The Canadian Journal for the Scholarship of Teaching and Learning Volume 6|Issue 3 Article 12 12-11-2015 Case Study Methodology: Flexibility, Rigour, and Ethical Considerations for the Scholarship of Teaching and Learning Marion L. Pearson The University of British Columbia, [email protected] Simon P. Albon The University of British Columbia, [email protected] Harry Hubball The University of British Columbia, [email protected] Follow this and additional works at:http://ir.lib.uwo.ca/cjsotl_rcacea Part of theCurriculum and Social Inquiry Commons,Educational Assessment, Evaluation, and Research Commons, and theHigher Education Commons Recommended Citation Pearson, Marion L.; Albon, Simon P.; and Hubball, Harry (2015) "Case Study Methodology: Flexibility, Rigour, and Ethical Considerations for the Scholarship of Teaching and Learning,"The Canadian Journal for the Scholarship of Teaching and Learning: Vol. 6: Iss. 3, Article 12. Available at:http://ir.lib.uwo.ca/cjsotl_rcacea/vol6/iss3/12 Case Study Methodology: Flexibility, Rigour, and Ethical Considerations for the Scholarship of Teaching and Learning Abstract Individuals and teams engaging in the scholarship of teaching and learning (SoTL) in multidisciplinary higher education settings must make decisions regarding choice of research methodology and methods. These decisions are guided by the research context and the goals of the inquiry. With reference to our own recent experiences investigating pedagogical and curricular practices in a pharmacy program, we outline case study methodology as one of the many options available for SoTL inquiry. Case study methodology has the benefits of flexibility in terms of the types of research questions that can be addressed and the data collection methods that can be employed. Conducted with proper attention to the context of the case(s) selected, ethical treatment of participants, and data management, case studies also have the necessary rigour to be credible and generalizable. In the matter of generalization, however, we recommend that the readers of a case study draw their own conclusions about the applicability of the findings to other settings. Les particuliers et les groupes qui sont actifs dans le haut savoir en matière d’enseignement et d’apprentissage (ACEA) dans les milieux pluridisciplinaires de l’enseignement supérieur doivent prendre des décisions en ce qui concerne le choix des méthodologies et des méthodes de recherche. Ces décisions sont guidées par le contexte de la recherche et par les objectifs de l’interrogation. En nous basant sur nos propres expériences récentes quand nous avons examiné des pratiques pédagogiques et curriculaires dans un programme de pharmacie, nous décrivons la méthodologie des études de cas comme l’une des nombreuses options disponibles pour les interrogations en ACEA. La méthodologie des études de cas a l’avantage d’être souple en ce qui a trait aux types de questions de recherche qui peuvent être étudiées et aux méthodes de collecte de données qui peuvent être employées. Quand elles sont menées avec l’attention requise pour le contexte des cas choisis, le traitement éthique des participants et la gestion des données, les études de cas présentent également la rigueur nécessaire pour être crédibles et généralisables. Toutefois, en ce qui concerne la généralisation, nous recommandons que les lecteurs d’une étude de cas tirent leurs propres conclusions concernant le caractère applicable des résultats à d’autres situations. Keywords case study methodology; scholarship of teaching and learning; research ethics This research note/note de recherche is available in The Canadian Journal for the Scholarship of Teaching and Learning: http://ir.lib.uwo.ca/cjsotl_rcacea/vol6/iss3/12 Pearson et al.: Case Study Methodology for SoTL Faculty members seeking to engage in the scholarship of teaching and learning (SoTL) face many hurdles, one of the most daunting of which can be lack of familiarity with the myriad methodologies of educational research (Hubball & Clarke, 2010; Pearson & Albon, 2013; Regehr, 2010). Based on our own successful experiences investigating pedagogical and curricular practices, in this Research Note we outline case study methodology as a useful approach for individuals or teams conducting SoTL inquiry in multidisciplinary higher education settings. As with any form of research, SoTL inquiry requires that the methodology used is appropriate to the context, as well as the research goal(s), which may be to answer a question, understand an issue, or develop theory in order to transform educational practice. There is lack of agreement regarding whether case study is, in fact, a methodology in the same sense that, say, action research or experimental design are methodologies, but we treat it as such here. Case studies are also sometimes assumed to be qualitative (e.g., Creswell, 2007; Merriam, 2009), but many scholars suggest that, while qualitative methods are more usual, quantitative methods can be used in case studies, either alone or in mixed methods approaches (Cousin, 2009; Palys & Atchison, 2014; Stake, 1995, 2010). What is common in case studies is the use of multiple methods to allow for in-depth examination of a complex singularity, often a person or program, in its natural setting. Rarer, but not out of the question, is the inclusion of an intervention in a case study. We agree with Yin’s (2014) assertion that case study methodology should be considered when the goal is to investigate “how” and “why” questions about contemporary events and where there are many variables of interest and limited ability to exercise control in the setting. A broad comparison of case study with other methodologies often used in SoTL research is provided in Table 1, with reference to the purpose, unit of analysis, and data sources typical of each methodology. Published by Scholarship@Western, 2015 1 The Canadian Journal for the Scholarship of Teaching and Learning, Vol. 6, Iss. 3 [2015], Art. 12 Table 1 Comparison of Case Study with Other Research Methodologies Methodology Purpose Unit of Analysis Data Sources Case Study In-depth description An event, person, or Multiple sources, such as and analysis of a case program interviews, observations, and documents Action research Investigating and A classroom or a Documents and improving practices community interviews Appreciative inquiry Investigating and Program and/or Documents and improving practices pedagogical contexts interviews Narrative research Exploring the life of One or more Interviews and an individual individuals documents Phenomenology Understanding the Several individuals Interviews, and may essence of an who have shared an include documents, art, experience experience and observations Grounded Theory Developing theory A process, action, or Interviews with a from field data interaction involving relatively large number many individuals of individuals Ethnography Describing and A group that shares a Field observations and interpreting a culture- culture interviews collected over sharing group an extended time Experiment Testing a theory or A relatively small Quantitative data evaluating an number of individuals collected under intervention controlled conditions Survey Generalizing to a A relatively large Quantitative data population number of individuals collected via interviews or questionnaires Note. Adapted from Creswell, J. W. (2007). Qualitative inquiry and research design: Choosing among five approaches (2nd ed., pp. 78-79) Thousand Oaks, CA: Sage.; and Hammersley, M., & Gomm, R. (2000). Introduction. In R. Gomm, M. Hammersley, & P. Foster (Eds.), Case study method (p. 4) Thousand Oaks, CA: Sage. http://ir.lib.uwo.ca/cjsotl_rcacea/vol6/iss3/12 2 Pearson et al.: Case Study Methodology for SoTL Types of Case Studies Different scholars have suggested different typologies for case studies. Stake (1995) suggests three types of case study based on case selection: the intrinsic case study, where the case is given, rather than chosen, as commonly occurs in program evaluation; the instrumental case study, where the case is selected for its ability to contribute to a general understanding of a phenomenon; and the collective case study, an extension of the instrumental case study, where two or more representative cases are selected. In contrast, Yin (2014), suggests three types of case study based on study purpose: the exploratory case study, a form of pilot study to inform subsequent research; the descriptive case study, which provides a thorough, contextualized description of a phenomenon; and the explanatory case study, intended to shed light on causal factors leading to particular events. Used together, these two typologies are useful for characterizing case studies and assessing the applicability of findings in other settings. Benefits and Challenges One of the great benefits of case study methodology in SoTL inquiry is the flexibility offered in terms of data collection methods. This is not to say that “anything goes,” as the method(s) used should always be appropriate to the aims of the inquiry; however, it does mean that the researcher is not restricted by methodological traditions. As Shulman (1997) reminds, though, SoTL researchers must be aware of the inherent ontological and epistemological commitments in the methods chosen. Also, the use of multiple data sources common in case studies naturally encourages good practices of in-depth analysis and triangulation for the purposes either of verifying findings or providing richer detail about the case (Mathison, 1988; Stake, 2010). Of course, the volume and variety of data collected also demand meticulous record keeping and maintenance of what Yin (2014) refers to as a chain of evidence. One caution with case studies is the extent to which findings are generalizable or transferable to other settings. This will depend in part on the context and nature of the case and how the case has been chosen (Flyvbjerg, 2006; Kennedy, 1979). Nevertheless, a case is usually representative in some way, either through its typicality or atypicality, of a broader group of cases, and it is not unusual to find general understandings from particular cases. Like Stake (2010), we feel the reader plays an important role generalizing from a case study. A detailed description of the context of the case is, therefore, an essential component in a case study report and will guide others in determining for themselves the appropriateness of generalizing case study findings to other contexts (Gerring, 2007; Mejía, 2010; Stake, 2010). Ethical Considerations SoTL inquiry using case study methodology can present many ethical challenges, which are frequently overlooked (Stockley & Balkwill, 2013). If the case study includes data collection through interviews or other methods involving people, it is essential that participants are treated with respect, dignity, and care throughout. For example, Tri-Council ethical standards require that consent be freely given, informed, and ongoing, and that harms associated with participating or opting out of participating be prevented or mitigated (Canadian Institutes of Health Research, 2010). Confidentiality must be protected and it is usual to protect the identity of individuals and research locations, although the necessity of anonymity has been questioned (Nespor, 2000; Published by Scholarship@Western, 2015 3 The Canadian Journal for the Scholarship of Teaching and Learning, Vol. 6, Iss. 3 [2015], Art. 12 Walford, 2005). Particular care needs to be taken when investigating one’s own curriculum or pedagogical practices, where the participants are one’s students or colleagues. Dual roles and power dynamics are commonly at play in SoTL inquiry, confidentiality may be hard to maintain during day-to-day interactions, and anonymity of location is a virtual impossibility when disseminating findings (The University of British Columbia Behavioural Research Ethics Board, 2003). Thus we encourage SoTL researchers to obtain the advice of, and, as necessary, formal review by, their institutional research ethics board prior to undertaking a case study. One Case, Two Case Studies We have recently completed two case study projects, both situated in the Faculty of Pharmaceutical Sciences at The University of British Columbia (UBC). The first study examined the place of the basic pharmaceutical sciences in the contemporary pharmacy curriculum, and addressed three research questions: (a) What has been and currently is the scope and depth of the basic pharmaceutical sciences in the BSc(Pharm) program at UBC?; (b) What are the perspectives of pharmacy educators on the role and status of the basic pharmaceutical sciences in this program?; and (c) What are the curriculum and pedagogical practices of those teaching the basic pharmaceutical sciences in this program? The second study focused on understandings of curricular integration and their impact on the curriculum. Two research questions were addressed: (a) What conceptions of curricular integration are held by those planning, delivering, and receiving an undergraduate degree program?; and (b) How did those conceptions contribute to the development of areas of convergence and divergence between the espoused, enacted, and experienced curricula1? Drawing on Hubball and Burt’s (2004) model for developing and implementing learning- centred curricula in higher education as a conceptual framework, both studies employed a triad of methods typical in case studies, namely context-specific interviews, document analysis, and observations. The first, however, was an intrinsic explanatory case study, with the research questions arising from personal experiences with the complexities of the UBC BSc(Pharm) curriculum. The second was an instrumental explanatory case study, with the research questions arising from a more general interest in structure and function of curricula for higher education programs. For these case studies, the UBC BSc(Pharm) program was considered a typical case in the health sciences and selected for pragmatic reasons such as ease of access and low cost. By using the same case and similar data sources, we found it natural to work as a team to develop analytic strategies and to validate findings through independent analysis of portions of data, a practice we would recommend in SoTL inquiry. Although subject to various limitations associated with the research design and the methods employed, such as reliance on self-report in interviews and researcher’s subjectivity in field observations, we feel our choice of case study methodology allowed us to elucidate nuanced findings about our program-level inquiries. These included detailed characterizations of the fundamental differences in worldviews of basic science and clinical faculty members and between pedagogical intentions and actions in a program of study in the health sciences. Full reports of our findings are available elsewhere (Albon, 2014; Pearson, 2014). 1 The espoused curriculum refers to the curriculum intended by curriculum planners, the enacted curriculum is that which is implemented or taught by instructors, and the experienced curriculum is that which is learned or achieved by students (Bath, Smith, Stein, & Swann, 2004). http://ir.lib.uwo.ca/cjsotl_rcacea/vol6/iss3/12 4 Pearson et al.: Case Study Methodology for SoTL Conclusion Methodological choices abound, with the case study being just one of many options for individuals or teams engaging in SoTL inquiry. As with any methodology, rigour is essential at all stages in a case study, from selecting the appropriate methodology and methods to address the research aims to using multiple methods for triangulation purposes, keeping meticulous records, and inviting independent analysis to verify findings. We have appreciated case study methodology in our own research for its emphasis on developing a thorough understanding of the context of the case(s) selected and for the flexibility afforded in the types of research questions that we were able to address and the range of data collection methods available to us. The ethical considerations we have raised here are not unique to case study methodology, but rather are common to all SoTL inquiry and are often not addressed as fully as they should be. Of the references we’ve cited, we would particularly recommend Cousin (2009), Palys and Atchison (2013), Stake (1995, 2010), and Yin (2014) for those wishing to expand their understanding of case study and other research methodologies. References Albon, S. P. (2014). Role and status of the basic pharmaceutical sciences in pharmacy education: A case study of the UBC BSc(Pharm) program. Unpublished doctoral dissertation, The University of British Columbia. Retrieved from http://circle.ubc.ca/handle/2429/46356 Bath, D., Smith, C., Stein, S., & Swann, R. (2004). Beyond mapping and embedding graduate attributes: Bringing together quality assurance and action learning to create a validated and living curriculum. Higher Education Research and Development, 23(3), 313-328. http://dx.doi.org/10.1080/0729436042000235427 Canadian Institutes of Health Research. (2010). Tri-Council policy statement: Ethical conduct for research involving humans. Retrieved from http://www.pre.ethics.gc.ca/pdf/eng/tcps2/TCPS_2_FINAL_Web.pdf Cousin, G. (2009). Researching learning in higher education: An introduction to contemporary methods and approaches. London: Routledge. Creswell, J. W. (2007). Qualitative inquiry and research design: Choosing among five approaches (2nd ed.). Thousand Oaks, CA: Sage. Flyvbjerg, B. (2006). Five misunderstandings about case-study research. Qualitative Inquiry, 12(2), 219-245. http://dx.doi.org/10.1177/1077800405284363 Gerring, J. 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