A Proposed FEMA Case Study Development Process

The focus group began with introductions, a review of the focus group purpose and initial reactionsto the “questions to ponder,” and a reflection about the use of Gracious Space to set the climate forfocus group learning and discussion. 3Focus group participants then considered Galbraith’s Star Model 4 and the Theory of Change 5 aspossible ways to structure discussions. A stakeholder identification activity and empathy mapshelped to broaden and sensitize thinking about underlying assumptions and end users. Participantsthen divided into two groups to: 1) help explore a possible case study development pilot for PuertoRico and 2) consider case studies to support a senior leader initiative.Notes taken during this meeting served as the initial basis for this report. The group agreed to acollective writing approach, and each focus group member agreed to work on the draft report for ascheduled period. The focus group chair prepared the initial draft and coordinated development andcompletion of the final draft report.Focus group participants will continue collaborating to further develop the program concept,collaboration network, and implementation strategies. Relevant documents will be posted to theFEMA Higher Education Program website 6 and participants will assist in community-widedissemination to ensure the process and resulting program are conveyed. A webinar was held onApril 10, 2018 to share outcomes from the focus group and receive feedback. The final report wasdelivered on May 21, 2018.The remainder of this report organizes insights and recommendations from participants to addressthe goals for the focus group.Case Study Types and UsesCase studies have a long history of use in teaching, research, and practice. This section will providea brief overview of each of these distinct types of case studies, which while differing in their initialpurpose, can be used for teaching in the emergency management field. Although there has beenlimited formal development, to date, of using case studies as a teaching method in the emergencymanagement field, the use of case studies in research and professional practice is common. Thissection will also present ideas about how each of these three types of case studies can inform thecase study development process.3Gracious Space is a practice created and shared by the Center for Ethical Leadership ce.html). It consists of four areas related to welcoming, the physicalenvironment, creating space for diversity, and promoting learning in public.4URL: pdf5URL: nge/6URL: https://training.fema.gov/hiedu/latest/2018.aspx6

Case-based TeachingCases serve a variety of purposes in teaching and can be used to support instructional,programmatic, or institutional objectives. In many programs of study, the approach to the use ofcases is reflective of an individual instructor’s pedagogical preferences and instructional designdecisions. While the focus of a particular case is necessarily tied to the content of a course, there arecommonalities in types of instructional cases, which include: 1) decision-forcing cases, 2)policymaking cases, 3) problem-defining cases, 4) concept-application cases, and 5) illustrativecases. 7 In some fields of study, distinctive approaches to the use of cases were developed and thesehave become integral to the design and delivery of these programs at different universities.Pedagogical practices that are unique to a program of study, but common across universities, aresignature pedagogies. 8The development of signature methods for using cases in law, medicine and business has a sharedhistory. The first recognized case method was developed in 1870 by the Harvard Law School, inresponse to perceived challenges with existing pedagogies. 9 The legal case method placed emphasison studying original legal cases in which precedents were set, and the pedagogical approach wasdesigned to support the development of the kinds of thinking skills needed in legal practice. In theearly 1900s, the case method was adopted by the Harvard Business School, however this approachplaced emphasis on developing students’ ability to make business decisions, and instructors werehired to write cases based on real work business problems. 10 In the 1950s, the case method wasadopted and further adapted by the Harvard Medical School. 11 With this method, students werepresented with an initial case, which served as a prompt for them to gain the knowledge needed todeal with the issues presented in the case. 12 The case pedagogy, which came to be known as theproblem method, was also designed to develop the hypo-deductive thinking skills used in medicalpractice. Over time, these case-based pedagogies were further adapted and adopted by otheruniversities as a common practice; the expansion of case methods has been supported by thedevelopment of case libraries and training on case-based pedagogical practices.Case-based learning has also become a frequent practice in other professionally oriented fields ofstudy, such as education, nursing, environmental sciences, and political science. 13 While caselibraries have been developed to support the use of cases in these fields, less attention has beengiven to the development of disciplinary-specific pedagogical approaches to the use of cases. Thebroader use of cases in teaching has also been supported by several books on this subject.As a newer field of post-secondary study, there is yet, no signature practice associated with the useof cases in the emergency management field, however the development of such a practice remains apossibility. Further, there is no central source for cases that have been specifically written for use inteaching in emergency management academic programs, although relevant cases can be found in7Lynn (1999). Teaching and Learning with Cases: A Guidebook. Chappaqua, NY: Seven Bridges Press, LLC.Shulman, L.S. (2005). Signature pedagogies in the professions. Daedalus, 134 (3), 52-59.9Garvin (2003). Making the Case. Harvard Magazine, 106(1), 56-65.10Cruikshank, J. L. (1987). A delicate experiment: The Harvard Business School, 1908–1945. Boston, MA: HarvardBusiness School Press.11Tosteson, D. C. (1979). Learning in medicine. New England Journal of Medicine, 301(13), 1130412Barrows, H. S. (1986). A taxonomy of problem-based learning methods. Medical Education, 20(6), 86.tb01386.x13Naumes, W., Naumes, M. (1999). The Art & Craft of Case Writing. Thousand Oak, CA: Sage Publications87

existing case books and case libraries (e.g., Harvard Business, Electronic Hallway), with caseswritten by scholars in other fields who have an interest in topics related to emergency management.Some of this interest was generated by FEMA. For example, in the early 1980s, FEMA and theNational Association of Schools of Public Affairs and Administration (NASPAA) launched aninitiative to engage scholars in the study of emergency management. In 1988, a case book on thetopic of crisis management was published, with this initiative being led by public administrationscholars. 14 Later, as part of the development of resources to support the advancement of emergencymanagement higher education programs, FEMA sponsored the production of a casebook in 2004 foruse in emergency management programs that is still available as an online resource. 15 FEMA’ssupport of the Case Teaching and Learning SIG and the Case Study Development Process are recentefforts to advance the practice of teaching with cases in the emergency management field.While there are no signature practices related to the use of cases in emergency management, recentresearch has identified patterns in how cases are used in this field. 16 Three distinct types of learningoutcomes associated with the use of cases were identified and the function of cases was found to berelative to these outcomes. When cases were used for their intrinsic value, the learning outcome wasto develop students’ knowledge about a specific disaster event; reasons for doing this were becauseof the social significance of certain events, as well as the opportunity for learning from particularevents. Cases were also found to be used for their instrumental value as tools to support learning.One instrumental reason for using cases was to develop students’ knowledge about a concept,theory, or practice; with this approach, a case helps to bring abstract concepts to life, and thusgenerate deeper understanding about something. A second instrumental reason was to developstudents’ knowledge of how to do something; with this approach, a case functions as a problem tosolve, and offers students a simulated form of experience where they can integrate and applyknowledge gained in a course or program of study. Thus, rather than there being one distinctiveapproach to the use of cases in the emergency management field, there appear to be three mainapproaches, each supporting the development of different learning outcomes.A case study development process could contribute to teaching with cases in the emergencymanagement field in several ways. A list of existing case libraries, along with associated relevantsearch terms, can be developed and maintained to facilitate access to existing teaching cases thathave already been published. Sessions can also be offered at the annual FEMA Higher EducationSymposium to support competencies in developing and writing teaching cases, as well asinstruction on how to use cases in teaching practice. Teaching cases should be piloted before beingformally published. The symposium, case study SIG, and FEMA Higher Education Newsletter alloffer opportunities for building a community of educators who could help with developing andpiloting teaching cases.14Charles, M., Kim, J. (Eds). (1988). Crisis Management: A Casebook. Springfield, IL: Charles C. Thomas.Haddow, G. (2004). Case Studies in Emergency and Risk Management. Emmitsburg, MD: Department of HomelandSecurity/FEMA.16Slick, J. (2016). An exploration of the characteristics of case-based learning activities in disaster and emergencymanagement post-secondary programs: What is and what might be. (Doctoral dissertation). Retrieved from /ubctheses/24/items/1.0305799158

Case-based ResearchAny field-based research that studies phenomena situated in real world contexts can be considered acase study, 17and thus much of the research conducted following disasters is a type of case study.Research case studies can have instrumental or intrinsic value, like the teaching case studiesdescribed above. 18 Cases that have intrinsic value 19 offer a unique opportunity for learning. Forexample, research conducted after the 9/11 event provided unique insight into how people andorganizations adapted their response to deal with the impact and magnitude of this event. 20 Caseshave instrumental value when they provide insight into how and why something occurs. While thereare limits to generalizing from any one case, the insights developed through case studies havehelped to dispel myths about human behavior and in understanding the kinds of prosocial behaviorsthat are common after disaster. 21 Further, comparative case studies–which focus on examination ofthe same phenomenon across multiple contexts–provide an opportunity to validate previousfindings, as well as extend knowledge about different phenomenon. For example, examination ofthe forms of online convergence following different types of disaster events sheds light on howsocial media is being used, as well as the constancy of motivations related to prosocial forms ofbehavior. 22 The research questions for a case study will inform the methodological approach, whichcan be qualitative or quantitative, or use mixed methods.Research case studies have value in the disaster and emergency management field. Major disastersare becoming more frequent and intense. If lessons from each event are not properly documentedthrough research, the mistakes and successes from past disasters will not be passed on to others whohave the capacity to improve disaster response in the future. As responders move on to the nextdisaster, vital details are lost that help us to make sense of what happened, identify challenges thatarose, and suggest changes that need to be implemented. This challenge is especially acute in theUS disaster management philosophy, which relies on temporary systems that are built anddismantled from event to event. Case-based research methods have also been used to formallyinvestigate other dimensions of emergency management practice, such as preparedness andmitigation activities. Although there is a valid argument that we do not always systematicallycapture the lessons learned from practice, multiple research studies suggest that there is an amplebody of literature available to help advance emergency management practice that is not beingutilized. One of the limitations is that knowledge generated through research is not effectivelytranslated in a way that is useful for implementing into practice. 23 Similarly, lessons from disasteroperations can fail to be documented and later translated to needed policy, programmatic, andservice delivery changes.17Yin, R. K. (2014). Case study research: Design and methods. Thousand Oaks, CA: SageStake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage.19Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage.20Wachtendorf, T. (2004). Improvising 9/11: Organizational improvisation following the world trade center disaster(Doctoral dissertation, University of Delaware).21Kendra & Wachtendorf. (2003). Reconsidering convergence and converger legitimacy in response to the world tradecenter disaster. Research in Social Problems and Public Policy, 11, 97-122.22Hughes, Palen, Sutton, Liu & Vieweg. (2008). “Site-Seeing” in disaster: An examination of online socialconvergence. Washington, DC: ISCRAM Proceedings.23Weichselgartner, Juergen and Patrick Pigeon. 2015. “The Role of Knowledge in Disaster Risk Reduction.”International Journal of Disaster Risk Science 6(2):107-16. doi: 10.1007/s13753-015-0052-7.189

To be useful, research case studies should be relevant to and document both current contexts and thehistorical trends and patterns of issues that have been recurrent in disasters over the years. Further,research findings must be translated into best practices, with recommendations from the researchcommunity for practitioners and other stakeholders provided in a usable format. Therefore, we areproposing a framework for a case study development process that is translational and scalable formultiple uses and end-users. To achieve these ends, a modification of the Translational ResearchTheory–tailored to emergency management–may be useful. Translational Research Theory is usedin the medical field to translate research into clinical practice and policy. The framework focuses onthree key components: awareness, acceptance, and adoption. To achieve effective translation,researchers envision a problem and then engage multidisciplinary teams centrally and locally tosummarize the evidence, identify barriers, implement into practice, measure performance, andensure policy is adopted.Case study development should be collaborative and interdisciplinary to reflect the field ofemergency management and the post-disaster context. The inclusion of both qualities allows spacefor more holistic learning and practice. Based on the ample amounts of past and current research,identifying relevant case study topics should reflect collaboration by FEMA with the researchcommunity. For each disaster, including the 2017 season, research is conducted with or withoutknowledge of the role of government and FEMA operations. Improved communication andcoordination between researchers, practitioners, and government agencies involved in emergencymanagement can help to translate existing and ongoing research to policy and practice morequickly, ultimately saving the lives and livelihoods of those most impacted by extreme events.Furthermore, a network for ongoing research efforts could be developed along the lines of an onlinerepository, virtual forum, or inter-collaborative website that includes all current emergencymanagement projects that can benefit the emergency management community and be used toimprove policy and practice. 24 The relationship between FEMA-desired research and concurrentresearch studies should be explored, with emphasis on evidence-based practice. In 2018, FEMAdrafted, “A Proposed Research Agenda from the Emergency Management Academic and ResearchCommunity” that established five guiding principles and five research thrusts to help bridge the gapbetween research and practice in hazards, disasters, and emergency management. This report canhelp guide case study development and align new research projects with the broader goals of FEMAto increase evidence-informed action.The primary purpose of research case studies is to generate new knowledge. Research cases can beused in teaching, where they are commonly assigned as readings, and they can also be adapted tosupport the development of best practices, by enhancing students’ knowledge of how to analyze asituation, solve problems, and make informed decisions. 25Case Study Use in Policy and PracticeThere is a long-standing practice in the emergency management field of generating reportsfollowing disasters to inform both policy and practice. These “after-action” reports, which often24For an example, see the Natural Hazards Center SSEER/ISEEER platforms, which are being created to improve rapidreconnaissance research by identifying and mapping researchers and teams from a range of disciplines across the UnitedStates to better coordinate research projects in the event of a major disaster. nts-reconnaissance25Vega, G. (2017). The case writing workbook: a self-guided workshop. Taylor & Francis.10

differ in their foci across events, can be self-generated or produced by an external auditor orevaluator. Further, the reports can vary in terms of their purpose and approach, which can be todescribe, analyze, or evaluate the response to an event.After-action reports are a critical part of the FEMA response protocol. However, these reports aretypically not written with the intention to serve as case studies. Rather, they are created to helpassess what went right or wrong and what could be done better in similar situations in the future.Yet, after-action reports have the potential to inform the case development process and provideefficiencies in the collection and analysis of data. These reports could also be adapted for use inteaching. Given that many of the complex, or “wicked” 26 problems faced in practice have manygood answers, but no right answer, reports can be used in a teaching context to generate thinkingabout alternative ways for dealing with specific situations.A principal concern for disaster and emergency management practitioners is how to implementprocesses that promote learning and improve both policy and practice. In addition, operationalreviews need to incorporate methods that help to distinguish when a practice is truly asuccess/improvement as opposed to a stop-gap or band-aid measure used because of a lack ofstandards, training, policy, and so forth. Case studies can be used to highlight successes, failures,recurring problems, and operational challenges. To gain the most benefit from the case method,institutional norms must be created and nurtured that encoura

limited formal development, to date, of using case studies as a teaching method in the emergency management field, the use of case studies in research and professional practice is common. This section will also present ideas about how each of these three types of case studies can inform the case study development process.