example that captures the key requisites in the context of
research: "an intensive analysis of an individual unit (as a person or community)
stressing developmental factors in relation to environment" (p.103). These varied
definitions stem from the researchers' differing approaches to developing case
study methodology and often reflect the elements they emphasize as central to
their designs. The diversity of approaches subsequently adds diversity to
definition and description. [12]

3.2 Methodology or method

A further challenge to understanding case study research relates to it being

referred to and used as both a methodology and a method. MILLS (2014)
distinguishes methods as procedures and techniques employed in the study,
while methodology is the lens through which the researcher views and makes
decisions about the study. Given the variation in definitions and descriptions,
referring to case study research as a methodology and/or a single method can be
perplexing, misleading, and at times counterproductive (ANTHONY & JACK,
2009; BOBLIN, IRELAND, KIRKPATRICK & ROBERTSON, 2013; FLYVBJERG,

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2011). Furthermore, advocates of case study encourage the use of both

quantitative and qualitative methods within their designs adding further obscurity
to the question of methodology (MERRIAM, 1998; STAKE, 1995; STEWART,
2014; YIN, 2014). [13]

The ambiguity about case study being either or both a methodology and method,
is compounded by the terminology used in discussions about case study. Across
the literature, case study is referred to as a methodology and a method, an
approach, research and research design, research strategy, and/or a form of
inquiry (ANTHONY & JACK, 2009; BROWN, 2008; CRESWELL, 2014;
GERRING, 2004; MERRIAM, 2009; SIMONS, 2009, STAKE, 1995, 2006;
STEWART, 2014; YIN, 2014). Often these terms are used interchangeably
without definitional clarity. For example, YIN (2014) discusses case study
research and in the context of presenting case study, refers to it as a research
method while emphasizing the procedures used. He does not use the terms
methodology or strategy. CRESWELL (2014) refers to case studies as a
qualitative design, while others use the term case study (FLYVBJERG, 2011;
STAKE, 1995, 2006; STEWART, 2014), qualitative case study (MERRIAM,
2009), or describe case study as an approach (SIMONS, 2009). This mixed use
of terminology is confusing given the definitional separations between
methodology and methods and the varied application of case study in research
endeavors. [14]

Prominent case study researchers do however emphasize that an overarching

methodology shapes a case study design and that multiple sources of data and
methods can be used (MERRIAM, 2009; STAKE, 2006; YIN, 2014), thus
providing the distinction between the two. This distinction accentuates the need
for researchers to describe the particular underpinning methodology adopted and
to clarify the alignment of chosen methods used with their philosophical
assumptions and their chosen approach. Exploring the philosophical orientation
of case study research and variations in different case study approaches can help
to clarify these differences, and promote a better understanding of how to apply
these principles in practice. [15]

3.3 Philosophical orientation

Many methodologies are aligned with specific philosophical positions that guide
the research process. Case study, however, has a practical versatility in its
agnostic approach whereby "it is not assigned to a fixed ontological,
epistemological or methodological position" (ROSENBERG & YATES, 2007,
p.447). Philosophically, case study research can be orientated from a realist or
positivist perspective where the researcher holds the view that there is one single
reality, which is independent of the individual and can be apprehended, studied
and measured, through to a relativist or interpretivist perspective. A relativist or
interpretivist perspective adopts the premises that multiple realities and meanings
exist, which depend on and are co-created by the researcher (LINCOLN,
LYNHAM & GUBA, 2011; YIN, 2014). This philosophical versatility provides the
researcher with the opportunity to decide the methodological orientation used in

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the conduct of the case study (STEWART, 2014; YIN, 2014). Examples of this
choice are discussed later where the philosophical variations of MERRIAM
(2009), STAKE (1995), and YIN (2014) are explicated. [16]

In the context of healthcare research and specifically nursing, LUCK et al. (2006)
describe case study research as "a bridge across paradigms" (p.103). As a result,
some case study approaches are either quantitatively or qualitatively orientated
while others encompass both qualitative and quantitative aims and methods
(MERRIAM, 2009; MILES, HUBERMAN & SALDANA, 2014; YIN, 2014). DENZIN
and LINCOLN (2011) emphasize the qualitative essence of case study, while
acknowledging its evolution and fluidity with regard to accommodating varied
ontologies, epistemologies, methodologies, and methods. This ability to
accommodate a range of philosophical positions is seen as an advantage
whereby case study enables the opportunity to design research that can be
specifically tailored to the inherent complexity of the research problem
(ANTHONY & JACK, 2009; CASEY & HOUGHTON, 2010; FLYVBJERG, 2011;
FARQUHAR, 2012; LUCK et al., 2006; MERRIAM, 2009; STAKE, 2006; YIN,
2014). [17]

Case study research is most often described as qualitative inquiry (CRESWELL,

2014; DENZIN & LINCOLN, 2011; MERRIAM, 2009; MILES et al., 2014; STAKE,
2006). Qualitative paradigms are broad and can encompass exploratory,
explanatory, interpretive, or descriptive aims. Examples include narrative
research, phenomenology, grounded theory, and ethnography (DENZIN &
LINCOLN, 2011). Each methodology is unique in approach depending on the
ontological and epistemological stance, however all stem from the motivation to
explore, seek understanding, and establish the meaning of experiences from the
perspective of those involved (ibid.; see also MERRIAM, 2009). For this purpose,
qualitative researchers can employ a broad scope of methods and interpretative
practices in any one study, although they typically include observations,
interviews, and analysis of participants' words (DENZIN & LINCOLN, 2011;
MERRIAM, 2009). DENZIN and LINCOLN (2011, pp. 8-10) summarize the
characteristics of qualitative research into five key attributes:

1. reducing the use of positivist or post positivist perspectives;

2. accepting postmodern sensibilities;
3. capturing the individual's point of view;
4. examining the constraints of everyday life;
5. securing rich descriptions. [18]

These attributes are commonly exemplified in case study research. The

fundamental goal of case study research is to conduct an in-depth analysis of an
issue, within its context with a view to understand the issue from the perspective
of participants (MERRIAM, 2009; SIMONS, 2009; STAKE, 2006, YIN, 2014). Like
other forms of qualitative research, the researcher will seek to explore,
understand and present the participants' perspectives and get close to them in
their natural setting (CRESWELL, 2013). Interaction between participants and the

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researcher is required to generate data, which is an indication of the researcher's

level of connection to and being immersed in the field. Because of this,
constructivism and interpretivism commonly permeate the implementation of this
research design. Methods used in case study to facilitate achieving the aim of co-
constructing data most often include observations, interviews, focus groups,
document and artifact analysis (MERRIAM, 2009; SIMONS, 2009; STAKE, 1995;
2006; STEWART, 2014; YIN, 2014). The researcher's perceptions and
interpretations become part of the research and as a result, a subjective and
interpretive orientation flows throughout the inquiry (CRESWELL, 2014).
Subjectivity is openly acknowledged and to manage this, the researcher
embraces a reflexive stance within the study, adopting methods such as
memoing and journaling that support this position (DENZIN & LINCOLN, 2011;
MILES et al., 2014, STAKE, 2006; YIN, 2014). [19]

3.4 Philosophical variation

In choosing a methodological position, careful consideration of the different case

study approaches is required to determine the design that best addresses the aim
of the study, and that aligns with the researcher's worldview. The goal of this
alignment is to engender coherence between the researcher's philosophical
position, their research question, design, and methods to be used in the study
(FARQUHAR, 2012; LUCK et al., 2006; STEWART, 2014; YIN, 2014). To assist
in understanding and achieving this alignment, the qualitative case study
approaches developed by YIN (2014), STAKE (1995) and MERRIAM (1998,
2009) are explored in the following sections. Examples are provided of how these
researchers' philosophical orientation influences the application of case study in
practice. [20]

3.4.1 YIN: Realist—postpositivist

YIN (2014) conceptualizes case study research as a form of social science. Post-
positivism is evident in how he defines "case study as a form of empirical inquiry"
(p.16). YIN himself describes his approach to case study as using a "realist
perspective" (p.17) and focuses on maintaining objectivity in the methodological
processes within the design. [21]

Postpositivist qualitative researchers conduct research that embraces the ideals

of objectivity and the generalizability of results (ELLINGSON, 2011). The goal of
a postpositivist researcher is to use science as a way to apprehend the nature of
reality while understanding that all measurement is imperfect. Therefore,
emphasis is placed on using multiple methods with triangulation to circumvent
errors and understand what is happening in reality as close as possible to the
"truth" (LINCOLN et al., 2011). The researcher will often categorize qualitative
data to create quantitative data that can then be analyzed using statistical
methods. Validity of research results are verified through the scrutiny of others
and, as such, adherence to mechanisms that ensure rigor in data collection and
analysis is vital. Furthermore, postpositivists accept that everyone is inherently
biased in worldviews, which ultimately influence how the methods used are

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deployed. Interaction with research subjects therefore needs to be minimized and

subjectivity managed to avoid biasing the results (ibid.). [22]

Embedded within YIN's (2014) case study design are the hallmarks of a
postpositivist approach to research: seeking rival explanations and falsifying
hypotheses, the capability for replication with a multiple case study design, the
pursuit of generalizations (if required), minimizing levels of subjectivity, and the
use of multiple methods of qualitative and quantitative data collection and
analysis. While objectivity is a goal, YIN also recognizes the descriptive and
interpretive elements of case study. According to YIN what makes case study
research distinct from experimental studies is the case study is investigated in
context, examined in its "real world setting" (p.16). Selection of cases is based on
the purpose of the research and related to the theoretical propositions about the
topic of interest. YIN suggests careful screening in the selection of cases to
ensure specific relevance to the issues of interest and the use of replication logic:
cases are chosen to produce anticipated contrasting findings (theoretical
replication) or similar findings (literal replication). Precision, process, and
practicality are core attributes of YIN's approach to case study. Design features
are sequentially structured and motivated by empirical application. This
positioning reflects the axiology of postpositivism where maintaining intellectual
honesty, managing bias, and acknowledging limitations, coupled with meticulous
data collection and accurate reporting are critical elements in the conduct of
research (KILLAM, 2013; YIN, 2014). [23]

3.4.2 MERRIAM: Pragmatic constructivist

MERRIAM (1998) maintains a constructivist approach to case study research,

whereby the researcher assumes that reality is constructed intersubjectively
through meanings and understandings developed socially and experientially. Like
YIN (2014), MERRIAM (1998, 2009) asserts that when information is plentiful and
concepts abstract, it is important to utilize processes that help interpret, sort, and
manage information and that adapt findings to convey clarity and applicability to
the results. In this way, MERRIAM's perspective brings forth a pragmatic
approach to constructivist inquiry. MERRIAM (2009) acknowledges case study
research can use both quantitative and qualitative methods; however, when
working on qualitative case studies, methods aimed at generating inductive
reasoning and interpretation rather than testing hypothesis take priority. Cases
are selected based on the research purpose and question, and for what they
could reveal about the phenomenon or topic of interest. The aim is to provide a
rich holistic description that illuminates one's understanding of the phenomena
(MERRIAM, 1998). Interviews are the most common form of qualitative data
collection, although MERRIAM does not stipulate prioritizing a particular method
for data collection or analysis, she does emphasize the importance of rigorous
procedures to frame the research process. Advocating for careful planning,
development, and execution of case study research, MERRIAM (1998, 2009)
discusses the pragmatic structures that ensure case study research is
manageable, rigorous, credible, and applicable. Processes such as descriptive,
thematic and content analysis, and triangulation are significant in ensuring the

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quality of a study, therefore, methods of data collection and analysis need to be

organized and systematized with a detailed chain of evidence (MERRIAM, 2009).
Theoretical frameworks or research questions are used and drawn from the
literature or discipline (MERRIAM, 1998). According to BROWN (2008),
Merriam's style brings forth a practical application of pluralistic strategies that
guide pragmatic constructivist research to derive knowledge about an area of
inquiry. [24]

3.4.3 STAKE: Relativist—constructivist/interpretivist

STAKE (1995, 2006) has an approach to case study research that is qualitative
and closely aligned with a constructivist and interpretivist orientation. While
having a disciplined approach to the process and acknowledging that case study
can use quantitative methods, STAKE's approach is underpinned by a strong
motivation for discovering meaning and understanding of experiences in context.
The role of the researcher in producing this knowledge is critical, and STAKE
emphasizes the researcher's interpretive role as essential in the process. An
interpretative position views reality as multiple and subjective, based on
meanings and understanding. Knowledge generated from the research process is
relative to the time and context of the study and the researcher is interactive and
participates in the study. In terms of epistemology, STAKE argues that situation
shapes activity, experience, and one's interpretation of the case. For STAKE
(2006), to understand the case "requires experiencing the activity of the case as it
occurs in its context and in its particular situation" (p.2). The researcher attempts
to capture her or his interpreted reality of the case, while studying the case
situationally enables an examination of the integrated system in which the case
unfolds. Similar to YIN (2014) and MERRIAM (2009), a case or cases are
selected for what they can reveal about topic of interest and depend on the aim
and conditions of the study. A case is selected because it is interesting in itself or
can facilitate the understanding of something else; it is instrumental in providing
insight on an issue (STAKE, 2006). [25]

For STAKE, multiple sources and methods of data collection and analysis can be
used, however, interviews and observations are the preferred and dominant data
collection method. In seeking understanding and meaning, the researcher is
positioned with participants as a partner in the discovery and generation of
knowledge, where both direct interpretations, and categorical or thematic
grouping of findings are used. STAKE (1995) recommends vignettes—episodes
of storytelling—to illustrate aspects of the case and thick descriptions to convey
findings, a further illustration of his constructivist and interpretivist approach to
case study research. [26]

BROWN (2007) suggests the three approaches used by these seminal

researchers rest along a quantitative-qualitative continuum where the
postpositivist methodology of YIN (2014) sits at one end, STAKE's interpretivist
design (1995, 2006) sits at the other end and MERRIAM (1998, 2009) who as a
pragmatic constructivist draws on the elements of both, rests toward the center.
BROWN (2008) sums up the influences of each, saying that "case study research

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FQS 18(1), Art. 19, Helena Harrison, Melanie Birks, Richard Franklin & Jane Mills:
Case Study Research: Foundations and Methodological Orientations

is supported by the pragmatic approach of Merriam, informed by the rigour of Yin

and enriched by the creative interpretation described by Stake" (p.9). While some
may argue that mixing qualitative and quantitative methods could threaten the
veracity of the research (BOBLIN et al., 2013; SANDELOWSKI, 2011),
MERRIAM's approach demonstrates that when the integrity of the design is
robust, methodological flexibility can be accommodated. [27]

4. Common Characteristics of Case Study Research

Despite variation in the approaches of the different exponents of case study,

there are characteristics common to all of them. Case study research is
consistently described as a versatile form of qualitative inquiry most suitable for a
comprehensive, holistic, and in-depth investigation of a complex issue
(phenomena, event, situation, organization, program individual or group) in
context, where the boundary between the context and issue is unclear and
contains many variables (CRESWELL, 2014; FLYVBJERG, 2011; MERRIAM,
2009; SIMONS, 2009; STAKE, 2006; YIN, 2014). Case study research can be
used to study a range of topics and purposes (SIMONS, 2009; STAKE, 2006;
STEWART, 2014) however, the essential requisite for employing case study
stems from one's motivation to illuminate understanding of complex phenomena
(MERRIAM, 2009; STAKE, 2006; YIN, 2014). Primarily exploratory and
explanatory in nature, case study is used to gain an understanding of the issue in
real life settings and recommended to answer how and why or less frequently
what research questions (FLYVBJERG, 2011; MERRIAM, 2009; SIMONS, 2009;
STAKE, 2006; STEWART, 2014; YIN 2014). [28]

Defining the case (unit of analysis or object of the study) and bounding the case
can be difficult as many points of interest and variables intersect and overlap in
case study research. Developing research questions and/or propositions to select
the case, identify the focus, and refine the boundaries is recommended to
effectively establish these elements in the research design (MERRIAM, 2009;
STAKE, 2006; YIN, 2014). Bounding the case is essential to focusing, framing,
and managing data collection and analysis. This involves being selective and
specific in identifying the parameters of the case including the participant/s,
location and/or process to be explored, and establishing the timeframe for
investigating the case (MERRIAM, 2009; STAKE, 2006; YIN, 2014). [29]

The use of multiple methods to collect and analyze data are encouraged and
found to be mutually informative in case study research where together they
provide a more synergistic and comprehensive view of the issue being studied
(FLYVBJERG, 2011; MERRIAM, 2009; STAKE, 2006; YIN, 2014). How the
methods are used will vary and depend on the research purpose and design,
which is often a variation of a single or multiple case study research design.
Interviews and focus groups, observations, and exploring artifacts are most
commonly employed to collect and generate data with triangulation of methods
and data, however, this is not exclusive. [30]

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The fundamental elements of case study research (Table 1) are evident in the
approaches of MERRIAM (2009), STAKE (1995, 2006), and YIN (2014) as well
as other case study researchers who have contributed to the development and
discussion of case study research (CRESWELL, 2013, 2014; FLYVBJERG, 2011;
GEORGE & BENNETT, 2007; MILES et al., 2014; SIMONS, 2009). These
elements delineate case study from other forms of research and inform the
critical aspects of the research design and execution.

Element Description

Object of the case study identified as the entity of interest or unit of

analysis
The case
Program, individual, group, social situation, organization, event,
phenomena, or process

Bounded by time, space, and activity

A bounded Encompasses a system of connections
system Bounding applies frames to manage contextual variables
Boundaries between the case and context can be blurred

Studied in its real life setting or natural environment

Context is significant to understanding the case
Studied in context
Contextual variables include political, economic, social, cultural,
historical, and/or organizational factors

Chosen for intensive analysis of an issue

Fieldwork is intrinsic to the process of the inquiry
Subjectivity a consistent thread—varies in depth and engagement
In-depth study
depending on the philosophical orientation of the research, purpose,
and methods
Reflexive techniques pivotal to credibility and research process

Based on the purpose and conditions of the study

Involves decisions about people, settings, events, phenomena, social
processes
Selecting the case Scope: single, within case and multiple case sampling
Broad: capture ordinary, unique, varied and/or accessible aspects
Methods: specified criteria, methodical and purposive; replication
logic: theoretical or literal replication (YIN, 2014)

Multiple sources of evidence for comprehensive depth and breadth of

inquiry
Methods of data collection: interviews, observations, focus groups,
Multiple sources
artifact and document review, questionnaires and/or surveys
of evidence
Methods of analysis: vary and depend on data collection methods
and cases; need to be systematic and rigorous
Triangulation highly valued and commonly employed

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FQS 18(1), Art. 19, Helena Harrison, Melanie Birks, Richard Franklin & Jane Mills:
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Element Description

Descriptive, exploratory, explanatory, illustrative, evaluative

Single or multiple cases
Case study design Embedded or holistic (YIN, 2014)
Particularistic, heuristic, descriptive (MERRIAM, 1998, 2009)
Intrinsic, instrumental, and collective (STAKE, 1995, 2006)

Table 1: Case study elements and descriptors [31]

A final, critical point when conducting case study research is the importance of
careful preparation and planning, coupled with the development of a systematic
implementation structure (FLYVBJERG, 2011; MERRIAM, 2009; STAKE, 2006;
STEWART, 2014; YIN, 2014). As discussed earlier, ensuring the alignment of
philosophy and methodology with the research purpose and methods employed
underpins a rigorous research process (STEWART, 2014). Clarity in this
alignment is fundamental to ensuring the veracity of the research and depends on
the design developed. During this process, researchers are encouraged to
"logically justify their philosophical position, research design and include a
coherent argument for inclusion of varying research methods" (LUCK et al., 2006,
p.107). Study propositions, theory, research or issue questions work as a
conceptual framework and need to align with the case to guide the design and
determine methods of data collection and analysis (STAKE, 2006; STEWART,
2014; YIN, 2014). Maintaining meticulous records and a systematic chain of
evidence over the duration of the study is critical; as is being able to access,
present and explain procedures supports the ethical integrity and rigor of the
research and findings (MERRIAM, 2009; STEWART, 2014; YIN, 2014). Collective
alignment of these elements articulates a justifiable framework for the research
study and cultivates trustworthiness and the validity, reliability and credibility of
the research findings. [32]

Considering these fundamental elements and common approaches to case study

research, the definition from CRESWELL et al. (2007) seems to best capture the
full depth and breadth of case study concepts and descriptions. The authors
describe case study as "a methodology, a type of design in qualitative research,
an object of study and a product of the inquiry" (p.245). They conclude with a
definition that collates the hallmarks of key approaches and represents the core
features of a case study:

"Case study research is a qualitative approach in which the investigator explores a

bounded system (a case) or multiple bounded systems (cases) over time through
detailed, in-depth data collection involving multiple sources of information (e.g.,
observations, interviews, audiovisual material, and documents and reports) and
reports a case description and case-based themes" (ibid.). [33]

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5. Conclusion

Since the 1980's a broad scope of case study approaches have developed. This
range accentuates the flexibility of case study research as a distinct form of
inquiry that enables comprehensive and in-depth insight into a diverse range of
issues across a number of disciplines. While differences exist in some areas,
commonalities are evident that can guide the application of a case study research
design. Key contributors to the development of case study agree that the focus of
a case study is the detailed inquiry of a unit of analysis as a bounded system (the
case), over time, within its context. The versatility of case study research to
accommodate the researcher's philosophical position presents a unique platform
for a range of studies that can generate greater insights into areas of inquiry.
With the capacity to tailor approaches, case study designs can address a wide
range of questions that ask why, what, and how of an issue and assist
researchers to explore, explain, describe, evaluate, and theorize about complex
issues in context. Outcomes can lead to an in-depth understanding of behaviors,
processes, practices, and relationships in context. Professions including the
social sciences, education, health, law, management, business, and urban
planning have embraced case study research, demonstrating these outcomes.
Ongoing application of and sound debate about the value, validity, and capability
of case study research have strengthened the efficacy of case study approaches
as powerful forms of qualitative research. [34]

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FQS 18(1), Art. 19, Helena Harrison, Melanie Birks, Richard Franklin & Jane Mills:
Case Study Research: Foundations and Methodological Orientations

Authors

Helena HARRISON, MN(Ed) is a PhD candidate in Contact:

the College of Healthcare Sciences, Division of
Tropical Health and Medicine, James Cook Helena Harrison
University, Australia. Her research interests Nursing, Midwifery & Nutrition
include undergraduate and postgraduate nurse College of Healthcare Sciences
education with her current study focusing on the Division of Tropical Health and Medicine
practice readiness of new graduate registered James Cook University
nurses in Australia. Angus Smith Drive, Douglas, QLD, Australia
4811
E-mail: helena.harrison@jcu.edu.au

Melanie Birks, PhD is professor and Head of Contact:

Nursing, Midwifery and Nutrition at James Cook
University, Australia. Her research interests are in Melanie Birks
the areas of accessibility, innovation, relevance Nursing, Midwifery & Nutrition
and quality in nursing education. College of Healthcare Sciences
Division of Tropical Health and Medicine
James Cook University
Angus Smith Drive, Douglas, QLD, Australia
4811
Tel: +61-7- 4781- 4544
E-mail: melanie.birks@jcu.edu.au

Richard Franklin, Ph.D. is an associate professor Contact:

at the College of Public Health, Medical &
Veterinary Sciences at James Cook University. Richard Franklin
Richard's public health projects have explored Public Health & Tropical Medicine
injury prevention and safety promotion and Building 41, Room 213
focused areas of farm safety, rural safety, College of Public Health, Medical & Veterinary
occupational health and safety, falls, disasters, Sciences
health promotion, and alcohol and aquatic safety. Division of Tropical Health and Medicine
Richard's research interests include translating James Cook University
evidence into practice, epidemiological, program Angus Smith Drive, Douglas, QLD, Australia
and product evaluation, surveillance and using 4811
mixed methods research for solving real world
problems. Tel: +61-7- 4781 5939
E-mail: Richard.franklin@jcu.edu.au

Jane Mills, PhD is professor and Pro Vice Contact:

Chancellor of the College of Health at Massey
University in New Zealand. Her research interests Jane Mills
are primary health care, public health and health College of Health
systems strengthening. Massey University
Private Bag 102904
North Shore Auckland, New Zealand, 0745
Tel.: +64 9 414 0800 extn 49087
E-mail: J.Mills1@massey.ac.nz

Citation

Harrison, Helena; Birks, Melanie; Franklin, Richard & Mills, Jane (2017). Case Study Research:
Foundations and Methodological Orientations [34 paragraphs]. Forum Qualitative Sozialforschung /
Forum: Qualitative Social Research, 18(1), Art. 19,
http://nbn-resolving.de/urn:nbn:de:0114-fqs1701195.

FQS http://www.qualitative-research.net/