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The Performance Technologist’s Toolbox: Case Studies

Anne F. Marrelli, Ph.D.

The case study is a data collection method in which in-depth descriptive information

about specific entities, or cases, is collected, organized, interpreted, and presented in a

narrative format. The case study report is essentially a story. The subject of the case

may be an individual, a family, a neighborhood, a work group, a classroom, a school,

an organization, a program, or any other entity. A case study may also focus on social

or natural events such as new supervisors’ first six months on the job, employees’

reactions to the acquisition of their organization by another company, or community

response to a natural disaster. As a data collection approach, it is widely applied in

sociology, anthropology, psychology, education, and medicine and offers much potential

value to performance technology. Case studies offer rich perspectives and insights that

can lead to in-depth understanding of variables, issues, and problems. For example, the

renowned Swiss developmental psychologist Jean Piaget based his theories of

childhood intellectual development on the study of two cases, his own children (Liebert,

Poulos, & Strauss, 1974).

Implementation of a case study approach involves a unique degree of interaction for

participants, the researcher, and the research audience. The researcher collaborates

closely with the participant to collect the data then selects and structures the ideas to

include in the report, developing themes, highlighting some ideas, subordinating or

eliminating others, and finally connecting the ideas and embedding them in a narrative

context. In this process, the researcher is sharing the personal meanings of events and

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relationships both as voiced by the participant and by the researcher. As the audience

reads the case study, they in turn, based on their prior experience and personal

knowledge, mentally add and subtract information from the study, shaping what they

read (Stake, 2005).

DIMENSIONS OF CASE STUDIES

Several decisions need to be made to establish the case study framework before data

collection begins. The dimensions to consider include: the unit of analysis, the selection

of cases, the scope of the study, the time period, sources of information, and data

collection methods.

Unit of Analysis

The first decision is to identify the entities or persons you will study. Identify the cases

that will best address your research questions. The case may be a single individual, a

family, a social community, work group, organization, or institution (Flick, 2006). Case

study research may involve a single case, multiple cases, or a series of layered or

nested cases (Patton, 2002). An intriguing single case study is the work that

psychologist Francine Patterson has been doing since 1972 with the gorilla, Koko. Dr.

Patterson has been studying learning, language acquisition, and the nature of

intelligence by teaching Koko to communicate in sign language and recognize symbols

(Nunes & Slater, 2005). A biography is another example of a single case study because

it focuses on just one person. An example of a study involving multiple cases would be

an investigation of the experiences of new hires in an organization. In this type of study,

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each new hire would constitute a case. The individual cases would be compared to

identify similarities and differences among the cases and arrive at conclusions. An

evaluation of a mentoring program is an example of a study involving layered and

nested cases. The program is the entity of interest and the primary case. There could

be several smaller cases that are nested and layered within the primary case such as

individual case studies of each of the program participants, studies of critical incidents,

case studies of employees who did not participate, and case studies of subgroups that

spontaneously formed. These nested and layered cases may overlap and intersect with

each other (Patton, 2002) .

Selection of Cases

To obtain the clearest understanding of the issue under study, it is important to carefully

choose the cases for inclusion. In case study research, the sample size is rarely large

enough for random sampling so a purposive sample is selected. In a purposive sample,

typicality, variety, accessibility, and opportunity for learning are important selection

factors (Stake, 2005). The researcher will select cases that represent other cases but

will also look for variety to ensure a wider perspective. In a comparative study, it will be

important to standardize relevant characteristics of the cases (Flick, 2006). For

example, in a study of cultural differences in attitudes toward work, it will be important

that each case be similar in variables such as education, socio-economic class,

experience level, and age. The data must also be accessible, i.e., the persons involved

are willing to spend time with the researcher and data can be obtained relatively easily.

The potential for learning is another important consideration in selecting cases and is a

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different criterion than representativeness. It may be more valuable to learn much from

an unusual case than a little from a typical case (Stake, 2005).

Scope

Planning case study research also involves making decisions about the scope of the

study. Will the study be narrowly focused on just one aspect of the entity or will it

encompass several aspects? For example, if the subject of the study is how

organizational leaders develop, will the study focus solely on participants’ work

experiences or will family and community life experiences also be included? It is

important to build a knowledge base about the topic area before determining the scope

of the study so that the variables that may affect the issue of interest are identified.

Time Period

In a case study, the researcher may choose to study the subject cases at a single point

of time, before, during, or after a specific event or series of events, or over an extended

time period. The research question will determine the time period. For example, if a

researcher wants to study people’s reactions and behavior during an earthquake, the

study may be limited to the day of the earthquake. If the goal of the study is to evaluate

a social program such as a job training program for the unemployed, the researcher

may focus the study on participants’ lives one year before the program started, during

the program, and for two years after the program. Some longitudinal studies may follow

the participants over the course of a lifetime as in a study of gifted children and their

achievements in adulthood.

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Data Methods and Sources

A wide range of research methods can be used in the course of developing a case

study. Both quantitative and qualitative data can be collected and data can be obtained

from several different sources. For example, in a case study of a work group,

information could be collected through a series of individual interviews with the work

group members; interviews with their managers, customers, and colleagues; a 360

feedback instrument in which data is collected from the work group members

themselves, their suppliers, customers, leaders, and co-workers; a focus group with the

members; a brief survey asking members to supply information about their length of

employment with the organization, other work experience, education, etc.; a review of

documents produced by the group members; quantitative records of the group’s output;

critical incidents in the group’s history; and observations of group meetings and other

interactions.

APPLICATIONS OF CASE STUDIES

Case studies are an effective tool for a diverse range of applications in performance

technology including program evaluation and improvement, training and development

programs, performance analysis, organizational change and development, the

development of performance interventions, communication, applied research, and

benchmarking.

Program Evaluation

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Case studies can be used to evaluate most programs in government, education, non-

profits, and the private sector. For example, in government, case studies can be used

to provide information about how closely program operations align with legislative intent.

Detailed case studies will help decision makers understand both how complex

programs are operating and their outcomes (Patton, 2002).

Brinkerhoff and Dressler (2002) advocate using case studies as a key technique in

evaluating employee learning and development programs. Their Success Case

Evaluation method focuses on only a few trainees who have successfully applied their

learning to their jobs and thereby have made a positive impact on their organization. By

providing in-depth information about the factors that enhance or impede the value of the

training, these case studies offer a rich resource for performance improvement.

Training and Development Programs

Case studies are an effective instructional strategy for developing problem solving skills

and interpersonal competencies. In this approach, the members of the learning group

read the case study which describes an actual situation similar to one the learners will

encounter on the job. The group discusses the case, identifying potential solutions to

the problems described, evaluates the advantages and disadvantages of each solution,

and finally selects the solution likely to be most successful (Aamodt, 1991). The

instructor facilitates the discussion and leads the group to consider points they may

initially miss. For example, case studies are widely used in leadership development

programs and business schools. Participants are given real-life cases of organizational

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problems and are asked to develop solutions and action plans for resolving the

problems.

Performance Analysis

Case studies are an effective tool for identifying performance improvement needs

because they can detect root causes of problems that may be missed in less intensive

research methods such as surveys or focus groups. For example, case studies are a

good tool for investigating high turnover rates in an organization. The personal

experiences of employees in a work group can provide insight into leadership

deficiencies that are well hidden by a manager who is proficient in managing up but

bullies his employees.

Organizational Change and Development

Case studies are a useful tool in organizational development. They can be used to

document and assess pilot programs and gather lessons learned before a major

organizational change is undertaken. The case study documentation also provides a

template for effectively implementing organizational initiatives across several business

units. The Partnership for Public Service (2006), whose objective is to make the

Federal government an employer of choice, worked with three Federal agencies to

substantially streamline and improve their recruiting and hiring processes. Each

agency’s experience was documented as a case study and shared with the other

Federal agencies. In each case study the challenges initially faced, the change efforts

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made, results, lessons learned, and next steps were recorded.

Communication

Case studies are potent organizational communication tools. They have an immediate,

emotional appeal and provide vicarious experience to the reader. They often transmit

ideas and influence people to take action far more effectively than quantitative data. For

example, in an effort to encourage Federal agencies to expand their telecommuting

programs, the Office of Personnel Management (OPM) published a report intended to

showcase telecommuting success stories. OPM provides brief case studies of Federal

employees in a range of occupations and at different levels of experience who

successfully telecommute. The report describes the work situation and then the

employee’s and the supervisor’s perspective for each case (OPM, 2001).

Performance Interventions

Case studies can be used to advance the development and implementation of

performance interventions. For example, Massey, Montoya-Weiss, and O’Driscoll

(2005) use a case study to illustrate how an organization applied human performance

technology to identify the knowledge management structure and content that would best

support knowledge workers’ performance. They also present the lessons learned in the

case study for readers to apply to their own organizations. In a 2005 article in this

journal, Castle presents a case study demonstrating the dramatic outcomes achieved

by applying performance analysis to the human resources development function in a

government health care agency. In an interesting case study of an educational program

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in arctic Alaska, Subramony (2005) observed that operating a school system for a non-

Western population based on Western thinking leads to problems at the macro, meso,

and micro levels. Subramony concludes that, in modern cross-cultural and multi-

cultural contexts, performance analyses and interventions must delve into the full

complexity of situations or risk doing more harm than good.

Applied Research

Case studies are valuable tools for refining theory, suggesting issues and complexities

for additional research, and defining the limits of generalizability (Stake, 2005). For

example, team mental models have been shown to be effective in facilitating team

operations in transactional organizations but their impact on teams of professionals in

value-based organizations has been understudied. Tzeng (2006) used the case study

method to investigate three referential frameworks of team mental models employed in

a non-profit organization that serves hearing-impaired children. The three frameworks

were theoretical knowledge, practical experience, and team consciousness. His results

indicated that fostering a strong team mental model may be effective in ensuring team

members meet performance expectations.

Benchmarking

The case study is a highly effective method of data collection for benchmarking.

Rogowski (2005) describes how his organization used case studies to compare its

performance with its chief competitor and three best-in-class companies (General

Electric, Microsoft, and Dell Computers), identify the factors that enabled these

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companies to achieve high performance levels, and then apply the information to

improve organizational performance. He describes the case study approach as a

powerful learning tool.

ADVANTAGES AND DISADVANTAGES OF CASE STUDIES

Several of the advantages and disadvantages of using case studies as a data collection

method are summarized below.

Advantages

 When involvement is important to the success of a research or performance

improvement project, case studies are a good choice for a data collection

method. They promote participation and buy-in because participants are typically

directly involved in providing information through interviews, focus groups, or

other means. Participants also have the opportunity to offer their own

interpretation of events and feel good about being the center of attention.

 Case studies are very useful for collecting outcome data when there are no

acceptable, valid, or reliable measures of the phenomenon being studied.

Examples are creativity and self-esteem. These are goals of many development

programs but currently there is a lack of good measures, especially those that

are sensitive to incremental changes before and after completion of a program.

Case studies are a useful way of documenting changes experienced by

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participants rather than depending on a unreliable standardized instrument

(Patton, 2002).

 Case studies are valuable in exploratory research in areas where there is little

previous work and not much is known about the phenomenon of interest.

Examples are the case studies done for early work in family violence (Patton,

2002).

 Case studies add depth and detail to quantitative data such as surveys. They

flesh it out and give it life. The quantitative data identifies the areas of focus and

the qualitative data gives substance to those areas of focus (Patton, 2002).

 The deep and personal perspectives obtained through case studies can identify

issues and performance problems that are not easily uncovered through other

methods of data collection.

 A rich case leads the reader first to awareness, then to understanding to facilitate

the construction of knowledge as if he or she actually experienced the events

described (Patton 2002).

 A methodological strength of case studies is their flexibility. New areas of

information that were not foreseen in the original research plan can be

discovered and explored (Pelto and Pelto, 1978). Unlike surveys or other

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measuring instruments that cannot be changed once they are distributed, in a

case study, the researcher can expand or reduce the topics addressed and

revise the questions asked as he or she works through the data collection

process and uncovers the most important points.

 Case study research is appealing and can be fun for both the researcher and the

reader of the researcher’s work. The information collected about the

idiosyncratic experiences of real people and the narratives written to document

those experiences are engaging because they are essentially stories about our

fellow human beings, an endlessly fascinating topic for most people.

Disadvantages

 Value judgments and philosophical decisions are important in communicating the

results of case study research. Assessment of the meaning of the data also

depends heavily on the researcher’s knowledge of the entity or event studied and

the enveloping social context (Pelto and Pelto, 1978). Although this is true in

many research methods, case studies provide more discretion to decide which

information to include in the case study and how to present and interpret it. It is

important to note that this subjectivity is not purely a disadvantage because it is

the flexibility and personal nature of case studies that make them vibrant, rich

sources of data.

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 Because case studies are, by definition, detailed examinations of specific

persons or entities, the number of cases that can be included in a study is

typically small. Generalizability to a larger group is therefore limited.

 Case studies require a high level of analytical ability and writing skill to

successfully integrate and document the information obtained from multiple

sources of data.

 Case studies are labor and time intensive, both in data collection and in writing

the case study narrative.

GUIDELINES FOR CASE STUDIES

Several basic guidelines for conducting case study research are outlined below. The

textbooks in the “Related Reading” section at the end of this article provide more

extensive guidance.

 Ethical behavior is vital. Researchers are guests in their subjects’ private worlds

and must protect their subjects from embarrassment, loss of self-esteem,

reduced standing in their community, or risks to their employment. Before the

study begins, a clear contract between researcher and subjects should be

developed that includes examples of risks, defines the limits of access, and

describes the observation and reporting that will be done (Stake, 2005).

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 When collecting data from direct interactions with participants such as interviews

and focus groups, it’s important to record the exact language of the participants

so that the flavor and meaning of their stories can be accurately communicated in

the report. Nonverbal forms of communication such as fidgeting, winks, frowns,

or shrugs, should also be recorded and reported (Patton, 2002).

 When multiple case studies are developed as a means of identifying patterns and

trends, it is important to seek out negative cases that do not fit within emerging

patterns. These exceptions will broaden the researcher’s understanding of the

issues or even lead to different conclusions. The inclusion of negative cases

increases the credibility of the study by demonstrating a search for possible

alternative explanations rather than reporting only cases that fit a single

interpretation (Patton, 2002). For example, in an evaluation of the impact of a

mentoring program designed to facilitate women’s movement into executive

positions, if it appears most participants completed the program and were

successful in being promoted, a few women who dropped out of the program or

completed it but were not promoted, should be included in the study. In

quantitative terms, the number of women for whom the mentoring program was

not successful may not be significant but their cases may provide valuable

insights into the impact of the program on a specific subgroup or ways the

program could be improved.

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 In case study research involving multiple or layered cases, each case must be

able to stand on its own as a separate entity and a distinctive manifestation of the

issue of interest. The credibility of the overall results depends heavily on the

quality of the individual cases (Patton, 2002).

 For complex case studies, it is helpful to construct a case record after the raw

data is collected and before beginning to write the case study narrative. The case

record is simply a condensation of the raw data collected. The raw data is

organized, classified, and edited to create a manageable file that the researcher

can use to write the report. For simpler studies, the researcher can write directly

from the raw data (Patton, 2002).

 The first priority is to thoroughly and accurately document each case before

looking for patterns across cases. When making generalizations, it is important to

describe and account for the variables controlled, the uncontrolled variables, the

context, personal characteristics, and events that occurred during the time of

study (Patton, 2002).

 Plan to invest intensive effort and time delving into the meaning of the data you

collect, working to relate the meaning to physical, social, and cultural contexts

and experiences. Case study work is reflective and requires several rounds of

interpretation throughout the development process. Be prepared to discover that

some of the issues, problems, events, or relationships initially expected to be

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important may not be after all while new, unexpected factors will emerge (Stake,

2005).

 Organize the case study report to provide the most lucid answer to your research

question and the most compelling narrative. Examples of organizational schemes

include people, chronological events, critical incidents, processes, problems,

issues, and locations.

 The report should be comprehensive enough to answer the research question

and offer enough detail to ensure the reader will understand the subject and the

context. The report, however, should not be filled with unnecessary minutiae.

 Encourage your case study participants to review and react to your report. They

can verify that the information presented is accurate and complete, comment on

the perceived validity of your conclusions, help you develop new ideas and

interpretations, and inform you of information that could create problems for them

or their organizations if published. You can ask your subjects for oral or written

comments or both (Patton, 2002).

 It is important in all data collection efforts to use two or more methods of

obtaining data to ensure a broad perspective. Thus, when using the case study

approach, you will want to collect data using multiple methods such as individual

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interviews, focus groups, analysis of records or documents, observations, or

small-scale surveys.

CONCLUSION

For the performance improvement professional, case studies offer a personal, engaging

approach to collecting data and achieving rich insights about the issues being studied.

They offer a high level of flexibility and can be used in a diverse range of performance

technology projects, from applied research to training program interventions. Finally,

the narrative, story-like reports of case studies appeal to a wide audience and are an

exceptionally effective means of communicating and influencing.

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REFERENCES

Aamodt, M.G. (1991). Applied industrial-organizational psychology. Belmont, CA:

Wadsworth.

Brinkerhoff, R.O. & Dressler, D. (2002). Using evaluation to build organizational

performance and learning capability: A strategy and a method. Performance
Improvement, 41(6), 14-22.

Castle, D.K. (2005). Physician, heal thyself: A case study demonstrating dramatic
outcomes from using performance analysis. Performance Improvement, 44(9),
14-26.

Flick, U. (2006). An introduction to qualitative research (3rd ed.). Thousand Oaks, CA:
Sage Publications.

Liebert, R.M., Poulos, R.W., & Strauss, G.D. (1974). Developmental psychology.
Englewood Cliffs, NJ: Prentice-Hall.

Massey, A.P., Montoya-Weiss, M.M., & O’Driscoll, T.M. (2005). Human performance
technology and knowledge management: A case study. Performance
Improvement Quarterly, 18(2), 37-55.

Nunes, C. & Slater, L. (2005). The significance of Project KoKo. Gorilla, 26(1), 3-6.

Partnership for Public Service (2006). A makeover that matters: The extreme hiring
makeover. Washington, DC: Partnership for Public Service. Available at
http://www.ourpublicservice.org/solutions.

Patton, M.Q. (2002). Qualitative research and evaluation methods (3rd ed.). Thousand
Oaks, CA: Sage Publications.

Pelto, P.J. & Pelto, G.H. (1978). Anthropological research: The structure of inquiry (2nd
ed.). Cambridge, U.K.: Cambridge University Press.

Rogowski, R. (2005). On the path to excellence: Effective benchmarking through the

case study method. Performance Improvement, 44(7), 21-25.

Stake, R.E. (2005). Qualitative case studies. In N.K. Denzin & Y.S. Lincoln (Eds.), The
Sage handbook of qualitative research (3rd ed.) (pp. 443-466). Thousand Oaks,
CA: Sage Publications.

Subramony, D.P. (2006). Culturally and geographically relevant performance

interventions: A case study from arctic Alaska. Performance Improvement
Quarterly, 19(2),115-133.

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Tzeng, J. (2006). Developing and sharing team mental models in a profession-driven

and value-laden organization: A case study. Performance Improvement
Quarterly, 19(2), 155-172.

U.S. Office of Personnel Management (2001, May). Telework works: A compendium of

success stories. Available at http://www.opm.gov/studies/FINAL-TELEWRK.txt.

RELATED READING

The Case Research Journal, a quarterly publication of the North American Case
Research Association, publishes teaching cases grounded in research. It is a valuable
source for case studies for use in training and development programs. Learn more
about NACRA and the Case Research Journal at http://nacra.net.

Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage
Publications.

Yin, R.K. (2002). Case study research: Design and methods. Thousand Oaks, CA:
Sage Publications.

Yin, R.K (Ed.). (2004). The case study anthology. Thousand Oaks, CA: Sage
Publications.

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AUTHOR BIOGRAPHY
Anne Marrelli, Ph.D. is a Personnel Research Psychologist for the U.S. Merit Systems

Protection Board in Washington, DC. She and her colleagues conduct research studies

to assess the soundness of the Federal merit employment system and make

recommendations for its improvement. Dr. Marrelli’s former employers include

American Express, Hughes Electronics, Educational Testing Service, and the County of

Los Angeles. She earned M.S. and Ph.D. degrees in Educational Psychology from the

University of Southern California. Anne is the author of numerous journal articles, book

chapters, and technical reports. She may be reached at anne.marrelli@mspb.gov or

202-653-6772, ext. 1341.

EXECUTIVE SUMMARY

This eighth article in the Performance Technologist’s Toolbox series introduces the data

collection method of case studies. The article describes the decisions that need to be

made in planning case study research then presents examples of how case studies can

be used in several performance technology applications. Advantages and

disadvantages of case studies as a data collection method are discussed and followed

by guidelines for their use.

Pull Quotes

Case studies offer a personal, engaging approach to collecting data that results in rich
insights into the issues studied.

The narrative, story-like reports of case studies appeal to a wide audience and are an
exceptionally effective means of communicating and influencing.

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