key strength in case study method

Case Study Method Advantages and Disadvantages: Essential Insights for Success

Ever wondered why the case study method is so popular in fields like business, psychology, and education? It’s because case studies offer a unique way to dive deep into real-world scenarios, allowing you to explore complex issues in a detailed manner. By examining specific instances, you gain insights that are often missed in broader surveys or theoretical research.

But like any other research method, the case study approach has its pros and cons. While it provides in-depth understanding and rich qualitative data, it can also be time-consuming and sometimes lacks generalizability. So, how do you decide if it’s the right method for your research? Let’s explore the advantages and disadvantages to help you make an informed choice.

Key Takeaways

• In-Depth Insights: Case studies provide comprehensive and detailed data by exploring specific real-world scenarios, often revealing nuances and contexts missed by broader research methods.
• Qualitative and Quantitative Data: This method involves gathering a mix of qualitative and quantitative data, enhancing the richness and depth of the research.
• Challenges of Generalizability: While case studies offer in-depth insight, their findings are often specific to the case and may not be broadly applicable to other settings or situations.
• Time-Consuming Process: Conducting case studies requires significant time and effort, which can be a limitation for busy entrepreneurs and researchers needing quick insights.
• Strategic Application: Use case studies when exploring unique business models, understanding specific customer behaviors, or analyzing specific scenarios, but employ strategies like diversifying sources and effective time management to mitigate potential drawbacks.

Understanding the Case Study Method

Curious about how the case study method can enhance your entrepreneurial journey? Let’s break it down.

What Is a Case Study?

A case study is an in-depth investigation of a single entity, such as an individual, group, organization, or event. By focusing on real-life contexts, it provides comprehensive insights that can unveil unique patterns typically missed by broader research methods. This method involves a mix of qualitative and quantitative data collection techniques, including interviews, observations, and document analysis.

How Case Studies Are Used in Research

Researchers use case studies extensively across various fields due to their flexibility and depth of analysis. In business, they help you understand market trends, customer behavior, and effective strategies by examining real-life examples. Successful startups often serve as case studies, providing valuable lessons for budding entrepreneurs. In education, case studies contextualize theories, making learning more relatable. In psychology, they offer detailed explorations of specific issues or treatments, which can inform broader practices.

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Advantages of the Case Study Method

The case study method stands out in business and entrepreneurial research, offering in-depth insights and practical lessons.

In-Depth Data Collection

You gather comprehensive data through case studies, using techniques like interviews, observations, and document reviews. By employing both qualitative and quantitative methods, you gain a thorough understanding of real-world applications and business strategies. This approach lets you explore each aspect of a business scenario, providing detailed evidence for your insights.

Uncovering Nuances and Context

Case studies reveal unique patterns and hidden details often missed by broader research methods. When you analyze a successful startup, you uncover specific strategies that contributed to its success. This method helps you understand the context behind decisions, market conditions, and customer behavior, offering actionable insights for your entrepreneurial endeavors. By focusing on the nuances, you can apply these learnings to your own business and side-hustles, refining your strategies for better outcomes.

Disadvantages of the Case Study Method

Despite the many advantages, the case study method also presents several challenges that can impact its effectiveness in business contexts.

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Limitations in Generalizability

Case studies provide in-depth insights into specific scenarios; however, they often lack broad applicability. When focusing on a single business or entrepreneur, findings may not represent the experiences of others. For instance, a strategy that worked for a particular online startup might not yield the same results for a different venture due to varying market conditions and business models. Limited sample sizes in case studies further constrain their generalizability, making it difficult to formulate universal conclusions or industry-wide trends.

Time-Consuming Nature

Conducting case studies requires significant time and effort. Collecting data through interviews, observations, and document reviews can be particularly exhaustive. As an entrepreneur juggling multiple side-hustles, dedicating time to such detailed research might detract from hands-on activities that directly impact your business. Long research durations also delay the availability of insights, making them less timely or relevant in rapidly evolving market conditions. This time-intensive nature can be a deterrent, especially when quick decision-making and agility are crucial for business success.

Balancing the Pros and Cons

For entrepreneurs and business enthusiasts like you, the case study method offers a way to dive deep into specific business scenarios. It’s a powerful tool, but it has both benefits and challenges.

When to Choose Case Study Method

Use the case study method when you need detailed, practical insights. This method works well when exploring unique business models, understanding specific customer behaviors, or examining the success strategies of other startups. Large-scale statistics can’t capture the nuances you get from a focused case study.

• Launching a new product and needing to understand early adopter behavior.
• Analyzing a failed competitor to learn what went wrong.

Strategies to Mitigate Disadvantages

To mitigate the limitations of case studies, employ these strategies:

• Diversify Sources : Include multiple case studies to build a broader understanding, reducing the risk of overgeneralization.
• Time Management : Allocate specific time slots for case study research to prevent it from consuming your hands-on business activities.
• Collaborate : Work with others to share the research load and bring in diverse perspectives.

These strategies help you get the most out of the case study method while addressing common drawbacks.

The case study method offers a unique way to gain in-depth insights and analyze complex scenarios in various fields. While it has its challenges like time consumption and limited generalizability you can still leverage its strengths by using diverse sources and effective time management. Collaborating with others can also help you make the most out of your case studies. By understanding when and how to use this method you’ll be better equipped to harness its full potential for your business or research endeavors.

Frequently Asked Questions

What are the primary benefits of the case study method in business.

The case study method offers detailed insights, helps analyze market trends, and understands customer behavior through both qualitative and quantitative data collection techniques.

What fields commonly use the case study method?

The case study method is popular in business, psychology, and education for its ability to provide comprehensive and detailed insights.

What are the main disadvantages of using the case study method in business?

The main disadvantages include limitations in generalizability and the time-consuming nature of conducting in-depth research.

How can businesses mitigate the limitations of the case study method?

Businesses can mitigate limitations by diversifying their data sources, managing research time effectively, and collaborating with others to enhance the quality and applicability of their case studies.

When should entrepreneurs and business enthusiasts choose the case study method?

Entrepreneurs and business enthusiasts should choose the case study method when they need detailed, qualitative insights that cannot be captured through other research methods.

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Case Study Research Method in Psychology

Saul McLeod, PhD

Editor-in-Chief for Simply Psychology

BSc (Hons) Psychology, MRes, PhD, University of Manchester

Saul McLeod, PhD., is a qualified psychology teacher with over 18 years of experience in further and higher education. He has been published in peer-reviewed journals, including the Journal of Clinical Psychology.

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Olivia Guy-Evans, MSc

Associate Editor for Simply Psychology

BSc (Hons) Psychology, MSc Psychology of Education

Olivia Guy-Evans is a writer and associate editor for Simply Psychology. She has previously worked in healthcare and educational sectors.

On This Page:

Case studies are in-depth investigations of a person, group, event, or community. Typically, data is gathered from various sources using several methods (e.g., observations & interviews).

The case study research method originated in clinical medicine (the case history, i.e., the patient’s personal history). In psychology, case studies are often confined to the study of a particular individual.

The information is mainly biographical and relates to events in the individual’s past (i.e., retrospective), as well as to significant events that are currently occurring in his or her everyday life.

The case study is not a research method, but researchers select methods of data collection and analysis that will generate material suitable for case studies.

Freud (1909a, 1909b) conducted very detailed investigations into the private lives of his patients in an attempt to both understand and help them overcome their illnesses.

This makes it clear that the case study is a method that should only be used by a psychologist, therapist, or psychiatrist, i.e., someone with a professional qualification.

There is an ethical issue of competence. Only someone qualified to diagnose and treat a person can conduct a formal case study relating to atypical (i.e., abnormal) behavior or atypical development.

 Famous Case Studies

• Anna O – One of the most famous case studies, documenting psychoanalyst Josef Breuer’s treatment of “Anna O” (real name Bertha Pappenheim) for hysteria in the late 1800s using early psychoanalytic theory.
• Little Hans – A child psychoanalysis case study published by Sigmund Freud in 1909 analyzing his five-year-old patient Herbert Graf’s house phobia as related to the Oedipus complex.
• Bruce/Brenda – Gender identity case of the boy (Bruce) whose botched circumcision led psychologist John Money to advise gender reassignment and raise him as a girl (Brenda) in the 1960s.
• Genie Wiley – Linguistics/psychological development case of the victim of extreme isolation abuse who was studied in 1970s California for effects of early language deprivation on acquiring speech later in life.
• Phineas Gage – One of the most famous neuropsychology case studies analyzes personality changes in railroad worker Phineas Gage after an 1848 brain injury involving a tamping iron piercing his skull.

Clinical Case Studies

• Studying the effectiveness of psychotherapy approaches with an individual patient
• Assessing and treating mental illnesses like depression, anxiety disorders, PTSD
• Neuropsychological cases investigating brain injuries or disorders

Child Psychology Case Studies

• Studying psychological development from birth through adolescence
• Cases of learning disabilities, autism spectrum disorders, ADHD
• Effects of trauma, abuse, deprivation on development

Types of Case Studies

• Explanatory case studies : Used to explore causation in order to find underlying principles. Helpful for doing qualitative analysis to explain presumed causal links.
• Exploratory case studies : Used to explore situations where an intervention being evaluated has no clear set of outcomes. It helps define questions and hypotheses for future research.
• Descriptive case studies : Describe an intervention or phenomenon and the real-life context in which it occurred. It is helpful for illustrating certain topics within an evaluation.
• Multiple-case studies : Used to explore differences between cases and replicate findings across cases. Helpful for comparing and contrasting specific cases.
• Intrinsic : Used to gain a better understanding of a particular case. Helpful for capturing the complexity of a single case.
• Collective : Used to explore a general phenomenon using multiple case studies. Helpful for jointly studying a group of cases in order to inquire into the phenomenon.

Where Do You Find Data for a Case Study?

There are several places to find data for a case study. The key is to gather data from multiple sources to get a complete picture of the case and corroborate facts or findings through triangulation of evidence. Most of this information is likely qualitative (i.e., verbal description rather than measurement), but the psychologist might also collect numerical data.

1. Primary sources

• Interviews – Interviewing key people related to the case to get their perspectives and insights. The interview is an extremely effective procedure for obtaining information about an individual, and it may be used to collect comments from the person’s friends, parents, employer, workmates, and others who have a good knowledge of the person, as well as to obtain facts from the person him or herself.
• Observations – Observing behaviors, interactions, processes, etc., related to the case as they unfold in real-time.
• Documents & Records – Reviewing private documents, diaries, public records, correspondence, meeting minutes, etc., relevant to the case.

2. Secondary sources

• News/Media – News coverage of events related to the case study.
• Academic articles – Journal articles, dissertations etc. that discuss the case.
• Government reports – Official data and records related to the case context.
• Books/films – Books, documentaries or films discussing the case.

3. Archival records

Searching historical archives, museum collections and databases to find relevant documents, visual/audio records related to the case history and context.

Public archives like newspapers, organizational records, photographic collections could all include potentially relevant pieces of information to shed light on attitudes, cultural perspectives, common practices and historical contexts related to psychology.

4. Organizational records

Organizational records offer the advantage of often having large datasets collected over time that can reveal or confirm psychological insights.

Of course, privacy and ethical concerns regarding confidential data must be navigated carefully.

However, with proper protocols, organizational records can provide invaluable context and empirical depth to qualitative case studies exploring the intersection of psychology and organizations.

• Organizational/industrial psychology research : Organizational records like employee surveys, turnover/retention data, policies, incident reports etc. may provide insight into topics like job satisfaction, workplace culture and dynamics, leadership issues, employee behaviors etc.
• Clinical psychology : Therapists/hospitals may grant access to anonymized medical records to study aspects like assessments, diagnoses, treatment plans etc. This could shed light on clinical practices.
• School psychology : Studies could utilize anonymized student records like test scores, grades, disciplinary issues, and counseling referrals to study child development, learning barriers, effectiveness of support programs, and more.

How do I Write a Case Study in Psychology?

Follow specified case study guidelines provided by a journal or your psychology tutor. General components of clinical case studies include: background, symptoms, assessments, diagnosis, treatment, and outcomes. Interpreting the information means the researcher decides what to include or leave out. A good case study should always clarify which information is the factual description and which is an inference or the researcher’s opinion.

1. Introduction

• Provide background on the case context and why it is of interest, presenting background information like demographics, relevant history, and presenting problem.
• Compare briefly to similar published cases if applicable. Clearly state the focus/importance of the case.

2. Case Presentation

• Describe the presenting problem in detail, including symptoms, duration,and impact on daily life.
• Include client demographics like age and gender, information about social relationships, and mental health history.
• Describe all physical, emotional, and/or sensory symptoms reported by the client.
• Use patient quotes to describe the initial complaint verbatim. Follow with full-sentence summaries of relevant history details gathered, including key components that led to a working diagnosis.
• Summarize clinical exam results, namely orthopedic/neurological tests, imaging, lab tests, etc. Note actual results rather than subjective conclusions. Provide images if clearly reproducible/anonymized.
• Clearly state the working diagnosis or clinical impression before transitioning to management.

3. Management and Outcome

• Indicate the total duration of care and number of treatments given over what timeframe. Use specific names/descriptions for any therapies/interventions applied.
• Present the results of the intervention,including any quantitative or qualitative data collected.
• For outcomes, utilize visual analog scales for pain, medication usage logs, etc., if possible. Include patient self-reports of improvement/worsening of symptoms. Note the reason for discharge/end of care.

4. Discussion

• Analyze the case, exploring contributing factors, limitations of the study, and connections to existing research.
• Analyze the effectiveness of the intervention,considering factors like participant adherence, limitations of the study, and potential alternative explanations for the results.
• Identify any questions raised in the case analysis and relate insights to established theories and current research if applicable. Avoid definitive claims about physiological explanations.
• Offer clinical implications, and suggest future research directions.

5. Additional Items

• Thank specific assistants for writing support only. No patient acknowledgments.
• References should directly support any key claims or quotes included.
• Use tables/figures/images only if substantially informative. Include permissions and legends/explanatory notes.
• Provides detailed (rich qualitative) information.
• Provides insight for further research.
• Permitting investigation of otherwise impractical (or unethical) situations.

Case studies allow a researcher to investigate a topic in far more detail than might be possible if they were trying to deal with a large number of research participants (nomothetic approach) with the aim of ‘averaging’.

Because of their in-depth, multi-sided approach, case studies often shed light on aspects of human thinking and behavior that would be unethical or impractical to study in other ways.

Research that only looks into the measurable aspects of human behavior is not likely to give us insights into the subjective dimension of experience, which is important to psychoanalytic and humanistic psychologists.

Case studies are often used in exploratory research. They can help us generate new ideas (that might be tested by other methods). They are an important way of illustrating theories and can help show how different aspects of a person’s life are related to each other.

The method is, therefore, important for psychologists who adopt a holistic point of view (i.e., humanistic psychologists ).

Limitations

• Lacking scientific rigor and providing little basis for generalization of results to the wider population.
• Researchers’ own subjective feelings may influence the case study (researcher bias).
• Difficult to replicate.
• Time-consuming and expensive.
• The volume of data, together with the time restrictions in place, impacted the depth of analysis that was possible within the available resources.

Because a case study deals with only one person/event/group, we can never be sure if the case study investigated is representative of the wider body of “similar” instances. This means the conclusions drawn from a particular case may not be transferable to other settings.

Because case studies are based on the analysis of qualitative (i.e., descriptive) data , a lot depends on the psychologist’s interpretation of the information she has acquired.

This means that there is a lot of scope for Anna O , and it could be that the subjective opinions of the psychologist intrude in the assessment of what the data means.

For example, Freud has been criticized for producing case studies in which the information was sometimes distorted to fit particular behavioral theories (e.g., Little Hans ).

This is also true of Money’s interpretation of the Bruce/Brenda case study (Diamond, 1997) when he ignored evidence that went against his theory.

Breuer, J., & Freud, S. (1895).  Studies on hysteria . Standard Edition 2: London.

Curtiss, S. (1981). Genie: The case of a modern wild child .

Diamond, M., & Sigmundson, K. (1997). Sex Reassignment at Birth: Long-term Review and Clinical Implications. Archives of Pediatrics & Adolescent Medicine , 151(3), 298-304

Freud, S. (1909a). Analysis of a phobia of a five year old boy. In The Pelican Freud Library (1977), Vol 8, Case Histories 1, pages 169-306

Freud, S. (1909b). Bemerkungen über einen Fall von Zwangsneurose (Der “Rattenmann”). Jb. psychoanal. psychopathol. Forsch ., I, p. 357-421; GW, VII, p. 379-463; Notes upon a case of obsessional neurosis, SE , 10: 151-318.

Harlow J. M. (1848). Passage of an iron rod through the head.  Boston Medical and Surgical Journal, 39 , 389–393.

Harlow, J. M. (1868).  Recovery from the Passage of an Iron Bar through the Head .  Publications of the Massachusetts Medical Society. 2  (3), 327-347.

Money, J., & Ehrhardt, A. A. (1972).  Man & Woman, Boy & Girl : The Differentiation and Dimorphism of Gender Identity from Conception to Maturity. Baltimore, Maryland: Johns Hopkins University Press.

Money, J., & Tucker, P. (1975). Sexual signatures: On being a man or a woman.

Further Information

• Case Study Approach
• Case Study Method
• Enhancing the Quality of Case Studies in Health Services Research
• “We do things together” A case study of “couplehood” in dementia
• Using mixed methods for evaluating an integrative approach to cancer care: a case study

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5 Benefits of Learning Through the Case Study Method

• 28 Nov 2023

While several factors make HBS Online unique —including a global Community and real-world outcomes —active learning through the case study method rises to the top.

In a 2023 City Square Associates survey, 74 percent of HBS Online learners who also took a course from another provider said HBS Online’s case method and real-world examples were better by comparison.

Here’s a primer on the case method, five benefits you could gain, and how to experience it for yourself.

Access your free e-book today.

What Is the Harvard Business School Case Study Method?

The case study method , or case method , is a learning technique in which you’re presented with a real-world business challenge and asked how you’d solve it. After working through it yourself and with peers, you’re told how the scenario played out.

HBS pioneered the case method in 1922. Shortly before, in 1921, the first case was written.

“How do you go into an ambiguous situation and get to the bottom of it?” says HBS Professor Jan Rivkin, former senior associate dean and chair of HBS's master of business administration (MBA) program, in a video about the case method . “That skill—the skill of figuring out a course of inquiry to choose a course of action—that skill is as relevant today as it was in 1921.”

Originally developed for the in-person MBA classroom, HBS Online adapted the case method into an engaging, interactive online learning experience in 2014.

In HBS Online courses , you learn about each case from the business professional who experienced it. After reviewing their videos, you’re prompted to take their perspective and explain how you’d handle their situation.

You then get to read peers’ responses, “star” them, and comment to further the discussion. Afterward, you learn how the professional handled it and their key takeaways.

Learn more about HBS Online's approach to the case method in the video below, and subscribe to our YouTube channel for more.

HBS Online’s adaptation of the case method incorporates the famed HBS “cold call,” in which you’re called on at random to make a decision without time to prepare.

“Learning came to life!” said Sheneka Balogun , chief administration officer and chief of staff at LeMoyne-Owen College, of her experience taking the Credential of Readiness (CORe) program . “The videos from the professors, the interactive cold calls where you were randomly selected to participate, and the case studies that enhanced and often captured the essence of objectives and learning goals were all embedded in each module. This made learning fun, engaging, and student-friendly.”

If you’re considering taking a course that leverages the case study method, here are five benefits you could experience.

5 Benefits of Learning Through Case Studies

1. take new perspectives.

The case method prompts you to consider a scenario from another person’s perspective. To work through the situation and come up with a solution, you must consider their circumstances, limitations, risk tolerance, stakeholders, resources, and potential consequences to assess how to respond.

Taking on new perspectives not only can help you navigate your own challenges but also others’. Putting yourself in someone else’s situation to understand their motivations and needs can go a long way when collaborating with stakeholders.

2. Hone Your Decision-Making Skills

Another skill you can build is the ability to make decisions effectively . The case study method forces you to use limited information to decide how to handle a problem—just like in the real world.

Throughout your career, you’ll need to make difficult decisions with incomplete or imperfect information—and sometimes, you won’t feel qualified to do so. Learning through the case method allows you to practice this skill in a low-stakes environment. When facing a real challenge, you’ll be better prepared to think quickly, collaborate with others, and present and defend your solution.

3. Become More Open-Minded

As you collaborate with peers on responses, it becomes clear that not everyone solves problems the same way. Exposing yourself to various approaches and perspectives can help you become a more open-minded professional.

When you’re part of a diverse group of learners from around the world, your experiences, cultures, and backgrounds contribute to a range of opinions on each case.

On the HBS Online course platform, you’re prompted to view and comment on others’ responses, and discussion is encouraged. This practice of considering others’ perspectives can make you more receptive in your career.

“You’d be surprised at how much you can learn from your peers,” said Ratnaditya Jonnalagadda , a software engineer who took CORe.

In addition to interacting with peers in the course platform, Jonnalagadda was part of the HBS Online Community , where he networked with other professionals and continued discussions sparked by course content.

“You get to understand your peers better, and students share examples of businesses implementing a concept from a module you just learned,” Jonnalagadda said. “It’s a very good way to cement the concepts in one's mind.”

4. Enhance Your Curiosity

One byproduct of taking on different perspectives is that it enables you to picture yourself in various roles, industries, and business functions.

“Each case offers an opportunity for students to see what resonates with them, what excites them, what bores them, which role they could imagine inhabiting in their careers,” says former HBS Dean Nitin Nohria in the Harvard Business Review . “Cases stimulate curiosity about the range of opportunities in the world and the many ways that students can make a difference as leaders.”

Through the case method, you can “try on” roles you may not have considered and feel more prepared to change or advance your career .

5. Build Your Self-Confidence

Finally, learning through the case study method can build your confidence. Each time you assume a business leader’s perspective, aim to solve a new challenge, and express and defend your opinions and decisions to peers, you prepare to do the same in your career.

According to a 2022 City Square Associates survey , 84 percent of HBS Online learners report feeling more confident making business decisions after taking a course.

“Self-confidence is difficult to teach or coach, but the case study method seems to instill it in people,” Nohria says in the Harvard Business Review . “There may well be other ways of learning these meta-skills, such as the repeated experience gained through practice or guidance from a gifted coach. However, under the direction of a masterful teacher, the case method can engage students and help them develop powerful meta-skills like no other form of teaching.”

How to Experience the Case Study Method

If the case method seems like a good fit for your learning style, experience it for yourself by taking an HBS Online course. Offerings span eight subject areas, including:

• Business essentials
• Leadership and management
• Entrepreneurship and innovation
• Digital transformation
• Finance and accounting
• Business in society

No matter which course or credential program you choose, you’ll examine case studies from real business professionals, work through their challenges alongside peers, and gain valuable insights to apply to your career.

Are you interested in discovering how HBS Online can help advance your career? Explore our course catalog and download our free guide —complete with interactive workbook sections—to determine if online learning is right for you and which course to take.

About the Author

What the Case Study Method Really Teaches

by Nitin Nohria

Summary .   

It’s been 100 years since Harvard Business School began using the case study method. Beyond teaching specific subject matter, the case study method excels in instilling meta-skills in students. This article explains the importance of seven such skills: preparation, discernment, bias recognition, judgement, collaboration, curiosity, and self-confidence.

During my decade as dean of Harvard Business School, I spent hundreds of hours talking with our alumni. To enliven these conversations, I relied on a favorite question: “What was the most important thing you learned from your time in our MBA program?”

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Methodology

• What Is a Case Study? | Definition, Examples & Methods

What Is a Case Study? | Definition, Examples & Methods

Published on May 8, 2019 by Shona McCombes . Revised on November 20, 2023.

A case study is a detailed study of a specific subject, such as a person, group, place, event, organization, or phenomenon. Case studies are commonly used in social, educational, clinical, and business research.

A case study research design usually involves qualitative methods , but quantitative methods are sometimes also used. Case studies are good for describing , comparing, evaluating and understanding different aspects of a research problem .

Table of contents

When to do a case study, step 1: select a case, step 2: build a theoretical framework, step 3: collect your data, step 4: describe and analyze the case, other interesting articles.

A case study is an appropriate research design when you want to gain concrete, contextual, in-depth knowledge about a specific real-world subject. It allows you to explore the key characteristics, meanings, and implications of the case.

Case studies are often a good choice in a thesis or dissertation . They keep your project focused and manageable when you don’t have the time or resources to do large-scale research.

You might use just one complex case study where you explore a single subject in depth, or conduct multiple case studies to compare and illuminate different aspects of your research problem.

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Once you have developed your problem statement and research questions , you should be ready to choose the specific case that you want to focus on. A good case study should have the potential to:

• Provide new or unexpected insights into the subject
• Challenge or complicate existing assumptions and theories
• Propose practical courses of action to resolve a problem
• Open up new directions for future research

TipIf your research is more practical in nature and aims to simultaneously investigate an issue as you solve it, consider conducting action research instead.

Unlike quantitative or experimental research , a strong case study does not require a random or representative sample. In fact, case studies often deliberately focus on unusual, neglected, or outlying cases which may shed new light on the research problem.

Example of an outlying case studyIn the 1960s the town of Roseto, Pennsylvania was discovered to have extremely low rates of heart disease compared to the US average. It became an important case study for understanding previously neglected causes of heart disease.

However, you can also choose a more common or representative case to exemplify a particular category, experience or phenomenon.

Example of a representative case studyIn the 1920s, two sociologists used Muncie, Indiana as a case study of a typical American city that supposedly exemplified the changing culture of the US at the time.

While case studies focus more on concrete details than general theories, they should usually have some connection with theory in the field. This way the case study is not just an isolated description, but is integrated into existing knowledge about the topic. It might aim to:

• Exemplify a theory by showing how it explains the case under investigation
• Expand on a theory by uncovering new concepts and ideas that need to be incorporated
• Challenge a theory by exploring an outlier case that doesn’t fit with established assumptions

To ensure that your analysis of the case has a solid academic grounding, you should conduct a literature review of sources related to the topic and develop a theoretical framework . This means identifying key concepts and theories to guide your analysis and interpretation.

There are many different research methods you can use to collect data on your subject. Case studies tend to focus on qualitative data using methods such as interviews , observations , and analysis of primary and secondary sources (e.g., newspaper articles, photographs, official records). Sometimes a case study will also collect quantitative data.

Example of a mixed methods case studyFor a case study of a wind farm development in a rural area, you could collect quantitative data on employment rates and business revenue, collect qualitative data on local people’s perceptions and experiences, and analyze local and national media coverage of the development.

The aim is to gain as thorough an understanding as possible of the case and its context.

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In writing up the case study, you need to bring together all the relevant aspects to give as complete a picture as possible of the subject.

How you report your findings depends on the type of research you are doing. Some case studies are structured like a standard scientific paper or thesis , with separate sections or chapters for the methods , results and discussion .

Others are written in a more narrative style, aiming to explore the case from various angles and analyze its meanings and implications (for example, by using textual analysis or discourse analysis ).

In all cases, though, make sure to give contextual details about the case, connect it back to the literature and theory, and discuss how it fits into wider patterns or debates.

If you want to know more about statistics , methodology , or research bias , make sure to check out some of our other articles with explanations and examples.

• Normal distribution
• Degrees of freedom
• Null hypothesis
• Discourse analysis
• Control groups
• Mixed methods research
• Non-probability sampling
• Quantitative research
• Ecological validity

Research bias

• Rosenthal effect
• Implicit bias
• Cognitive bias
• Selection bias
• Negativity bias
• Status quo bias

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The Ultimate Guide to Qualitative Research - Part 1: The Basics

• Introduction and overview
• What is qualitative research?
• What is qualitative data?
• Examples of qualitative data
• Qualitative vs. quantitative research
• Mixed methods
• Qualitative research preparation
• Theoretical perspective
• Theoretical framework
• Literature reviews

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

Applications for case study research, what is a good case study, process of case study design, benefits and limitations of case studies.

• Ethnographical research
• Ethical considerations
• Confidentiality and privacy
• Power dynamics
• Reflexivity

Case studies

Case studies are essential to qualitative research , offering a lens through which researchers can investigate complex phenomena within their real-life contexts. This chapter explores the concept, purpose, applications, examples, and types of case studies and provides guidance on how to conduct case study research effectively.

Whereas quantitative methods look at phenomena at scale, case study research looks at a concept or phenomenon in considerable detail. While analyzing a single case can help understand one perspective regarding the object of research inquiry, analyzing multiple cases can help obtain a more holistic sense of the topic or issue. Let's provide a basic definition of a case study, then explore its characteristics and role in the qualitative research process.

Definition of a case study

A case study in qualitative research is a strategy of inquiry that involves an in-depth investigation of a phenomenon within its real-world context. It provides researchers with the opportunity to acquire an in-depth understanding of intricate details that might not be as apparent or accessible through other methods of research. The specific case or cases being studied can be a single person, group, or organization – demarcating what constitutes a relevant case worth studying depends on the researcher and their research question .

Among qualitative research methods , a case study relies on multiple sources of evidence, such as documents, artifacts, interviews , or observations , to present a complete and nuanced understanding of the phenomenon under investigation. The objective is to illuminate the readers' understanding of the phenomenon beyond its abstract statistical or theoretical explanations.

Characteristics of case studies

Case studies typically possess a number of distinct characteristics that set them apart from other research methods. These characteristics include a focus on holistic description and explanation, flexibility in the design and data collection methods, reliance on multiple sources of evidence, and emphasis on the context in which the phenomenon occurs.

Furthermore, case studies can often involve a longitudinal examination of the case, meaning they study the case over a period of time. These characteristics allow case studies to yield comprehensive, in-depth, and richly contextualized insights about the phenomenon of interest.

The role of case studies in research

Case studies hold a unique position in the broader landscape of research methods aimed at theory development. They are instrumental when the primary research interest is to gain an intensive, detailed understanding of a phenomenon in its real-life context.

In addition, case studies can serve different purposes within research - they can be used for exploratory, descriptive, or explanatory purposes, depending on the research question and objectives. This flexibility and depth make case studies a valuable tool in the toolkit of qualitative researchers.

Remember, a well-conducted case study can offer a rich, insightful contribution to both academic and practical knowledge through theory development or theory verification, thus enhancing our understanding of complex phenomena in their real-world contexts.

What is the purpose of a case study?

Case study research aims for a more comprehensive understanding of phenomena, requiring various research methods to gather information for qualitative analysis . Ultimately, a case study can allow the researcher to gain insight into a particular object of inquiry and develop a theoretical framework relevant to the research inquiry.

Why use case studies in qualitative research?

Using case studies as a research strategy depends mainly on the nature of the research question and the researcher's access to the data.

Conducting case study research provides a level of detail and contextual richness that other research methods might not offer. They are beneficial when there's a need to understand complex social phenomena within their natural contexts.

The explanatory, exploratory, and descriptive roles of case studies

Case studies can take on various roles depending on the research objectives. They can be exploratory when the research aims to discover new phenomena or define new research questions; they are descriptive when the objective is to depict a phenomenon within its context in a detailed manner; and they can be explanatory if the goal is to understand specific relationships within the studied context. Thus, the versatility of case studies allows researchers to approach their topic from different angles, offering multiple ways to uncover and interpret the data .

The impact of case studies on knowledge development

Case studies play a significant role in knowledge development across various disciplines. Analysis of cases provides an avenue for researchers to explore phenomena within their context based on the collected data.

This can result in the production of rich, practical insights that can be instrumental in both theory-building and practice. Case studies allow researchers to delve into the intricacies and complexities of real-life situations, uncovering insights that might otherwise remain hidden.

Types of case studies

In qualitative research , a case study is not a one-size-fits-all approach. Depending on the nature of the research question and the specific objectives of the study, researchers might choose to use different types of case studies. These types differ in their focus, methodology, and the level of detail they provide about the phenomenon under investigation.

Understanding these types is crucial for selecting the most appropriate approach for your research project and effectively achieving your research goals. Let's briefly look at the main types of case studies.

Exploratory case studies

Exploratory case studies are typically conducted to develop a theory or framework around an understudied phenomenon. They can also serve as a precursor to a larger-scale research project. Exploratory case studies are useful when a researcher wants to identify the key issues or questions which can spur more extensive study or be used to develop propositions for further research. These case studies are characterized by flexibility, allowing researchers to explore various aspects of a phenomenon as they emerge, which can also form the foundation for subsequent studies.

Descriptive case studies

Descriptive case studies aim to provide a complete and accurate representation of a phenomenon or event within its context. These case studies are often based on an established theoretical framework, which guides how data is collected and analyzed. The researcher is concerned with describing the phenomenon in detail, as it occurs naturally, without trying to influence or manipulate it.

Explanatory case studies

Explanatory case studies are focused on explanation - they seek to clarify how or why certain phenomena occur. Often used in complex, real-life situations, they can be particularly valuable in clarifying causal relationships among concepts and understanding the interplay between different factors within a specific context.

Intrinsic, instrumental, and collective case studies

These three categories of case studies focus on the nature and purpose of the study. An intrinsic case study is conducted when a researcher has an inherent interest in the case itself. Instrumental case studies are employed when the case is used to provide insight into a particular issue or phenomenon. A collective case study, on the other hand, involves studying multiple cases simultaneously to investigate some general phenomena.

Each type of case study serves a different purpose and has its own strengths and challenges. The selection of the type should be guided by the research question and objectives, as well as the context and constraints of the research.

The flexibility, depth, and contextual richness offered by case studies make this approach an excellent research method for various fields of study. They enable researchers to investigate real-world phenomena within their specific contexts, capturing nuances that other research methods might miss. Across numerous fields, case studies provide valuable insights into complex issues.

Critical information systems research

Case studies provide a detailed understanding of the role and impact of information systems in different contexts. They offer a platform to explore how information systems are designed, implemented, and used and how they interact with various social, economic, and political factors. Case studies in this field often focus on examining the intricate relationship between technology, organizational processes, and user behavior, helping to uncover insights that can inform better system design and implementation.

Health research

Health research is another field where case studies are highly valuable. They offer a way to explore patient experiences, healthcare delivery processes, and the impact of various interventions in a real-world context.

Case studies can provide a deep understanding of a patient's journey, giving insights into the intricacies of disease progression, treatment effects, and the psychosocial aspects of health and illness.

Asthma research studies

Specifically within medical research, studies on asthma often employ case studies to explore the individual and environmental factors that influence asthma development, management, and outcomes. A case study can provide rich, detailed data about individual patients' experiences, from the triggers and symptoms they experience to the effectiveness of various management strategies. This can be crucial for developing patient-centered asthma care approaches.

Other fields

Apart from the fields mentioned, case studies are also extensively used in business and management research, education research, and political sciences, among many others. They provide an opportunity to delve into the intricacies of real-world situations, allowing for a comprehensive understanding of various phenomena.

Case studies, with their depth and contextual focus, offer unique insights across these varied fields. They allow researchers to illuminate the complexities of real-life situations, contributing to both theory and practice.

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Understanding the key elements of case study design is crucial for conducting rigorous and impactful case study research. A well-structured design guides the researcher through the process, ensuring that the study is methodologically sound and its findings are reliable and valid. The main elements of case study design include the research question , propositions, units of analysis, and the logic linking the data to the propositions.

The research question is the foundation of any research study. A good research question guides the direction of the study and informs the selection of the case, the methods of collecting data, and the analysis techniques. A well-formulated research question in case study research is typically clear, focused, and complex enough to merit further detailed examination of the relevant case(s).

Propositions

Propositions, though not necessary in every case study, provide a direction by stating what we might expect to find in the data collected. They guide how data is collected and analyzed by helping researchers focus on specific aspects of the case. They are particularly important in explanatory case studies, which seek to understand the relationships among concepts within the studied phenomenon.

Units of analysis

The unit of analysis refers to the case, or the main entity or entities that are being analyzed in the study. In case study research, the unit of analysis can be an individual, a group, an organization, a decision, an event, or even a time period. It's crucial to clearly define the unit of analysis, as it shapes the qualitative data analysis process by allowing the researcher to analyze a particular case and synthesize analysis across multiple case studies to draw conclusions.

Argumentation

This refers to the inferential model that allows researchers to draw conclusions from the data. The researcher needs to ensure that there is a clear link between the data, the propositions (if any), and the conclusions drawn. This argumentation is what enables the researcher to make valid and credible inferences about the phenomenon under study.

Understanding and carefully considering these elements in the design phase of a case study can significantly enhance the quality of the research. It can help ensure that the study is methodologically sound and its findings contribute meaningful insights about the case.

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Conducting a case study involves several steps, from defining the research question and selecting the case to collecting and analyzing data . This section outlines these key stages, providing a practical guide on how to conduct case study research.

Defining the research question

The first step in case study research is defining a clear, focused research question. This question should guide the entire research process, from case selection to analysis. It's crucial to ensure that the research question is suitable for a case study approach. Typically, such questions are exploratory or descriptive in nature and focus on understanding a phenomenon within its real-life context.

Selecting and defining the case

The selection of the case should be based on the research question and the objectives of the study. It involves choosing a unique example or a set of examples that provide rich, in-depth data about the phenomenon under investigation. After selecting the case, it's crucial to define it clearly, setting the boundaries of the case, including the time period and the specific context.

Previous research can help guide the case study design. When considering a case study, an example of a case could be taken from previous case study research and used to define cases in a new research inquiry. Considering recently published examples can help understand how to select and define cases effectively.

Developing a detailed case study protocol

A case study protocol outlines the procedures and general rules to be followed during the case study. This includes the data collection methods to be used, the sources of data, and the procedures for analysis. Having a detailed case study protocol ensures consistency and reliability in the study.

The protocol should also consider how to work with the people involved in the research context to grant the research team access to collecting data. As mentioned in previous sections of this guide, establishing rapport is an essential component of qualitative research as it shapes the overall potential for collecting and analyzing data.

Collecting data

Gathering data in case study research often involves multiple sources of evidence, including documents, archival records, interviews, observations, and physical artifacts. This allows for a comprehensive understanding of the case. The process for gathering data should be systematic and carefully documented to ensure the reliability and validity of the study.

Analyzing and interpreting data

The next step is analyzing the data. This involves organizing the data , categorizing it into themes or patterns , and interpreting these patterns to answer the research question. The analysis might also involve comparing the findings with prior research or theoretical propositions.

Writing the case study report

The final step is writing the case study report . This should provide a detailed description of the case, the data, the analysis process, and the findings. The report should be clear, organized, and carefully written to ensure that the reader can understand the case and the conclusions drawn from it.

Each of these steps is crucial in ensuring that the case study research is rigorous, reliable, and provides valuable insights about the case.

The type, depth, and quality of data in your study can significantly influence the validity and utility of the study. In case study research, data is usually collected from multiple sources to provide a comprehensive and nuanced understanding of the case. This section will outline the various methods of collecting data used in case study research and discuss considerations for ensuring the quality of the data.

Interviews are a common method of gathering data in case study research. They can provide rich, in-depth data about the perspectives, experiences, and interpretations of the individuals involved in the case. Interviews can be structured , semi-structured , or unstructured , depending on the research question and the degree of flexibility needed.

Observations

Observations involve the researcher observing the case in its natural setting, providing first-hand information about the case and its context. Observations can provide data that might not be revealed in interviews or documents, such as non-verbal cues or contextual information.

Documents and artifacts

Documents and archival records provide a valuable source of data in case study research. They can include reports, letters, memos, meeting minutes, email correspondence, and various public and private documents related to the case.

These records can provide historical context, corroborate evidence from other sources, and offer insights into the case that might not be apparent from interviews or observations.

Physical artifacts refer to any physical evidence related to the case, such as tools, products, or physical environments. These artifacts can provide tangible insights into the case, complementing the data gathered from other sources.

Ensuring the quality of data collection

Determining the quality of data in case study research requires careful planning and execution. It's crucial to ensure that the data is reliable, accurate, and relevant to the research question. This involves selecting appropriate methods of collecting data, properly training interviewers or observers, and systematically recording and storing the data. It also includes considering ethical issues related to collecting and handling data, such as obtaining informed consent and ensuring the privacy and confidentiality of the participants.

Data analysis

Analyzing case study research involves making sense of the rich, detailed data to answer the research question. This process can be challenging due to the volume and complexity of case study data. However, a systematic and rigorous approach to analysis can ensure that the findings are credible and meaningful. This section outlines the main steps and considerations in analyzing data in case study research.

Organizing the data

The first step in the analysis is organizing the data. This involves sorting the data into manageable sections, often according to the data source or the theme. This step can also involve transcribing interviews, digitizing physical artifacts, or organizing observational data.

Categorizing and coding the data

Once the data is organized, the next step is to categorize or code the data. This involves identifying common themes, patterns, or concepts in the data and assigning codes to relevant data segments. Coding can be done manually or with the help of software tools, and in either case, qualitative analysis software can greatly facilitate the entire coding process. Coding helps to reduce the data to a set of themes or categories that can be more easily analyzed.

Identifying patterns and themes

After coding the data, the researcher looks for patterns or themes in the coded data. This involves comparing and contrasting the codes and looking for relationships or patterns among them. The identified patterns and themes should help answer the research question.

Interpreting the data

Once patterns and themes have been identified, the next step is to interpret these findings. This involves explaining what the patterns or themes mean in the context of the research question and the case. This interpretation should be grounded in the data, but it can also involve drawing on theoretical concepts or prior research.

Verification of the data

The last step in the analysis is verification. This involves checking the accuracy and consistency of the analysis process and confirming that the findings are supported by the data. This can involve re-checking the original data, checking the consistency of codes, or seeking feedback from research participants or peers.

Like any research method , case study research has its strengths and limitations. Researchers must be aware of these, as they can influence the design, conduct, and interpretation of the study.

Understanding the strengths and limitations of case study research can also guide researchers in deciding whether this approach is suitable for their research question . This section outlines some of the key strengths and limitations of case study research.

Benefits include the following:

• Rich, detailed data: One of the main strengths of case study research is that it can generate rich, detailed data about the case. This can provide a deep understanding of the case and its context, which can be valuable in exploring complex phenomena.
• Flexibility: Case study research is flexible in terms of design , data collection , and analysis . A sufficient degree of flexibility allows the researcher to adapt the study according to the case and the emerging findings.
• Real-world context: Case study research involves studying the case in its real-world context, which can provide valuable insights into the interplay between the case and its context.
• Multiple sources of evidence: Case study research often involves collecting data from multiple sources , which can enhance the robustness and validity of the findings.

On the other hand, researchers should consider the following limitations:

• Generalizability: A common criticism of case study research is that its findings might not be generalizable to other cases due to the specificity and uniqueness of each case.
• Time and resource intensive: Case study research can be time and resource intensive due to the depth of the investigation and the amount of collected data.
• Complexity of analysis: The rich, detailed data generated in case study research can make analyzing the data challenging.
• Subjectivity: Given the nature of case study research, there may be a higher degree of subjectivity in interpreting the data , so researchers need to reflect on this and transparently convey to audiences how the research was conducted.

Being aware of these strengths and limitations can help researchers design and conduct case study research effectively and interpret and report the findings appropriately.

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Home » Case Study – Methods, Examples and Guide

Case Study – Methods, Examples and Guide

Table of Contents

A case study is a research method that involves an in-depth examination and analysis of a particular phenomenon or case, such as an individual, organization, community, event, or situation.

It is a qualitative research approach that aims to provide a detailed and comprehensive understanding of the case being studied. Case studies typically involve multiple sources of data, including interviews, observations, documents, and artifacts, which are analyzed using various techniques, such as content analysis, thematic analysis, and grounded theory. The findings of a case study are often used to develop theories, inform policy or practice, or generate new research questions.

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

A single-case study is an in-depth analysis of a single case. This type of case study is useful when the researcher wants to understand a specific phenomenon in detail.

For Example , A researcher might conduct a single-case study on a particular individual to understand their experiences with a particular health condition or a specific organization to explore their management practices. The researcher collects data from multiple sources, such as interviews, observations, and documents, and uses various techniques to analyze the data, such as content analysis or thematic analysis. The findings of a single-case study are often used to generate new research questions, develop theories, or inform policy or practice.

Multiple-Case Study

A multiple-case study involves the analysis of several cases that are similar in nature. This type of case study is useful when the researcher wants to identify similarities and differences between the cases.

For Example, a researcher might conduct a multiple-case study on several companies to explore the factors that contribute to their success or failure. The researcher collects data from each case, compares and contrasts the findings, and uses various techniques to analyze the data, such as comparative analysis or pattern-matching. The findings of a multiple-case study can be used to develop theories, inform policy or practice, or generate new research questions.

Exploratory Case Study

An exploratory case study is used to explore a new or understudied phenomenon. This type of case study is useful when the researcher wants to generate hypotheses or theories about the phenomenon.

For Example, a researcher might conduct an exploratory case study on a new technology to understand its potential impact on society. The researcher collects data from multiple sources, such as interviews, observations, and documents, and uses various techniques to analyze the data, such as grounded theory or content analysis. The findings of an exploratory case study can be used to generate new research questions, develop theories, or inform policy or practice.

Descriptive Case Study

A descriptive case study is used to describe a particular phenomenon in detail. This type of case study is useful when the researcher wants to provide a comprehensive account of the phenomenon.

For Example, a researcher might conduct a descriptive case study on a particular community to understand its social and economic characteristics. The researcher collects data from multiple sources, such as interviews, observations, and documents, and uses various techniques to analyze the data, such as content analysis or thematic analysis. The findings of a descriptive case study can be used to inform policy or practice or generate new research questions.

Instrumental Case Study

An instrumental case study is used to understand a particular phenomenon that is instrumental in achieving a particular goal. This type of case study is useful when the researcher wants to understand the role of the phenomenon in achieving the goal.

For Example, a researcher might conduct an instrumental case study on a particular policy to understand its impact on achieving a particular goal, such as reducing poverty. The researcher collects data from multiple sources, such as interviews, observations, and documents, and uses various techniques to analyze the data, such as content analysis or thematic analysis. The findings of an instrumental case study can be used to inform policy or practice or generate new research questions.

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

Interviews involve asking questions to individuals who have knowledge or experience relevant to the case study. Interviews can be structured (where the same questions are asked to all participants) or unstructured (where the interviewer follows up on the responses with further questions). Interviews can be conducted in person, over the phone, or through video conferencing.

Observations

Observations involve watching and recording the behavior and activities of individuals or groups relevant to the case study. Observations can be participant (where the researcher actively participates in the activities) or non-participant (where the researcher observes from a distance). Observations can be recorded using notes, audio or video recordings, or photographs.

Documents can be used as a source of information for case studies. Documents can include reports, memos, emails, letters, and other written materials related to the case study. Documents can be collected from the case study participants or from public sources.

Surveys involve asking a set of questions to a sample of individuals relevant to the case study. Surveys can be administered in person, over the phone, through mail or email, or online. Surveys can be used to gather information on attitudes, opinions, or behaviors related to the case study.

Artifacts are physical objects relevant to the case study. Artifacts can include tools, equipment, products, or other objects that provide insights into the case study phenomenon.

How to conduct Case Study Research

Conducting a case study research involves several steps that need to be followed to ensure the quality and rigor of the study. Here are the steps to conduct case study research:

• Define the research questions: The first step in conducting a case study research is to define the research questions. The research questions should be specific, measurable, and relevant to the case study phenomenon under investigation.
• Select the case: The next step is to select the case or cases to be studied. The case should be relevant to the research questions and should provide rich and diverse data that can be used to answer the research questions.
• Collect data: Data can be collected using various methods, such as interviews, observations, documents, surveys, and artifacts. The data collection method should be selected based on the research questions and the nature of the case study phenomenon.
• Analyze the data: The data collected from the case study should be analyzed using various techniques, such as content analysis, thematic analysis, or grounded theory. The analysis should be guided by the research questions and should aim to provide insights and conclusions relevant to the research questions.
• Draw conclusions: The conclusions drawn from the case study should be based on the data analysis and should be relevant to the research questions. The conclusions should be supported by evidence and should be clearly stated.
• Validate the findings: The findings of the case study should be validated by reviewing the data and the analysis with participants or other experts in the field. This helps to ensure the validity and reliability of the findings.
• Write the report: The final step is to write the report of the case study research. The report should provide a clear description of the case study phenomenon, the research questions, the data collection methods, the data analysis, the findings, and the conclusions. The report should be written in a clear and concise manner and should follow the guidelines for academic writing.

Examples of Case Study

Here are some examples of case study research:

• The Hawthorne Studies : Conducted between 1924 and 1932, the Hawthorne Studies were a series of case studies conducted by Elton Mayo and his colleagues to examine the impact of work environment on employee productivity. The studies were conducted at the Hawthorne Works plant of the Western Electric Company in Chicago and included interviews, observations, and experiments.
• The Stanford Prison Experiment: Conducted in 1971, the Stanford Prison Experiment was a case study conducted by Philip Zimbardo to examine the psychological effects of power and authority. The study involved simulating a prison environment and assigning participants to the role of guards or prisoners. The study was controversial due to the ethical issues it raised.
• The Challenger Disaster: The Challenger Disaster was a case study conducted to examine the causes of the Space Shuttle Challenger explosion in 1986. The study included interviews, observations, and analysis of data to identify the technical, organizational, and cultural factors that contributed to the disaster.
• The Enron Scandal: The Enron Scandal was a case study conducted to examine the causes of the Enron Corporation’s bankruptcy in 2001. The study included interviews, analysis of financial data, and review of documents to identify the accounting practices, corporate culture, and ethical issues that led to the company’s downfall.
• The Fukushima Nuclear Disaster : The Fukushima Nuclear Disaster was a case study conducted to examine the causes of the nuclear accident that occurred at the Fukushima Daiichi Nuclear Power Plant in Japan in 2011. The study included interviews, analysis of data, and review of documents to identify the technical, organizational, and cultural factors that contributed to the disaster.

Application of Case Study

Case studies have a wide range of applications across various fields and industries. Here are some examples:

Business and Management

Case studies are widely used in business and management to examine real-life situations and develop problem-solving skills. Case studies can help students and professionals to develop a deep understanding of business concepts, theories, and best practices.

Case studies are used in healthcare to examine patient care, treatment options, and outcomes. Case studies can help healthcare professionals to develop critical thinking skills, diagnose complex medical conditions, and develop effective treatment plans.

Case studies are used in education to examine teaching and learning practices. Case studies can help educators to develop effective teaching strategies, evaluate student progress, and identify areas for improvement.

Social Sciences

Case studies are widely used in social sciences to examine human behavior, social phenomena, and cultural practices. Case studies can help researchers to develop theories, test hypotheses, and gain insights into complex social issues.

Law and Ethics

Case studies are used in law and ethics to examine legal and ethical dilemmas. Case studies can help lawyers, policymakers, and ethical professionals to develop critical thinking skills, analyze complex cases, and make informed decisions.

Purpose of Case Study

The purpose of a case study is to provide a detailed analysis of a specific phenomenon, issue, or problem in its real-life context. A case study is a qualitative research method that involves the in-depth exploration and analysis of a particular case, which can be an individual, group, organization, event, or community.

The primary purpose of a case study is to generate a comprehensive and nuanced understanding of the case, including its history, context, and dynamics. Case studies can help researchers to identify and examine the underlying factors, processes, and mechanisms that contribute to the case and its outcomes. This can help to develop a more accurate and detailed understanding of the case, which can inform future research, practice, or policy.

Case studies can also serve other purposes, including:

• Illustrating a theory or concept: Case studies can be used to illustrate and explain theoretical concepts and frameworks, providing concrete examples of how they can be applied in real-life situations.
• Developing hypotheses: Case studies can help to generate hypotheses about the causal relationships between different factors and outcomes, which can be tested through further research.
• Providing insight into complex issues: Case studies can provide insights into complex and multifaceted issues, which may be difficult to understand through other research methods.
• Informing practice or policy: Case studies can be used to inform practice or policy by identifying best practices, lessons learned, or areas for improvement.

Advantages of Case Study Research

There are several advantages of case study research, including:

• In-depth exploration: Case study research allows for a detailed exploration and analysis of a specific phenomenon, issue, or problem in its real-life context. This can provide a comprehensive understanding of the case and its dynamics, which may not be possible through other research methods.
• Rich data: Case study research can generate rich and detailed data, including qualitative data such as interviews, observations, and documents. This can provide a nuanced understanding of the case and its complexity.
• Holistic perspective: Case study research allows for a holistic perspective of the case, taking into account the various factors, processes, and mechanisms that contribute to the case and its outcomes. This can help to develop a more accurate and comprehensive understanding of the case.
• Theory development: Case study research can help to develop and refine theories and concepts by providing empirical evidence and concrete examples of how they can be applied in real-life situations.
• Practical application: Case study research can inform practice or policy by identifying best practices, lessons learned, or areas for improvement.
• Contextualization: Case study research takes into account the specific context in which the case is situated, which can help to understand how the case is influenced by the social, cultural, and historical factors of its environment.

Limitations of Case Study Research

There are several limitations of case study research, including:

• Limited generalizability : Case studies are typically focused on a single case or a small number of cases, which limits the generalizability of the findings. The unique characteristics of the case may not be applicable to other contexts or populations, which may limit the external validity of the research.
• Biased sampling: Case studies may rely on purposive or convenience sampling, which can introduce bias into the sample selection process. This may limit the representativeness of the sample and the generalizability of the findings.
• Subjectivity: Case studies rely on the interpretation of the researcher, which can introduce subjectivity into the analysis. The researcher’s own biases, assumptions, and perspectives may influence the findings, which may limit the objectivity of the research.
• Limited control: Case studies are typically conducted in naturalistic settings, which limits the control that the researcher has over the environment and the variables being studied. This may limit the ability to establish causal relationships between variables.
• Time-consuming: Case studies can be time-consuming to conduct, as they typically involve a detailed exploration and analysis of a specific case. This may limit the feasibility of conducting multiple case studies or conducting case studies in a timely manner.
• Resource-intensive: Case studies may require significant resources, including time, funding, and expertise. This may limit the ability of researchers to conduct case studies in resource-constrained settings.

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10 Case Study Advantages and Disadvantages

Chris Drew (PhD)

Dr. Chris Drew is the founder of the Helpful Professor. He holds a PhD in education and has published over 20 articles in scholarly journals. He is the former editor of the Journal of Learning Development in Higher Education. [Image Descriptor: Photo of Chris]

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A case study in academic research is a detailed and in-depth examination of a specific instance or event, generally conducted through a qualitative approach to data.

The most common case study definition that I come across is is Robert K. Yin’s (2003, p. 13) quote provided below:

“An empirical inquiry that investigates a contemporary phenomenon within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident.”

Researchers conduct case studies for a number of reasons, such as to explore complex phenomena within their real-life context, to look at a particularly interesting instance of a situation, or to dig deeper into something of interest identified in a wider-scale project.

While case studies render extremely interesting data, they have many limitations and are not suitable for all studies. One key limitation is that a case study’s findings are not usually generalizable to broader populations because one instance cannot be used to infer trends across populations.

Case Study Advantages and Disadvantages

1. in-depth analysis of complex phenomena.

Case study design allows researchers to delve deeply into intricate issues and situations.

By focusing on a specific instance or event, researchers can uncover nuanced details and layers of understanding that might be missed with other research methods, especially large-scale survey studies.

As Lee and Saunders (2017) argue,

“It allows that particular event to be studies in detail so that its unique qualities may be identified.”

This depth of analysis can provide rich insights into the underlying factors and dynamics of the studied phenomenon.

2. Holistic Understanding

Building on the above point, case studies can help us to understand a topic holistically and from multiple angles.

This means the researcher isn’t restricted to just examining a topic by using a pre-determined set of questions, as with questionnaires. Instead, researchers can use qualitative methods to delve into the many different angles, perspectives, and contextual factors related to the case study.

We can turn to Lee and Saunders (2017) again, who notes that case study researchers “develop a deep, holistic understanding of a particular phenomenon” with the intent of deeply understanding the phenomenon.

3. Examination of rare and Unusual Phenomena

We need to use case study methods when we stumble upon “rare and unusual” (Lee & Saunders, 2017) phenomena that would tend to be seen as mere outliers in population studies.

Take, for example, a child genius. A population study of all children of that child’s age would merely see this child as an outlier in the dataset, and this child may even be removed in order to predict overall trends.

So, to truly come to an understanding of this child and get insights into the environmental conditions that led to this child’s remarkable cognitive development, we need to do an in-depth study of this child specifically – so, we’d use a case study.

4. Helps Reveal the Experiences of Marginalzied Groups

Just as rare and unsual cases can be overlooked in population studies, so too can the experiences, beliefs, and perspectives of marginalized groups.

As Lee and Saunders (2017) argue, “case studies are also extremely useful in helping the expression of the voices of people whose interests are often ignored.”

Take, for example, the experiences of minority populations as they navigate healthcare systems. This was for many years a “hidden” phenomenon, not examined by researchers. It took case study designs to truly reveal this phenomenon, which helped to raise practitioners’ awareness of the importance of cultural sensitivity in medicine.

5. Ideal in Situations where Researchers cannot Control the Variables

Experimental designs – where a study takes place in a lab or controlled environment – are excellent for determining cause and effect . But not all studies can take place in controlled environments (Tetnowski, 2015).

When we’re out in the field doing observational studies or similar fieldwork, we don’t have the freedom to isolate dependent and independent variables. We need to use alternate methods.

Case studies are ideal in such situations.

A case study design will allow researchers to deeply immerse themselves in a setting (potentially combining it with methods such as ethnography or researcher observation) in order to see how phenomena take place in real-life settings.

6. Supports the generation of new theories or hypotheses

While large-scale quantitative studies such as cross-sectional designs and population surveys are excellent at testing theories and hypotheses on a large scale, they need a hypothesis to start off with!

This is where case studies – in the form of grounded research – come in. Often, a case study doesn’t start with a hypothesis. Instead, it ends with a hypothesis based upon the findings within a singular setting.

The deep analysis allows for hypotheses to emerge, which can then be taken to larger-scale studies in order to conduct further, more generalizable, testing of the hypothesis or theory.

7. Reveals the Unexpected

When a largescale quantitative research project has a clear hypothesis that it will test, it often becomes very rigid and has tunnel-vision on just exploring the hypothesis.

Of course, a structured scientific examination of the effects of specific interventions targeted at specific variables is extermely valuable.

But narrowly-focused studies often fail to shine a spotlight on unexpected and emergent data. Here, case studies come in very useful. Oftentimes, researchers set their eyes on a phenomenon and, when examining it closely with case studies, identify data and come to conclusions that are unprecedented, unforeseen, and outright surprising.

As Lars Meier (2009, p. 975) marvels, “where else can we become a part of foreign social worlds and have the chance to become aware of the unexpected?”

Disadvantages

1. not usually generalizable.

Case studies are not generalizable because they tend not to look at a broad enough corpus of data to be able to infer that there is a trend across a population.

As Yang (2022) argues, “by definition, case studies can make no claims to be typical.”

Case studies focus on one specific instance of a phenomenon. They explore the context, nuances, and situational factors that have come to bear on the case study. This is really useful for bringing to light important, new, and surprising information, as I’ve already covered.

But , it’s not often useful for generating data that has validity beyond the specific case study being examined.

2. Subjectivity in interpretation

Case studies usually (but not always) use qualitative data which helps to get deep into a topic and explain it in human terms, finding insights unattainable by quantitative data.

But qualitative data in case studies relies heavily on researcher interpretation. While researchers can be trained and work hard to focus on minimizing subjectivity (through methods like triangulation), it often emerges – some might argue it’s innevitable in qualitative studies.

So, a criticism of case studies could be that they’re more prone to subjectivity – and researchers need to take strides to address this in their studies.

3. Difficulty in replicating results

Case study research is often non-replicable because the study takes place in complex real-world settings where variables are not controlled.

So, when returning to a setting to re-do or attempt to replicate a study, we often find that the variables have changed to such an extent that replication is difficult. Furthermore, new researchers (with new subjective eyes) may catch things that the other readers overlooked.

Replication is even harder when researchers attempt to replicate a case study design in a new setting or with different participants.

Comprehension Quiz for Students

Question 1: What benefit do case studies offer when exploring the experiences of marginalized groups?

a) They provide generalizable data. b) They help express the voices of often-ignored individuals. c) They control all variables for the study. d) They always start with a clear hypothesis.

Question 2: Why might case studies be considered ideal for situations where researchers cannot control all variables?

a) They provide a structured scientific examination. b) They allow for generalizability across populations. c) They focus on one specific instance of a phenomenon. d) They allow for deep immersion in real-life settings.

Question 3: What is a primary disadvantage of case studies in terms of data applicability?

a) They always focus on the unexpected. b) They are not usually generalizable. c) They support the generation of new theories. d) They provide a holistic understanding.

Question 4: Why might case studies be considered more prone to subjectivity?

a) They always use quantitative data. b) They heavily rely on researcher interpretation, especially with qualitative data. c) They are always replicable. d) They look at a broad corpus of data.

Question 5: In what situations are experimental designs, such as those conducted in labs, most valuable?

a) When there’s a need to study rare and unusual phenomena. b) When a holistic understanding is required. c) When determining cause-and-effect relationships. d) When the study focuses on marginalized groups.

Question 6: Why is replication challenging in case study research?

a) Because they always use qualitative data. b) Because they tend to focus on a broad corpus of data. c) Due to the changing variables in complex real-world settings. d) Because they always start with a hypothesis.

Lee, B., & Saunders, M. N. K. (2017). Conducting Case Study Research for Business and Management Students. SAGE Publications.

Meir, L. (2009). Feasting on the Benefits of Case Study Research. In Mills, A. J., Wiebe, E., & Durepos, G. (Eds.). Encyclopedia of Case Study Research (Vol. 2). London: SAGE Publications.

Tetnowski, J. (2015). Qualitative case study research design.  Perspectives on fluency and fluency disorders ,  25 (1), 39-45. ( Source )

Yang, S. L. (2022). The War on Corruption in China: Local Reform and Innovation . Taylor & Francis.

Yin, R. (2003). Case Study research. Thousand Oaks, CA: Sage.

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 10 Reasons you’re Perpetually Single
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Case Study: Strengths and Weaknesses

Case study research is a versatile and valuable methodology that allows researchers to delve deep into complex phenomena. By investigating a single or small number of cases in detail, researchers can gain insights that may not be achievable through other research methods. However, like any methodology, case studies have strengths and weaknesses. In this post, we consider the advantages and limitations of case study research.

Case Study Strengths

• In-Depth Understanding: Case studies offer a detailed and in-depth exploration of a particular case or phenomenon. Researchers can closely examine the nuances, contexts, and unique features of the case.
• Rich and Contextual Data: Case studies often involve the collection of rich qualitative data through methods like interviews, observations, and document analysis. This allows researchers to capture the complexity of the case and its real-world context.
• Theory Development: Case studies can contribute to theory development by providing empirical evidence to support or challenge existing theories. They help researchers refine and expand their theoretical frameworks.
• Complex and Holistic Analysis: Case studies are well-suited for complex, multifaceted phenomena. Researchers can analyze various dimensions and factors that influence the case, providing a holistic view.
• Applicable to Multiple Disciplines: Case study research is versatile and applicable in various disciplines, including social sciences, business, healthcare, and education, making it widely accessible to researchers.
• Practical and Realistic: In real-life scenarios, in-depth understanding is often required to inform decision-making. Case studies provide practical insights that can be applied to real-world problems.

Case Study Weaknesses

• Limited Generalizability: Perhaps the most significant limitation of case studies is their limited generalizability. Findings from a single or a few cases may not be applicable to broader populations or contexts. They are context-specific.
• Subjectivity: Case studies are prone to subjectivity. Researchers’ interpretations and biases can influence the analysis and findings. This may raise questions about the validity and reliability of the research.
• Time-Consuming: Conducting a case study can be time-consuming, particularly when in-depth data collection and analysis are involved. This may not be suitable for researchers with limited time or resources.
• Resource-Intensive: Case studies can be resource-intensive. Researchers may need to invest in fieldwork, data collection, and analysis, which can be costly.
• Difficulty in Replication: Replicating case studies can be challenging, as the unique context and conditions of the original case may not be easily reproduced.
• Ethical Considerations: Ethical considerations can be complex in case study research, particularly when dealing with sensitive or confidential information. Researchers must navigate ethical challenges carefully.

Case study research is a valuable method that offers unique insights into complex phenomena. Its strengths lie in the depth and richness of the data it provides, as well as its potential to inform theory development and practical decision-making. However, its limitations, such as limited generalizability and subjectivity, must be carefully considered when choosing this methodology. Researchers should assess the suitability of case studies for their research questions and objectives, keeping in mind both the advantages and challenges that come with this approach. When used judiciously and transparently, case studies can make significant contributions to the body of knowledge in various fields.

Glenn Stevens

Glenn is an academic writing and research specialist with 15 years experience writing, editing, PhD and Masters supervision and journal editing. He is also a qualified English teacher. His prior career was in magazine publishing. He is now editor of this blog. Contact Glenn

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Case Studies

This guide examines case studies, a form of qualitative descriptive research that is used to look at individuals, a small group of participants, or a group as a whole. Researchers collect data about participants using participant and direct observations, interviews, protocols, tests, examinations of records, and collections of writing samples. Starting with a definition of the case study, the guide moves to a brief history of this research method. Using several well documented case studies, the guide then looks at applications and methods including data collection and analysis. A discussion of ways to handle validity, reliability, and generalizability follows, with special attention to case studies as they are applied to composition studies. Finally, this guide examines the strengths and weaknesses of case studies.

Definition and Overview

Case study refers to the collection and presentation of detailed information about a particular participant or small group, frequently including the accounts of subjects themselves. A form of qualitative descriptive research, the case study looks intensely at an individual or small participant pool, drawing conclusions only about that participant or group and only in that specific context. Researchers do not focus on the discovery of a universal, generalizable truth, nor do they typically look for cause-effect relationships; instead, emphasis is placed on exploration and description.

Case studies typically examine the interplay of all variables in order to provide as complete an understanding of an event or situation as possible. This type of comprehensive understanding is arrived at through a process known as thick description, which involves an in-depth description of the entity being evaluated, the circumstances under which it is used, the characteristics of the people involved in it, and the nature of the community in which it is located. Thick description also involves interpreting the meaning of demographic and descriptive data such as cultural norms and mores, community values, ingrained attitudes, and motives.

Unlike quantitative methods of research, like the survey, which focus on the questions of who, what, where, how much, and how many, and archival analysis, which often situates the participant in some form of historical context, case studies are the preferred strategy when how or why questions are asked. Likewise, they are the preferred method when the researcher has little control over the events, and when there is a contemporary focus within a real life context. In addition, unlike more specifically directed experiments, case studies require a problem that seeks a holistic understanding of the event or situation in question using inductive logic--reasoning from specific to more general terms.

In scholarly circles, case studies are frequently discussed within the context of qualitative research and naturalistic inquiry. Case studies are often referred to interchangeably with ethnography, field study, and participant observation. The underlying philosophical assumptions in the case are similar to these types of qualitative research because each takes place in a natural setting (such as a classroom, neighborhood, or private home), and strives for a more holistic interpretation of the event or situation under study.

Unlike more statistically-based studies which search for quantifiable data, the goal of a case study is to offer new variables and questions for further research. F.H. Giddings, a sociologist in the early part of the century, compares statistical methods to the case study on the basis that the former are concerned with the distribution of a particular trait, or a small number of traits, in a population, whereas the case study is concerned with the whole variety of traits to be found in a particular instance" (Hammersley 95).

Case studies are not a new form of research; naturalistic inquiry was the primary research tool until the development of the scientific method. The fields of sociology and anthropology are credited with the primary shaping of the concept as we know it today. However, case study research has drawn from a number of other areas as well: the clinical methods of doctors; the casework technique being developed by social workers; the methods of historians and anthropologists, plus the qualitative descriptions provided by quantitative researchers like LePlay; and, in the case of Robert Park, the techniques of newspaper reporters and novelists.

Park was an ex-newspaper reporter and editor who became very influential in developing sociological case studies at the University of Chicago in the 1920s. As a newspaper professional he coined the term "scientific" or "depth" reporting: the description of local events in a way that pointed to major social trends. Park viewed the sociologist as "merely a more accurate, responsible, and scientific reporter." Park stressed the variety and value of human experience. He believed that sociology sought to arrive at natural, but fluid, laws and generalizations in regard to human nature and society. These laws weren't static laws of the kind sought by many positivists and natural law theorists, but rather, they were laws of becoming--with a constant possibility of change. Park encouraged students to get out of the library, to quit looking at papers and books, and to view the constant experiment of human experience. He writes, "Go and sit in the lounges of the luxury hotels and on the doorsteps of the flophouses; sit on the Gold Coast settees and on the slum shakedowns; sit in the Orchestra Hall and in the Star and Garter Burlesque. In short, gentlemen [sic], go get the seats of your pants dirty in real research."

But over the years, case studies have drawn their share of criticism. In fact, the method had its detractors from the start. In the 1920s, the debate between pro-qualitative and pro-quantitative became quite heated. Case studies, when compared to statistics, were considered by many to be unscientific. From the 1930's on, the rise of positivism had a growing influence on quantitative methods in sociology. People wanted static, generalizable laws in science. The sociological positivists were looking for stable laws of social phenomena. They criticized case study research because it failed to provide evidence of inter subjective agreement. Also, they condemned it because of the few number of cases studied and that the under-standardized character of their descriptions made generalization impossible. By the 1950s, quantitative methods, in the form of survey research, had become the dominant sociological approach and case study had become a minority practice.

Educational Applications

The 1950's marked the dawning of a new era in case study research, namely that of the utilization of the case study as a teaching method. "Instituted at Harvard Business School in the 1950s as a primary method of teaching, cases have since been used in classrooms and lecture halls alike, either as part of a course of study or as the main focus of the course to which other teaching material is added" (Armisted 1984). The basic purpose of instituting the case method as a teaching strategy was "to transfer much of the responsibility for learning from the teacher on to the student, whose role, as a result, shifts away from passive absorption toward active construction" (Boehrer 1990). Through careful examination and discussion of various cases, "students learn to identify actual problems, to recognize key players and their agendas, and to become aware of those aspects of the situation that contribute to the problem" (Merseth 1991). In addition, students are encouraged to "generate their own analysis of the problems under consideration, to develop their own solutions, and to practically apply their own knowledge of theory to these problems" (Boyce 1993). Along the way, students also develop "the power to analyze and to master a tangled circumstance by identifying and delineating important factors; the ability to utilize ideas, to test them against facts, and to throw them into fresh combinations" (Merseth 1991).

In addition to the practical application and testing of scholarly knowledge, case discussions can also help students prepare for real-world problems, situations and crises by providing an approximation of various professional environments (i.e. classroom, board room, courtroom, or hospital). Thus, through the examination of specific cases, students are given the opportunity to work out their own professional issues through the trials, tribulations, experiences, and research findings of others. An obvious advantage to this mode of instruction is that it allows students the exposure to settings and contexts that they might not otherwise experience. For example, a student interested in studying the effects of poverty on minority secondary student's grade point averages and S.A.T. scores could access and analyze information from schools as geographically diverse as Los Angeles, New York City, Miami, and New Mexico without ever having to leave the classroom.

The case study method also incorporates the idea that students can learn from one another "by engaging with each other and with each other's ideas, by asserting something and then having it questioned, challenged and thrown back at them so that they can reflect on what they hear, and then refine what they say" (Boehrer 1990). In summary, students can direct their own learning by formulating questions and taking responsibility for the study.

Types and Design Concerns

Researchers use multiple methods and approaches to conduct case studies.

Types of Case Studies

Under the more generalized category of case study exist several subdivisions, each of which is custom selected for use depending upon the goals and/or objectives of the investigator. These types of case study include the following:

Illustrative Case Studies These are primarily descriptive studies. They typically utilize one or two instances of an event to show what a situation is like. Illustrative case studies serve primarily to make the unfamiliar familiar and to give readers a common language about the topic in question.

Exploratory (or pilot) Case Studies These are condensed case studies performed before implementing a large scale investigation. Their basic function is to help identify questions and select types of measurement prior to the main investigation. The primary pitfall of this type of study is that initial findings may seem convincing enough to be released prematurely as conclusions.

Cumulative Case Studies These serve to aggregate information from several sites collected at different times. The idea behind these studies is the collection of past studies will allow for greater generalization without additional cost or time being expended on new, possibly repetitive studies.

Critical Instance Case Studies These examine one or more sites for either the purpose of examining a situation of unique interest with little to no interest in generalizability, or to call into question or challenge a highly generalized or universal assertion. This method is useful for answering cause and effect questions.

Identifying a Theoretical Perspective

Much of the case study's design is inherently determined for researchers, depending on the field from which they are working. In composition studies, researchers are typically working from a qualitative, descriptive standpoint. In contrast, physicists will approach their research from a more quantitative perspective. Still, in designing the study, researchers need to make explicit the questions to be explored and the theoretical perspective from which they will approach the case. The three most commonly adopted theories are listed below:

Individual Theories These focus primarily on the individual development, cognitive behavior, personality, learning and disability, and interpersonal interactions of a particular subject.

Organizational Theories These focus on bureaucracies, institutions, organizational structure and functions, or excellence in organizational performance.

Social Theories These focus on urban development, group behavior, cultural institutions, or marketplace functions.

Two examples of case studies are used consistently throughout this chapter. The first, a study produced by Berkenkotter, Huckin, and Ackerman (1988), looks at a first year graduate student's initiation into an academic writing program. The study uses participant-observer and linguistic data collecting techniques to assess the student's knowledge of appropriate discourse conventions. Using the pseudonym Nate to refer to the subject, the study sought to illuminate the particular experience rather than to generalize about the experience of fledgling academic writers collectively.

For example, in Berkenkotter, Huckin, and Ackerman's (1988) study we are told that the researchers are interested in disciplinary communities. In the first paragraph, they ask what constitutes membership in a disciplinary community and how achieving membership might affect a writer's understanding and production of texts. In the third paragraph they state that researchers must negotiate their claims "within the context of his sub specialty's accepted knowledge and methodology." In the next paragraph they ask, "How is literacy acquired? What is the process through which novices gain community membership? And what factors either aid or hinder students learning the requisite linguistic behaviors?" This introductory section ends with a paragraph in which the study's authors claim that during the course of the study, the subject, Nate, successfully makes the transition from "skilled novice" to become an initiated member of the academic discourse community and that his texts exhibit linguistic changes which indicate this transition. In the next section the authors make explicit the sociolinguistic theoretical and methodological assumptions on which the study is based (1988). Thus the reader has a good understanding of the authors' theoretical background and purpose in conducting the study even before it is explicitly stated on the fourth page of the study. "Our purpose was to examine the effects of the educational context on one graduate student's production of texts as he wrote in different courses and for different faculty members over the academic year 1984-85." The goal of the study then, was to explore the idea that writers must be initiated into a writing community, and that this initiation will change the way one writes.

The second example is Janet Emig's (1971) study of the composing process of a group of twelfth graders. In this study, Emig seeks to answer the question of what happens to the self as a result educational stimuli in terms of academic writing. The case study used methods such as protocol analysis, tape-recorded interviews, and discourse analysis.

In the case of Janet Emig's (1971) study of the composing process of eight twelfth graders, four specific hypotheses were made:

• Twelfth grade writers engage in two modes of composing: reflexive and extensive.
• These differences can be ascertained and characterized through having the writers compose aloud their composition process.
• A set of implied stylistic principles governs the writing process.
• For twelfth grade writers, extensive writing occurs chiefly as a school-sponsored activity, or reflexive, as a self-sponsored activity.

In this study, the chief distinction is between the two dominant modes of composing among older, secondary school students. The distinctions are:

• The reflexive mode, which focuses on the writer's thoughts and feelings.
• The extensive mode, which focuses on conveying a message.

Emig also outlines the specific questions which guided the research in the opening pages of her Review of Literature , preceding the report.

Designing a Case Study

After considering the different sub categories of case study and identifying a theoretical perspective, researchers can begin to design their study. Research design is the string of logic that ultimately links the data to be collected and the conclusions to be drawn to the initial questions of the study. Typically, research designs deal with at least four problems:

• What questions to study
• What data are relevant
• What data to collect
• How to analyze that data

In other words, a research design is basically a blueprint for getting from the beginning to the end of a study. The beginning is an initial set of questions to be answered, and the end is some set of conclusions about those questions.

Because case studies are conducted on topics as diverse as Anglo-Saxon Literature (Thrane 1986) and AIDS prevention (Van Vugt 1994), it is virtually impossible to outline any strict or universal method or design for conducting the case study. However, Robert K. Yin (1993) does offer five basic components of a research design:

• A study's questions.
• A study's propositions (if any).
• A study's units of analysis.
• The logic that links the data to the propositions.
• The criteria for interpreting the findings.

In addition to these five basic components, Yin also stresses the importance of clearly articulating one's theoretical perspective, determining the goals of the study, selecting one's subject(s), selecting the appropriate method(s) of collecting data, and providing some considerations to the composition of the final report.

Conducting Case Studies

To obtain as complete a picture of the participant as possible, case study researchers can employ a variety of approaches and methods. These approaches, methods, and related issues are discussed in depth in this section.

Method: Single or Multi-modal?

To obtain as complete a picture of the participant as possible, case study researchers can employ a variety of methods. Some common methods include interviews , protocol analyses, field studies, and participant-observations. Emig (1971) chose to use several methods of data collection. Her sources included conversations with the students, protocol analysis, discrete observations of actual composition, writing samples from each student, and school records (Lauer and Asher 1988).

Berkenkotter, Huckin, and Ackerman (1988) collected data by observing classrooms, conducting faculty and student interviews, collecting self reports from the subject, and by looking at the subject's written work.

A study that was criticized for using a single method model was done by Flower and Hayes (1984). In this study that explores the ways in which writers use different forms of knowing to create space, the authors used only protocol analysis to gather data. The study came under heavy fire because of their decision to use only one method.

Participant Selection

Case studies can use one participant, or a small group of participants. However, it is important that the participant pool remain relatively small. The participants can represent a diverse cross section of society, but this isn't necessary.

For example, the Berkenkotter, Huckin, and Ackerman (1988) study looked at just one participant, Nate. By contrast, in Janet Emig's (1971) study of the composition process of twelfth graders, eight participants were selected representing a diverse cross section of the community, with volunteers from an all-white upper-middle-class suburban school, an all-black inner-city school, a racially mixed lower-middle-class school, an economically and racially mixed school, and a university school.

Often, a brief "case history" is done on the participants of the study in order to provide researchers with a clearer understanding of their participants, as well as some insight as to how their own personal histories might affect the outcome of the study. For instance, in Emig's study, the investigator had access to the school records of five of the participants, and to standardized test scores for the remaining three. Also made available to the researcher was the information that three of the eight students were selected as NCTE Achievement Award winners. These personal histories can be useful in later stages of the study when data are being analyzed and conclusions drawn.

Data Collection

There are six types of data collected in case studies:

• Archival records.
• Interviews.
• Direct observation.
• Participant observation.

In the field of composition research, these six sources might be:

• A writer's drafts.
• School records of student writers.
• Transcripts of interviews with a writer.
• Transcripts of conversations between writers (and protocols).
• Videotapes and notes from direct field observations.
• Hard copies of a writer's work on computer.

Depending on whether researchers have chosen to use a single or multi-modal approach for the case study, they may choose to collect data from one or any combination of these sources.

Protocols, that is, transcriptions of participants talking aloud about what they are doing as they do it, have been particularly common in composition case studies. For example, in Emig's (1971) study, the students were asked, in four different sessions, to give oral autobiographies of their writing experiences and to compose aloud three themes in the presence of a tape recorder and the investigator.

In some studies, only one method of data collection is conducted. For example, the Flower and Hayes (1981) report on the cognitive process theory of writing depends on protocol analysis alone. However, using multiple sources of evidence to increase the reliability and validity of the data can be advantageous.

Case studies are likely to be much more convincing and accurate if they are based on several different sources of information, following a corroborating mode. This conclusion is echoed among many composition researchers. For example, in her study of predrafting processes of high and low-apprehensive writers, Cynthia Selfe (1985) argues that because "methods of indirect observation provide only an incomplete reflection of the complex set of processes involved in composing, a combination of several such methods should be used to gather data in any one study." Thus, in this study, Selfe collected her data from protocols, observations of students role playing their writing processes, audio taped interviews with the students, and videotaped observations of the students in the process of composing.

It can be said then, that cross checking data from multiple sources can help provide a multidimensional profile of composing activities in a particular setting. Sharan Merriam (1985) suggests "checking, verifying, testing, probing, and confirming collected data as you go, arguing that this process will follow in a funnel-like design resulting in less data gathering in later phases of the study along with a congruent increase in analysis checking, verifying, and confirming."

It is important to note that in case studies, as in any qualitative descriptive research, while researchers begin their studies with one or several questions driving the inquiry (which influence the key factors the researcher will be looking for during data collection), a researcher may find new key factors emerging during data collection. These might be unexpected patterns or linguistic features which become evident only during the course of the research. While not bearing directly on the researcher's guiding questions, these variables may become the basis for new questions asked at the end of the report, thus linking to the possibility of further research.

Data Analysis

As the information is collected, researchers strive to make sense of their data. Generally, researchers interpret their data in one of two ways: holistically or through coding. Holistic analysis does not attempt to break the evidence into parts, but rather to draw conclusions based on the text as a whole. Flower and Hayes (1981), for example, make inferences from entire sections of their students' protocols, rather than searching through the transcripts to look for isolatable characteristics.

However, composition researchers commonly interpret their data by coding, that is by systematically searching data to identify and/or categorize specific observable actions or characteristics. These observable actions then become the key variables in the study. Sharan Merriam (1988) suggests seven analytic frameworks for the organization and presentation of data:

• The role of participants.
• The network analysis of formal and informal exchanges among groups.
• Historical.
• Thematical.
• Ritual and symbolism.
• Critical incidents that challenge or reinforce fundamental beliefs, practices, and values.

There are two purposes of these frameworks: to look for patterns among the data and to look for patterns that give meaning to the case study.

As stated above, while most researchers begin their case studies expecting to look for particular observable characteristics, it is not unusual for key variables to emerge during data collection. Typical variables coded in case studies of writers include pauses writers make in the production of a text, the use of specific linguistic units (such as nouns or verbs), and writing processes (planning, drafting, revising, and editing). In the Berkenkotter, Huckin, and Ackerman (1988) study, for example, researchers coded the participant's texts for use of connectives, discourse demonstratives, average sentence length, off-register words, use of the first person pronoun, and the ratio of definite articles to indefinite articles.

Since coding is inherently subjective, more than one coder is usually employed. In the Berkenkotter, Huckin, and Ackerman (1988) study, for example, three rhetoricians were employed to code the participant's texts for off-register phrases. The researchers established the agreement among the coders before concluding that the participant used fewer off-register words as the graduate program progressed.

Composing the Case Study Report

In the many forms it can take, "a case study is generically a story; it presents the concrete narrative detail of actual, or at least realistic events, it has a plot, exposition, characters, and sometimes even dialogue" (Boehrer 1990). Generally, case study reports are extensively descriptive, with "the most problematic issue often referred to as being the determination of the right combination of description and analysis" (1990). Typically, authors address each step of the research process, and attempt to give the reader as much context as possible for the decisions made in the research design and for the conclusions drawn.

This contextualization usually includes a detailed explanation of the researchers' theoretical positions, of how those theories drove the inquiry or led to the guiding research questions, of the participants' backgrounds, of the processes of data collection, of the training and limitations of the coders, along with a strong attempt to make connections between the data and the conclusions evident.

Although the Berkenkotter, Huckin, and Ackerman (1988) study does not, case study reports often include the reactions of the participants to the study or to the researchers' conclusions. Because case studies tend to be exploratory, most end with implications for further study. Here researchers may identify significant variables that emerged during the research and suggest studies related to these, or the authors may suggest further general questions that their case study generated.

For example, Emig's (1971) study concludes with a section dedicated solely to the topic of implications for further research, in which she suggests several means by which this particular study could have been improved, as well as questions and ideas raised by this study which other researchers might like to address, such as: is there a correlation between a certain personality and a certain composing process profile (e.g. is there a positive correlation between ego strength and persistence in revising)?

Also included in Emig's study is a section dedicated to implications for teaching, which outlines the pedagogical ramifications of the study's findings for teachers currently involved in high school writing programs.

Sharan Merriam (1985) also offers several suggestions for alternative presentations of data:

• Prepare specialized condensations for appropriate groups.
• Replace narrative sections with a series of answers to open-ended questions.
• Present "skimmer's" summaries at beginning of each section.
• Incorporate headlines that encapsulate information from text.
• Prepare analytic summaries with supporting data appendixes.
• Present data in colorful and/or unique graphic representations.

Issues of Validity and Reliability

Once key variables have been identified, they can be analyzed. Reliability becomes a key concern at this stage, and many case study researchers go to great lengths to ensure that their interpretations of the data will be both reliable and valid. Because issues of validity and reliability are an important part of any study in the social sciences, it is important to identify some ways of dealing with results.

Multi-modal case study researchers often balance the results of their coding with data from interviews or writer's reflections upon their own work. Consequently, the researchers' conclusions become highly contextualized. For example, in a case study which looked at the time spent in different stages of the writing process, Berkenkotter concluded that her participant, Donald Murray, spent more time planning his essays than in other writing stages. The report of this case study is followed by Murray's reply, wherein he agrees with some of Berkenkotter's conclusions and disagrees with others.

As is the case with other research methodologies, issues of external validity, construct validity, and reliability need to be carefully considered.

Commentary on Case Studies

Researchers often debate the relative merits of particular methods, among them case study. In this section, we comment on two key issues. To read the commentaries, choose any of the items below:

Strengths and Weaknesses of Case Studies

Most case study advocates point out that case studies produce much more detailed information than what is available through a statistical analysis. Advocates will also hold that while statistical methods might be able to deal with situations where behavior is homogeneous and routine, case studies are needed to deal with creativity, innovation, and context. Detractors argue that case studies are difficult to generalize because of inherent subjectivity and because they are based on qualitative subjective data, generalizable only to a particular context.

Flexibility

The case study approach is a comparatively flexible method of scientific research. Because its project designs seem to emphasize exploration rather than prescription or prediction, researchers are comparatively freer to discover and address issues as they arise in their experiments. In addition, the looser format of case studies allows researchers to begin with broad questions and narrow their focus as their experiment progresses rather than attempt to predict every possible outcome before the experiment is conducted.

Emphasis on Context

By seeking to understand as much as possible about a single subject or small group of subjects, case studies specialize in "deep data," or "thick description"--information based on particular contexts that can give research results a more human face. This emphasis can help bridge the gap between abstract research and concrete practice by allowing researchers to compare their firsthand observations with the quantitative results obtained through other methods of research.

Inherent Subjectivity

"The case study has long been stereotyped as the weak sibling among social science methods," and is often criticized as being too subjective and even pseudo-scientific. Likewise, "investigators who do case studies are often regarded as having deviated from their academic disciplines, and their investigations as having insufficient precision (that is, quantification), objectivity and rigor" (Yin 1989). Opponents cite opportunities for subjectivity in the implementation, presentation, and evaluation of case study research. The approach relies on personal interpretation of data and inferences. Results may not be generalizable, are difficult to test for validity, and rarely offer a problem-solving prescription. Simply put, relying on one or a few subjects as a basis for cognitive extrapolations runs the risk of inferring too much from what might be circumstance.

High Investment

Case studies can involve learning more about the subjects being tested than most researchers would care to know--their educational background, emotional background, perceptions of themselves and their surroundings, their likes, dislikes, and so on. Because of its emphasis on "deep data," the case study is out of reach for many large-scale research projects which look at a subject pool in the tens of thousands. A budget request of $10,000 to examine 200 subjects sounds more efficient than a similar request to examine four subjects.

Ethical Considerations

Researchers conducting case studies should consider certain ethical issues. For example, many educational case studies are often financed by people who have, either directly or indirectly, power over both those being studied and those conducting the investigation (1985). This conflict of interests can hinder the credibility of the study.

The personal integrity, sensitivity, and possible prejudices and/or biases of the investigators need to be taken into consideration as well. Personal biases can creep into how the research is conducted, alternative research methods used, and the preparation of surveys and questionnaires.

A common complaint in case study research is that investigators change direction during the course of the study unaware that their original research design was inadequate for the revised investigation. Thus, the researchers leave unknown gaps and biases in the study. To avoid this, researchers should report preliminary findings so that the likelihood of bias will be reduced.

Concerns about Reliability, Validity, and Generalizability

Merriam (1985) offers several suggestions for how case study researchers might actively combat the popular attacks on the validity, reliability, and generalizability of case studies:

• Prolong the Processes of Data Gathering on Site: This will help to insure the accuracy of the findings by providing the researcher with more concrete information upon which to formulate interpretations.
• Employ the Process of "Triangulation": Use a variety of data sources as opposed to relying solely upon one avenue of observation. One example of such a data check would be what McClintock, Brannon, and Maynard (1985) refer to as a "case cluster method," that is, when a single unit within a larger case is randomly sampled, and that data treated quantitatively." For instance, in Emig's (1971) study, the case cluster method was employed, singling out the productivity of a single student named Lynn. This cluster profile included an advanced case history of the subject, specific examination and analysis of individual compositions and protocols, and extensive interview sessions. The seven remaining students were then compared with the case of Lynn, to ascertain if there are any shared, or unique dimensions to the composing process engaged in by these eight students.
• Conduct Member Checks: Initiate and maintain an active corroboration on the interpretation of data between the researcher and those who provided the data. In other words, talk to your subjects.
• Collect Referential Materials: Complement the file of materials from the actual site with additional document support. For example, Emig (1971) supports her initial propositions with historical accounts by writers such as T.S. Eliot, James Joyce, and D.H. Lawrence. Emig also cites examples of theoretical research done with regards to the creative process, as well as examples of empirical research dealing with the writing of adolescents. Specific attention is then given to the four stages description of the composing process delineated by Helmoltz, Wallas, and Cowley, as it serves as the focal point in this study.
• Engage in Peer Consultation: Prior to composing the final draft of the report, researchers should consult with colleagues in order to establish validity through pooled judgment.

Although little can be done to combat challenges concerning the generalizability of case studies, "most writers suggest that qualitative research should be judged as credible and confirmable as opposed to valid and reliable" (Merriam 1985). Likewise, it has been argued that "rather than transplanting statistical, quantitative notions of generalizability and thus finding qualitative research inadequate, it makes more sense to develop an understanding of generalization that is congruent with the basic characteristics of qualitative inquiry" (1985). After all, criticizing the case study method for being ungeneralizable is comparable to criticizing a washing machine for not being able to tell the correct time. In other words, it is unjust to criticize a method for not being able to do something which it was never originally designed to do in the first place.

Annotated Bibliography

Armisted, C. (1984). How Useful are Case Studies. Training and Development Journal, 38 (2), 75-77.

This article looks at eight types of case studies, offers pros and cons of using case studies in the classroom, and gives suggestions for successfully writing and using case studies.

Bardovi-Harlig, K. (1997). Beyond Methods: Components of Second Language Teacher Education . New York: McGraw-Hill.

A compilation of various research essays which address issues of language teacher education. Essays included are: "Non-native reading research and theory" by Lee, "The case for Psycholinguistics" by VanPatten, and "Assessment and Second Language Teaching" by Gradman and Reed.

Bartlett, L. (1989). A Question of Good Judgment; Interpretation Theory and Qualitative Enquiry Address. 70th Annual Meeting of the American Educational Research Association. San Francisco.

Bartlett selected "quasi-historical" methodology, which focuses on the "truth" found in case records, as one that will provide "good judgments" in educational inquiry. He argues that although the method is not comprehensive, it can try to connect theory with practice.

Baydere, S. et. al. (1993). Multimedia conferencing as a tool for collaborative writing: a case study in Computer Supported Collaborative Writing. New York: Springer-Verlag.

The case study by Baydere et. al. is just one of the many essays in this book found in the series "Computer Supported Cooperative Work." Denley, Witefield and May explore similar issues in their essay, "A case study in task analysis for the design of a collaborative document production system."

Berkenkotter, C., Huckin, T., N., & Ackerman J. (1988). Conventions, Conversations, and the Writer: Case Study of a Student in a Rhetoric Ph.D. Program. Research in the Teaching of English, 22, 9-44.

The authors focused on how the writing of their subject, Nate or Ackerman, changed as he became more acquainted or familiar with his field's discourse community.

Berninger, V., W., and Gans, B., M. (1986). Language Profiles in Nonspeaking Individuals of Normal Intelligence with Severe Cerebral Palsy. Augmentative and Alternative Communication, 2, 45-50.

Argues that generalizations about language abilities in patients with severe cerebral palsy (CP) should be avoided. Standardized tests of different levels of processing oral language, of processing written language, and of producing written language were administered to 3 male participants (aged 9, 16, and 40 yrs).

Bockman, J., R., and Couture, B. (1984). The Case Method in Technical Communication: Theory and Models. Texas: Association of Teachers of Technical Writing.

Examines the study and teaching of technical writing, communication of technical information, and the case method in terms of those applications.

Boehrer, J. (1990). Teaching With Cases: Learning to Question. New Directions for Teaching and Learning, 42 41-57.

This article discusses the origins of the case method, looks at the question of what is a case, gives ideas about learning in case teaching, the purposes it can serve in the classroom, the ground rules for the case discussion, including the role of the question, and new directions for case teaching.

Bowman, W. R. (1993). Evaluating JTPA Programs for Economically Disadvantaged Adults: A Case Study of Utah and General Findings . Washington: National Commission for Employment Policy.

"To encourage state-level evaluations of JTPA, the Commission and the State of Utah co-sponsored this report on the effectiveness of JTPA Title II programs for adults in Utah. The technique used is non-experimental and the comparison group was selected from registrants with Utah's Employment Security. In a step-by-step approach, the report documents how non-experimental techniques can be applied and several specific technical issues can be addressed."

Boyce, A. (1993) The Case Study Approach for Pedagogists. Annual Meeting of the American Alliance for Health, Physical Education, Recreation and Dance. (Address). Washington DC.

This paper addresses how case studies 1) bridge the gap between teaching theory and application, 2) enable students to analyze problems and develop solutions for situations that will be encountered in the real world of teaching, and 3) helps students to evaluate the feasibility of alternatives and to understand the ramifications of a particular course of action.

Carson, J. (1993) The Case Study: Ideal Home of WAC Quantitative and Qualitative Data. Annual Meeting of the Conference on College Composition and Communication. (Address). San Diego.

"Increasingly, one of the most pressing questions for WAC advocates is how to keep [WAC] programs going in the face of numerous difficulties. Case histories offer the best chance for fashioning rhetorical arguments to keep WAC programs going because they offer the opportunity to provide a coherent narrative that contextualizes all documents and data, including what is generally considered scientific data. A case study of the WAC program, . . . at Robert Morris College in Pittsburgh demonstrates the advantages of this research method. Such studies are ideal homes for both naturalistic and positivistic data as well as both quantitative and qualitative information."

---. (1991). A Cognitive Process Theory of Writing. College Composition and Communication. 32. 365-87.

No abstract available.

Cromer, R. (1994) A Case Study of Dissociations Between Language and Cognition. Constraints on Language Acquisition: Studies of Atypical Children . Hillsdale: Lawrence Erlbaum Associates, 141-153.

Crossley, M. (1983) Case Study in Comparative and International Education: An Approach to Bridging the Theory-Practice Gap. Proceedings of the 11th Annual Conference of the Australian Comparative and International Education Society. Hamilton, NZ.

Case study research, as presented here, helps bridge the theory-practice gap in comparative and international research studies of education because it focuses on the practical, day-to-day context rather than on the national arena. The paper asserts that the case study method can be valuable at all levels of research, formation, and verification of theories in education.

Daillak, R., H., and Alkin, M., C. (1982). Qualitative Studies in Context: Reflections on the CSE Studies of Evaluation Use . California: EDRS

The report shows how the Center of the Study of Evaluation (CSE) applied qualitative techniques to a study of evaluation information use in local, Los Angeles schools. It critiques the effectiveness and the limitations of using case study, evaluation, field study, and user interview survey methodologies.

Davey, L. (1991). The Application of Case Study Evaluations. ERIC/TM Digest.

This article examines six types of case studies, the type of evaluation questions that can be answered, the functions served, some design features, and some pitfalls of the method.

Deutch, C. E. (1996). A course in research ethics for graduate students. College Teaching, 44, 2, 56-60.

This article describes a one-credit discussion course in research ethics for graduate students in biology. Case studies are focused on within the four parts of the course: 1) major issues, 2 )practical issues in scholarly work, 3) ownership of research results, and 4) training and personal decisions.

DeVoss, G. (1981). Ethics in Fieldwork Research. RIE 27p. (ERIC)

This article examines four of the ethical problems that can happen when conducting case study research: acquiring permission to do research, knowing when to stop digging, the pitfalls of doing collaborative research, and preserving the integrity of the participants.

Driscoll, A. (1985). Case Study of a Research Intervention: the University of Utah’s Collaborative Approach . San Francisco: Far West Library for Educational Research Development.

Paper presented at the annual meeting of the American Association of Colleges of Teacher Education, Denver, CO, March 1985. Offers information of in-service training, specifically case studies application.

Ellram, L. M. (1996). The Use of the Case Study Method in Logistics Research. Journal of Business Logistics, 17, 2, 93.

This article discusses the increased use of case study in business research, and the lack of understanding of when and how to use case study methodology in business.

Emig, J. (1971) The Composing Processes of Twelfth Graders . Urbana: NTCE.

This case study uses observation, tape recordings, writing samples, and school records to show that writing in reflexive and extensive situations caused different lengths of discourse and different clusterings of the components of the writing process.

Feagin, J. R. (1991). A Case For the Case Study . Chapel Hill: The University of North Carolina Press.

This book discusses the nature, characteristics, and basic methodological issues of the case study as a research method.

Feldman, H., Holland, A., & Keefe, K. (1989) Language Abilities after Left Hemisphere Brain Injury: A Case Study of Twins. Topics in Early Childhood Special Education, 9, 32-47.

"Describes the language abilities of 2 twin pairs in which 1 twin (the experimental) suffered brain injury to the left cerebral hemisphere around the time of birth and1 twin (the control) did not. One pair of twins was initially assessed at age 23 mo. and the other at about 30 mo.; they were subsequently evaluated in their homes 3 times at about 6-mo intervals."

Fidel, R. (1984). The Case Study Method: A Case Study. Library and Information Science Research, 6.

The article describes the use of case study methodology to systematically develop a model of online searching behavior in which study design is flexible, subject manner determines data gathering and analyses, and procedures adapt to the study's progressive change.

Flower, L., & Hayes, J. R. (1984). Images, Plans and Prose: The Representation of Meaning in Writing. Written Communication, 1, 120-160.

Explores the ways in which writers actually use different forms of knowing to create prose.

Frey, L. R. (1992). Interpreting Communication Research: A Case Study Approach Englewood Cliffs, N.J.: Prentice Hall.

The book discusses research methodologies in the Communication field. It focuses on how case studies bridge the gap between communication research, theory, and practice.

Gilbert, V. K. (1981). The Case Study as a Research Methodology: Difficulties and Advantages of Integrating the Positivistic, Phenomenological and Grounded Theory Approaches . The Annual Meeting of the Canadian Association for the Study of Educational Administration. (Address) Halifax, NS, Can.

This study on an innovative secondary school in England shows how a "low-profile" participant-observer case study was crucial to the initial observation, the testing of hypotheses, the interpretive approach, and the grounded theory.

Gilgun, J. F. (1994). A Case for Case Studies in Social Work Research. Social Work, 39, 4, 371-381.

This article defines case study research, presents guidelines for evaluation of case studies, and shows the relevance of case studies to social work research. It also looks at issues such as evaluation and interpretations of case studies.

Glennan, S. L., Sharp-Bittner, M. A. & Tullos, D. C. (1991). Augmentative and Alternative Communication Training with a Nonspeaking Adult: Lessons from MH. Augmentative and Alternative Communication, 7, 240-7.

"A response-guided case study documented changes in a nonspeaking 36-yr-old man's ability to communicate using 3 trained augmentative communication modes. . . . Data were collected in videotaped interaction sessions between the nonspeaking adult and a series of adult speaking."

Graves, D. (1981). An Examination of the Writing Processes of Seven Year Old Children. Research in the Teaching of English, 15, 113-134.

Hamel, J. (1993). Case Study Methods . Newbury Park: Sage. .

"In a most economical fashion, Hamel provides a practical guide for producing theoretically sharp and empirically sound sociological case studies. A central idea put forth by Hamel is that case studies must "locate the global in the local" thus making the careful selection of the research site the most critical decision in the analytic process."

Karthigesu, R. (1986, July). Television as a Tool for Nation-Building in the Third World: A Post-Colonial Pattern, Using Malaysia as a Case-Study. International Television Studies Conference. (Address). London, 10-12.

"The extent to which Television Malaysia, as a national mass media organization, has been able to play a role in nation building in the post-colonial period is . . . studied in two parts: how the choice of a model of nation building determines the character of the organization; and how the character of the organization influences the output of the organization."

Kenny, R. (1984). Making the Case for the Case Study. Journal of Curriculum Studies, 16, (1), 37-51.

The article looks at how and why the case study is justified as a viable and valuable approach to educational research and program evaluation.

Knirk, F. (1991). Case Materials: Research and Practice. Performance Improvement Quarterly, 4 (1 ), 73-81.

The article addresses the effectiveness of case studies, subject areas where case studies are commonly used, recent examples of their use, and case study design considerations.

Klos, D. (1976). Students as Case Writers. Teaching of Psychology, 3.2, 63-66.

This article reviews a course in which students gather data for an original case study of another person. The task requires the students to design the study, collect the data, write the narrative, and interpret the findings.

Leftwich, A. (1981). The Politics of Case Study: Problems of Innovation in University Education. Higher Education Review, 13.2, 38-64.

The article discusses the use of case studies as a teaching method. Emphasis is on the instructional materials, interdisciplinarity, and the complex relationships within the university that help or hinder the method.

Mabrito, M. (1991, Oct.). Electronic Mail as a Vehicle for Peer Response: Conversations of High and Low Apprehensive Writers. Written Communication, 509-32.

McCarthy, S., J. (1955). The Influence of Classroom Discourse on Student Texts: The Case of Ella . East Lansing: Institute for Research on Teaching.

A look at how students of color become marginalized within traditional classroom discourse. The essay follows the struggles of one black student: Ella.

Matsuhashi, A., ed. (1987). Writing in Real Time: Modeling Production Processes Norwood, NJ: Ablex Publishing Corporation.

Investigates how writers plan to produce discourse for different purposes to report, to generalize, and to persuade, as well as how writers plan for sentence level units of language. To learn about planning, an observational measure of pause time was used" (ERIC).

Merriam, S. B. (1985). The Case Study in Educational Research: A Review of Selected Literature. Journal of Educational Thought, 19.3, 204-17.

The article examines the characteristics of, philosophical assumptions underlying the case study, the mechanics of conducting a case study, and the concerns about the reliability, validity, and generalizability of the method.

---. (1988). Case Study Research in Education: A Qualitative Approach San Francisco: Jossey Bass.

Merry, S. E., & Milner, N. eds. (1993). The Possibility of Popular Justice: A Case Study of Community Mediation in the United States . Ann Arbor: U of Michigan.

". . . this volume presents a case study of one experiment in popular justice, the San Francisco Community Boards. This program has made an explicit claim to create an alternative justice, or new justice, in the midst of a society ordered by state law. The contributors to this volume explore the history and experience of the program and compare it to other versions of popular justice in the United States, Europe, and the Third World."

Merseth, K. K. (1991). The Case for Cases in Teacher Education. RIE. 42p. (ERIC).

This monograph argues that the case method of instruction offers unique potential for revitalizing the field of teacher education.

Michaels, S. (1987). Text and Context: A New Approach to the Study of Classroom Writing. Discourse Processes, 10, 321-346.

"This paper argues for and illustrates an approach to the study of writing that integrates ethnographic analysis of classroom interaction with linguistic analysis of written texts and teacher/student conversational exchanges. The approach is illustrated through a case study of writing in a single sixth grade classroom during a single writing assignment."

Milburn, G. (1995). Deciphering a Code or Unraveling a Riddle: A Case Study in the Application of a Humanistic Metaphor to the Reporting of Social Studies Teaching. Theory and Research in Education, 13.

This citation serves as an example of how case studies document learning procedures in a senior-level economics course.

Milley, J. E. (1979). An Investigation of Case Study as an Approach to Program Evaluation. 19th Annual Forum of the Association for Institutional Research. (Address). San Diego.

The case study method merged a narrative report focusing on the evaluator as participant-observer with document review, interview, content analysis, attitude questionnaire survey, and sociogram analysis. Milley argues that case study program evaluation has great potential for widespread use.

Minnis, J. R. (1985, Sept.). Ethnography, Case Study, Grounded Theory, and Distance Education Research. Distance Education, 6.2.

This article describes and defines the strengths and weaknesses of ethnography, case study, and grounded theory.

Nunan, D. (1992). Collaborative language learning and teaching . New York: Cambridge University Press.

Included in this series of essays is Peter Sturman’s "Team Teaching: a case study from Japan" and David Nunan’s own "Toward a collaborative approach to curriculum development: a case study."

Nystrand, M., ed. (1982). What Writers Know: The Language, Process, and Structure of Written Discourse . New York: Academic Press.

Owenby, P. H. (1992). Making Case Studies Come Alive. Training, 29, (1), 43-46. (ERIC)

This article provides tips for writing more effective case studies.

---. (1981). Pausing and Planning: The Tempo of Writer Discourse Production. Research in the Teaching of English, 15 (2),113-34.

Perl, S. (1979). The Composing Processes of Unskilled College Writers. Research in the Teaching of English, 13, 317-336.

"Summarizes a study of five unskilled college writers, focusing especially on one of the five, and discusses the findings in light of current pedagogical practice and research design."

Pilcher J. and A. Coffey. eds. (1996). Gender and Qualitative Research . Brookfield: Aldershot, Hants, England.

This book provides a series of essays which look at gender identity research, qualitative research and applications of case study to questions of gendered pedagogy.

Pirie, B. S. (1993). The Case of Morty: A Four Year Study. Gifted Education International, 9 (2), 105-109.

This case study describes a boy from kindergarten through third grade with above average intelligence but difficulty in learning to read, write, and spell.

Popkewitz, T. (1993). Changing Patterns of Power: Social Regulation and Teacher Education Reform. Albany: SUNY Press.

Popkewitz edits this series of essays that address case studies on educational change and the training of teachers. The essays vary in terms of discipline and scope. Also, several authors include case studies of educational practices in countries other than the United States.

---. (1984). The Predrafting Processes of Four High- and Four Low Apprehensive Writers. Research in the Teaching of English, 18, (1), 45-64.

Rasmussen, P. (1985, March) A Case Study on the Evaluation of Research at the Technical University of Denmark. International Journal of Institutional Management in Higher Education, 9 (1).

This is an example of a case study methodology used to evaluate the chemistry and chemical engineering departments at the University of Denmark.

Roth, K. J. (1986). Curriculum Materials, Teacher Talk, and Student Learning: Case Studies in Fifth-Grade Science Teaching . East Lansing: Institute for Research on Teaching.

Roth offers case studies on elementary teachers, elementary school teaching, science studies and teaching, and verbal learning.

Selfe, C. L. (1985). An Apprehensive Writer Composes. When a Writer Can't Write: Studies in Writer's Block and Other Composing-Process Problems . (pp. 83-95). Ed. Mike Rose. NMY: Guilford.

Smith-Lewis, M., R. and Ford, A. (1987). A User's Perspective on Augmentative Communication. Augmentative and Alternative Communication, 3, 12-7.

"During a series of in-depth interviews, a 25-yr-old woman with cerebral palsy who utilized augmentative communication reflected on the effectiveness of the devices designed for her during her school career."

St. Pierre, R., G. (1980, April). Follow Through: A Case Study in Metaevaluation Research . 64th Annual Meeting of the American Educational Research Association. (Address).

The three approaches to metaevaluation are evaluation of primary evaluations, integrative meta-analysis with combined primary evaluation results, and re-analysis of the raw data from a primary evaluation.

Stahler, T., M. (1996, Feb.) Early Field Experiences: A Model That Worked. ERIC.

"This case study of a field and theory class examines a model designed to provide meaningful field experiences for preservice teachers while remaining consistent with the instructor's beliefs about the role of teacher education in preparing teachers for the classroom."

Stake, R. E. (1995). The Art of Case Study Research. Thousand Oaks: Sage Publications.

This book examines case study research in education and case study methodology.

Stiegelbauer, S. (1984) Community, Context, and Co-curriculum: Situational Factors Influencing School Improvements in a Study of High Schools. Presented at the annual meeting of the American Educational Research Association, New Orleans, LA.

Discussion of several case studies: one looking at high school environments, another examining educational innovations.

Stolovitch, H. (1990). Case Study Method. Performance And Instruction, 29, (9), 35-37.

This article describes the case study method as a form of simulation and presents guidelines for their use in professional training situations.

Thaller, E. (1994). Bibliography for the Case Method: Using Case Studies in Teacher Education. RIE. 37 p.

This bibliography presents approximately 450 citations on the use of case studies in teacher education from 1921-1993.

Thrane, T. (1986). On Delimiting the Senses of Near-Synonyms in Historical Semantics: A Case Study of Adjectives of 'Moral Sufficiency' in the Old English Andreas. Linguistics Across Historical and Geographical Boundaries: In Honor of Jacek Fisiak on the Occasion of his Fiftieth Birthday . Berlin: Mouton de Gruyter.

United Nations. (1975). Food and Agriculture Organization. Report on the FAO/UNFPA Seminar on Methodology, Research and Country: Case Studies on Population, Employment and Productivity . Rome: United Nations.

This example case study shows how the methodology can be used in a demographic and psychographic evaluation. At the same time, it discusses the formation and instigation of the case study methodology itself.

Van Vugt, J. P., ed. (1994). Aids Prevention and Services: Community Based Research . Westport: Bergin and Garvey.

"This volume has been five years in the making. In the process, some of the policy applications called for have met with limited success, such as free needle exchange programs in a limited number of American cities, providing condoms to prison inmates, and advertisements that depict same-sex couples. Rather than dating our chapters that deal with such subjects, such policy applications are verifications of the type of research demonstrated here. Furthermore, they indicate the critical need to continue community based research in the various communities threatened by acquired immuno-deficiency syndrome (AIDS) . . . "

Welch, W., ed. (1981, May). Case Study Methodology in Educational Evaluation. Proceedings of the Minnesota Evaluation Conference. Minnesota. (Address).

The four papers in these proceedings provide a comprehensive picture of the rationale, methodology, strengths, and limitations of case studies.

Williams, G. (1987). The Case Method: An Approach to Teaching and Learning in Educational Administration. RIE, 31p.

This paper examines the viability of the case method as a teaching and learning strategy in instructional systems geared toward the training of personnel of the administration of various aspects of educational systems.

Yin, R. K. (1993). Advancing Rigorous Methodologies: A Review of 'Towards Rigor in Reviews of Multivocal Literatures.' Review of Educational Research, 61, (3).

"R. T. Ogawa and B. Malen's article does not meet its own recommended standards for rigorous testing and presentation of its own conclusions. Use of the exploratory case study to analyze multivocal literatures is not supported, and the claim of grounded theory to analyze multivocal literatures may be stronger."

---. (1989). Case Study Research: Design and Methods. London: Sage Publications Inc.

This book discusses in great detail, the entire design process of the case study, including entire chapters on collecting evidence, analyzing evidence, composing the case study report, and designing single and multiple case studies.

Related Links

Consider the following list of related Web sites for more information on the topic of case study research. Note: although many of the links cover the general category of qualitative research, all have sections that address issues of case studies.

• Sage Publications on Qualitative Methodology: Search here for a comprehensive list of new books being published about "Qualitative Methodology" http://www.sagepub.co.uk/
• The International Journal of Qualitative Studies in Education: An on-line journal "to enhance the theory and practice of qualitative research in education." On-line submissions are welcome. http://www.tandf.co.uk/journals/tf/09518398.html
• Qualitative Research Resources on the Internet: From syllabi to home pages to bibliographies. All links relate somehow to qualitative research. http://www.nova.edu/ssss/QR/qualres.html

Citation Information

Bronwyn Becker, Patrick Dawson, Karen Devine, Carla Hannum, Steve Hill, Jon Leydens, Debbie Matuskevich, Carol Traver, and Mike Palmquist. (1994-2024). Case Studies. The WAC Clearinghouse. Colorado State University. Available at https://wac.colostate.edu/repository/writing/guides/.

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Strengths and Weaknesses of Case Studies

There is no doubt that case studies are a valuable and important form of research for all of the industries and fields that use them. However, along with all their advantages, they also have some disadvantages. In this article we are going to look at both.

Advantages of Case Studies

Intensive Study

Case study method is responsible for intensive study of a unit. It is the investigation and exploration of an event thoroughly and deeply. You get a very detailed and in-depth study of a person or event. This is especially the case with subjects that cannot be physically or ethically recreated.

This is one of the biggest advantages of the Genie case. You cannot lock up a child for 13 years and deprive them of everything. That would be morally and ethically wrong in every single way. So when the opportunity presented itself, researchers could not look away. It was a once in a lifetime opportunity to learn about feral children.

Genie was a feral child. She was raised in completed isolation, with little human contact. Because of the abuse she withstood, she was unable to develop cognitively. From infancy she was strapped to a potty chair, and therefore never acquired the physicality needed for walking, running and jumping.

If Genie made a noise, her father beat her. Therefore, she learned to not make a noise. Once she was found, researchers studied her language skills, and attempted to find ways to get her to communicate. They were successful. While she never gained the ability to speak, she did develop other ways to communicate. However, the public soon lost interest in her case, and with that, the funds to conduct the study.

However, her case was extremely important to child development psychology and linguistic theory. Because of her, we know that mental stimulation is needed for proper development. We also now know that there is a "critical period" for the learning of language.

Developing New Research

Case studies are one of the best ways to stimulate new research. A case study can be completed, and if the findings are valuable, they can lead to new and advanced research in the field. There has been a great deal of research done that wouldn't have been possible without case studies.

An example of this is the sociological study Nickel and Dimed. Nickel and Dimed is a book and study done by Barbara Ehrenreich. She wanted to study poverty in America, and did so by living and working as a person living on minimum wage.

Through her experiment, she discovered that poverty was almost inescapable. As soon as she saved a little money, she was hit with a crisis. She might get sick, or her car might break down, all occurrences that can be destructive when a person doesn't have a safety net to fall back on.

It didn't matter where she lived or what she did. Working a minimum wage job gave her no chances for advancement or improvement whatsoever. And she did the experiment as a woman with no children to support.

This study opened a lot of eyes to the problem of the working poor in America. By living and working as the experiment, Ehrenreich was able to show first-hand data regarding the issues surrounding poverty. The book didn't end with any solutions, just suggestions for the reader and points for them to think about.

Using this case study information, new studies could be organized to learn better ways to help people who are fighting poverty, or better ways to help the working poor.

Contradicting Established Ideas or Theories

Oftentimes there are theories that may be questioned with case studies. For example, in the John/John case study, it was believed that gender and sexual identity were a construct of nurture, not nature.

John-John focused on a set of twin boys, both of whom were circumcised at the age of 6 months. One of the twin's circumcisions failed, causing irreparable damage to the penis. His parents were concerned about the sexual health of their son, so they contacted Dr. John Money for a solution.

Dr. Money believed that sexuality came from nurture, not nature, and that the injured baby, Bruce, could be raised as a girl. His penis was removed and he was sexually reassigned to become a girl. Bruce's name was changed to Brenda, and his parents decided to raise him as a girl.

In this case, Dr. Money was dishonest. He believed that gender could be changed, which has since been proven false. Brenda's parents were also dishonest, stating that the surgery was a success, when in fact that wasn't the case.

As Brenda grew up, she always acted masculine and was teased for it at school. She did not socialize as a girl, and did not identify as a female. When Brenda was 13 she learned the truth, and was incredibly relieved. She changed her name to David, and lived the rest of her life as a male.

This case proved that the general theory was wrong, and is still valuable, even though the study author was dishonest.

Giving New Insight

Case studies have the ability to give insight into phenomena that cannot be learned in any other way. An example of this is the case study about Sidney Bradford. Bradford was blind from the age of 10 months old, and regained his sight at the age of 52 from a corneal transplant.

This unique situation allowed researchers to better learn how perception and motion changes when suddenly given sight. They were able to better understand how colors and dimensions affect the human process. For what it is worth, Bradford continued to live and work with his eyes closed, as he found sight too stimulating.

Another famous study was the sociological study of Milgram.

Stanley Milgram did a study from 1960 to 1974 in which he studied the effects of social pressure. The study was set up as an independent laboratory. A random person would walk in, and agree to be a part of the study. He was told to act as a teacher, and ask questions to another volunteer, who was the learner.

The teacher would ask the learner questions, and whenever he answered incorrectly, the teacher was instructed to give the learner an electric shock. Each time the learner was wrong, the shock would be increased by 15 volts. What the teacher didn't know was that the learner was a part of the experiment, and that no shocks were being given. However, the learner did act as if they were being shocked.

If the teachers tried to quit, they were strongly pushed to continue. The goal of the experiment was to see whether or not any of the teachers would go up to the highest voltage. As it turned out, 65% of the teachers did.

This study opened eyes when it comes to social pressure. If someone tells you it is okay to hurt someone, at what point will the person back off and say "this is not ok!" And in this study, the results were the same, regardless of income, race, gender or ethnicity.

This study opened up the sociological world of understanding the divide between social pressure and morality.

Disadvantages of Case Studies

Inability to Replicate

As demonstrated with the Genie case study, many studies cannot be replicated, and therefore, cannot be corroborated. Because the studies cannot be replicated, it means the data and results are only valid for that one person. Now, one could infer that that results of the Genie study would be the same with other feral children, without additional studies we can never be 100% certain.

Also, Genie was a white, American female. We do not know whether someone with a different gender, race or ethnicity would have a different result.

Key Term! Hawthorne Effect

The effect in which people change their behavior when they are aware they are being observed.

Researcher Bias

When conducting a case study, it is very possible for the author to form a bias. This bias can be for the subject; the form of data collection, or the way the data is interpreted. This is very common, since it is normal for humans to be subjective. It is well known that Sigmund Freud, the father of psychology, was often biased in his case histories and interpretations.

The researcher can become close to a study participant, or may learn to identify with the subject. When this happens the researcher loses their perspective as an outsider.

No Classification

Any classification is not possible due to studying a small unit. This generalization of results is limited, since the study is only focusing on one small group. However, this isn't always a problem, especially if generalization is not one of the study's goals.

Time Intensive

Case studies can be very time consuming. The data collection process can be very intensive and long, and this is something new researchers are not familiar with. It takes a long period of time to develop a case study, and develop a detailed analysis.

Many studies also require the authors to immerse themselves in the case. For example, in the Genie case, the lead researchers spent an abnormal amount of time with Genie, since so few people knew how to handle her. David Rigler, one of the lead researchers, actually had Genie live with him and his family for years. Because of this attachment, many questioned the veracity of the study data.

Possibility of Errors

Case study method may have errors of memory or judgment. Since reconstructing case history is based on memory, this can lead to errors. Also, how one person perceived the past could be different for another person, and this can and does lead to errors.

When considering various aspects of their lives, people tend to focus on issues that they find most important. This allows them to form a prejudice and can make them unaware of other possible options.

Ethical Issues

With small studies, there is always the question of ethics. At what point does a study become unethical? The Genie case was riddled with accusations of being unethical, and people still debate about it today.

Was it ethical to study Genie as deeply as she was studied?

Did Genie deserve to live out her life unbothered by researchers and academics trying to use her case to potentially further their careers?

At what point does the pursuit of scientific knowledge outweigh the right to a life free from research?

Also, because the researchers became so invested in the study, people questioned whether a researcher would report unethical behavior if they witnessed it.

Advantages and Disadvantages in Real-Life Studies

Two of these case studies are the Tylenol Scandal and the Genie language study.

Let's look at the advantages and disadvantages of these two studies.

Genie – Advantages

Uniqueness of study – Being able to study a feral child is a rare occurrence.

Genie – Disadvantages

Ethics - The lead researcher David Rigler provided a home for Genie, and was paid for being a foster parent. This is often seen as unethical, since Rigler had a financial interest in Genie and her case.

Tylenol – Advantages

Uniqueness of study – What happened to Tylenol was very unique and rare. While companies face crisis all the time, a public health crisis of this magnitude is very unique.

Tylenol – Disadvantages

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What Is a Case Study?

Weighing the pros and cons of this method of research

Verywell / Colleen Tighe

• Pros and Cons

What Types of Case Studies Are Out There?

Where do you find data for a case study, how do i write a psychology case study.

A case study is an in-depth study of one person, group, or event. In a case study, nearly every aspect of the subject's life and history is analyzed to seek patterns and causes of behavior. Case studies can be used in many different fields, including psychology, medicine, education, anthropology, political science, and social work.

The point of a case study is to learn as much as possible about an individual or group so that the information can be generalized to many others. Unfortunately, case studies tend to be highly subjective, and it is sometimes difficult to generalize results to a larger population.

While case studies focus on a single individual or group, they follow a format similar to other types of psychology writing. If you are writing a case study, we got you—here are some rules of APA format to reference.  

At a Glance

A case study, or an in-depth study of a person, group, or event, can be a useful research tool when used wisely. In many cases, case studies are best used in situations where it would be difficult or impossible for you to conduct an experiment. They are helpful for looking at unique situations and allow researchers to gather a lot of˜ information about a specific individual or group of people. However, it's important to be cautious of any bias we draw from them as they are highly subjective.

What Are the Benefits and Limitations of Case Studies?

A case study can have its strengths and weaknesses. Researchers must consider these pros and cons before deciding if this type of study is appropriate for their needs.

One of the greatest advantages of a case study is that it allows researchers to investigate things that are often difficult or impossible to replicate in a lab. Some other benefits of a case study:

• Allows researchers to capture information on the 'how,' 'what,' and 'why,' of something that's implemented
• Gives researchers the chance to collect information on why one strategy might be chosen over another
• Permits researchers to develop hypotheses that can be explored in experimental research

On the other hand, a case study can have some drawbacks:

• It cannot necessarily be generalized to the larger population
• Cannot demonstrate cause and effect
• It may not be scientifically rigorous
• It can lead to bias

Researchers may choose to perform a case study if they want to explore a unique or recently discovered phenomenon. Through their insights, researchers develop additional ideas and study questions that might be explored in future studies.

It's important to remember that the insights from case studies cannot be used to determine cause-and-effect relationships between variables. However, case studies may be used to develop hypotheses that can then be addressed in experimental research.

Case Study Examples

There have been a number of notable case studies in the history of psychology. Much of  Freud's work and theories were developed through individual case studies. Some great examples of case studies in psychology include:

• Anna O : Anna O. was a pseudonym of a woman named Bertha Pappenheim, a patient of a physician named Josef Breuer. While she was never a patient of Freud's, Freud and Breuer discussed her case extensively. The woman was experiencing symptoms of a condition that was then known as hysteria and found that talking about her problems helped relieve her symptoms. Her case played an important part in the development of talk therapy as an approach to mental health treatment.
• Phineas Gage : Phineas Gage was a railroad employee who experienced a terrible accident in which an explosion sent a metal rod through his skull, damaging important portions of his brain. Gage recovered from his accident but was left with serious changes in both personality and behavior.
• Genie : Genie was a young girl subjected to horrific abuse and isolation. The case study of Genie allowed researchers to study whether language learning was possible, even after missing critical periods for language development. Her case also served as an example of how scientific research may interfere with treatment and lead to further abuse of vulnerable individuals.

Such cases demonstrate how case research can be used to study things that researchers could not replicate in experimental settings. In Genie's case, her horrific abuse denied her the opportunity to learn a language at critical points in her development.

This is clearly not something researchers could ethically replicate, but conducting a case study on Genie allowed researchers to study phenomena that are otherwise impossible to reproduce.

There are a few different types of case studies that psychologists and other researchers might use:

• Collective case studies : These involve studying a group of individuals. Researchers might study a group of people in a certain setting or look at an entire community. For example, psychologists might explore how access to resources in a community has affected the collective mental well-being of those who live there.
• Descriptive case studies : These involve starting with a descriptive theory. The subjects are then observed, and the information gathered is compared to the pre-existing theory.
• Explanatory case studies : These   are often used to do causal investigations. In other words, researchers are interested in looking at factors that may have caused certain things to occur.
• Exploratory case studies : These are sometimes used as a prelude to further, more in-depth research. This allows researchers to gather more information before developing their research questions and hypotheses .
• Instrumental case studies : These occur when the individual or group allows researchers to understand more than what is initially obvious to observers.
• Intrinsic case studies : This type of case study is when the researcher has a personal interest in the case. Jean Piaget's observations of his own children are good examples of how an intrinsic case study can contribute to the development of a psychological theory.

The three main case study types often used are intrinsic, instrumental, and collective. Intrinsic case studies are useful for learning about unique cases. Instrumental case studies help look at an individual to learn more about a broader issue. A collective case study can be useful for looking at several cases simultaneously.

The type of case study that psychology researchers use depends on the unique characteristics of the situation and the case itself.

There are a number of different sources and methods that researchers can use to gather information about an individual or group. Six major sources that have been identified by researchers are:

• Archival records : Census records, survey records, and name lists are examples of archival records.
• Direct observation : This strategy involves observing the subject, often in a natural setting . While an individual observer is sometimes used, it is more common to utilize a group of observers.
• Documents : Letters, newspaper articles, administrative records, etc., are the types of documents often used as sources.
• Interviews : Interviews are one of the most important methods for gathering information in case studies. An interview can involve structured survey questions or more open-ended questions.
• Participant observation : When the researcher serves as a participant in events and observes the actions and outcomes, it is called participant observation.
• Physical artifacts : Tools, objects, instruments, and other artifacts are often observed during a direct observation of the subject.

If you have been directed to write a case study for a psychology course, be sure to check with your instructor for any specific guidelines you need to follow. If you are writing your case study for a professional publication, check with the publisher for their specific guidelines for submitting a case study.

Here is a general outline of what should be included in a case study.

Section 1: A Case History

This section will have the following structure and content:

Background information : The first section of your paper will present your client's background. Include factors such as age, gender, work, health status, family mental health history, family and social relationships, drug and alcohol history, life difficulties, goals, and coping skills and weaknesses.

Description of the presenting problem : In the next section of your case study, you will describe the problem or symptoms that the client presented with.

Describe any physical, emotional, or sensory symptoms reported by the client. Thoughts, feelings, and perceptions related to the symptoms should also be noted. Any screening or diagnostic assessments that are used should also be described in detail and all scores reported.

Your diagnosis : Provide your diagnosis and give the appropriate Diagnostic and Statistical Manual code. Explain how you reached your diagnosis, how the client's symptoms fit the diagnostic criteria for the disorder(s), or any possible difficulties in reaching a diagnosis.

Section 2: Treatment Plan

This portion of the paper will address the chosen treatment for the condition. This might also include the theoretical basis for the chosen treatment or any other evidence that might exist to support why this approach was chosen.

• Cognitive behavioral approach : Explain how a cognitive behavioral therapist would approach treatment. Offer background information on cognitive behavioral therapy and describe the treatment sessions, client response, and outcome of this type of treatment. Make note of any difficulties or successes encountered by your client during treatment.
• Humanistic approach : Describe a humanistic approach that could be used to treat your client, such as client-centered therapy . Provide information on the type of treatment you chose, the client's reaction to the treatment, and the end result of this approach. Explain why the treatment was successful or unsuccessful.
• Psychoanalytic approach : Describe how a psychoanalytic therapist would view the client's problem. Provide some background on the psychoanalytic approach and cite relevant references. Explain how psychoanalytic therapy would be used to treat the client, how the client would respond to therapy, and the effectiveness of this treatment approach.
• Pharmacological approach : If treatment primarily involves the use of medications, explain which medications were used and why. Provide background on the effectiveness of these medications and how monotherapy may compare with an approach that combines medications with therapy or other treatments.

This section of a case study should also include information about the treatment goals, process, and outcomes.

When you are writing a case study, you should also include a section where you discuss the case study itself, including the strengths and limitiations of the study. You should note how the findings of your case study might support previous research. 

In your discussion section, you should also describe some of the implications of your case study. What ideas or findings might require further exploration? How might researchers go about exploring some of these questions in additional studies?

Need More Tips?

Here are a few additional pointers to keep in mind when formatting your case study:

• Never refer to the subject of your case study as "the client." Instead, use their name or a pseudonym.
• Read examples of case studies to gain an idea about the style and format.
• Remember to use APA format when citing references .

Crowe S, Cresswell K, Robertson A, Huby G, Avery A, Sheikh A. The case study approach .  BMC Med Res Methodol . 2011;11:100.

Crowe S, Cresswell K, Robertson A, Huby G, Avery A, Sheikh A. The case study approach . BMC Med Res Methodol . 2011 Jun 27;11:100. doi:10.1186/1471-2288-11-100

Gagnon, Yves-Chantal.  The Case Study as Research Method: A Practical Handbook . Canada, Chicago Review Press Incorporated DBA Independent Pub Group, 2010.

Yin, Robert K. Case Study Research and Applications: Design and Methods . United States, SAGE Publications, 2017.

By Kendra Cherry, MSEd Kendra Cherry, MS, is a psychosocial rehabilitation specialist, psychology educator, and author of the "Everything Psychology Book."

Home » Pros and Cons » 12 Case Study Method Advantages and Disadvantages

12 Case Study Method Advantages and Disadvantages

A case study is an investigation into an individual circumstance. The investigation may be of a single person, business, event, or group. The investigation involves collecting in-depth data about the individual entity through the use of several collection methods. Interviews and observation are two of the most common forms of data collection used.

The case study method was originally developed in the field of clinical medicine. It has expanded since to other industries to examine key results, either positive or negative, that were received through a specific set of decisions. This allows for the topic to be researched with great detail, allowing others to glean knowledge from the information presented.

Here are the advantages and disadvantages of using the case study method.

List of the Advantages of the Case Study Method

1. it turns client observations into useable data..

Case studies offer verifiable data from direct observations of the individual entity involved. These observations provide information about input processes. It can show the path taken which led to specific results being generated. Those observations make it possible for others, in similar circumstances, to potentially replicate the results discovered by the case study method.

2. It turns opinion into fact.

Case studies provide facts to study because you’re looking at data which was generated in real-time. It is a way for researchers to turn their opinions into information that can be verified as fact because there is a proven path of positive or negative development. Singling out a specific incident also provides in-depth details about the path of development, which gives it extra credibility to the outside observer.

3. It is relevant to all parties involved.

Case studies that are chosen well will be relevant to everyone who is participating in the process. Because there is such a high level of relevance involved, researchers are able to stay actively engaged in the data collection process. Participants are able to further their knowledge growth because there is interest in the outcome of the case study. Most importantly, the case study method essentially forces people to make a decision about the question being studied, then defend their position through the use of facts.

4. It uses a number of different research methodologies.

The case study method involves more than just interviews and direct observation. Case histories from a records database can be used with this method. Questionnaires can be distributed to participants in the entity being studies. Individuals who have kept diaries and journals about the entity being studied can be included. Even certain experimental tasks, such as a memory test, can be part of this research process.

5. It can be done remotely.

Researchers do not need to be present at a specific location or facility to utilize the case study method. Research can be obtained over the phone, through email, and other forms of remote communication. Even interviews can be conducted over the phone. That means this method is good for formative research that is exploratory in nature, even if it must be completed from a remote location.

6. It is inexpensive.

Compared to other methods of research, the case study method is rather inexpensive. The costs associated with this method involve accessing data, which can often be done for free. Even when there are in-person interviews or other on-site duties involved, the costs of reviewing the data are minimal.

7. It is very accessible to readers.

The case study method puts data into a usable format for those who read the data and note its outcome. Although there may be perspectives of the researcher included in the outcome, the goal of this method is to help the reader be able to identify specific concepts to which they also relate. That allows them to discover unusual features within the data, examine outliers that may be present, or draw conclusions from their own experiences.

List of the Disadvantages of the Case Study Method

1. it can have influence factors within the data..

Every person has their own unconscious bias. Although the case study method is designed to limit the influence of this bias by collecting fact-based data, it is the collector of the data who gets to define what is a “fact” and what is not. That means the real-time data being collected may be based on the results the researcher wants to see from the entity instead. By controlling how facts are collected, a research can control the results this method generates.

2. It takes longer to analyze the data.

The information collection process through the case study method takes much longer to collect than other research options. That is because there is an enormous amount of data which must be sifted through. It’s not just the researchers who can influence the outcome in this type of research method. Participants can also influence outcomes by given inaccurate or incomplete answers to questions they are asked. Researchers must verify the information presented to ensure its accuracy, and that takes time to complete.

3. It can be an inefficient process.

Case study methods require the participation of the individuals or entities involved for it to be a successful process. That means the skills of the researcher will help to determine the quality of information that is being received. Some participants may be quiet, unwilling to answer even basic questions about what is being studied. Others may be overly talkative, exploring tangents which have nothing to do with the case study at all. If researchers are unsure of how to manage this process, then incomplete data is often collected.

4. It requires a small sample size to be effective.

The case study method requires a small sample size for it to yield an effective amount of data to be analyzed. If there are different demographics involved with the entity, or there are different needs which must be examined, then the case study method becomes very inefficient.

5. It is a labor-intensive method of data collection.

The case study method requires researchers to have a high level of language skills to be successful with data collection. Researchers must be personally involved in every aspect of collecting the data as well. From reviewing files or entries personally to conducting personal interviews, the concepts and themes of this process are heavily reliant on the amount of work each researcher is willing to put into things.

These case study method advantages and disadvantages offer a look at the effectiveness of this research option. With the right skill set, it can be used as an effective tool to gather rich, detailed information about specific entities. Without the right skill set, the case study method becomes inefficient and inaccurate.

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Case Studies

Last updated 22 Mar 2021

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Case studies are very detailed investigations of an individual or small group of people, usually regarding an unusual phenomenon or biographical event of interest to a research field. Due to a small sample, the case study can conduct an in-depth analysis of the individual/group.

Evaluation of case studies:

- Case studies create opportunities for a rich yield of data, and the depth of analysis can in turn bring high levels of validity (i.e. providing an accurate and exhaustive measure of what the study is hoping to measure).

- Studying abnormal psychology can give insight into how something works when it is functioning correctly, such as brain damage on memory (e.g. the case study of patient KF, whose short-term memory was impaired following a motorcycle accident but left his long-term memory intact, suggesting there might be separate physical stores in the brain for short and long-term memory).

- The detail collected on a single case may lead to interesting findings that conflict with current theories, and stimulate new paths for research.

- There is little control over a number of variables involved in a case study, so it is difficult to confidently establish any causal relationships between variables.

- Case studies are unusual by nature, so will have poor reliability as replicating them exactly will be unlikely.

- Due to the small sample size, it is unlikely that findings from a case study alone can be generalised to a whole population.

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Understanding Circular and Nature-Inclusive Agricultural Business Models

• Original Paper
• Open access
• Published: 23 September 2024

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• Carolien de Lauwere   ORCID: orcid.org/0000-0002-7946-4822 1 ,
• Marie-Jose Smits   ORCID: orcid.org/0009-0002-9457-8083 1 ,
• Marijke Dijkshoorn-Dekker   ORCID: orcid.org/0000-0002-7098-6712 1 ,
• Amber Kuipers-ten Brummelhuis   ORCID: orcid.org/0000-0002-2697-7480 1 &
• Nico Polman   ORCID: orcid.org/0000-0001-6412-5345 1  

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Sustainable approaches in the agricultural sector are important to addressing problems relating to food security and nutrition around the globe. To obviate these problems, it has become crucial to administer methods of farming that are ecologically compatible, holistic and organic in nature. Dutch farmers are moving towards more sustainable and circular production methods to respond to the various challenges, including biodiversity loss and climate change, whilst maintaining a viable business model. To generate further insight into circular and nature-inclusive or nature-positive agricultural business models (CNABM), we describe a conceptual framework that could help farmers, their advisers and, possibly, funding organisations to identify critical success factors for the implementation of circular and nature-inclusive or nature-positive business models in a qualitative way. The framework was built on a synthesis of existing literature and seven empirical case studies drawing on in-depth interviews. Prior to the case studies, the framework was tested through a desk study focused on sugar-beet cultivation. Based on existing literature and the pilot case on sugar-beet cultivation, we found that three conditions are needed in order to identify these critical success factors. (1) It is important to consider the barriers and drivers in the social and physical contexts within which entrepreneurs involved in such business models operate (‘adoption factors’). (2) Sustainable business models should go beyond delivering economic value and include other forms of value for a broader range of stakeholders. Moreover, attention should be paid to strengths and weaknesses of the business model. (3) Traditional business models (e.g. the business model canvas, or BMC) should be extended to include sustainability-related elements (sustainability impact). The framework proved useful for identifying the business models, along with their vulnerabilities and potential opportunities. Although the framework is meant for use with circular and nature-inclusive or nature-positive agricultural business models, it can be applied to other sustainable agricultural business models as well.

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Introduction

In the past decade, the importance of sustainable food systems has been receiving increasing emphasis. Sustainable approaches in the agricultural sector are of the utmost importance to addressing problems relating to food security and nutrition around the globe. To obviate these problems, it has become crucial to administer methods of farming that are ecologically compatible, holistic and organic in nature [ 1 ]. For farmers, this entails being confronted with increasing pressures on land and concerns about the emission of greenhouse gasses, ammonia and minerals in relation to climate goals, as well as water quality and animal welfare in relation to human health [ 1 , 2 ]. If current production systems continue as they are, pressure on the environment is expected to increase as the global population grows [ 3 , 4 ].

In the Netherlands, a focus on increasing productivity and reducing costs has resulted in monocultures, which have a negative impact on the environment, especially in terms of biodiversity, water quality and the attractiveness of the landscape. According to the vision of the Netherlands Ministry of Agriculture, Nature and Food Quality, “[T]he way in which we produce our food is shifting ever more out of balance. We are taking more than the planet can give, and this is not sustainable” [ 5 , p. 5]. The Dutch government advocates a transition to circular agriculture, with nature-inclusive agriculture as one important perspective [ 6 ]. Nature-inclusive farming aims to promote more sustainable agricultural practices that will minimise negative ecological impacts and maximise positive ones, whilst generating benefits from natural processes [ 7 ]. At the international level, this aligns with the search for nature-positive business models, as advocated by the World Wide Fund for Nature (WWF) [ 8 ], the World Economic Forum (WEF) in 2023 across a variety of sectors [ 9 ], and the European Business & Nature Summit in Milan in 2023 [ 10 ]. The initiatives have encouraged further business actions towards the development of nature-positive business models.

Such transitions involve complex processes, and they require radical changes in both social and technological systems [ 7 , 11 ]. For Dutch farmers, the transition will require moving towards more sustainable production methods in response to challenges (e.g. biodiversity loss and climate change), whilst also maintaining a viable business model.

As demonstrated by the Netherlands national taskforce on earning capacity for circular agriculture, the development of new revenue/business models poses a number of major challenges. Stressing the urgent need for a suitable revenue model, this taskforce argues that such models are crucial to the success of the transition towards more sustainable agriculture [ 12 ]. Within the European context, the same argument has been applied to the development of business models for a circular and sustainable bioeconomy [ 13 , 14 , 15 ].

To help identify critical success factors for the successful implementation of circular and nature-inclusive or nature-positive agricultural business models (CNABM), we build on a framework developed by Antikainen and Valkokari [ 16 ] and adapted it according to a synthesis of literature. A preliminary examination of the framework was conducted through a desk study on sugar-beet cultivation, which resulted in minor adaptations to the framework. In a subsequent step, we qualitatively tested the framework based on seven empirical case studies. The aim of our study was to identify and test a framework for critical success factors for circular and nature-inclusive or nature-positive agricultural business models (CNABM) within the context of stakeholders preparing their farms for the transition to the future. In our study, CNABMs describe the ways in which farmers work and make money whilst also carefully handling natural resources, managing the soil in a sustainable manner and minimising emissions.

The section “ Research methods ” introduces the materials and methods which form the basis of this paper. The section “ Results ” then introduces the literature review which provides the foundation for our approach by the identification of key elements of CNABMs (Section “Literature Review on Business Model Strategies and Elements of Circular and Nature Inclusive Business Models”). This is followed by a brief analysis of a desk study concerning Dutch sugar beet cultivation (Section “Analysis of the Sugar Beet Case”) and a more detailed analysis of seven empirical case studies that illustrate the practical applications of our approach (Section “Analysis of Seven Empirical Case Studies”). The  results concludes with the presentation of the framework for CNABMs (Section “Towards a Conceptual Framework for Analyzing CNABMs”). Finally, the discussion offers a discussion of the key findings, while the section “ Conclusions ” presents the conclusions. In this paper we will from here on refer to nature-inclusive agriculture when we mean nature-inclusive or nature-positive agriculture.

Research Methods

The study consisted of three parts (see Fig.  1 ):

An exploratory literature review to find out whether circular or sustainable business models that have been developed primarily for industrial applications can be applied in circular and nature-inclusive agricultural business models (CNABMs), as well as to identify key elements of CNABMs that enable the qualitative assessment of critical success factors of CNABMs.

A desk study on sugar-beet cultivation to develop an impression of how the identified key elements of CNABMS can be used in an agricultural application.

Analysis of in-depth interviews with initiators of seven empirical case studies to further test and refine the framework for the evaluation of CNABMs.

Structure of the study on circular and nature-inclusive agricultural business models (CNABMs)

Exploratory Literature Review

In an exploratory literature review, we followed an integrative literature approach [ 17 ] to examine scientific and other publications. The review was intended to generate insight into whether circular or sustainable business models that have been developed primarily for industrial applications can be applied in circular and nature-inclusive agricultural business models (CNABMs). We also identified key elements of CNABMs to develop an initial draft of a framework for assessing critical success factors for CNABMs. An integrative literature review is not intended as a systematic survey of all articles ever published on a certain topic or within a certain field of research. Rather, it aims to combine and integrate perspectives and insights from different scientific domains or research traditions [ 17 ].

Relevant literature was identified through a search in scientific databases (mainly Google Scholar) as well as through the recommendations of colleagues and peers. Instead of relying on fixed sets of keywords, we explored many different topics and research domains. Based on this initial collection of literature, we applied a snowball method to gather additional information through references cited in the articles from the initial collection. The explorative literature review was not meant to be exhaustive.

Testing the Initial Draft of the CNABM Framework in a Specific Agricultural Application

The applicability of the initial draft of the conceptual framework to assess critical success factors for CNABMs was first tested according to a desk study on the cultivation of sugar beets in the Netherlands and the by-products that remain after the sugar has been extracted from the beets. The by-products can be used for the production of green energy (bioethanol), bio-based elements or fibres, the maintenance of organic matter in the soil and/or the production of feed for dairy cows (beet pulp) [ 18 , 19 ]. This exercise clearly demonstrated that the key elements of the CNABMs found in the literature can be recognised in each business strategy for sugar-beet cultivation.

Further Testing and Refining the CNABM Framework Based on Seven Empirical Case Studies

The next step in our research consisted of qualitatively analysing seven case studies involving livestock and arable farming as a further test of our conceptual framework for CNABMs based on empirical data.

To enhance understanding concerning the business models of circular or nature-inclusive farmers, we performed seven semi-structured in-depth interviews with livestock and arable farmers who were producing according to circular and/ or nature-inclusive methods. This type of interviewing is useful for answering more complicated research questions, including ‘why’ questions [ 20 ]. To this end, we developed an interview guide that would allow us to gather similar types of data from each participant [ 21 ] by providing the interviewers with guidance on which topics to discuss [ 22 ]. Based on the key elements of CNABMs as identified in the exploratory literature review and the desk study on sugar-beet cultivation (see Section “ Exploratory Literature Review ”), the interview guide included the following topics: 

With regard to the social and physical context within which farmers operate:

Characteristics of the farm and the farmer

Barriers to and drivers of the realisation of CNABMs (adoption factors)

At the business level:

Questions related to the building blocks of CNABMs (value proposition, customer relations and segments, channels, activities, key resources, partners, cost structure, revenue streams and take-back infrastructure)

Strengths and weaknesses of the CNABMs

Sustainability impact

Questions related to positive and negative environmental, social and financial consequences

Each interview lasted 60–90 min. To ensure that every topic was discussed during the conversations, they were conducted by two interviewers. All interviews were recorded, with the permission of the farmers, and were transcribed verbatim. Each farmer signed a consent form granting permission to use the interviews for analysis.

For this research, we used a non-probability sampling technique known as purposive sampling. This method is characterised by making a deliberate choice of participants based on specific qualities [ 23 ]. Purposive sampling is typically used to identify information-rich cases in an efficient manner [ 24 ]. One disadvantage of this method is that it is subjective, thereby introducing bias into the choice of participants [ 23 ].

The sample for this case consisted of farmers in the Netherlands who were producing circular and/or nature-inclusive products. Some of these farmers were identified from a long list previously used by Hoes et al. [ 25 ]. The others were found through the network of researchers involved in the project, as well as through the website of Caring Farmers ( https://caringfarmers.nl/ ), a community of farmers who produce or want to produce in a nature-inclusive and circular manner. Thirteen farmers were approached for an interview but only seven of them accepted the invitation. Six interviews were conducted online, and one interview was conducted live on the farm, at the farmer’s insistence. Each of the participating farmers received two €50 vouchers as an expression of gratitude for their time and effort answering the questions.

Each interview was analysed using the conceptual framework presented in the section “ Towards a Conceptual Framework for Analyzing CNABMs ”.

This section is divided into four main parts. Following the structure of the Methods section, we start by presenting the results of the exploratory literature review. We describe how industrial applications can be applied in circular and nature-inclusive agricultural business models (CNABMs) (Section “General Circular Business Strategies also are Applicable in Agriculture”) and which key elements of CNABMs can be distinguished (Section “Key Elements for Circular and Nature-Inclusive Business Models”). This reveals key elements that should be distinguished to assess and reveal critical success factors of CNABMs, which we test in the sugar beet case (Section “Analysis of the Sugar Beet Case”). We then focus on the analysis of the in-depth interviews with initiators of seven empirical case studies to further test and refine the framework for evaluation of CNABMs (Section “Analysis of Seven Empirical Case Studies”). The section concludes with a presentation of our final conceptual framework for the evaluation of CNABMs (Section “Towards a Conceptual Framework for Analyzing CNABMs”).

Literature Review on Business Model Strategies and Elements of Circular and Nature-Inclusive Business Models

General circular business strategies also are applicable in agriculture.

The transition towards circular and nature-inclusive agricultural systems is part of a larger transition towards a circular economy. In the literature, several attempts have been made to describe circular business models (CBMs) [ 26 , 27 , 28 ] or sustainable business models (SBM) [ 29 , 30 ]. Some studies on circular ‘industrial’ business models proceed from the notion of ‘R strategies’. As developed by the Netherlands Environmental Assessment Agency (PBL), the R-ladder is composed of the following circular strategies [ 31 ]: (1) Refuse and Rethink, referring to renouncing of products and making more intensive use of products; (2) Reduce, referring to reducing the need for inputs by a more efficient fabrication of products or making products more efficient to use; (3) Reuse, referring to using products again; (4) Repair and Refurbish, referring to reusing product parts; (5) Recycle, referring to processing and reusing materials; and (6) Recover, referring to regaining energy from materials. The R strategies are also used by Lüdeke-Freund et al. [ 28 ], who propose six major ‘patterns’ (strategies) of circular economy business models (CEBM), which have the potential to support the closing of resource flows: (1) repair and maintenance; (2) reuse and redistribution; (3) refurbishment and remanufacturing; (4) recycling; (5) cascading and repurposing; and (6) organic feedstock business model patterns. The fifth and sixth CEBM strategies appear to be applicable to agriculture. Cascading and repurposing refer to the iterative use of the energy and material contents of physical objects/biomass (e.g. trees) and the efficient use of biomass (e.g. animal feed by valorisation of residuals of soy, beets or potatoes). Organic feedstock refers to the processing of organic residuals through biomass conversion, composting or anaerobic digestion and the generation of co-products from waste.

According to Lacy et al. [ 32 ], in a circular economy, growth is decoupled from the use of scarce resources through disruptive technology and business models based on longevity, renewability, reuse, repair, upgrade, refurbishment, capacity sharing and dematerialisation. The authors describe five different circular business strategies, including: (1) circular supplies, referring to the provision of renewable energy and the use of bio-based or fully recyclable input material to replace single-lifecycle inputs, and (2) resource recovery, referring to the recovery of useful resources or energy out of disposed products or by-products. For circular agriculture, renewable energy and bio-based materials are particularly important. For example, farmers can contribute to the provision of renewable energy by installing solar panels on roofs and, possibly, on land, and by allowing wind turbines on their land. They also can contribute to the use of bio-based material in bio-fermenters. For nature-inclusive agriculture, the central strategy is regeneration (recovery of the biosphere, and especially the soil).

A mapping tool developed by Bocken et al. [ 29 ] distinguishes nine sustainable business strategies: (1) maximise material and energy efficiency; (2) create value from ‘waste’; (3) deliver functionality, rather than ownership; (4) encourage sufficiency; (5) adopt a stewardship role; (6) re-purpose business for society/the environment; (7) integrate business into the community; (8) develop scalable solutions; and (9) radical innovation. Some of these strategies appear to be applicable to agriculture as well. For example, maximising material efficiency is actually already being broadly applied by farmers, as most of them use the services of contractors (including their machinery) for cultivating their land. In a way, this can be understood as a sharing platform for machinery. Furthermore, the production of plant proteins to replace animal proteins for a more efficient use of inputs is an example of maximising material efficiency, the use of residuals from the food industry for animal feed is an example of creating value from ‘waste’, and community-supported agriculture (CSA) is an example of integrating business into the community. In CSA, farmers and citizens share responsibility, risks and, in some cases, even ownership. Many such initiatives are currently emerging [ 33 ].

Based on the literature mentioned above, we further elaborated how specific circular or sustainable business strategies can be applied in CNABMs (see Appendix I).

Key Elements for Circular and Nature-Inclusive Business Models

In the previous section, we discussed circular business strategies that are applicable to CNABMs. In this section, we identify key elements necessary for a conceptual framework for CNABMs.

Take-back System and Adoption Factors

In a literature review, Lewandowski [ 26 ] identifies and classifies the characteristics of the circular economy according to the structure of a business model. To this end, the Business Model Canvas (BMC) of Ostenwalder and Pigneur [ 34 ] is adapted into a circular business model canvas by adding two new components to the model: a take-back system and adoption factors. The take-back system has its own channels and customer relations, and it is added to the common building blocks of the Business Model Canvas (value proposition, customer segments, customer relations, partners, key activities, key resources, channels, cost structure and revenue streams). For agricultural practices, the take-back system — or at least a kind of take-back system or infrastructure — seems applicable as well (e.g. to enable the recycling of nutrients between livestock and arable farms; to realise the use of renewable energy; to enable the use of residual flows from the food industry for animal feed; to compost organic waste from consumers; or to regain phosphate from human excreta). Adoption factors are important, as the transition towards circular business models must be supported by a variety of organisational capabilities and external factors. With regard to adoption factors, Lewandowski [ 26 ] includes the ‘PEST factors’, which were first described by Aguilar [ 35 ]: Political, Economic, Social and Technological factors that could influence business development. The PEST framework was later expanded into the PESTLE framework by Nandonde et al. [ 36 ], with the addition of Legal and Environmental factors. The PESTLE framework can be used as a diagnostic tool to analyse and monitor external macro-environmental factors that have an impact on business models [ 37 ]. It facilitates thinking about which factors are most likely to change and which are likely to have the most positive or negative impact on the performance of the CNABM business cases. To “unlock the circular economy”, Tura et al. [ 27 ] describe another framework comprising seven areas that partly overlap the PESTLE factors: environmental, economic, social, political and institutional, technological and informational, supply chain and organisational factors. A PESTLE analysis is sometimes combined with a SWOT approach [e.g. 38, 39, 40]. The benefit of this combination is that it allows the identification of positive and negative factors, both internal (strengths and weaknesses) and external (opportunities and threats).

Sustainability Impact

The circular economy — or, in our case, circular and nature-inclusive agriculture — is not always or not only sustainable. On the contrary, it sometimes raises new challenges, even if it can solve issues relating to sustainability [ 41 ]. For this reason, it is important to extend traditional business models (e.g. the BMC) to include elements related to sustainability [ 42 , 43 ]. One example is the triple-layered BMC described by Joyce and Paquin [ 44 ]. These authors extend the BMC by adding an environmental layer, based on a lifecycle perspective, and a social layer, based on a stakeholder perspective. Taken together, the three layers of the business model make more explicit how an organisation generates multiple types of value: economic, environmental and social. They demonstrate other elements of the BMC, including social value, social impacts and social benefits, along with environmental impacts and benefits. Another extension to the BMC is presented by Antikainen and Valkokari [ 16 ], whose framework for evaluating the sustainability and circularity of business models distinguishes the business-ecosystem level (with trends, drivers and stakeholder involvement), the business level (with the building blocks of the BMC) and the sustainability-impact level (with environmental, social and business-related sustainability requirements and benefits).

Towards a Conceptual Framework for CNABMs

The literature presented in the previous section shows that three main elements are important to reveal critical success factors for CNABMs:

The social and physical context, which includes the adoption factors based on Lewandowksi [ 26 ] and Tura et al. [ 27 ]

The business level, which includes the building blocks of the BMC [ 28 , 34 ], the circular building blocks [ 26 ] and the strengths and weaknesses from the SWOT analysis [ 38 , 39 , 40 ].

The sustainability-impact level, which includes the positive and negative social, environmental and financial consequences of business models [ 44 ].

In the following sections we use these elements as a basis for a superficial analysis of the sugar-beet case and analyse the seven empirical case studies in more detail.

Analysis of the Sugar Beet Case

The analysis of the sugar-beet case was an initial test of our conceptual framework for the qualitative description of CNABMs. It is based on a desk study of the cultivation of sugar beets in the Netherlands and the by-products that remain after the sugar has been extracted from the beets. These by-products can be used for the production of green energy (bioethanol), bio-based elements or fibres, the maintenance of organic matter in the soil and/or the production of feed for dairy cows (beet pulp) [ 18 , 19 ]. These uses of by-products fit respectively within the business strategies of repurposing, radical innovation, recycling and organic feedstock. For each business strategy, we superficially analysed the environmental, economic, political, legal and technological adoption factors described by Nandonde et al. [ 36 ], the business level based on the building blocks of the BMC and the take-back infrastructure [ 26 , 35 ]; and the sustainability impact of the business models in terms of the positive and negative environmental and financial consequences of the business models’ sustainability [ 44 ]. This part of the study was intended to generate an initial impression of how the framework could work. We did not analyse the pilot-case study in much detail. Our findings regarding the adoption factors, the take-back system/infrastructure needed for the collection and processing of circular products (part of the business level), and the sustainability impact of the sugar-beet case are presented below. Further details regarding the building blocks of the BMC are presented in Appendix II. We did not include the SWOT analysis or the social adoption factors and sustainability impact, as doing so would have required a more detailed analysis.

Adoption Factors

Analysis of the PESTLE factors of sugar-beet cultivation indicates that important political issues include a possible sugar tax, green subsidies and political decisions concerning bio-based materials. The policy agenda for circular economy and nature-inclusive farming is relevant within this context as well. This is related to legal developments at the national and international level, including legislation on climate agreements and emissions. Adoption possibilities depend on technological progress. In particular, bio-based materials and the associated technology — including the infrastructure of materials and structural engineering — are still under development. This can lead to uncertainty, thereby delaying investments. Economic adoption factors concern the prices of fossil energy (which help to determine green energy profits), costs of producing bio-based materials compared to those of traditional materials, and the cost of energy in the production of animal feed based on beet pulp. Although leaving remnants of beet production on the land is cost-efficient (as it eliminates the need to remove it), the revenues become visible only in the long term. Environmental adoption factors concern the need for renewable energy, bio-based materials and reduction of biodiversity loss in the soil and on the land.

Take-back System/Infrastructure for the Production of Bio-Ethanol and Bio-Based Products

Given the essential importance of reusing residual flows to CNABMs, this section addresses the take-back system/infrastructure, which is apparently important to the production of bio-ethanol or bio-based materials or the production of beet pulp for animal feed. In addition to the harvesting of sugar beets, the production of bio-ethanol, bio-based materials and animal feed entail the processing of beets into bio-ethanol, bio-based materials and beet pulp. It also includes making the products available to the energy, chemical and feed industries. A take-back system does not play an important role in business strategies based on leaving the beet remnants on the land.

The four circular and/or nature-inclusive strategies for the sugar-beet sector include a variety of benefits and, in some cases, deficiencies. Sugar beets can be used for the production of ethanol as an alternative to fossil energy, as well as for bio-based materials as an alternative to non-renewable resources. These strategies are suitable to a circular economy. Furthermore, crop remnants can be either left on the soil to improve organic matter or used as feed stock as an alternative to feed imports. These uses are consistent with nature-inclusive agriculture. The environmental advantages of the four strategies include the use of renewable resources instead of fossil resources, the improvement of soil structure due to greater soil biodiversity, and a decrease in feed imports and a corresponding decrease in the loss of biodiversity elsewhere in the world. The strategies are subject to shortcomings as well, however, including the CO 2 emissions generated by renewable energy from bio-based resources and energy consumption from both the production of bio-based materials and the drying of beet pulp for feed production.

The results are also diverse from an economic perspective. The profitability of ethanol, bio-based materials and beet-residue feed depends solely on energy prices, whereas the profitability of bio-based materials also depends on the price of traditional materials, and the profitability of beet-residue feed also depends on the price of imported feed.

The impacts of the strategies result in increased sustainability within a wide range of sectors, both outside agriculture (e.g. the energy and chemical sectors) and within agriculture (the arable and livestock sectors).

Lessons from the Sugar-Beet Case

As demonstrated by our approach, CNABMs (in this case, relating to the cultivation of sugar beets in the Netherlands) can be unravelled in several business strategies. A variety of circular elements can be recognised in these strategies, including the recycling, upgrading or remanufacturing of products, components, materials or waste. Additional values for new stakeholders can be created (e.g. through strategies for the production of bioethanol and bio-based elements or fibres), and values for existing stakeholders are utilised as much as possible (e.g. in strategies for the maintenance of organic matter in the soil and/or the production of beet-pulp-based feed for dairy cows). The choice of one business strategy does not necessarily exclude the others. If beet remnants are left on the land or if beet pulp is used for animal feed, the beets can still be used in the production of bio-ethanol or bio-based materials. In contrast, if beets are used for the production of bio-ethanol or bio-based material (or sugar), they can no longer be used for other purposes. The adoption factors are the most important part of our conceptual framework, as they provide insight into the barriers and drivers associated with specific business strategies. In our analysis (which is admittedly superficial), leaving the beet remnants on the land seems the most beneficial, as it seems to have only positive effects (on the quality and biodiversity of the soil). Moreover, it involves only beet waste, such that the beets still can be used for the production of bio-ethanol or bio-based materials (or sugar). Within this context, nature-inclusive solutions (leaving the beet remnants on the land to improve soil quality) are accompanied by circular solutions (upgrading beets for the production of green energy or bio-based materials).

Analysis of Seven Empirical Case Studies

The farmers and their farms, farm activities and features.

All farmers we interviewed had farms with nature-inclusive and circular elements. Five of the farms were organic. Of the non-organic farmers, one fed the animals with residuals that are difficult to obtain from non-organic sources, let alone from organic sources. All but one of the farmers kept beef cattle (2 farms), dairy cattle (2 farms), pigs (1 farm) or broiler chickens (1 farm). The farm with the broiler chickens also had arable land. The farmer without livestock had a regenerative arable farm. Examples of side activities undertaken at the farms included farm shops, hospitality activities, education, free-range laying hens, self-made dairy products, grain production for local mills, and excursions. The farms were dispersed throughout the country. Most of the farmers interviewed had between 50 and 100 ha of utilized agricultural area (UAA), except for one farm that was very small, in order to maintain the ‘hobby farmer’ status Footnote 1 .

CNABM Strategies

The CNABM strategies are summarised in Table  1 . In all cases, the farmers were reducing inputs and integrating business into the community in various ways. The most frequently mentioned practices were short supply chains through the exploitation of farm shops, collaboration between farmers, and education and excursions. One farmer was reducing food waste by collecting it at local bakeries and retailers and feeding it to the animals, which were living under high animal welfare standards. In all but one of the cases (a conventional farm), the farmers had rejected common practices, and five of the farmers had organic, nature-inclusive or regenerative farms, and they thus did not use any chemical pesticides or artificial fertilisers. They were also contributing to the repair and maintenance of the natural environment. Four of these farmers were also applying nature conservation. In four cases, sustainable energy was produced by means of solar panels and wind turbines (and two other farmers had plans to implement after the realising a new stall or replacing an old roof containing asbestos). All of the farmers interviewed were applying multiple CNABM strategies.

Social and Physical Context – Adoption Factors

The barriers and drivers mentioned during the interviews with the farmers are listed in Table  2 . One barrier mentioned by several interviewees was that farmers tend to feel that they are too far ahead of their time and that they are often not eligible for sustainability subsidies, because their approach deviates too much from the norm:

Actually, I often feel that I’m too far ahead of my time. In addition, policies and such are not yet applicable to what I do. Subsidies aren’t suitable. (ID-05)

This is especially discouraging because, in many cases, the revenue models are hardly sufficient, due to the small scale of the business combined with the high investments needed to realise the transition. For example, as according to one farmer:

It’s very difficult. It also costs a lot of money. And yes, I have to pay for it all myself, based on a revenue model that’s actually insufficient. (ID-01)

Barriers at the social level included negative social pressure from other farmers in the surroundings and complaints from citizens:

Well, there was an open day, and farmers and everyone could just drop by. I thought I’d go have a look, and I signed up for it. But the farmer was so suspicious that he Googled everyone, and then he came to me. And then he called me on the phone to say that I couldn’t come, because they’re too different. … He can of course think whatever he wants about that, but I think it’s a shame that someone is already avoiding the discussion. (ID-04). My wife has had a lot of trouble because of that. On the other hand, it also hurts me that colleagues can just leave you out in the cold and judge you — not directly to your face, but you hear about it anyway. I think that’s the most important obstacle in the entire transition. The finance and the regulations, that can be adjusted. We’ve got a long way to go, but it can be done. But the social side is very difficult. (ID-03)

With regard to technological innovations, the investments that early adopters must make in learning are not reimbursed:

So, actually, I’ve had very little subsidy. A few tens of thousands of euros for a prospect involving millions, of course. … I’ve paid quite a bit of learning and development costs. … In general, I get good prices, good agreements with my customers. I’ve just done a really good job arranging things. But the costs of learning and development —that part has yet to be covered. (ID-05).

In many cases, special initiatives do not correspond to legislation developed for conventional farms. To avoid an excessive and overly complicated administrative burden, one farmer purposely kept the number of animals low, thereby remaining a ‘hobby farmer’. Most of the farmers interviewed were also concerned by the policy uncertainty surrounding the current nitrogen crisis in the Netherlands. This is making it unclear to farmers whether they will be able to remain on their farms, especially if they are located near areas with vulnerable nature (‘Natura 2000 areas’). Footnote 2

One environmental barrier mentioned is soil, which must recover from intensive use by previous farmers:

The soil here has been spoiled. Hey, we all did that. Yeah, so why do I have to pay for that, to fix what went wrong? Was there a conventional farmer here in the past? Yes, with fertilisers, pesticides and corn farming. (ID-01).

One important condition for circular farming is the supply of residual flows (e.g. for animal feed), which are often limited. Moreover, few take-back systems have been developed to date.

In addition to these barriers, the farmers mentioned drivers of the adoption of circular and nature-inclusive business models. All interviewees had taken initiatives that fit within the vision of the Netherlands Ministry of Agriculture, Nature and Food Safety concerning circular, nature-inclusive and/or regenerative agriculture. Most of them were also making use of innovative business models, different revenue streams and increased interest in local products. One important stimulus is the common awareness of the climate crisis and the need for sustainability, as well as of the need for agricultural practices to be more embedded within society. As described by one farmer:

We’re close to an urban area. Hundreds of thousands of people live here, 1.5 million or so. The connection between the city and the countryside should soon be improved. And then I’ll have a very nice spot here. We have to try to feed the city directly. So, my responsibility is to produce as much food as possible. The main difference, however, is that you have to build very clear boundaries into your system. (ID-05).

Social media and websites are often used for purposes of both information and sales. Whereas the lack of financial (or other) incentives was mentioned as a barrier, the availability of supportive funds and subsidies was mentioned as a driver. Environmental drivers are essential: soil-life recovery, increased biodiversity, discontinuing the use of pesticides and artificial fertilisers, minimising the use of other inputs and working to close nutrient cycles. One advantage these pioneers had was that there was sufficient demand for organic manure and organic feed. Many of these farmers had wide networks involving other entrepreneurs, citizens, nature organisations or other entities.

Business Level

Building blocks.

Examination of the building blocks (Table  3 ) reveals that, in most cases, added value was realised by the production of high-quality arable products and meat (from animals kept under high animal-welfare standards), renewable energy and nature conservation. Other ways to create added value included educational or recreational activities and the production of bio-based building materials. Most agricultural products were sold in the farmers’ own farm shops or local farm shops nearby. This is illustrated by the following quotations:

So, I always say, they shouldn’t come here for cheap products, but more to know where it comes from and for the taste. And yes, it’s direct [from farmer to consumer, Ed.]. This is often also the experience of people who like to come here, to hear something about how things go on a farm. And yes, actually — those are a few reasons why it adds value for consumers. (ID-02) We don’t want supermarkets; we don’t want big stores. I do indeed prefer to stick to farm shops, and to have a point of sale here at home. … What my customers like is seeing it with their own eyes, hearing the story first-hand … That makes it worthwhile for everyone. (ID-04)

In most cases, the target customers were local and critical consumers. Partners and stakeholders included other — usually organic — farmers (for the provision of calves or the exchange of grains and manure), local bakeries and retailers (for food-waste streams) and nature organisations and landowners for purposes of nature conservation. Value-creation processes included agricultural processes, as well as processes for manufacturing bio-based materials and for producing renewable energy from solar panels or wind turbines and making it available to the electricity network. The most important resources in the cases came from crowd funding and farm funding; pasture and arable land; the availability of nature reserves and forest area; and sun and wind. Most additional costs were for additional inputs. Products and services were usually delivered through existing channels. In some cases, however, farmers delivered products to local farm shops themselves or — in one case — personally collected food waste from bakeries and supermarkets. No additional take-back system or infrastructure was necessary in any of our seven cases.

Strengths and Weaknesses

A SWOT analysis is a framework for evaluating a company’s strengths, weaknesses, opportunities and threats in order to uncover possible blind spots and improve its position within the market. Given the considerable overlap between opportunities and threats in a SWOT analysis and the drivers and barriers (as mentioned in Table  2 ), we focus only on strengths and weaknesses, which are used to evaluate internal factors within a firm that contribute to its success or vulnerability. All interviewees mentioned that they were working with new, innovative business models, often with several revenue streams and selling at local markets, thereby exploiting the benefits of short supply chains and limiting the costs as much as possible:

What I also think is very important is that the farm should just produce locally, including in terms of feed and, thus, in terms of feed and straw, I'm just completely self-sufficient. All my own stuff. And I like it when it’s also, but also kind of important that it’s marketed in the region. ... It's also a strong marketing story, but, for myself, I also believe it’s just a nice model. (ID-01) All calves that are born from those dairy cows, they stay on the farm for 2½ years, so, in fact, we’re eliminating veal-calf farming. And we feed them [the calves, ed.] with our own feed that was produced on the land we take care of. And we don’t use manure from outside our farm or artificial fertilisers [...]’ (ID-07).

The revenue models are often vulnerable, however, due to small scale, which also makes it difficult to take risks and try out new things. Furthermore, the financing of innovations is a challenge, given that traditional banks are reluctant to finance unfamiliar prospects:

Financing the transition is an issue, but it’s manageable. For the extensification of land, for the stables, for barn adjustments, however, then I’m talking about large amounts. A farmer just doesn’t get approval from the bank for that, because there’s not a sufficient revenue model behind it. Those banks don’t have an Excel sheet for organic farms yet. (ID-03)

Another vulnerability we observed in one case was the farmer’s dependency on residual streams from the food industry. In addition to requiring a large amount of effort from the farmer to collect these residuals, it also caused uncertainty in terms of the availability of the residual streams.

Sustainability impact focuses on consequences for society, instead of at the business level. The consequences can be either positive or negative, and they can be felt at the social, environmental or financial level (Table 5). Positive social effects mentioned included farms becoming more embedded within society and activities in various areas of society (e.g. consultation bodies and education projects). As remarked by one farmer:

I can envision a very nice image of a broadened agriculture. The core task is thus to produce as much food as possible. But every company is responsible for making that connection with citizens, with society. And we want to realise this in a very concrete way. And the more engaged you become in what I’m doing, the more you’ll find that, the more important it will be to you. The ordinary, average farmers … think that having citizens living in the countryside is a real problem. … But it’s precisely this connection that we’re constantly seeking with those citizens. (ID-05)

Negative social impacts mentioned by the interviewees included complaints from citizens and citizens who are overprotective. New approaches raise questions, especially when those approaches involve animals:

Look, we’ve got cows walking around running in the city practically right up to the city centre. We went there three times last week, because people were constantly calling the nature organisation saying that this cow is sick and that calf is drinking. And that cow has such a huge udder and it’s not going to be okay. And that cow isn’t getting back up, and it’s really not going to be okay. You go there three times for nothing. Because, once you come, the cow walks away and the calf is at the front of the herd. That means that the cow is producing enough, and so it means that some of it is getting into the calf. (ID-06).

One positive impact of nature-inclusive agriculture is that it often contributes to an attractive landscape. In environmental terms, these strategies have a positive impact on soil and biodiversity in general, in part because few or no pesticides and artificial fertilisers are used. This helps to close nutrient cycles. In the interviews, farmers noted:

The importance of those resting crops, the importance of that grain, that field bean and the other crops — it’s thus not just for feeding the people and producing cattle feed. It’s also for preserving the soil, for the quality of the soil and for the quality of the products that come from it. (ID-02) I think we’re serving society, because if we weren’t doing this, they’d have to go into the nature reserves with machines, and that would disrupt everything. You can’t let everything grow and take over. That doesn’t work. And because our animals graze, the effects are scaled up. Flowers are coming back that haven’t grown there for years. If you walk through the nature reserve nearby, you can really smell all kinds of things. So, all kinds of things are growing here, ground ivy, water mint. (ID-06)

One negative environmental impact mentioned by some farmers concerned the transport needed when customers visit the farm shop or if farmers have to deliver local products to customers or collect food-industry residuals to feed their animals. As observed by one farmer:

People are indeed always coming to pick it up. I’ve tried to arrange it with a parcel service, but they have absolutely no clue about sending meat. … But, you could obviously pick it up yourself at an appointed time, and yes, we do drive all over the place with the van. … Yes, so, in terms of diesel consumption, I would like to do better. (ID-04).

Moreover, environmentally conscious farmers continue to use polluting products, even if they would prefer not to:

Because that’s also an issue here on the farm. We have those round bales with plastic, and we have silage with plastic. Well, I’d prefer to have as little plastic as possible, because — apart from the fact that it costs oil and energy, it also creates a huge mess, doesn’t it? (ID-07)

Positive financial consequences include lower costs for inputs:

We obviously still have to deal with a bank, which we’d like to get rid of, but that takes some time. But otherwise … a lot of input from regular companies — I actually have nothing to do with that. I don’t buy artificial fertilizer, no chemicals and no concentrates either. [...] And this system of animal husbandry with this breed of cows that we have, it actually ensures extremely low veterinary costs. (ID-07)

Negative financial consequences are related to vulnerabilities in the business models, and the difficulties that farmers face in acquiring funding for their initiatives and for the transition in general. This is despite the many benefits that these farmers perceive from these developments.

Yes, financing really is the biggest challenge. It should really be at the top of the list. It costs a fortune to make the change. How are we going to ensure that a whole group of farmers can start making that transition? ... from a few farmers doing it at their own cost or their own initiative or their own risk. Yes, to making it attractive, making it challenging to develop very seriously in that direction. And we’re still so far away from it that I don’t even know myself. But that’s something for the province and so on. And there are huge opportunities there. If you can make that happen, I’m still convinced that it could be very inexpensive for society as a whole to have healthy food from a healthy food system, with a healthy revenue model for the farmer and a beautiful landscape, with much less negative impact on the entire environment. (ID-05).

One important factor is that farmers have low costs, given the reluctance of traditional banks to finance their initiatives:

Mainstream farmers who are all up to their ears in debt with all kinds of constructions with feed suppliers and banks. And we just started doing this with our own money. We don’t have a bank breathing down our necks. What’s more, we wanted to make everything more sustainable this year with solar panels, and the bank just wouldn’t give us a red cent. (ID-06).

Towards a conceptual framework for analyzing CNABMs

The exploratory literature review (Section “Literature Review on Business Model Strategies 188 and Elements of Circular and Nature Inclusive Business Models”), the findings from the sugar-beet case (Section “Analysis of the Sugar Beet Case”) and the seven empirical cases (Section “Analysis of Seven Empirical Case Studies”) together led to the conceptual framework for analysing CNABMs, as shown in Fig.  2 . The framework has been adapted from Antikainen and Valkokari [ 16 ]. We distinguish three key elements:

The social and physical context, which includes the adoption factors (based on Lewandowksi [ 26 ] and Tura et al. [ 27 ]).

The business level, which includes the building blocks of the BMC [ 28 , 34 ], the circular building blocks [ 19 ] and the strengths and weaknesses from the SWOT analysis [ 38 , 39 , 40 ]. (The opportunities and threats identified in the SWOT analysis are not discussed at this point, as they overlap with the adoption factors in the first part of the framework.)

The sustainability-impact context, which includes the positive and negative social, environmental and financial consequences of business models [ 44 ].

(Adapted from Antikainen and Valkokari [ 16 ])

Conceptual framework for Circular and Nature-inclusive or Nature-positive Agricultural Business Models (CNABMs)

It is important to note that this framework can also be applied to other types of sustainable agriculture.

In this paper, we describe and test a conceptual framework for assisting farmers in developing their future businesses towards agricultural business models that are more circular and nature-inclusive. Proceeding from existing literature and the framework developed by Antikainen and Valkokari [ 16 ], we argue that, when identifying critical success factors for the implementation of nature-inclusive and circular agricultural business models (CNABMs) (or more sustainable business models in general), (1) it is important to consider the barriers and drivers in the social and physical contexts within which entrepreneurs involved in such business models must operate (‘adoption factors’); (2) sustainable business models should go beyond delivering economic value and include a consideration of other forms of value for a broader range of stakeholders. Moreover, attention should be paid to strengths and weaknesses of the business model; and (3) traditional business model tools (e.g. the BMC) should be extended to include elements relating to sustainability (sustainability impact).

We performed an initial test of the framework within the context of sugar-beet cultivation in the Netherlands. The results show that several business models are used simultaneously for processing sugar beets and their by-products, each with its own social and physical contexts, building blocks, strengths and weaknesses, and sustainability impact.

In the next step of the research, the conceptual framework was further tested in seven empirical case studies in arable and livestock farming. This provided additional insight in the applicability of the framework. In the following sections, we elaborate on this for the three key elements of the framework. The discussion includes a description of the most striking results.

Barriers and Drivers of CNABMs – Adoption Factors

Farmers seeking to realise circular or nature-inclusive farms — or, more generally, farmers seeking to shift to more sustainable farming methods — perceive a variety of barriers (negative adoption factors) to doing this, as well as drivers (positive adoption factors) of the process. This observation emerged from our interviews, but it has also been reported in the literature. Examples of barriers mentioned by our interviewees include restrictive legislation, dependence on short-term land-lease contracts, a lack of critical consumers who are willing to pay for sustainable products, negative social pressure from citizens and other farmers in the surroundings, uncertainty about the government’s plans concerning the nitrogen crisis and climate change, and a lack of knowledge about new sustainable farming methods. Other examples include a wide range of financial factors, like revenue models that are hardly sufficient due to small scale, the excessive investments required to realise the transition, ‘traditional’ banks that prefer not to invest in special initiatives, and restricted market access (e.g. fulfilling demands for organic farming but not being able to access the market for organic products). In the Dutch context, other authors also have identified complex and overlapping regulations and a lack of governmental support as barriers to circular farming, as well as a lack of knowledge, a lack of social support and various economic factors [ 45 , 46 , 47 , 48 , 49 , 50 ]. Uncertainty about the government’s plans concerning the nitrogen crisis and climate change is a continuing point of concern for Dutch farmers, regardless of their production methods [ 50 ]. Policy in this regard is shifting, and the accompanying uncertainty has far-reaching effects on the financial performance and business development of farms [ 49 ]. In the international context, a lack of social support, a lack of knowledge, economic factors and complex rules and regulations are also mentioned as barriers to the transition towards more sustainable farming systems, [ 51 , 52 , 53 , 54 , 55 , 56 ]

In addition to barriers, adoption factors include various drivers. Examples mentioned by the farmers in our study are: awareness of the need for sustainability, the availability of supportive funds and subsidies (albeit that some of the interviewed farmers mentioned that their initiatives were too far ahead for obtaining these subsidies), possibilities for knowledge development in the area of nature-based and circular solutions and consumer concerns about climate change and the corresponding increase of interest in local products. These kinds of drivers have also been mentioned in several other studies [ 57 , 58 , 59 ].

As also noted by many authors, the context within which farmers have to operate is important when seeking to understand their decision-making [ 45 , 58 , 60 , 61 , 62 , 63 , 64 ].

New Values and Strengths and Weaknesses of CNABMs

Circular and nature-inclusive agricultural business models (CNABMs) — or, more generally, sustainable business models — concern more than the delivery of economic value. They should also consider other forms of value for a broader range of stakeholders [ 16 , 29 , 41 , 42 , 43 , 44 ].

New values delivered by the farms addressed in this study include experiencing nature and farm life, embeddedness in the local community, cascading (the sequential use of resources that would otherwise be destroyed) and the reduction of plant-based food waste used to feed animals. These kinds of value do not receive much attention in ‘normal’ or traditional business models. They have also been mentioned in other studies about circular agriculture [ 25 , 42 , 43 , 46 , 65 ].

In the part of our conceptual framework that addresses the business level, we distinguish two elements in addition to the building blocks of the BMC: the take-back system described by Lewandowski [ 26 ] and the strengths and weaknesses identified in the SWOT analysis, as also described by Loizia [ 38 ], Srdjevic et al. [ 39 ] and Fernandes [ 40 ]. In most of the cases we examined, a take-back system was not necessary, except in one case that involved the collection of residual streams from the food industry to feed animals, which required considerable effort from the farmer involved. In the sugar-beet case, a take-back system is needed to collect and process the beet and their residuals, as well as to convert them into bio-based energy or sugar (beet), into fibres for cloth or building materials (residuals) or into beet pulp for the feed industry. According to Nygaard Uhrenholt et al. [ 66 ], product take-back systems are fundamental to the circular economy, as they focus on recovering value by taking back products to be recycled, re-manufactured or refurbished. The authors state that, in practice, such take-back systems are often included only in small/pilot-scale projects or have difficulty becoming financially viable, thereby posing an obstacle to the widespread adoption of circular economy.

The addition of strengths and weaknesses to the CNABM framework appeared to be useful because it can provide insight into the strong points of farms (e.g. proximity to villages or location in a tourist area, which makes it easier to attract consumers to the farm), as well as into their vulnerabilities (e.g. dependence on risky farm-funding methods or dependence on the availability of residuals from the food industry). These insights could help farmers and their advisors improve their ability to assess the likelihood that new farm initiatives will or will not succeed. As noted by Netshipale et al. [ 67 ], acknowledging the diversity in the strengths and weaknesses of farms is essential if land reform is to play a critical role in rural development. Moreover, insight into such strengths and weaknesses could facilitate the identification of developmental pathways for various types of farms. Within certain contexts, it could also contribute to the success of farms. This possibility is also illustrated by Radadya et al. [ 68 ] regarding access to agricultural markets. In addition, Liu et al. [ 69 ] identify the availability of land, the adaptability of energy crops and the development of the rural economy as strengths of producing bio-energy on marginal land. Weaknesses include economic viability and environmental impact, along with concerns relating to equity and gender [ 69 ].

Especially in circular business models, greater interdependence between stakeholders can play a role [ 45 , 54 , 70 ]. For example, this could be the case if more social cohesion were to emerge between farmers and consumers (strength) or if a farmer were to become dependent on residuals from the food industry (weakness).

Sustainability Impact of CNABMs

One important aspect of assessing CNABMs or sustainable business models is the need to consider their sustainability impact [ 44 , 71 , 72 , 73 ]. This is also important within the context of the circular economy [ 74 ]. For this reason, our conceptual framework for CNABMs distinguishes positive and negative social, environmental and financial consequences. These consequences can be linked to the ‘classic’ triple bottom line (TBL) sustainability concept of ‘People, Planet and Profit’. This concept was first introduced by Elkington [ 75 , 71

Examples of positive consequences of the CNABMs we studied include embeddedness in society (social impact) due to short supply chains and direct contacts between farmers and consumers; contribution to healthier soil, nature and biodiversity (environmental impact); and the realisation of a greater share from consumer prices (economic impact). Our cases also revealed negative impacts. Examples include complaints from consumers who do not understand why farm animals are kept under more natural circumstances and consumers who are concerned about farm animals being kept to close to their homes (social impact), the use of diesel, petrol and plastics and, in some cases, greater transport distances for farmers who must travel throughout the country to deliver their products or for consumers who must drive further to reach the farm shops (environmental impact) and, possibly, riskier funding for farm initiatives (financial impact).

Comparable positive and negative impacts of short supply chains based on circular economy have also been mentioned by Kiss et al. [ 74 ]. According to these authors, the positive sustainability attributes (whether actual or supposed) of short supply chains are based primarily on extensive production methods and short transport distances. From other perspectives, however, the economic and environmental sustainability of the short chains is questionable, due to their possible de-concentration, leading to smaller freights and greater distances travelled by customers. For this reason, Kiss et al. [ 74 ] state that, despite the many potential benefits short supply chains may have for sustainability, it remains important to consider that local systems cannot be automatically identified as ‘good practices’. Comparable results are mentioned by Malak-Rawlikowska et al. [ 76 ], who state that participation in short supply chains is beneficial to producers from an economic perspective, as it allows them to capture a large proportion of margin that would otherwise be absorbed by different intermediaries. On the other hand, however,’longer’ supply channels generate lower environmental impact per unit of production when measured in terms of ‘food miles’ and ‘carbon footprint’ [ 76 ]. Moreover, consumers must be willing to accept higher purchase prices for convenience and specific product attributes, and the aggregate transportation effort that is characteristic of short chains is not efficient from the perspective of environmental sustainability, especially considering that such items usually constitute only a small proportion of a customer’s overall diet.

Limitations of the Study

Despite its contributions to unravelling CNABMs (or other sustainable business models), our study is subject to a number of limitations. The conceptual framework is based on an exploratory literature review and not on a systematic literature review, as that would have exceeded the scope of this exploratory conceptual article. Moreover, our test of the framework was based on a desk study on sugar-beet cultivation and by-products, along with seven in-depth empirical case studies. While this offers an overview of the potential application of such a framework, further research is required to test and refine the framework. For example, future studies could be based on multiple workshops with farmers, farmer advisers and other stakeholders who are working together to enhance the sustainability of the agricultural sector whilst ensuring a profitable revenue model for the farmers involved.

As evidenced by the literature [ 16 , 29 , 41 , 44 ], a general conceptual framework for more sustainable business models is not unique. To the best of our knowledge, however, no conceptual framework has been described to date that can reveal critical success factors for circular and nature-inclusive agricultural business models. This paper therefore constitutes a valuable contribution to the existing literature on business models.

Conclusions

This paper presents a conceptual framework that could assist farmers, their advisers and, potentially funding organisations in identifying critical success factors for the implementation of circular and nature-inclusive business models (CNABMs). The framework was based on a synthesis of existing literature, a desk-study on sugar-beet cultivation and seven empirical case studies based on in-depth interviews with livestock and/ or arable farmers who produced in a circular and/ or nature-inclusive way.

As demonstrated by the results of our study, the conceptual framework is useful for identifying critical success factors for the implementation of combined circular and nature-inclusive or other sustainable business models in a qualitative way. The framework enables the identification of barriers to and drivers of CNABMs (adoption factors), as well as the building blocks required to cover the financial side of the business model. Furthermore, it allows for the identification of the strengths and — especially — weaknesses of the models, thereby revealing their vulnerabilities. The framework also makes it possible to highlight the possible positive and negative financial, environmental, and social consequences of specific business models (sustainability impact). The approach is likely to be beneficial to policymakers and business advisers by providing insight into the capabilities of companies in a clear and structured manner.

The paper illustrates that the identification of critical success factors for the implementation of circular, nature-inclusive and other sustainable agricultural business models requires considering both the positive and negative impacts of these models.

Data availability

A data availability statement is not applicable for this paper. We cannot share the data.

For reasons of anonymity, we cannot specify these farms any further.

Natura 2000 is a European network of protected natural areas. In these Natura 2000 areas, certain animals, plants and their natural habitats are protected to preserve biodiversity (species diversity).

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Acknowledgements

We would like to thank all the farmers who participated in this research by giving an interview. We would also like to thank our colleague Marieke Meeusen for her useful comments on earlier drafts of this paper.

This research is part of the KB programme ‘Towards a circular and climate neutral society’ funded by the Dutch Ministry of Agriculture, Nature and Food Quality and carried out by Wageningen University and Research.

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Conceptualisation, methodology: Carolien de Lauwere, Marijke Dijkshoorn-Dekker, Nico Polman; Analysis: Carolien de Lauwere, Marie-Jose Smits, Amber Kuipers-ten Brummelhuis; Interviews: Carolien de Lauwere, Marie-Jose Smits, Amber Kuipers-ten Brummelhuis, Marijke Dijkshoorn-Dekker; Writing – original draft preparation: Carolien de Lauwere, Marie-Jose Smits, Amber Kuipers-ten Brummelhuis; Writing – review and editing, revised paper: Carolien de Lauwere, Nico Polman, Marie-Jose Smits.

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Appendix I: Types of circular business strategies and how they can be applied in circular and nature-inclusive agricultural business models

Appendix II. Business strategies and building blocks for sugar-beet cultivation in the Netherlands

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de Lauwere, C., Smits, MJ., Dijkshoorn-Dekker, M. et al. Understanding Circular and Nature-Inclusive Agricultural Business Models. Circ.Econ.Sust. (2024). https://doi.org/10.1007/s43615-024-00433-y

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Water resources management for multi-source ecological restoration goals in an oasis: a case study of bohu county irrigation area in xinjiang, china.

1. Introduction

2. materials and methods, 2.1. study area, 2.2. research methods, 2.2.1. ecological water level, 2.2.2. hydrological simulation, 2.2.3. regulation based on single well groundwater, 2.2.4. calculation of water balance in hydrological interaction areas, 2.3. data availability, 3.1. ecological water level calculation and diagnosis of groundwater issues in irrigation districts, 3.2. water resource regulation in irrigation districts based on ecological water levels, 3.3. water resources regulation based on ecological water demand of small lake, 3.3.1. regional water cycle process mechanism, 3.3.2. regional water resources regulation plan under the ecological water demand requirements of small lake, 4. discussion, 4.1. discussion on the calculation of ecological water levels, 4.2. discussion on the problems facing regional groundwater and regulatory solutions, 4.3. discussion on the regional water resource circulation mechanism and overall regional water resource regulatory solutions, 5. conclusions, author contributions, data availability statement, conflicts of interest.

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Guo, C.; Liu, T.; Niu, Y.; Pan, X. Water Resources Management for Multi-Source Ecological Restoration Goals in an Oasis: A Case Study of Bohu County Irrigation Area in Xinjiang, China. Water 2024 , 16 , 2708. https://doi.org/10.3390/w16192708

Guo C, Liu T, Niu Y, Pan X. Water Resources Management for Multi-Source Ecological Restoration Goals in an Oasis: A Case Study of Bohu County Irrigation Area in Xinjiang, China. Water . 2024; 16(19):2708. https://doi.org/10.3390/w16192708

Guo, Chenyu, Tie Liu, Yaxuan Niu, and Xiaohui Pan. 2024. "Water Resources Management for Multi-Source Ecological Restoration Goals in an Oasis: A Case Study of Bohu County Irrigation Area in Xinjiang, China" Water 16, no. 19: 2708. https://doi.org/10.3390/w16192708

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