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ABSTRACT
Cross-case study methodology is a more appropriate and still rigorous methodology for community and
systems change research and evaluation. It supports learning about effective implementation, commu-
nity capacity building, and resident engagement—all core elements of community and systems change
efforts. It also communicates more effectively to non-researchers and evaluators if, how, and why
community and systems change occurred through the use of a narrative that combines qualitative and
quantitative data to tell a story. The application of the cross-case study methodology, adapted from Yin’s
cross-case synthesis approach, requires five essential steps: developing a theory of change, establishing a
measurement framework that reflects methodological and data source triangulation, developing a cross-
case study protocol and building a database, analysing and interpreting the findings, and communicating
the results. This methodology was applied to the evaluation of the Safe Start Demonstration Project, a
national community and systems change effort funded by the US Department of Justice, Office of
Juvenile Justice and Delinquency Prevention. This methodology has all the attributes of scientific rigour.
In this paper, we argue for a reconsideration of case study research by funders, policymakers, researchers,
and evaluators and advance the cross-case methodology as the emerging standard for community and
systems change research and evaluation. Copyright © 2011 John Wiley & Sons, Ltd.
INTRODUCTION
Community and systems change efforts must take a comprehensive approach to improving the
well-being of vulnerable families and children. These efforts ‘indicate a commitment to change
at many levels, including individual, family, institutional, and community-wide, through
processes that involve collaboration and coordination within the community and between
the community and the broader society’ (Kubisch, Fulbright-Anderson, & Connell, 1998:2).
*Correspondence to: Kien S. Lee, Community Science, 438 N. Frederick Ave., Suite 315, Gaithersburg, MD
20877, USA. E-mail: kien@communityscience.com
Copyright © 2011 John Wiley & Sons, Ltd. Accepted 20 October 2011
Cross-case methodology 429
These efforts attempt to address complex social problems such as poverty, violence, and health
disparities; and resident engagement and the building of community capacity are core princi-
ples (Conner & Easterling, 2009; Kubisch, Auspos, Brown & Dewar, 2010). Over the last
three decades, the public and philanthropic sectors in the USA have made large investments
in community and systems change efforts, with projects ranging from the Dudley Street Neigh-
borhood Initiative in Massachusetts in the 1980s to the Sustainable Communities Initiative
established in 2009 by the US Department of Transportation, the Environmental Protection
Agency, and the Department of Housing and Urban Development. It is no surprise, therefore,
that the funders of these efforts want to know the degree to which their investments have made
a difference. Experimental and quasi-experimental designs have traditionally been considered
the most successful designs for determining attribution or causality.
The use of experimental and quasi-experimental designs, however, is not constructive
for researching and evaluating community and systems change efforts. Random assign-
ment and matched comparisons of communities and systems are difficult, if not impossible
(Herbert & Anderson, 1998; Kubisch, Weiss, Schorr, & Connell, 1995). A large number of
communities and systems are necessary to have the statistical power for significance testing.
In community and systems change studies, there are often more variables to consider in the
analysis (e.g. community characteristics, interactions among these characteristics and
between these characteristics and the change interventions) than cases (Stoecker, 2005).
The number of cases required for probability testing would raise the cost of such efforts to
amounts that the federal government could rarely afford.
Further, well-defined, stable, and rigidly implemented interventions are rare in commu-
nity and systems change efforts. The same ‘intervention’ is generally not being tested
across sites; this is an essential requirement of traditional experimental designs (Campbell
& Stanley, 1966; Cook & Campbell, 1979). Also, the political, social, and economic envi-
ronments within which these efforts occur are often unpredictable. As such, complexity
and evolution are predominant characteristics of these efforts. Experimental and quasi-
experimental designs are not suitable for studying complexity and evolution because these
designs were created to control and predict (Brown, 2010; Patton, 2011).
Finally, as funders, researchers, and evaluators in the USA became more aware over the
last decade of the myriad factors that affect community and systems change, their focus
shifted from determining attribution to understanding how the efforts add value and capacity,
catalyse change, and achieve the desired results. It became critical to learn how the change
was created—not just to prove that the change had occurred—and to examine whether deeply
entrenched societal inequities were addressed (Behrens & Kelly, 2008; Conner & Easterling,
2009; Foster-Fishman & Long, 2009; Kubisch et al., 2010; Westley, Zimmerman, & Patton,
2006). Experimental and quasi-experimental designs are not useful for developing this sort of
understanding (Foster-Fishman & Long, 2009; Patton, 2011). Yet appropriate rigorous
(i.e. scientifically principled) designs of community and systems change efforts are still
needed to justify public support and demonstrate public benefit, as well as provide opportu-
nity to strengthen these efforts that are intended to improve the lives of millions of people.
CROSS-CASE METHODOLOGY
Cross-case methodology emerges as a more appropriate and yet still scientifically rigorous
methodology for community and systems change research and evaluation. It is a
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
430 K. S. Lee and D. M. Chavis
Theory of change
The use of a theory of change in cross-case methodology is essential for three reasons.
First, it represents the complex hypothesis to be tested, a central component of the scien-
tific method. Second, it serves as a measure of internal validity, illustrating the relation-
ships among variables and between variables and results (Gibbert et al., 2008). Finally,
it allows for analytic generalization. The issue of generalization in case study research is
frequently cited in the literature. Yin (2003) distinguishes statistical generalization
(i.e. inferring conclusions about a population) from analytic generalization (i.e. determining
if the empirical results reflect the theory behind the programme or initiative). This attribute
in Yin’s approach to case study is well-suited for community and systems change research
and evaluation. The definition of community and systems change efforts in this paper’s intro-
duction emphasizes multiple strategies and outcomes at the individual, family, community,
and system levels. A theory of change is required to clarify which strategies lead to what out-
comes and at which levels. It is also necessary to illustrate the core elements of implementa-
tion across the multiple places or organizations that are part of a community and systems
change effort (Kubisch et al., 2010; Weiss, 1995). The use of multiple cases increases external
validity by testing the theory in different settings and context. Therefore, cross-case method-
ology naturally lends itself to community and systems change research and evaluation.
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
Cross-case methodology 431
to increase the reliability of the results (Yin, 2003). This protocol should explain how and
when the data will be collected, from whom, and using which instrument(s); how the data
will be stored, managed, analysed, interpreted, and reported; who will review drafts of
each case study and the cross-case study and how their comments will be addressed; and
the format for reporting the findings. The protocol should make explicit the rules for what
constitutes evidence and the hierarchy of different types of evidence, otherwise known as
rules of evidence. The protocol should also include procedures for handling confidentiality
issues, responding to potential discomfort or tensions among research or evaluation parti-
cipants, managing group dynamics in focus groups, and navigating cultural and language
differences. The rules and procedures in the protocol increase the reliability of the cross-case
study by imposing discipline on the researcher or evaluator (Trellis, 1997; Yin, 2003). This
discipline is imperative in the cross-case methodology, in which more than one researcher
or evaluator is likely to be involved.
A database is frequently not considered for case study research; yet, it is essential to
organize and categorize the data collected from the outset of the research or evaluation pro-
cess (Yin, 2003). The database in cross-case methodology refers to a system for organizing
and storing the data, and the system could be made up of different datasets containing qual-
itative and quantitative data stored in different forms (e.g. ATLAS TI, SPSS, Microsoft
Word). The database serves to increase the reliability of the cross-case methodology
because it enables another researcher or evaluator to retrieve the data or replicate the
cross-case study at a later date (Gibbert et al., 2008; Yin, 2003).
The basic approach to the use of cross-case methodology is to develop a case study of each
place, or organization, that is part of the community and systems change effort and to sub-
sequently use each case as the unit of analysis for the cross-case study. In experimental and
quasi-experimental designs, counterfactuals and threats to validity or rival hypotheses are
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
432 K. S. Lee and D. M. Chavis
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
Cross-case methodology 433
COMMUNITY CAPACITY
CONTEXTUAL CONDITIONS
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
434 K. S. Lee and D. M. Chavis
Theory of Change Indicator and Measure Data Collection Method and Data Source
Component
Integrated National Amount, quality, and outcomes of Annual interviews with each site’s project
Assistance support received director and coordinator
Frequency of site visits by
national technical assistance Annual review of technical assistance and
team and benefits of the training logs
assistance
Usefulness of national trainings
Adjustments made as a result of
the support received
Local community Sectors or disciplines represented in Annual interviews with key collaborative
engagement collaborative members (e.g. chair, steering committee,
subcommittee chairs)
A structure and process for how the
collaborative operates Annual review and content analysis of
collaborative meeting summaries
Systems Change Cross-disciplinary training Training evaluations
Activities: Service Number and frequency of
Integration trainings Annual interviews with representatives
Number and type of from organizations and agencies that
participants participated in training
Knowledge improvement
Annual interviews with leaders of
Consideration of new policies, organizations and institutions that are part
procedures, and practices of the targeted system
Institutionalization of Approved policies, procedures, and Annual review and content analysis of new
Change at Point of practices forms used by service provider (e.g. intake
Service forms for social workers, reporting form for
police officers)
POS1, POS2, and POS3, respectively. The interview notes for collaborative members,
community and elected leaders, and families that received services were given the prefix
COL, LDR, and SR, respectively, followed by a number. Forms were given the prefix
FRM followed by an initial of the organization or agency that used them. Each site’s semian-
nual grant progress reports were labelled with the prefix PR, followed by the period (month
and year). Existing archival documents were labelled with the prefix DOC.
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
Cross-case methodology 435
sources could be clustered into a pattern, and the pattern was validated by repeated compar-
ison with additional data sources within a case and repeated comparison across cases in the
cross-case analysis. Threats to validity were found if a data source contradicted the other
sources, in which case there was a rival explanation for the outcome (Yin, 2003). Also, the
more frequently a piece of data was encountered, the more relevant or important it was.
Tracking the data sources in the analysis is essential to build evidence and to enable the
researcher or evaluator to trace the steps that led to the determination of a pattern, a theme,
and a conclusion and to create a chain of evidence to demonstrate reliability (Yin, 2003).
Figure 3 provides an example of how this was accomplished.
The above procedure was developed for each component of the theory of change. With
the use of the themes that emerged from the analysis, each case study explained the
evidence that supported or disputed the theory of change.
Each case then became the unit of analysis for the cross-case study. The same analytical
strategy and pattern-matching technique were each applied. The total numbers of children
Codification of data pieces The Safe Start project strengthened the relationship between the child welfare
agency and the police department. (COL1, COL2) There was already a
memorandum of understanding between the child welfare folks and the police
even before the project. [The Safe Start Project] put the relationship into action
by way of the new programme they created together where a cop is assigned to
watch out for the children in the room. (POS3, COL3, LD2). The domestic violence
shelter and the police department started to work more closely together, the
project ‘kicked the relationship into a different gear’. (LD1, COL2) Safe start
strengthened the relationship between the mental health clinic and the domestic
violence shelter; they used to be at odds with each other before! Now they
formed a team where a psychologist and a domestic violence advocate are on call
at night and have to arrive at the scene together when there is a violent incident.
(POS1, POS2, COL2, POS4)
Rival Explanation Other collaboratives have been less successful than the Safe Start collaborative
because they have not demonstrated the same action-oriented attribute. (LDR 2,
LDR3, COL1, COL2, DOC2). There was already a memorandum of understanding
between the child welfare folks and the police even before the project. [The Safe
Start Project] put the relationship into action by way of the new programme they
created together. (POS3, COL3, LD2). The domestic violence shelter and the
police department started to work more closely together, the project ‘kicked the
relationship into a different gear’. I think they tried to work together before, but
there was no coordination. (LD1, COL2)
Theme The Safe Start Project enhanced relationships among key organizations and
agencies, which in turn spurred their co-implementation of new activities. These
new activities improved the response to children exposed to violence and their
families.
Conclusion The Safe Start Project changed the system’s response to children exposed to
violence.
Figure 3. Example of how to codify data, identify a pattern, determine a theme, and draw inferences
within a case.
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
436 K. S. Lee and D. M. Chavis
and families served across the 11 communities were calculated. Common and unique
strategies and activities were identified across the sites.
Patterns were examined to determine the common strategies, activities, and community
conditions that led to those sites with higher numbers of children and families served. One
of the patterns, for instance, was the presence of collaboration among law enforcement officers,
domestic violence specialists, court advocates for domestic violence victims, psychologists,
and paediatricians in the more successful sites; such collaboration was limited in those sites
with low numbers of children and families served (Hyde et al., 2008).
The cross-case analysis also identified the unique elements that affected the outcomes in
different sites. The tribal communities, for example, took longer to achieve the desired
number of children and families served because they had to first address the historical trauma
they have experienced as a community. This challenge was not present in the other sites.
CONCLUSION
The science of community and systems change efforts requires continued and close atten-
tion, and the research and evaluation of these efforts are critical. Funders, policymakers,
and implementers of these efforts know more now than they did a decade ago, but it is still
not enough to ensure the appropriate interventions for successful outcomes within partic-
ular contexts. The example of the Safe Start Demonstration Project evaluation is an initial
step toward refining and perfecting the cross-case methodology for community and systems
change research and evaluation. Application of the cross-case methodology in a community
and systems change effort is not without its challenges. The funding, policy, and community
environments within which these efforts are implemented are frequently fluid; consequently,
a data source or method of data collection could become irrelevant after a certain period. The
researcher or evaluator must be able to adhere to the scientific principles of the methodology
(i.e. eliminate threats to validity and reliability), while adjusting the methods. Two important
areas of improvement for the application of cross-case methodology to community and sys-
tems change research and evaluation are the development of strategies to practise the princi-
ples in the face of fluidity and training of researchers and evaluators to use the methodology.
There is an increasing call from federal and philanthropic leaders for the greater use of
‘evidence-based’ solutions to social problems; however, in almost all cases, evidence is
limited to that generated by traditional experimental and quasi-experimental designs.
Because these designs are more successful in measuring individual change because of
Copyright © 2011 John Wiley & Sons, Ltd. J. Community Appl. Soc. Psychol., 22: 428–438 (2012)
DOI: 10.1002/casp
Cross-case methodology 437
the likelihood of larger sample sizes and better-controlled environments, the evidence
promotes individual and not community and systems change strategies. Yet the scientific
evidence shows that most social problems are largely influenced by environmental and
systemic problems. The lack of recognized rigorous methods for evaluating the effectiveness
of community and systems changes initiatives inadvertently focuses attention on changing
the individual (and consequently ‘blaming the victim’) and not the root causes of the problem
at the population level. Funders, policymakers, researchers, and evaluators have to correct
any misperceptions they have about case study research and support the cross-case method-
ology as the emerging standard for community and systems change research and evaluation.
This methodology has all the attributes of scientific rigour and still permits the researchers and
evaluators to engage with the people who affect and are affected by the change over time, an
important aspect of community and systems change work.
ACKNOWLEDGEMENTS
The authors wish to acknowledge and thank Robert K. Yin for teaching us how case study
research can advance the science of studying complex social innovations.
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