THE CASE STUDY PROTOCOL

The case study protocol defines the procedures and general rules to be followed using the protocol which is different from a survey questionnaire” (Yin, 2009, p. 79). The case study protocol and a survey questionnaire are both directed at a single data point, whether it’s a single case or a single respondent (Yin, 2009). A case study protocol is always needed when

performing a multiple-case study (Yin, 2009). The protocol is a major way of increasing the

reliability of case study research and is intended to guide the researcher in carrying out data

collection from a single case (Yin, 2009). A case study protocol should have at least the following sections (Yin, 2009, p. 81):

1. Overview of the case study project (project objectives and auspices, case study issues, and relevant readings about the topic being investigated).

2. Field procedures (presentation of credentials, access to the case study “sites”, language pertaining to the protection of human subjects, sources of data, and procedural reminders).

3. Field procedures (the specific questions that the case study must keep in mind in collecting data, “table shells” for specific arrays of data, and the potential sources of information for answering each question …).

4. Investigator guide for the case study report (outline, format of the data, use and presentation of other documentation, and bibliographical information).

The importance of the protocol helps the researcher to remain focused on the topic and problem areas. This intuitive knowledge of the context and perspective will guide the researcher in the search for supporting information. By writing an overview of the case study, the researcher allows potential knowledge seeker to capitalize on the products of the case study and understand beforehand, the intent and depth of the case study research. There are also potential guidelines for field procedure. A researcher’s “field procedure of the protocol need to emphasize the major tasks in collecting data, including gaining access to key organizations or interviewees” (Yin, 2009, p. 85):

1. Having sufficient resources while in the field – including a personal computer, writing instruments, paper, paper clips, and a pre-established, quiet place to write notes privately.

2. Developing a procedure for calling for assistance and guidance, if needed, from other case study investigators or colleagues.

3. Making a clear schedule of the data collection activates that are expected to be completed within specified periods of time.

4. Providing for unanticipated events, including changes in the availability of interviewees as well as changes in the mood and motivation of the case study investigator.

“The heart of the protocol is a set of substantive questions reflecting your actual line of inquiry” (Yin, 2009, p. 86). Each question should be “posed to you, the investigator, not to an

interviewee” and linked to a source of evidence (Yin, 2009, p. 86). Each question of this protocol should reflect a specific type/level potentially categorized by Yin’s five levels of questions below (Yin, 2009, p. 86):

1. Level 1: question asked of specific interviewees.

2. Level 2: questions asked of the individual case (these are the questions in the case study protocol to be answered by the investigator during a single case, even when the single case is part of a larger, multiple-case study).

3. Level 3: questions asked of the pattern of findings across multiple cases.

4. Level 4: questions asked of the entire study – for example, calling the information beyond the case study evidence and including other literature or published data that may have been reviewed.

5. Level 5: normative questions about policy recommendations and conclusions, going beyond the narrow scope of study.

“The questions should cater to the unit of analysis of the case study, which may be at a different level from the unit of data collection of the case study” (Yin, 2009, p. 88). “The common

confusion begins because the data collection sources may be individual people (e.g., interviews with individuals), whereas the unit of analysis of your case study may be a collective (e.g., the organization to which the individual belongs) - a frequent design when the case is about the organization, community, or social group” (Yin, 2009, p. 88). Table 6 below illustrates design verses data collection using different units of analysis:

Individual behavior Individual attitudes Individual perceptions

Individual employee records Interview with individual’s supervisor; other employees

How organization works

Why organization works Personnel policiesOrganization outcomes

Abo ut a n indi vidua l Abo ut a n or ga ni za tion De sig n

From an individual From an organization

Data Collection Source

Table 6: Design verses Data Collected

Table 6 above, Design verses Data Collection, helps the researcher to identify exactly what data is desired and ensures parallel information is collected from different sites as during a multiple case study (Yin, 2009, p. 89). The researcher should include an outline in the protocol to guide

in the collection, presentation, and formatting of data (Yin, 2009). This rigor allows other researchers to follow the case (Yin, 2009). The researcher may choose a pilot case to discover unforeseen issues or challenges (Yin, 2009). The protocol helps align the researcher’s data collection efforts.

The case study protocol defines the procedures and general rules to be followed using the protocol (Yin, 2009). Yin (2009) reminds the researcher that the protocol is a major way of increasing the reliability of case study research and is intended to guide the researcher in carrying out data collection from a single case. The case study protocol should contain at minimum the following sections (Yin, 2009): (1) Overview of the case study project; (2) Field procedures (credentials); (3) Field procedures (questions); and (4) a form of investigator guide for the case study report. The importance of the protocol helps the researcher to remain focused on the topic and problem areas. Design verses Data Collection helps the researcher to identify exactly what data is desired and ensures parallel information is collected from different (Yin, 2009). The case study protocol is used in the collection of case study evidence as described in the next section.