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Embedded
-> INTEGRATING
- QUANTITA WE AND
/ QU/\LITATK/E
,, / , KNOWLEDGE
ethods

Roland W Scholz
OlafTietje
Embedded
Öse
Study
Methods
Embedded
INTEGRATING
TlTATlVE AND
QUALITATIVE:
KNOWLEDGE
S

RolandW Scholz W

Sage Publications
International Educational and Professional Pubitsher
Thousand Oaks London = New Delhi
Copyright 0 2002 by Sage Publications, Inc.
All rights reserved. No part of this book may be reproduced or utilized in any form or by
any means, electronic or mechanical, including photocopying, recording, or by any infor-
mation storage and retrieval system, without permission in writing from the publisher.

For information:
Sage Publications, Inc.
2455 Teller Road
Thousand Oaks, California 91320
E-mail: [email protected]
Sage Publications Ltd.
6 Bonhill Street
London EC2A 4PU
United Kingdom
Sage Publications India Pvt. Ltd.
M-32 Market
Greater Kailash I
New Delhi 110 048 India
English text by assistance of Daniela Urbatzka and Laura Cohen
Illustrations by Sandro Boesch
Printed in the United States of America
Library of Congress Cataloging-in-Publication Data
Scholz, Roland W.
Embedded case study methods: Integrating quantitative and qualitative
knowledge / by Roland W. Scholz and Olaf Tietje.
p. cm.
Includes bibliographical references and index.
ISBN 0-7619-1945-7 (c) -ISBN 0-7619-1946-5 (p)
1. Research-Methodology. 2. Case method. I. Tietje, Olaf.
11. Title.
Q180.55.M4 S365 2002
001.4’ 32-dc21 2001002910
This book is printed on acid-free paper.

02 03 04 05 06 7 6 5 4 3 2 1

Acquisition Editor: C. Deborah Laughton

Editorial Assistant: Veronica Novak
Production Editor: Sanford Robinson
Editorial Assistant: Kathryn Journey
Typesetter: Janelle LeMaster
Indexer: Molly Hall
Cover Designer: Ravi Balasuriya
 CONTENTS

List of Boxes, Figures, and Tables ix

1. Introduction 1
Methods of Knowledge Integration 3
Embedded Case Studies for Complex,
Contextualized Problems 3
Historical Landmarks 4

Part I
Case Study Design and Synthesis

2 . Types of Case Studies 9

Design 9
Motivation 11
Epistemological Status 11
Purpose 12
Format 12
Data Collection and Methods of Knowledge
Integration 13
3. The Use of Case Studies in Different Disciplines 15
Neurops ycholog y 15
Educational Sciences 19
Law 22
Business 23
Environmental Sciences 25

4. The Architecture of Knowledge Integration

in Embedded Case Studies 29
The Architecture of Embedded Case Studies 30
Strategies of Synthesis 31
The Brunswikian Lens Model 36
Types of Knowledge Integration 40

5. The ETH-UNS Case Study Zurich North 45

The Zurich North Case 46
Case Prospects and History 48
Understanding the Case 52
Faceting the Case for Embedded Case Design 55
Constraints of the Study 56
Organizing the Study 57

Part II
Methods of Knowledge Integration
6. Overview 63

7. The Methods in Brief 65

8. How to Choose the Right Method 71

Part 111
The Methods in Detail
9. Formative Scenario Analysis 79
The Rationale 79
The Method in Detail 84
10. System Dynamics 117
The Rationale 117
The Method in Detail 127

11. Multi-Attribute Utility Theory 143

The Rationale 143
The Method in Detail 150

12. Integrated Risk Management 175

The Rationale 175
Incorporating Different Perspectives 184
The Method in Detail 186

13. Mediation: Area Development Negotiations 197

The Rationale 197
The Method in Detail 207

14. Future Workshops 225

The Rationale 225
The Method in Detail 232

15. Experiential Case Encounter 24 1

The Rationale 24 1
The Method in Detail 244

16. Synthesis Moderation and Group Techniques 247

The Rationale 247
The Method in Detail 253

17. Material Flux Analysis 271

The Rationale 271
The Method in Detail 277

18. Life Cycle Assessment 285

The Rationale 285
The Method in Detail 291

19. Bio-Ecological Potential Analysis 305

The Rationale 305
The Method in Detail 314
 Part IV
Validation Perspectives
20. The Validation of Embedded Case Studies 331
The Rationale 331
Validation of Embedded Case Studies:
A Practical View 347

References 351
Index 379
About the Authors 391
 LIST OF BOXES,
FIGURES, AND TABLES

Boxes ~~

Box 2.1 Using Multiple Sources of Data and Evidence 14

Box 3.1 Novelistic Case Descriptions for Exploratory,

Descriptive, and Explanatory Case Studies 17
Box 3.2 Synthesis Moderation 24
Box 3.3 Groundbreaking Case Studies for Ill-Defined Problems 26
Box 5.1 Experiential Case Encounter 54
Box 7.1 Types of Knowledge Integration in Case Study Methods 68
Box 9.1 Sufficiency in Case Modeling and Evaluation 83
Box 9.2 Dependent and Independent Variables 87
Box 9.3 Key Definitions in Formative Scenario Analysis 89
Box 9.4 Structuring the Case Through an Impact Matrix 96-97
Box 9.5 Novelistic Case Description of the Scenario
Polarization of the Zurich North Shell Scenarios 111
Box 9.6 Cross-Impact Analysis: Can We Access the
Probability of Future Developments of a Case? 112
Box 10.1 The General and the Specific:
System Dynamics in Case Analysis 121

Box 10.2 Key Definitions for System Dynamics and Its

Relation to Formative Scenario Analysis 134
Box 10.3 Causal Feedback Loops 136
Box 11.1 Formal Definition of the Multi-Attribute Utility
Situation 151
Box 11.2 Techniques of Inquiry 158-159
Box 11.3 The Relation Between Evaluation and Utility 166
Box 11.4 Special Features of Multi-Attribute Software 167
Box 12.1 Formal Definition of Risk Situations 176
Box 12.2 Risk Functions 180-181
Box 12.3 How to Measure Risk and Subjective
Probabilities 194-195
Box 13.1 Malignant and Benign Conflict Structures 203-204
Box 13.2 Key Definitions for Decision-Theoretic
Situation Analysis 205
Box 13.3 Solutions for Malignant Conflicts 224
Box 14.1 Intuitive and Analytic Modes of Thought 233
Box 16.1 Moderator Responsibilities in Embedded
Case Studies 252
Box 16.2 On the Role of Goal Formation 253
Box 16.3 Focus Groups 263
Box 18.1 Life Cycle Inventory Calculation 295
Box 19.1 Basic Biocybernetic Rules 313
Box 19.2 The Evaluation of Well-Structuredness 324-325
Box 20.1 Variants of Validity 336-337
Figures
Figure 4.1 Architecture of Knowledge Integration in
Embedded Case Studies 30

Figure 4.2 The Brunswikian Lens Model in Its Original Shape 37

Figure 4.3 The Brunswikian Lens Model in Its Basic Shape 39

Figure 5.1 Maps and Overhead Photo of the Zurich North Site 47

Figure 5.2 Aerial View of the Zurich North Site 49

Figure 5.3 Model of the Project 51

Figure 5.4 Pictures About the Zurich North Case History 53

Figure 5.5 The Six Facets (Synthesis Groups) of the

Zurich North Site 56

Figure 5.6 The Three Phases of an ETH-UNS Case Study 58

Figure 5.7 Agent Analysis in the ETH-UNS Case Study 59

Figure 8.1 Road Map of the Methods of Embedded

Case Studies 74

Figure 9.1 The Scenario Trumpet Metaphor 81

Figure 9.2 The Brunswikian Lens Model for a Formative

Scenario Analysis 82

Figure 9.3 The Nine Steps of Formative Scenario Analysis 84

Figure 9.4 Construction of Scenarios on Different Scales 85

Figure 9.5 Excerpt from the Impact Matrix of the

Synthesis Group “Urban Development
of the Greater Zurich Area” 93

Figure 9.6 A System Grid of the Activity and

SensitivityIPassivity Scores 99

Figure 9.7 A System Graph of the Impact Matrix of the

Zurich North Shell Scenario 101
Figure 10.1 The Brunswikian Lens Model for System Dynamics 123

Figure 10.2 System Dynamics Levels 128

Figure 10.3 Techniques for Conceptualizing and Representing

the System Model 133

Figure 10.4 Causal Loop Diagram for a Population Model 137

Figure 10.5 Example for Data Use in the World3 Model:

Data From Global Statistics and Their
Approximation 138

Figure 11.1 Construction of the Overall Utility of an

Alternative 147

Figure 11.2 The Brunswikian Lens Model for Multi-Attribute

Utility Theory 147

Figure 11.3 Application of Multi-Attribute Utility Theory in

the Synthesis Group Parks and Green Areas 157

Figure 11.4 Overall Objective, Subgoals, and Attributes in

the Synthesis Group Contaminated Soil 161

Figure 11.5 Schematic Representation of the

Contaminated Zone (C) With Precipitation (P),
Leaching ( L )to the Groundwater ( GW), and
Inflow (I)and Outflow (0) 164

Figure 11.6 Example of Utility Functions as Used in

the Evaluation of the Synthesis Group
Contaminated Soil 164

Figure 11.7 Hypothetical Alternatives for Hypothetical Cars

as Presented by the MAUD Program 169

Figure 11.8 Results of the Multi-Attribute Utility Evaluation 172

Figure 12.1 Egg Graphic of Risks as Investigated by Slovic 184

Figure 12.2 The Brunswikian Lens Model of Integrated Risk

Management 187
Figure 12.3 A Semiquantitative Model for Integrated Risk
Management 191

Figure 12.4 Representation of the Risk Management Model

for the Zurich North Soil Remediation Case 192-193

Figure 13.1 ADN Within the Display of the Brunswikian

Lens Model 198

Figure 13.2 The Relationships Between Four Types

of Activities and Research in Mediation,
Arbitration, Negotiation, and Bargaining
Related to Case Analysis 200

Figure 13.3 The Planning Project Developed by the Owners 208

Figure 13.4 Grouping of the Participants in the Area

Development Negotiations on the SEW Site 212

Figure 13.5 The Six Stations of the SEW Exploration Parcours 214

Figure 13.6 Sociogram Between the Four Groups 219

Figure 13.7 A Main Orientation of the Interest Groups at the

SEW Site and the Essence of the Conflict Structure 220

Figure 13.8 The Discourse of ADN With Representatives 223

Figure 14.1 Sample Location and Spatial Arrangement of the

Room in Which a Future Workshop Takes Place 229

Figure 14.2 Brunswikian Representation of Future Workshops 230

Figure 14.3 Integration of the Intuitive and Analytic

Modes of Thought at Any Stage of the Project 23 1

Figure 16.1 Group Techniques and Project Management as

Parts of Synthesis Moderation 24 8
Figure 16.2 Prerequisites to Moderation 255
Figure 16.3 Impact of Seating Arrangements on Conversation 256
Figure 16.4 A Typical Procedure for a Synthesis Group 25 8
Figure 16.5 Determining the Landmarks of the Case Study 266
Figure 16.6 Prototypical Schema for the
Architecture of a Synthesis 268
Figure 17.1 Brunswikian Lens Model for the Material
Flux Analysis 275
Figure 17.2 Overview of Material Fluxes Induced by the
Renewal of the Ententeich Building vs.
Its Total Demolition and New Construction 278
Figure 17.3 Comparison of Fictitious Material Fluxes for
the Two Variants Renewal and Total Demolition
and New Construction 280
Figure 17.4 Transfer Coefficients k, to k, Partition the
Educt (Input) of a Process Into Different Products 283
Figure 18.1 The Formal Model of the LCA 288
Figure 18.2 Phases of an LCA Due to IS0 14040 292
Figure 18.3 Brunswikian Lens Model for the LCA 299
Figure 19.1 Core Elements Constituting an Ecosystem in
Bio-Ecological Potential Analysis 308
Figure 19.2 Evaluation Criteria Used in a Bio-Ecological
Potential Analysis 310
Figure 19.3 Relationships Between Productivity and
Performance 315
Figure 19.4 Illustration of the Buffer Capacity b, 319
Figure 19.5 Illustration of Change Rates by Example 320

Figure 19.6 Input-Output Analysis as a Tool for Analyzing

the Dependence of the Case on Other Systems 327
Figure 20.1 The Perception and Judgment Paradigm of
Probabilistic Functionalism 340

Figure 20.2 Validity Issues in Embedded Case Studies 341

Tables
Table 2.1 Dimensions and Classifications of Case Studies 10

Table 5.1 Constraints and Number of Participants in

the ETH-UNS Case Study Approach 57

Table 8.1 Key Questions for Methods of Knowledge

Integration in Embedded Case Studies 72

Table 9.1 Cutout of the Zurich North Plus-Minus Analysis 88

Table 9.2 Impact Variables From the Zurich North Case Study 90

Table 9.3 Activity Ranking of All Variables in the Zurich

North Case Study 98

Table 9.4 Excerpt of the Consistency Matrix for the

Zurich North Scenario Analysis 107

Table 9.5 The Schema of a Consistency Spreadsheet

After Consistency Assessment 109

Table 9.6 Spreadsheet of Scenario Selection 109

Table 10.1 Important Aspects of System Dynamics Modeling 129

Table 10.2 Differences Between the Matrix of a Linear,

Homogeneous Dynamic System and the Impact
Matrix Defined in Chapter 9 135

Table 11.1 Characteristics of the Multi-Attribute

Utility Applications in Different Study Teams in
the Zurich North Case Study 152

Table 11.2 A Portion of the Alternatives vs. Attributes Matrix 163

Table 11.3 Example of a Pairwise Comparison Matrix

According to the Analytical Hierarchy Process for
the Evaluation of Contaminated Sites 170

Table 13.1 Stations, Objects Encountered, and Data of the

Exploration Parcours 217
Table 13.2 Mean Ranks of Intuitive Ranking (v,) and
of Variant Preferences According to
MAUD ONE(v,)and MAUD TWO (v,) 218

Table 16.1 Instruments for Exchanging Information and

Knowledge Integration in Groups 261-262

Table 17.1 Matrix Representation of the Material Fluxes

for the Variant Renewal of the Ententeich 281

Table 17.2 Matrix Elements ti,j,Y ~ , ~and

, eh,,Quantifying the
Material Fluxes Between the Processes, the Inputs
Into the System, and the Output From the System 292
 INTRODUCTION

w h a t , exactly, are case studies? First, we need to define a case. A case

could be a university department, a railway company, a city, or even a
child. A case is considered from a specified perspective and with a special
interest. It is unique, one among others (Stake, 1995, p. 2), and always
related to something general. Cases are empirical units, theoretical con-
structs (Ragin, 1992), and subject to evaluation, because scientific and
practical interests are tied to them. They are used for purposes of demon-
stration and learning, both in education and in research.
The Department of Environmental Sciences at the Swiss Federal Insti-
tute of Technology (ETH Zurich), with which we are currently affiliated,
can become a case. The curriculum is unique because it radically follows a
system approach. The leading questions for a case study at ETH Zurich
could be, Which students and professors are attracted to the program?
How is learning organized? How are the outcomes (i-e., the students’ per-
formances) to be evaluated?
The Italian Railway Company may serve as a case, too. The culture and
geography of Italy are unique. So is the mobility behavior-currently, It-
aly has the second highest number of cars per capita among the larger Eu-
ropean countries. Because railway transportation in Italy is not as devel-
oped as in other countries, a case study could be organized from the
perspective of whether the railway system has any future.

1
2 EMBEDDED CASE STUDY METHODS

Consider,Las Vegas as a case: This city could certainly become subject

to research under many perspectives. Besides business, civilization, and
social issues, Las Vegas is of interest from an environmental point of view.
Civil engineering in Las Vegas is exceptional because it affords highly arti-
ficial water management in a rapidly growing desert city.
This book presents methods for embedded case studies. In an embed-
ded case study, the starting and ending points are the comprehension of
the case as a whole in its real-world context. However, in the course of
analysis, the case will be faceted either by different perspectives of inquiry
or by several subunits, and the book presents different methodological
approaches to organizing this faceting process. We will use the power of
the system approach in order to apply methods, which allow a scientific
treatment of complex cases in a way that also will be acknowledged by the
quantitative research community. We emphasize that a qualitative analy-
sis starting from the real-world level is an indispensable part of case analy-
sis. Thus, this book bridges the gap between two camps-quantitative
and qualitative approaches to complex problems when using the case study
methodology. For a scientifically sound, effective, and efficient study of
cases such as those mentioned earlier, the following methods are needed:
1. Case representation and modeling methods to characterize the case
and analyze its current problems and its development
2. Case evaluation methods to select one alternative that we prefer
over the others, taking into consideration everything we definitely
know about the case, what we consider uncertain, and what we
want to risk for the case
3. Case development and transition methods for creating alternatives
4. Case study team methods for enhancing personal experience re-
lated to the case and solution-finding performance

As a fifth category, we present specific methods to analyze and assess

the case that are from our specific professional background (environmen-
tal sciences). These methods may be required depending on the case and
on the perspective of the investigation.
In this book, we attempt to describe the methods and to explain their
effectiveness for knowledge integration within the embedded case study
design. We offer a generally applicable scientific methodology for con-
ducting embedded case studies and present an example of a case study in
Introduction 3

urban planning. The example requires, and the methodology enables, the
integration of very different kinds of knowledge in a complex manner.

METHODS OF KNOWLEDGE INTEGRATION

We believe that case study skepticism arises when knowledge integration

in case studies is arranged in a nontransparent manner. Most case studies
require the integration of data and knowledge from various sources.
Many case studies are conducted in order to improve action and make
better decisions. Thus, integrative evaluation-an evaluation that inte-
grates viewpoints from such diverse disciplines as ecology, economics,
and sociology-is a crucial component of case studies. Because of the
complexity of many cases, studies are conducted frequently by teams.
This is especially true with embedded case studies (Yin, 1989, 1994),
which apply multiple methods for data generation. Until now, however,
few methods have been proposed for organizing the integration and the
synthesis of data and of knowledge provided by diverse sources, includ-
ing, for example, participants in a case study. This will be the focus and
objective of this book. We will provide a methodology and a set of meth-
ods for, as well as examples of, knowledge integration.
When presenting examples, we will refer mostly to problems of urban
and regional development that have been shaped by environmental issues.
As will become clear with the introduction of the methodology (see Part I:
Case Study Design and Synthesis), both the general methodology and the
toolkit of methods can be applied in many disciplines.
The methods provide scientific procedures for integrating knowledge,
particularly in case studies, that rely on both qualitative and quantitative
research methods. These methods help increase the transparency, and
particularly the reliability and objectivity, of a case study. By doing so, the
likelihood increases that another person who applies the case study meth-
ods will end up with the same or similar conclusions.

EMBEDDED CASE STUDIES FOR

COMPLEX, CONTEXTUALIZED PROBLEMS

Case studies have been used for teaching and research in many disciplines
for many decades. Despite this, the case study approach is still viewed
4 EMBEDDED CASE STUDY METHODS

with much skepticism. This is particularly true regarding the use of case
studies as a research methodology. In many disciplines, the phrase “case
study” is considered a label for bad research or for studies without design.
However, a closer look reveals that the specific use of case studies in
various disciplines is extremely dependent on the type of problem treated
and on the discipline. The more complex and contextualized the objects
of research, the more valuable the case study approach is regarded to be.
Thus, the use of case studies is becoming an increasingly respected re-
search strategy in the following areas:

Policy and public administration research

Community sociology
Management studies
Branches of psychology and medicine, particularly neuropsychology
Educational sciences
Planning sciences
Civil engineering
Environmental sciences

Most of the time, the case study approach is chosen in research fields
where the biographic, authentic, and historic dynamics and perspectives
of real social or natural systems are considered. Using our approach of
knowledge integration, the embedded case design is appropriate to orga-
nize different types of knowledge, such as different stakeholder or disci-
plinary perspectives. As this book reveals, this idea holds true in a
prototypical way for environmental sciences, which addresses the quality
of environmental systems and their relationship to social systems.

HISTORICAL LANDMARKS

Case studies have had a variety of applications throughout history. The

French sociologist Le Play (1855) used them as a traditional research
method. They were used in community sociology by scholars such as
George H. Mead to explore family and worker sociology (also see Whyte,
1943),and they have also been instrumental in cultural anthropology (see
LCvi-Strauss, 1955; Mead, 1923). Within the Chicago school, the case study
approach was first and foremost motivated and expressed “through the
Introduction 5

primary object involved in the case studies conducted there, the social
problems provoked by urbanization and immigration” (Hamel, Dufour,
& Fortin, 1993, p. 15).This case study approach clearly acknowledged
that the complexity of the problems to be studied not only requires a
decomposed, variable-oriented, quantitative approach, but also depends
on the individual case and its understanding (Abbott, 1992).
Case studies may be both descriptive and explanatory (see Yin, 1989,
1994, p. 16).They are often used as a pragmatic research tool in order to
understand thoroughly the complexity of a given problem and to support
decision making. Because problems do not usually end at disciplinary
borders, case studies often require an interdisciplinary approach and
teamwork.
Various monographs deal with crucial issues for case studies:

Principles and designs of case study research (Yin, 1989, 1994)

Definitions and examples of case studies (Yin, 1993)
Recommendations for case study students, teachers, and researchers
(Ronstadt, 1993)
Perspectives on new types of theory-practice relationships for in-
volving practitioners in the process of knowledge integration in case
studies (Stake, 1995)

Furthermore, the case study approach is considered valuable as a

teaching strategy in many fields. In business, for example, it provides stu-
dents with valuable insights for making sound, highly skilled decisions in
administrative affairs (see Barnes, Christensen, & Hansen, 1994).
Although skepticism abounds, case studies-particularly embedded
case studies-are considered an appropriate approach to real, complex,
current problems that cannot be treated simply by one of the known ana-
lytic methods, such as experiment, proof, or survey.
CASE STUDY DESIGN
AND SYNTHESIS
 TYPES OF CASE STUDIES

T h e case study approach presented is an empirical inquiry that investi-

gates a contemporary problem within its real-life context. Understanding
the problem and its solution requires integrating a myriad of mutually
dependent variables or pieces of evidence that are likely to be gathered at
least partially by personal observation.
Although a common definition of case studies exists, one may encoun-
ter various types of case studies (see Table 2.1).In order to make clear to
which type of case study the introduced methods of knowledge integra-
tion should be applied, we will briefly describe different types of case
studies. A detailed review of case studies is given by Yin (1994).

DESIGN
Holistic Versus Embedded

A crucial distinction must be made between holistic and embedded

case studies (Yin, 1994, p. 41). A holistic case study is shaped by a thor-
oughly qualitative approach that relies on narrative, phenomenological
descriptions. Themes and hypotheses may be important but should re-
main subordinate to the understanding of the case (Stake, 1976, p. 8).
Embedded case studies involve more than one unit, or object, of analy-
sis and usually are not limited to qualitative analysis alone. The multi-
9
10 CASE STUDY DESIGN AND SYNTHESIS

Table 2.1 Dimensions and Classifications of Case Studies

Dimensions Classifications

Design Holistic or embedded

Single case or multiple case

Motivation Intrinsic or instrumental

Epistemological status Exploratory, descriptive, or explanatory

Purpose Research, teaching, or action/application

Data Quantitative or qualitative

Format Highly structured, short vignettes

Unstructured or groundbreaking

Synthesis Informal, empathic, or intuitive

Formative or method driven

plicity of evidence is investigated at least partly in subunits, which focus

on different salient aspects of the case. In an organizational case study, for
example, the main unit may be a company as a whole, and the smallest
units may be departments or even groups of individuals, such as owners
and employees. In a clinical, neuropsychological case study, the units may
be organized along biographically critical events in the childhood or the
vocational world of the case. In case studies on regional or urban plan-
ning, the units may be different interest groups that are involved or af-
fected by the project.
Note that an embedded case study allows for a multiplicity of methods
that may be applied within the subunits. Thus, hypotheses may be formu-
lated, quantitative data sampled, or statistical analyses applied (see Bortz
& Doring, 1995; Campbell & Stanley, 1963).As the title of the book sug-
gests, this book presents methods of embedded case studies (seePart 111).

Single Case Versus Multiple Case

Another design characteristic of a case study is whether the design is

single case or multiple case. There may be different reasons for choosing a
Types of Case Studies 11

single-case design. A case may be considered unique, prototypical, salient,

or revelatory to the understanding of a phenomenon or problem. Analo-
gous to Newton’s experimentum crucis, it may even be the critical case in
testing a well-formulated theory. Although there is no common under-
standing of how to integrate separate single-case studies into a joint
multiple-case design, it is most important to note that the synthesis pro-
cess between the single cases does not follow a statistical sampling ratio-
nale. As Yin (1994) notes, “Every case should serve a specific purpose
within the overall scope of inquiry. Here, a major insight is to consider
multiple cases as one would consider multiple experiments-that is, to
follow a ‘replication’ logic” (p. 45).

MOTIVATION

The case study researcher often feels intrinsically motivated to investigate

a certain case for nonscientific reasons. This may hold true for a new type
of educational or public health program, or a specific project in urban
development. If there is intrinsic interest, the study team usually takes
responsibility and is accountable for the analysis and its consequences
(see Gibbons et al., 1994). But if the objective of the study is something
other than understanding the particular case, then the inquiry is an instru-
mental case study.
To illustrate the difference between these types of studies, consider the
characters of two different physicians. A physician with an intrinsic moti-
vation is personally interested in and feels responsible for the patient. A
physician with an instrumental motivation is primarily interested in using
anamnestic and laboratory data to further scientific or financial objec-
tives, and is less interested in the case itself.

E PISTEM0LOGICA L STATUS

The label case study is most frequently associated with the exploratory
case study. It usually precedes a final study, which can, itself, be a case
study, but it can also have a different research design (Boos, 1992).
Exploratory case studies help to gain insight into the structure of a phe-
nomenon in order to develop hypotheses, models, or theories. An explor-
atory study very much resembles a pilot study; the research design and
data collection methods usually are not specified in advance.
12 CASE STUDY DESIGN AND SYNTHESIS

A descriptive case study differs from an exploratory study in that it uses

a reference theory or model that directs data collection and case descrip-
tion. In some respects, a descriptive case study tests whether and in what
way a case may be described when approaching it from a certain perspec-
tive. Many Formative Scenario Analyses may be considered typical of this
type of study (see Chapter 9).
Explanatory case studies can also serve to test cause-and-effect rela-
tionships. Clearly, according to conventional understanding of theory
testing, a single case can only falsify a theory. However, a case may also be
used for theory testing, either if the case is used for quantitative data sam-
pling (see Petermann, 1989), or, in a replication logic, if the research team
investigates “whether similar causal events-within each case-produce
these positive outcomes” (Yoon & Hwang, 1995, p. 12). Note that the
theory testing is done in a qualitative manner. However, as in traditional
hypothesis testing, specifications for the cause-impact chain have to be
formulated before case analysis.

PURPOSE

A case study may be used as a method of research, teaching, or action/

application. For instructional purposes, case studies are commonly used
in business, law, and medical schools. The case encounter quite often
changes the traditional educational approach into a discussion pedagogy.
Thus, the case method is a variation on the Socratic method, which is
another name for proactive interaction between teachers and students
(Ronstadt, 1993). Unfortunately, when teaching by case studies (see
Barnes et al., 1994),the primacy of data and of situation analysis is often
not respected as a principle. This is due to the fact that a prepared, written
case offers only limited access to data, and, therefore, teaching case stud-
ies are based on a virtual process of case analysis.

FORMAT

Several basic formats for case studies exist (Ronstadt, 1993, pp. 17-18).
The first two types are teaching cases and are always provided in written
form.
Types of Case Studies 13

Highly structured cases: The problem is well ordered, and the facts
are provided in a written, condensed way. The case looks like a mathe-
matical textbook problem. A “best solution” often exists, and one is ex-
pected to treat the case using known methods.
Short vignettes: The case is well structured, has little excess informa-
tion, and covers just a few pages. A best solution does not usually exist in
the sense of a right or wrong answer. Often, the case is a prototype or dem-
onstrates a key concept.
Unstructured cases: In many complex cases, no best solution can be
found. However, a preferred practice or even theory may exist. If the case
is in writing, information about the situational context is necessary to
structure the case and propose solutions. Real cases, per se, are of a lim-
ited problem scope. For instance, a patient with backache can be taken as
a medical case. There can be various reasons for the backache, but the
range within which rational solutions or explanations are sought is small.
Although in the beginning, backache is a diffuse and unstructured phe-
nomenon, the experienced doctor will try to structure the case by asking
the patient about possible physical and behavioral causes.
Groundbreaking cases: The case provides new terrain for the study
team. The situation is totally new, and little, if any, knowledge exists that
has been gained through structured research. The case team has to structure
the case and formulate a specific perspective or theoretical framework.

DATA COLLECTION AND METHODS

OF KNOWLEDGE INTEGRATION

In principle, each case study should use multiple sources of information.

All methods should employ direct and participant observations, struc-
tured interviews, and surveys, and they can also include experimental
design, focused interviews, open-ended interviews, archival records, doc-
uments, and scientific data from field and laboratory (see Box 2.1). (A
detailed description of data gathering is given in Yin, 1994, p. 93, and
Stake, 1995, p. 49.)This remains true regardless of case design. The main
distinction for case studies is whether they have a holistic or embedded
design.
Knowledge integration within a holistic design is ruled almost exclu-
sively by the principles of qualitative research. The synthesis process is
 14 CASE STUDY DESIGN AND SYNTHESIS

I
Using Multiple Sources of Data and Evidence
In all phases of the case, a wide variety of data from different sources have to
be integrated (Yin, 1994, p. 91 ). The source and type of data depend on the
case and its nature.
Documents, archival records, and open-ended interviews are typical
sources used in the beginning of most studies. In an embedded case design,
structured or focused interviews are often used, but this design also allows
for surveys, questionnaires, and even the sampling experimental data. In
neuropsychological or environmental case studies, laboratory data or simu-
lation studies are also helpful in gaining insight into the case. The following
figure illustrates the potential sources of evidence and techniques for data
sampling that can be integrated in case analysis.
Focused
Open-ended interviews Structured
interviews interviews
Achival \ I / Direct

/
Other sampling
techniques
Simulation
studies
/ 1
Experiments
LweYs \
Participant
observation

informal (avoiding reductionism and elementalism), empathic, and

mostly intuitive. Thus, the research report is narrative in nature.
The embedded case design allows for both qualitative and quantitative
data and strategies of synthesis or knowledge integration. The methods
provided in Part I11 of this volume may be used to interrelate and integrate
the variables, findings, evaluations, and so on from the various facets of
the case or subunits of case inquiry. Thus, the methods of knowledge inte-
gration help explain the data under consideration, thereby making data
and inferential processes more transparent. The global statements and
conclusions are usually derived by an intuitively qualitative process based
on both experiential understanding and a more or less formative synthesis
process that is supported by the methods introduced.
 THE USE OF CASE STUDIES
IN DIFFERENT DISCIPLINES

w e want to provide insight into the use of case studies in neuropsy-

chology, education, business, law, and environmental sciences. We will
look at the characteristics of the problems treated by the case study
method, and we will discuss the relationships between the case and the
data, theories, study teams, and dynamics of the case. When presenting
the approaches of the different disciplines, we will focus only on certain
aspects of case study work and knowledge integration within each sub-
ject, because the lessons to be learned from the different disciplines
overlap.

NEUROPSYCHOLOGY

Neuropsychology is a branch of both medicine and psychology that corre-

lates the psychological and organic aspects of mental disorders. A
nonmystical approach to mental disorders was first developed in the age
of enlightenment. It is worth noting that, historically, scientific under-
standing of human psychic processes became obvious through case
reports.
Many researchers in the history of science consider the 10 volumes on
Erfahrungsseelenkunde (experiential mindography) of Karl Philipp
15
16 CASE STUDY DESIGN AND SYNTHESIS

Moritz to be the first scientific psychology journal (see Luck, 1991). The
volumes are filled with case reports from physicians, teachers, parsons,
and philosophers on their own personal experiences (Selbsterfahrung)
with mental disorders and other mental experiences. The tradition of
novelistically styled case stories has accompanied the development of the
theory and practice of neuropsychology from Freud to Luria to Sacks.
Sacks (1973)notes that this romantic style, with its efforts to describe life
holistically and the impacts of disease, has nearly disappeared since the
mid-20th century.
In many subdisciplines of medicine, case studies are used as a means of
teaching (see Box 3.1), but they have many other functions (Stuhr &
Deneke, 1993) . Within neuropsychology, for example, case studies also
serve to describe and define concepts.
A mental disease may be defined by an extensional definition when giv-
ing a list of all its features. This conveys that certain diseases cannot be de-
fined by a set of data and phenomena. When diagnosing a mental disease,
data are sampled from technical procedures such as electromyography,
which is the assessment of nerve conduction velocity, or electroenceph-
alogram (EEG). Furthermore, one may occasionally find physiological
anomalies such as hormone overproduction; specific viruses; or unusual,
salient symptoms such as tremors or ataxia, which is a disorder of the ex-
tremities. But as we have learned from several examples, this approach
will not necessarily lead to an understanding of a disease, nor will it pro-
vide a valid diagnosis.
Sacks (1973)illustrated this when studying Parkinson’s disease and en-
cephalitis lethargica. The latter is also called European sleeping sickness
and appeared as an epidemic all over Europe in 1916 and 1917, killing
about 5 million people. The puzzling thing about this disease is that no
two patients show the same symptoms. Hence, completely different diag-
noses-epidemic delirium, epidemic Parkinson’s disease, rabies-have
been made in different places. Nevertheless, despite the huge variety of
symptoms and phenomena, only one single disease was characterized by
this structure of damage to the psychophysical equilibrium.
This also holds true for Parkinson’s disease, which has to be under-
stood as a very specific state of an individual organism. Sacks (1973)
stresses that this understanding may be attained only by a theory that syn-
thesizes observations, episodes, laboratory data, and technical medicine.
Thus, a theory for integrating data and knowledge is necessary. If we stick
to the mere analysis of data alone, no suitable conclusions can be drawn.
Case Studies in Different Disciplines 17

Novelistic Case Descriptions for Exploratory,

Descriptive, and Explanatory Case Studies
Novelistic episodes and case descriptions are part of neuropsycholog-
ical research and teaching. A famous example i s the case of H.M. This
case has been investigated for more than three decades, and dozens of
journal articles have been published about H.M.
H.M. suffered from anamnestic syndrome (a severe loss of memory)
after having had brain surgery for epilepsy, although his intelligence re-
mained nearly unaffected. Even 10 months after his family had moved,
H.M. could not find his new home. He remembered his former address
perfectly, but he had no idea as to where he had left his lawn mower the
day before. He was not able to recognize his new neighbors even after
they had visited him continuously for 6 years. Because he had no memory
of doing so, he repeatedly composed the same puzzle or read the same
journal. Only half an hour after lunch, he could not recall that he had
eaten, much less what. H.M. could not be left alone at home because he
welcomed any strangers, assuming they were family friends. Apparently,
he is conscious of his situation, as indicated by his statement, “Every day i s
alone, whatever enjoyment I’ve had, and whatever sorrow I’ve had.“
Some rare episodes showed that the potential to remember new infor-
mation was still present, but such information had to be strongly linked to
emotions and feelings. H.M. was very bothered and annoyed when a gun
was taken out of a collection he was very proud of.
Case studies with H.M. showed that brain damage that is anatomically
limited can still cause lifelong memory malfunction. Further insights into
brain structure and the differential localization of declarative and opera-
tional memory were gained.
Episodes and case descriptions were decisive in both understanding
and explaining the cause-and-effect relationships (see Markowitsch,
1985; Scoville & Millner, 1957; Sidman, Soddard, & Mohr, 1968) and de-
scribing the limited, but definite, impact of a lost or damaged temporal
lobe.

Case studies in brain research are often of an explanatory nature. The

case of H.M. (see Box 3.1), for instance, has been important in both un-
derstanding epilepsy and finding a structure to describe the cause-and-
effect relationship of human memory. Since 1957, more than 30 scientific
journal articles have dealt with this biography and the impact that brain
surgery has on behavior, mental functioning, and personal identity. It is
18 CASE STUDY DESIGN AND SYNTHESIS

noteworthy, albeit only natural, that computer tomography and other

techniques currently provide much deeper insight into human physical
structure than was available in the 1950s. The need for a detailed case de-
scription and the integration of data from different sources, however,
remains.

b Hard- and software data have to be integrated. Hardware data are pro-
vided by laboratory analysis, EEC, MCT, and other "graphies" from
technical medicine. Software data consist of the biography and the be-
havior observed. Because the case analyst has to be able to investigate
both types, he or she has to consider and integrate endogene and
exogene impact factors. Thus, we usually have an embedded case
study design.
b The dynamics of a case allow for causal analysis. Sometimes, a case is
observed over a long period of time, An explanatory case design de-
scribes the dynamics of a case and its cause-and-effectrelationship.

b Real cases are unique. A real case is unique in that the phenomenol-
ogy, biography, and biology of two patients will never be totally
identical.
b The case analysis affects the case. The interaction between a case ana-
lyst and his or her case affects the state of the case. This phenomenon is
called interactional resonance.

b Both diagnosis and therapy are targeted. The neuropsychologistis usu-

ally interested in both therapy and diagnosis. As a consequence, the
case study team should also contribute to the case development.

b Knowledge from different roles and perspectives has to be integrated.

The case analyst sequentially, and sometimes even simultaneously,
takes on the role of a chronist, an objective observer, a participatory ob-
server, an introspective observer, a predictor, an interpreter, and a ther-
apist (Rudolph, 1993, p. 23). It must be acknowledged that different
types of knowledge, and sometimes different va-lue or preference sys-
tems, have to be integrated.
Case Studies in Different Disciplines 19

b Mutual problem solving is needed. Both good diagnoses and good

therapy will work only if both parties-the patient and the therapist-are
willing to cooperate. Thus, a case is shaped by a mutual, intrinsic con-
ception of the case analysis, both by the case and by the case analyst.

b A model/theory is needed for knowledge integration. Due to the com-

plex nature of cases in neuropsychology, orienting at the phenomen-
ology of mental diseases is not sufficient. An integrating model or the-
ory of mental diseases based on data is needed. This should also pro-
vide an explanation of cause-and-effectrelationships.

ED U CAT10N AL SCI EN C ES
The educational sciences cover a wide field of knowledge about the pro-
cesses necessary for the acquisition of knowledge, skills, competence, and
other desirable qualities of behavior or habits in individuals, groups, and
organizations. Some of this knowledge has been acquired by using the
case study approach. In this section, however, we will take a closer look
only at the use of case studies in school program evaluations, because
many arguments in favor of using the case study approach for educational
purposes have already been presented in the section on neuropsychology.
A kind of continuum exists from neuropsychological case studies to the
investigation of learning disabilities (see Grissemann & Weber, 1982;
Lorenz, 1992; Luria, 1969), as well as from the investigation of subjects’
knowledge acquisition in specific environments (also labeled cognitive
ethnography) (see Easley, 1983; Erlwanger, 1975) to Piagetian case stud-
ies on stages of cognitive development. This Piagetian type of case study
relies heavily on high-resolution protocols for the individual’s behavior
and thinking aloud. A synthesis process is organized either along a single
theory or across a range of theories (on cognitive development, socializa-
tion, curriculum development, etc.) from different disciplines, allowing
for a variety of interpretations. Note that the rise of case studies in educa-
tional sciences in the 1970s came in response to the disappointing results
of the dominant statistical psychometric, quantitative approach (see
Scholz, 1983b).
20 CASE STUDY DESIGN AND SYNTHESIS

Program evaluation is a special branch of educational research and the

major subject of Robert Stake’s (1976, 1995) case study research.
Typically, the desire for a new program or discomfort with the current
program precedes the need for evaluation. A new program is usually moti-
vated by “issues about which people disagree” (Stake, 1995, p. 133).For
instance, the public in the United States felt dissatisfied with high school
students’ achievements. Teacher education was considered to be responsi-
ble for this deficiency. Traditional teacher education programs were
judged to be insufficiently theoretically founded, without targets, and too
conventional. Thus, 15 states developed new programs, such as the com-
petency-based teacher education (CBTE) in Texas (see Houston &
Howsam, 1974), and enforced them by law.
During the planning of the CBTE program (see Vogel, 1978), it had al-
ready been acknowledged that

change in complex social systems is not likely to occur unless all ele-
ments are collaboratively involved. . . . Change strategies should in-
volve colleges and universities, professional units, academic units,
school districts and other employing units, administrators, teachers,
public, professional associations . . . , state governmental units,
teacher education students. (pp. 3-4)

Furthermore, the evaluation should encompass the pilot phase, the imple-
mentation of the program, and the regular activities after implementa-
tion.
Basically, there are three approaches that may be chosen for evalua-
tions. First, there is a genuinely quantitative evaluation design for apply-
ing batteries of more or less sophisticated tests to assess each group’s,
unit’s, and pupil’s performance. Second, there is a holistic case design,
and third, there is an embedded case design. We will discuss briefly some
methodological prerequisites for and constraints of the holistic approach
(see Stake, 1995).
Stake (1995) agrees that when studying a case, a specific issue or per-
spective is advantageous for gathering data. However, throughout a
study, these issues may change such that the study may become “progres-
sively focused” (p. 133).In the process of data gathering, the case team
should minimize intrusion, particularly avoiding formal tests and “as-
signments characteristic of survey and laboratory study” (p. 134). To
minimize misperception and invalidity, triangulation should be applied.
By triangulation, Stake means the process of substantiating interpreta-
Case Studies in Different Disciplines 21

tions. The triangulation process aims to (a) have the reader gain insight
into the case analysis or the construction of meaning, and (b)improve the
validity of case analysis. In triangulation, one has the choice of using not
only co-observers, panelists, or reviewers from alternative theoretical
viewpoints, but also the standard tools of qualitative research (seeDenzin
& Lincoln, 1994).
Stake (1995)stresses that a qualitative, holistic case study is highly per-
sonal research. He notes that “the quality and utility of the research is not
based on its reproducibility but on whether or not the meanings gener-
ated, by the researcher or the reader, are valued. Thus a personal valuing
of the work is expected” (p. 135).
Although this radical constructivistic approach may not be shared,
Stake stresses the role of the case study researcher as a subject. In the
course of analysis, the researcher’s role may change from biographer to
interpreter to evaluator, and perhaps even to advocate of the case.
The embedded case design will be introduced in some detail in Chapter
5 . It particularly differs from the holistic case design in that it combines
qualitative and quantitative research and is conceived of almost exclu-
sively as a collective study (i.e., a study run by a study team). Although we
prefer and recommend this approach, we want to remind the reader of
Stake’s warnings. The case study researcher should be aware that he or
she has to serve many audiences.

b Holistic case studies allow for evaluations of complex programs. A ho-

listic case design shaped by the principles of qualitative research may
serve for the evaluation of complex programs that have not been
treated effectively with quantitative designs.

b A case may be treated from different perspectives. For data gathering

and case analysis, certain issues must be formulated in advance. The
case researcher should allow, but be aware of, the shifting of these is-
sues throughout the course of the study.

b The criteria of objectivity may not be applied in holistic case stud-

ies. Holistic case studies are a highly subjective affair and include the
personal value system of the case study team.
22 CASE STUDY DESIGN AND SYNTHESIS

LAW

Let us take a brief look at the history of law in the United States. Until the
end of the 19th century, law was not an academic discipline. Entry into the
legal profession could be attained primarily through apprenticeship. The
investigation of real cases was the basis of education. During the deanship
of Christopher Langdell at Harvard University Law School, law devel-
oped as a formalized system and became accepted as a scientific discipline.
The price to be paid for this entry into the world of academic knowledge
was “that all available materials of that science are contained in printed
books” (Langdell, 1887, p. 123).Cases became case descriptions. A typical
feature of these descriptions was that they were tailored to the systematics
of the jurisprudence system. The task of the students was not to construct
legal arguments for a real case, but rather to map a case into a comprehen-
sive, complete, conceptually ordered, formal system that complied fully
with statute books, rules, and regulations (Quinn, 1994, p. 12).
In the period between 1930 and 1960, there was a renaissance in the
study of real cases. Classification of cases was not conceived as an end,
but rather a starting point for analysis. Cases were to be grasped and ana-
lyzed, including their economic and social constraints. Thus, a Socratic
style of teaching was practiced. The metaphor “clinical studies” refers to
the tradition of medical studies. “Clinical legal education is to get the nov-
ice to understand rules in their true environment by involving students in
real-life exercises” (Quinn, 1994, p. 119).

b Written case studies run the risk of decontextualization. The abstrac-

tion of a legal case from its situational context creates a couple of risks.
First, there is the loss of one’s functional perspective, or the perspective
held by the particular sector being regulated. Second, there is the inhibi-
tion of understanding the interdisciplinary constituents of legal rules
and their application.

b Case studies should be both the end point and the starting point of
further analysis. Within a formalistic treatment, case studies serve as il-
lustrations of legal subjects as part of a formal system. Within afunction-
alist view, the cases are a starting point for an open process of argumen-
tation and Socratic dialogue.
Case Studies in Different Disciplines 23

BUSlN ESS

A couple of famous case studies in business and organizational sciences,

such as the Hawthorne study at Western Electric Company (Mayo, 1933;
Rothlisberger & Dickson, 1939), resulted in findings that changed the
concept of a successful business. One of the lessons learned repeatedly
from many studies is that in order to be accurate, a monodisciplinary eco-
nomic view has to be broadened to take the sociopsychological aspects
into account. In spite of this, we will focus on teaching cases in this sec-
tion. This is because the Harvard School of Business has developed the
case method of instruction (Frazer, 1931).
The teaching case approach integrates different educational and
epistemological concepts about learning. Clearly, the goal of teaching by
case studies is to improve one’s ability to solve problems. Case studies are
good for problems where truth is relative, reality is realistic, and a struc-
tural relationship is contingent. Hence, case teaching focuses primarily on
the development of understanding, judgment, and intuition.
The use of case studies in teaching is linked with a situation-theoretic
or pragmatic approach to learning, that is, the “learning by doing” princi-
ple. A real, naturalistic empirical situation (Dewey, 1966) is needed for
the initiating phase of thought. The situation should allow the problem to
become the student’s own and, thus, of the intrinsic study type.
Case teaching and case study research obey the principles of the So-
cratic method as well as those for leadership of discussions. The basic req-
uisites are expressed well by Barnes et al. (1994): “The capacity to ask ap-
propriate questions, to listen carefully and respond constructively, to deal
with uncertainty, to reward and to punish, [and] to create learning envi-
ronments of openness and trust” (p. 4).
In case studies, the traditional, hierarchical teacher-student relation-
ship is changed into a partnership between teacher and student. The
teacher becomes a guide in the process of discovery. Likewise, in case
study research, the hierarchical professor-student relationship is dis-
solved. This is due to the multilevel, multiquality knowledge that has to be
integrated for case analysis and development. As has been shown at Har-
vard University, case teaching is a kind of artistry that does not allow any
“masquerade forms” (Barnes et al., 1994, p. 4).Thus, teaching and re-
searching by means of case studies should be conceived of as open learn-
ing approaches that encourage community involvement-an active, dem-
ocratic approach.
24 CASE STUDY DESIGN AND SYNTHESIS

Synthesis Moderation

Case study teams must fulfill numerous prerequisites. The subsequent

text is taken almost verbatim from Ronstadt (1 993, p. 11), changed only
minimally, and extended. It may also hold true for study teams doing
research.
1. Each person must thoroughly know the case and perform an
appropriate amount of thinking and analysis before the first group
meeting.
'

2. Each person will be expected to attend all group meetings and give
these meetings scheduling priority.
3. Each person will be given the opportunity to speak at the meeting,
and no one will be allowed to monopolize a meeting. Everyone tries
to contribute something.
4. Useful contributions made by individual team members will be
respected and rewarded.
5. Goof-offs and free-riders will not be tolerated.

Many cases are so complex that investigation by a single student or re-

searcher does not seem promising. Furthermore, different types of knowl-
edge have to be integrated, such as those of practitioners and theorists.
Case study work has to be conceived of as a collective activity, both within
the study team and between science and society. This promotes a kind of
cooperative learning and collective rationality. Because of this, there is the
need for effective team operations (see Box 3.2).
Finally, case studies in business are action oriented. Therefore, the
analysis should always begin concretely with the case and its processes,
rather than with abstract hypotheses or theoretical ideas (Towl, 1969).
The case study team should be willing to accept compromise, accommo-
date others, and have a sense for the possible.

b Case teaching calls for a new type of instruction. When using cases as
a means of instruction, it is important to encourage open, Socratic dis-
course, learning, and research.
Case Studies in Different Disciplines 25

b Study teams need disciplined, democratic, efficient cooperation. Al-

though study teams’ degrees of knowledge and roles may vary, case
team members must obey rules for effective team operation.

b Case studies are good for problems where truth is relative, reality is real-
istic, and a structural relationship is contingent. Hence, case teaching
focuses primarily on the development of understanding, judgment, and
intuition.

ENVIRONMENTAL SCIENCES

The environmental sciences deal with the structure and quality of natural
environmental systems and their relationship to social systems. Thus,
environmental studies cover a wide field of complex issues. Knowledge
must be integrated from the natural and social sciences. Often, planning
and engineering are a part of environmental studies, particularly in cases
concerning landscape and regional development, or water management,
or in cases in which there is the need for mobility or product optimization.
We do not intend to provide an extensive review of environmental studies,
but rather to introduce briefly three types of case studies-structure,
dynamics, and qualities of natural systems-that focus on these different
aspects and their relationship to social systems.
Models for regional water flux or climate dynamics must appropri-
ately incorporate constraints and specific knowledge and data of soil sci-
ence, agriculture, geology, mathematics, and other varied disciplines.
Generally, an answer cannot be attained through a monodisciplinary ap-
proach, but rather is procured by fusing knowledge from physics, chemis-
try, biology, and the disciplines mentioned earlier. For model develop-
ment, study teams often choose a case, such as a region, for a descriptive
case study. But if the models rely partially on first principles, the character
they exhibit is, at least in part, explanatory (Rohdenburg, 1989). Because
the study is usually motivated by a desire for model development and the-
ory verification rather than by the case itself, the study is of the instrumen-
tal type. There are usually two types of knowledge integration: the inte-
gration of knowledge from different disciplines, and the integration and
scaling up of the data provided by subsystems. For example, in a case
26 Case Study Design and Synthesis

Groundbreaking Case Studies for Ill-Defined

Problems
Clearly, the case study methodology i s suitable for ill-defined problems.
This type of problem often arises in “young“ sciences or in the applied sci-
ences that deal with real-world problems. Groundbreaking cases provide
the soil for generating ill-defined problems.

Task
initial and tar et state known,
application o?existing methods

Problem
Defined initial and target state,
solution by passing barriers
with old and new methods

Ill-Deflned Problem (e.g.,

environmental problems)
Initial state cannot be precisely
described, target is not sufficiently
known, types of barriersto be
passed are not known Barriers

involving water dynamics, the former might be the integration of knowl-

edge about soil and water characteristics, and the latter the scaling up
from a specific site to a catchment.
Intrinsic case studies are provided by many projects on restoring natu-
ral sites, landscape engineering, and urban development. The starting
point is interest in the case and its related environmental problems. These
environmental problems, such as the endangerment of certain species or
the contamination of groundwater by agriculture, establish the core of the
case. The study team’s values usually have a strong influence on the target
of the study. In studies on restoring natural sites, the teams often focus on
certain species or designated land use. In groundwater conservation, the
strategies vary from finding technical solutions to creating financial in-
centives, such as subsidies, for those who comply with conservation stan-
dards. It should be mentioned that, as in architecture, developing projects
in the field of the environmental sciences is an art. One must have a special
Case Studies in Different Disciplines 27

feel for it to do it well, and the importance of this should not be over-
looked; in many such cases, the artistic design is a determining factor for
success.
Special types of case studies are provided by sustainability projects.
Sustainability may be considered a system quality. The sustainability of
social systems is characterized by certain qualitative system properties.
We consider three issues to be crucial for sustainability (Scholz, Mieg,
Weber, & Stauffacher, 1998).First, the potential must exist for future gen-
erations to have the same opportunities that former ones did. Second,
there must be a high likelihood of system maintenance (i.e., the system
should not collapse). Third, there needs to be a well-adjusted balance be-
tween change and stability, which, at least to some degree, should be un-
der human control.
Sustainable management presents a specific type of problem. Today,
we do not know the properties of a sustainable target state (see Box 3.3).
Furthermore, we usually do not know how sustainable an initial or cur-
rent state of a system is. Finally, we do not know which barriers have to be
overcome in order to attain the target state. Thus, we speak about a typi-
cal ill-defined problem (see Box 3.3). The case team may (and should) be
interested in the case itself. Case studies that are run in the sustainability
framework may be of an intrinsic and/or instrumental type. They are
mostly of an exploratory type, because we do not have an elaborate
sustainability definition or theory at our disposal. It is usually highly un-
structured, of an embedded design, and should be groundbreaking, be-
cause we want to gain new insights.
Note that sustainability can be attained only if human behavior
changes. Thus, an understanding of the cause-and-effect relationships be-
tween natural and social systems is important.

b Case studies may serve for natural sciences. In the natural sciences,
models for the description and prognosis of natural systems have to be
developed. A case serves for developing and testing models in a
real-world matrix and brings the aleatory, indeterminate nature of envi-
ronmental systems to the scientist.
28 CASE STUDY DESIGN AND SYNTHESIS

b Case engineering i s value focused. In intrinsic studies, the case teams

want to not only describe but also improve the case. This is a highly
value-driven activity shaped by interests.

b Ill-defined problems may be treated with groundbreaking cases. If in-

sight into system qualities that are not well-known, such as sustainabil-
ity, is targeted, then groundbreaking cases are wanted.
 THE ARCHITECTURE OF
K N0W LEDG E INTEG RAT10N
IN EMBEDDED CASE STUDIES

T h e previous chapter covered a broad spectrum of types of case study

research and their applications. We have shown that knowledge integra-
tion is essential for case studies, and that it can be organized in multiple
ways. For many cases, the embedded case design is appropriate and favor-
able. This chapter outlines an epistemology of an embedded case study.
First, we will make distinctions between different levels of knowledge (see
Figure 4.1; see Steiner 1989,1990) and corresponding epistemics, which
are the carriers of recognition (such as a result of a statistic, a causal expla-
nation by propositional logic, a conceptual model, or simply a pictorial
representation) and have to be connected hierarchically according to
these levels. Second, we will introduce various strategies of synthesis.
Third, we will present the Brunswikian Lens Model, which is considered
an appropriate model for the process and epistemic nature of knowledge
integration in embedded case studies. Finally, we will introduce different
types of knowledge integration. Although this chapter is highly theoreti-
cal, it is strongly recommended for all readers because it helps you to
understand which type of method is appropriate for which case and
problem.

29
30 CASE STUDY DESIGN A N D SYNTHESIS

Erklaren (explaining),
/
subproject work

- igure 4.1. Architecture of Knowledge Integration in Embedded Case Studies

THE ARCHITECTURE OF EMBEDDED CASE STUDIES

We postulate that case analysis should be organized and structured on

three levels (see Figure 4.1), each with its own, specific importance. The
levels are linked to different qualities of knowledge. When referring to the
theory of knowledge, we call them the levels of Verstehen, Begreifen, and
Erkliiren, or, to express them in English terms, between understanding,
conceptualizing, and explaining (see Scholz, 1998).
On the first level, there is the case as a whole. Some examples are a pa-
tient, an organization, or, as shown in Figure 4.1, a site, each with its own
history, constraints, and dynamics. For each case study, it is important
that the researcher develops an encompassing and empathic case under-
The Architecture of Knowledge integration 31

standing. The key epistemics on this level are feeling; pictorial representa-
tion; and intuitive, sometimes subconscious, comprehension. The study
team should always focus only on the case and not on general questions or
issues tied to the case. The case is the means to reduce the complexity of
the discourse of the universe from general problems, such as mental dis-
ease, efficient organizations, or sustainable development, to one individ-
ual state of affairs.
On the second level, there is a conceptual model of the real world. We
are changing from the holistic perspective of the first level to a system or
model view on the second level. The key to successful work on this level is
the methods of knowledge integration. These methods help to develop a
more valid case understanding. They are the vehicles to the syntheses.
They are tools for both organizing knowledge and managing the study
team’s internal cooperation. This latter point is important, because syn-
thesis work is conducted mostly by teams. Epistemologically, this level
contributes to the Begreifen (conceptualizing) of the case.
On the third level are scattered data and results from disciplinary
subprojects. Usually, only separated compartments or fragments of the
case are subjects of investigation. The Erkenntnisform (epistemic) on this
level is Erkliiren (i.e., causal explaining by propositional logic). This is
provided prototypically by the formal natural sciences. We distinguish
between two types of data. The first is data from the case, such as observa-
tions, measurements, surveys, documents, expertises, and so on. The sec-
ond is data from the existing body of scientific knowledge (i.e., disciplin-
ary propositions). The data-level work is often organized in subprojects.
Note that these subprojects and the data they generate have to be orga-
nized carefully according to the requirements of the synthesis level. Ana-
lytic methods of all types from every field are a part of this level.

STRATEGIES OF SYNTHESIS

In the subsequent introduction of four types of synthesis, we take an

epistemological perspective, because the theory of knowledge allows for
the differentiation between the foundations of knowledge. For embedded
case studies, this differentiation was already introduced in Figure 4.1.
Note that scientific work in general is characterized by partitioning and
decomposing a subject into elements in order to attain a refined analysis.
In contrast, in the context of case studies, syntheses are necessary. They
32 CASE STUDY DESIGN AND SYNTHESIS

can be conceived of as scientifically combining often-varied data, infor-

mation, and ideas into a consistent whole. Knowledge integration in
embedded case studies can be conceived of as a kind of synthesis designed
specifically for such a case study type. The following classification pre-
dominantly refers to the history of philosophy.
What is meant by synthesis obviously differs from one branch of sci-
ence or humanities to another. However, even within a single branch,
there is a considerable range of definitions. Adopting an epistemological
perspective, we will introduce four different types of synthesis that illumi-
nate the various strategies chosen in case study work and show how anal-
ysis and synthesis link up in the methods introduced.

Synthesis as a Philosophical
Strategy of Contemplation

Distinctions between analytic and synthetic methods were originally

made in the age of high scholastics and are attributed to Giacomo
Zabarella (see Bhatnagar & Kanal, 1992).Zabarella’s differentiation en-
compasses the whole field of science. On one hand, there are the syn-
thetic-contemplative sciences such as philosophy, in which knowledge ac-
quisition and inquiry are stimulated through intrinsic motivation and
holistic consideration. On the other hand, we find the analytic sciences,
particularly mathematics and the natural sciences. According to the pre-
vailing interpretation, mathematics starts with axioms and derives new
knowledge by method of proof. In the natural sciences, analysis reveals
hidden rules, such as the natural laws that underlie the apparent
cause-and-effect relationships and their phenomenology. Note that ana-
lytic methods may be both inductive and deductive. The key to analytic
methods lies in the principles of analytic decomposition, which make it
possible to explain a new invention through what is already known. Note
that RenC Descartes (1596-1650)considered the analytic method to be
the only true method of philosophy and sciences.
Synthesis as a method of description in the contemplative philosophy is
now part of the humanities and is often associated with prescientific cate-
gories of knowledge and direct experience (Landgrebe, 1959). The ap-
proach is linked to the medieval, clerically shaped humanity that under-
stood synthesis as a philosophical approach to understanding the essence
of the whole. Note that the holistic case study and the concept of empathy
The Architecture of Knowledge Integration 33

are related to this approach. Thus, a case study team would follow a
prescientific, contemplative approach if, after surveying and inspecting
the case, it would reflect and think about the case and try to gain under-
standing and insight of the case’s true nature, essence, and meaning.

Synthesis Through a Pure Case Model

Up until Gottfried von Leibniz (1646-1716),the potential of synthetic

methods was supposed to be limited to the representation of facts. How-
ever, Leibniz considered the synthetic method to be the most accom-
plished because it permits descending from general rules of truth to the
composed. A critical issue in this argument, however, was that the rules of
truth have to be found by analytic methods. The most general truths are
the natural laws. As Churchman (1971)notes, the Leibnizian concept re-
lied on the assumption that the truth is provided in the model.
An example of the pure case model is the Copernican Himmelsme-
chanik. This model made progressively complex calculations of planets
and other physical bodies possible. In general, one may consider the pure
case as a fictive physical environment that behaves perfectly like the
model. For instance, an urn or roulette wheel may be considered a pure
case for the preexisting probability model. However, any recording of a
real roulette wheel will show, at least in the long run, some deviation from
the model. Note that social psychology also uses the metaphor of the pure
case. For instance, Kurt Lewin, one of the most renowned social psycholo-
gists, used this term when referring to Galileo’s study of falling bodies (see
Brunswik, 1943, p. 266). Regarding physics as a standard for science,
Lewin tried to find general laws of social cognition via laboratory
experiments.
The System Dynamics (see Chapter 10)approach, which is widely used
in economics and environmental sciences, among other fields, also refers
to the pure case model. As Bhatnagar and Kana1 (1992) wrote, “A
Leibnizian enquirer assumes the existence of an a priori model of the situ-
ation (the innate ideas or the theory), and attempts to configure the inputs
of the situation according to this model” (p. 32). The reader should be
cognizant that both descriptive and explanatory case studies may be orga-
nized according to the Leibnizian concept.
In our understanding, the Leibnizian strategy of synthesis is appropri-
ate at least as a partial synthesis, and in particular for natural science
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