3.3.1 Context: case study research
The first tranche of primary data was a case study analysis of design methods used to address UK Government policy challenges by the Cabinet Office Social Investment & Finance Team between 2014-17. The researcher was working in the policy team that led this work and was responsible for managing the design projects within this programme.
The case study research strategy was intended to add a contingent and sustained example of design activity in strategic contexts to this research, providing in-depth evidence collected over time which complemented the survey project and qualitative interviews. Data for the case study was collected from 2016-17. The case study is outlined Chapter 4 and insights from the case study are referred to in the other analysis chapters (Chapters 5-8).
3.3.2 The role of case studies in social research
Case study research has antecedents in anthropology, history, psychology, and sociology (Merriam 2009, p.39: Harrison et al., 2017, p.2). It has developed as a widely used research strategy to “investigate and understand complex issues in real-world settings” (Harrison et al., 2017, p.1). Case studies can be applied in many different disciplines and have been used extensively in political science “to understand the complexities of institutions, practices, processes, and relations in politics” (Harrison et al. 2017, p.3). The case study is particularly appealing for applied fields of study such as education, social work, administration and health (Merriam, 2009, p.51). Despite the prevalence of case studies in qualitative research, there is uncertainty about case study definitions and appropriate use (Merriam, 2009: p.39). Thus, whilst the case study has evolved as an approach to in depth analysis of a specific situation, “variation in definition, application, validity and purposefulness can create a confusing platform for its use”
(Harrison et al., 2017, p.2).
Merriam (2009) puts forward a view of the case study as a “bounded system” making the argument that the “single most defining characteristic of case study research lies in delimiting the object of study, the case” (p.40). Merriam further refines this definition with the description of the case study as “a single entity, a unit around which there are boundaries” (p.40). According to Merriam, the notion of delimiting a unit of study is key in determining whether a research strategy follows a case study approach, “if the phenomenon you are interested in studying is not intrinsically bounded, it is not a case” (p.41). Gerring (2004) corroborates the notion of a case study as a bounded entity and posits that boundaries may occur from temporal or spatial definitions. He argues that the case study “connotes a spatially bounded phenomenon - e.g., a nation-state, revolution, political party, election, or person - observed at a single point in time or over some delimited period of time” (p.342). Another major case study theorist Yin (2009), also emphasises the importance of defining the “unit of analysis” for the design of case study research (p.29). Similarly, Eisenhardt (1989) views case study research as a strategy that
“focuses on understanding the dynamics present within single settings” (p.534).
The methods literature often refers to case studies as in-depth analyses of real-world phenomena. This implies an embedded form of research practice where the researcher is immersed in the site of study. For Yin (2009), the case study “allows investigators to retain the holistic and meaningful characteristics of real-life events” (p.4). Merriam (2009) also identifies the immersive aspect of case study research arguing that it is focused on “holistic description and explanation” (p.43). Case studies typically combine different research methods such as
“archives, questionnaires, interviews and observation” (Eisenhardt, 1989, p.534). Although case study research is most frequently tied to qualitative inquiry, the case study approach does not predetermine a specific set of methods and part of its appeal is the flexibility it allows. Case studies often combine different research methods which together provide a more “synergistic and comprehensive view of the issue being studied” (Harrison et al., 2017, p.9). The absence of a fixed set of methods or philosophical outlook suggests that case studies are a flexible strategy, but this flexibility also underlines why case study definitions are challenging.
The notion that case study data is constructed and interpreted through interaction between researcher and participants implies a central role for the researcher. Merriam discusses the interpretive role of the ‘reader’ of a case study as “readers bring to a case study their own experience and understanding, which lead to generalisations when new data for the case study are added to old data” (p.45). As Merriam explains, case studies “can bring about the discovery of new meaning, extend the reader’s experience or confirm what is already known” (p.44). The exploratory and embedded character of case study research also leads Harrison et al. (2017) and Merriam (2009) to describe case studies as a ‘heuristic’ approach - implying self-discovery, where researcher and reader bring their own knowledge and engage in learning through the case study.
Analysing case studies is also an interpretive process on the part of the researcher. Eisenhardt (1989) describes the process of analysing case studies as “highly iterative” where emerging insights are refined against data from each case study (p.541), as “overall impressions and tentative themes and concepts emerge” (p.541). The researcher’s own interpretations are therefore an important part of case study analysis and “as a result, a subjective and interpretive orientation flows throughout the inquiry” (Harrison et al. p.7). This is particularly relevant in the current study where the researcher was involved professionally in some of the contexts where data was collected.
3.3.3 Case study selection
Determining when to use a case study and selecting cases depends on the objectives of the researcher. Various case study categories and the research objectives they fulfil are discussed in the literature.
A case study may be chosen because it relates to a particular event, meaning it has some form of “intrinsic” interest, or a case study may be “instrumental” meaning a specific instance of a wider phenomenon (Merriam, 2009, p.49). Case studies also fulfil different functions depending on the aims of the research. Yin (2009) argues that the case study approach is best used for
“how” and “why” questions, and for questions that are “more explanatory”, [original emphasis]
because they address “operational links needing to be traced over time” (p.9). Silverman (2005) notes that access to case studies can be “dependent on gatekeepers” and he advocates the selection of cases that are both “accessible and will provide appropriate data” (p.132). Thus, the sampling of case studies involves some early assumptions about the relevance of the case to the topic of study and what evidence will be garnered from the case to benefit the research, but can also be motivated by practical considerations - as was the case with this research.
Gerring (2004) highlights the descriptive aspect of case studies, associating the focused and embedded approach with the potential to tackle subjects where little is known or existing knowledge is flawed; he argues that description is an “under-valued, trope within the social sciences...it is not at all pejorative to observe that there is a methodological affinity between descriptive inference and case study work” (p.346). The notion of a descriptive case study is particularly relevant to this research where it is used for illustrative purposes, to steer and validate other data collection and analysis, rather than as a unit of independent study.
Teegavarapu and Summers (2008), also provide a good illustration of the explanatory potential of case studies, with specific reference to the role that case studies can play in design research.
They argue that design research is an evolving discipline where, although methods from social sciences are often adopted, the “social science view of design is not well developed” (p.1).
However, they posit that case studies have significant potential for design research “to analyse a phenomenon, to generate hypotheses, and to validate a method” (p.2). They also observe that the case study method is particularly suitable for developing theories which are “the need of the day in design research” (p.8).
Thus, case studies can be seen as an exploratory research tool used to examine a topic in depth, especially where there is little existing knowledge or research.
3.3.4 The relationship between case studies and theory
A further aspect of case study research relates to the interplay between case studies and theory. The process of drawing generalisations and building wider theory from case studies, given it is a site-specific research approach, is debated widely in the literature.
Eisenhardt (1989) argues that “case studies can be used to accomplish various aims: to provide description, test theory, or generate theory” (p.353). For Eisenhardt, the process of building theory from cases is a “strikingly iterative one” that requires the researcher to “reconcile evidence across cases, types of data and different investigators, and between cases and the literature” (p.546). The definition of a case study by Gerring (2004) also implies that insights based on a single case study can be used to support wider conclusions; he identifies a case study as “an intensive study of a single unit for the purpose of understanding a larger class of (similar) units” (p.342). Although their discussion is specific to design research, Teegavarapu and Summers (2008), take a different view by arguing that “the aim of a case study is not to propose a theory that is universally valid, but to arrive at a theory that is valid for the set of propositions” (p.6). Thus the strategies for which case studies can be used in social research are highly varied.
3.3.5 Case study design for this research
In this research the case study comprises design projects relating to a strategic challenge regarding UK social investment policy. The design projects were commissioned by the Social Investment & Finance Team in the UK Cabinet Office between 2014-2017, to make UK social investment more accessible to UK social organisations such as charities and social enterprises.
The researcher's professional involvement was an important factor in the selection of this case study. However, longitudinal instances of design and policymaking are still rare and as such there is a limited pool of relevant projects for a case study, meaning that the case is of intrinsic interest. In addition, the proximity enabled by professional involvement facilitated access to the case study, particularly in the confidential environment of policymaking. A summary of the case study is provided below at Fig. 3.3.
Fig. 3.3: Summary of the social investment case study
Name Date Organisations Project description Contribution to research Case study
To develop the case study, a framework proposed by Yin (2009) was used. Yin describes his research design as a “blueprint for the research” (p.26). Although this research does not adhere to the positivist or realist view Yin espouses, he offers a useful template - adapted in Fig. 3.4.
Fig. 3.4: Case study design for this research (adapted from Yin, 2009, pp.27-35) Component of research design Explanation
Research questions ● RQ1: What is the current state of design activity in
strategic contexts in public and civic sector organisations?
● RQ2: How can this design activity in strategic contexts be framed and understood?
● RQ3: What are the strengths and limitations of current design activity in these strategic contexts?
Unit of analysis The unit of analysis for the case study was a policy design project. Further criteria for selecting the project were:
- Taking place in a strategic public or civic sector setting.
- Commissioned by a policy or strategic team to designers.
- Covering the full duration of design work.
- Encompassing the experience of designers and commissioners.
- Accessible to the researcher through professional work.
Logic linking data to propositions The analytic category used to assess the case study is a descriptive. The case study was written up in full and an explanation of the process and findings was created, this was then integrated with the other data from the survey project and qualitative interviews (Yin, 2009 pp.127-154).
Criteria for interpreting findings The case study in this research is largely illustrative.
Descriptions were built and key evidence taken into account, rival theories were not developed.
3.3.6 Collecting the case study data
The case study research deployed interviews, document analysis and observation. The methods are outlined in Fig. 3.5 below and the interview sample for the case study is at Fig. 3.6.
The case study interviews are referenced as ‘CS1, CS2, or CS3’ in the data analysis chapters.
Fig. 3.5: Research methods deployed in the case study
Method How?
In-depth qualitative interviews Interviews conducted for this research with 2 policy
commissioners and 1 designer involved in the design projects.
Practice-led research The researcher was embedded full time as part of the project team and led the design work, from 2015-2017.
Document analysis Analysis of extensive relevant policy and project documents.
Fig. 3.6: Interview sample for the case study
Code Job title Org Org Type Location Design Role Training
The analysis of case study data can adopt different approaches including “descriptive, thematic and content analysis, and triangulation” (Harrison et al. p.7). Approaches to analysing the case study data in for research are discussed in Section 3.6 below.
3.3.7 Advantages and disadvantages of the case study approach
The strengths of case studies include the potential for the approach to be deployed to analyse real-world phenomena in considerable depth. As Merriam (2009) highlights, case studies allow a topic of research to be viewed from different perspectives without discounting difference and ambiguity. She argues “it is precisely because case study includes paradoxes and acknowledges that there are no simple answers, that it can and should qualify as the gold standard” (p.53). However, as Silverman (2005) notes case studies can come under criticism for the difficulty in generalising from the results (p.125).