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Case Study – Methods, Examples and Guide

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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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• 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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What Is a Case Study?

Weighing the pros and cons of this method of research

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

Cara Lustik is a fact-checker and copywriter.

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."

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.

Learn about our Editorial Process

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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• Roberta Heale 1 ,
• Alison Twycross 2
• 1 School of Nursing , Laurentian University , Sudbury , Ontario , Canada
• 2 School of Health and Social Care , London South Bank University , London , UK
• Correspondence to Dr Roberta Heale, School of Nursing, Laurentian University, Sudbury, ON P3E2C6, Canada; rheale{at}laurentian.ca

https://doi.org/10.1136/eb-2017-102845

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What is it?

Case study is a research methodology, typically seen in social and life sciences. There is no one definition of case study research. 1 However, very simply… ‘a case study can be defined as an intensive study about a person, a group of people or a unit, which is aimed to generalize over several units’. 1 A case study has also been described as an intensive, systematic investigation of a single individual, group, community or some other unit in which the researcher examines in-depth data relating to several variables. 2

Often there are several similar cases to consider such as educational or social service programmes that are delivered from a number of locations. Although similar, they are complex and have unique features. In these circumstances, the evaluation of several, similar cases will provide a better answer to a research question than if only one case is examined, hence the multiple-case study. Stake asserts that the cases are grouped and viewed as one entity, called the quintain . 6  ‘We study what is similar and different about the cases to understand the quintain better’. 6

The steps when using case study methodology are the same as for other types of research. 6 The first step is defining the single case or identifying a group of similar cases that can then be incorporated into a multiple-case study. A search to determine what is known about the case(s) is typically conducted. This may include a review of the literature, grey literature, media, reports and more, which serves to establish a basic understanding of the cases and informs the development of research questions. Data in case studies are often, but not exclusively, qualitative in nature. In multiple-case studies, analysis within cases and across cases is conducted. Themes arise from the analyses and assertions about the cases as a whole, or the quintain, emerge. 6

Benefits and limitations of case studies

If a researcher wants to study a specific phenomenon arising from a particular entity, then a single-case study is warranted and will allow for a in-depth understanding of the single phenomenon and, as discussed above, would involve collecting several different types of data. This is illustrated in example 1 below.

Using a multiple-case research study allows for a more in-depth understanding of the cases as a unit, through comparison of similarities and differences of the individual cases embedded within the quintain. Evidence arising from multiple-case studies is often stronger and more reliable than from single-case research. Multiple-case studies allow for more comprehensive exploration of research questions and theory development. 6

Despite the advantages of case studies, there are limitations. The sheer volume of data is difficult to organise and data analysis and integration strategies need to be carefully thought through. There is also sometimes a temptation to veer away from the research focus. 2 Reporting of findings from multiple-case research studies is also challenging at times, 1 particularly in relation to the word limits for some journal papers.

Examples of case studies

Example 1: nurses’ paediatric pain management practices.

One of the authors of this paper (AT) has used a case study approach to explore nurses’ paediatric pain management practices. This involved collecting several datasets:

Observational data to gain a picture about actual pain management practices.

Questionnaire data about nurses’ knowledge about paediatric pain management practices and how well they felt they managed pain in children.

Questionnaire data about how critical nurses perceived pain management tasks to be.

These datasets were analysed separately and then compared 7–9 and demonstrated that nurses’ level of theoretical did not impact on the quality of their pain management practices. 7 Nor did individual nurse’s perceptions of how critical a task was effect the likelihood of them carrying out this task in practice. 8 There was also a difference in self-reported and observed practices 9 ; actual (observed) practices did not confirm to best practice guidelines, whereas self-reported practices tended to.

Example 2: quality of care for complex patients at Nurse Practitioner-Led Clinics (NPLCs)

The other author of this paper (RH) has conducted a multiple-case study to determine the quality of care for patients with complex clinical presentations in NPLCs in Ontario, Canada. 10 Five NPLCs served as individual cases that, together, represented the quatrain. Three types of data were collected including:

Review of documentation related to the NPLC model (media, annual reports, research articles, grey literature and regulatory legislation).

Interviews with nurse practitioners (NPs) practising at the five NPLCs to determine their perceptions of the impact of the NPLC model on the quality of care provided to patients with multimorbidity.

Chart audits conducted at the five NPLCs to determine the extent to which evidence-based guidelines were followed for patients with diabetes and at least one other chronic condition.

The three sources of data collected from the five NPLCs were analysed and themes arose related to the quality of care for complex patients at NPLCs. The multiple-case study confirmed that nurse practitioners are the primary care providers at the NPLCs, and this positively impacts the quality of care for patients with multimorbidity. Healthcare policy, such as lack of an increase in salary for NPs for 10 years, has resulted in issues in recruitment and retention of NPs at NPLCs. This, along with insufficient resources in the communities where NPLCs are located and high patient vulnerability at NPLCs, have a negative impact on the quality of care. 10

These examples illustrate how collecting data about a single case or multiple cases helps us to better understand the phenomenon in question. Case study methodology serves to provide a framework for evaluation and analysis of complex issues. It shines a light on the holistic nature of nursing practice and offers a perspective that informs improved patient care.

• Gustafsson J
• Calanzaro M
• Sandelowski M

Competing interests None declared.

Provenance and peer review Commissioned; internally peer reviewed.

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Writing a Case Study

What is a case study?

A Case study is: 

• An in-depth research design that primarily uses a qualitative methodology but sometimes​​ includes quantitative methodology.
• Used to examine an identifiable problem confirmed through research.
• Used to investigate an individual, group of people, organization, or event.
• Used to mostly answer "how" and "why" questions.

What are the different types of case studies?

Note: These are the primary case studies. As you continue to research and learn

about case studies you will begin to find a robust list of different types. 

Who are your case study participants?

What is triangulation ? 

Validity and credibility are an essential part of the case study. Therefore, the researcher should include triangulation to ensure trustworthiness while accurately reflecting what the researcher seeks to investigate.

How to write a Case Study?

When developing a case study, there are different ways you could present the information, but remember to include the five parts for your case study.

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A case study research paper examines a person, place, event, condition, phenomenon, or other type of subject of analysis in order to extrapolate  key themes and results that help predict future trends, illuminate previously hidden issues that can be applied to practice, and/or provide a means for understanding an important research problem with greater clarity. A case study research paper usually examines a single subject of analysis, but case study papers can also be designed as a comparative investigation that shows relationships between two or more subjects. The methods used to study a case can rest within a quantitative, qualitative, or mixed-method investigative paradigm.

Case Studies. Writing@CSU. Colorado State University; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010 ; “What is a Case Study?” In Swanborn, Peter G. Case Study Research: What, Why and How? London: SAGE, 2010.

How to Approach Writing a Case Study Research Paper

General information about how to choose a topic to investigate can be found under the " Choosing a Research Problem " tab in the Organizing Your Social Sciences Research Paper writing guide. Review this page because it may help you identify a subject of analysis that can be investigated using a case study design.

However, identifying a case to investigate involves more than choosing the research problem . A case study encompasses a problem contextualized around the application of in-depth analysis, interpretation, and discussion, often resulting in specific recommendations for action or for improving existing conditions. As Seawright and Gerring note, practical considerations such as time and access to information can influence case selection, but these issues should not be the sole factors used in describing the methodological justification for identifying a particular case to study. Given this, selecting a case includes considering the following:

• The case represents an unusual or atypical example of a research problem that requires more in-depth analysis? Cases often represent a topic that rests on the fringes of prior investigations because the case may provide new ways of understanding the research problem. For example, if the research problem is to identify strategies to improve policies that support girl's access to secondary education in predominantly Muslim nations, you could consider using Azerbaijan as a case study rather than selecting a more obvious nation in the Middle East. Doing so may reveal important new insights into recommending how governments in other predominantly Muslim nations can formulate policies that support improved access to education for girls.
• The case provides important insight or illuminate a previously hidden problem? In-depth analysis of a case can be based on the hypothesis that the case study will reveal trends or issues that have not been exposed in prior research or will reveal new and important implications for practice. For example, anecdotal evidence may suggest drug use among homeless veterans is related to their patterns of travel throughout the day. Assuming prior studies have not looked at individual travel choices as a way to study access to illicit drug use, a case study that observes a homeless veteran could reveal how issues of personal mobility choices facilitate regular access to illicit drugs. Note that it is important to conduct a thorough literature review to ensure that your assumption about the need to reveal new insights or previously hidden problems is valid and evidence-based.
• The case challenges and offers a counter-point to prevailing assumptions? Over time, research on any given topic can fall into a trap of developing assumptions based on outdated studies that are still applied to new or changing conditions or the idea that something should simply be accepted as "common sense," even though the issue has not been thoroughly tested in current practice. A case study analysis may offer an opportunity to gather evidence that challenges prevailing assumptions about a research problem and provide a new set of recommendations applied to practice that have not been tested previously. For example, perhaps there has been a long practice among scholars to apply a particular theory in explaining the relationship between two subjects of analysis. Your case could challenge this assumption by applying an innovative theoretical framework [perhaps borrowed from another discipline] to explore whether this approach offers new ways of understanding the research problem. Taking a contrarian stance is one of the most important ways that new knowledge and understanding develops from existing literature.
• The case provides an opportunity to pursue action leading to the resolution of a problem? Another way to think about choosing a case to study is to consider how the results from investigating a particular case may result in findings that reveal ways in which to resolve an existing or emerging problem. For example, studying the case of an unforeseen incident, such as a fatal accident at a railroad crossing, can reveal hidden issues that could be applied to preventative measures that contribute to reducing the chance of accidents in the future. In this example, a case study investigating the accident could lead to a better understanding of where to strategically locate additional signals at other railroad crossings so as to better warn drivers of an approaching train, particularly when visibility is hindered by heavy rain, fog, or at night.
• The case offers a new direction in future research? A case study can be used as a tool for an exploratory investigation that highlights the need for further research about the problem. A case can be used when there are few studies that help predict an outcome or that establish a clear understanding about how best to proceed in addressing a problem. For example, after conducting a thorough literature review [very important!], you discover that little research exists showing the ways in which women contribute to promoting water conservation in rural communities of east central Africa. A case study of how women contribute to saving water in a rural village of Uganda can lay the foundation for understanding the need for more thorough research that documents how women in their roles as cooks and family caregivers think about water as a valuable resource within their community. This example of a case study could also point to the need for scholars to build new theoretical frameworks around the topic [e.g., applying feminist theories of work and family to the issue of water conservation].

Eisenhardt, Kathleen M. “Building Theories from Case Study Research.” Academy of Management Review 14 (October 1989): 532-550; Emmel, Nick. Sampling and Choosing Cases in Qualitative Research: A Realist Approach . Thousand Oaks, CA: SAGE Publications, 2013; Gerring, John. “What Is a Case Study and What Is It Good for?” American Political Science Review 98 (May 2004): 341-354; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Seawright, Jason and John Gerring. "Case Selection Techniques in Case Study Research." Political Research Quarterly 61 (June 2008): 294-308.

Structure and Writing Style

The purpose of a paper in the social sciences designed around a case study is to thoroughly investigate a subject of analysis in order to reveal a new understanding about the research problem and, in so doing, contributing new knowledge to what is already known from previous studies. In applied social sciences disciplines [e.g., education, social work, public administration, etc.], case studies may also be used to reveal best practices, highlight key programs, or investigate interesting aspects of professional work.

In general, the structure of a case study research paper is not all that different from a standard college-level research paper. However, there are subtle differences you should be aware of. Here are the key elements to organizing and writing a case study research paper.

I.  Introduction

As with any research paper, your introduction should serve as a roadmap for your readers to ascertain the scope and purpose of your study . The introduction to a case study research paper, however, should not only describe the research problem and its significance, but you should also succinctly describe why the case is being used and how it relates to addressing the problem. The two elements should be linked. With this in mind, a good introduction answers these four questions:

• What is being studied? Describe the research problem and describe the subject of analysis [the case] you have chosen to address the problem. Explain how they are linked and what elements of the case will help to expand knowledge and understanding about the problem.
• Why is this topic important to investigate? Describe the significance of the research problem and state why a case study design and the subject of analysis that the paper is designed around is appropriate in addressing the problem.
• What did we know about this topic before I did this study? Provide background that helps lead the reader into the more in-depth literature review to follow. If applicable, summarize prior case study research applied to the research problem and why it fails to adequately address the problem. Describe why your case will be useful. If no prior case studies have been used to address the research problem, explain why you have selected this subject of analysis.
• How will this study advance new knowledge or new ways of understanding? Explain why your case study will be suitable in helping to expand knowledge and understanding about the research problem.

Each of these questions should be addressed in no more than a few paragraphs. Exceptions to this can be when you are addressing a complex research problem or subject of analysis that requires more in-depth background information.

II.  Literature Review

The literature review for a case study research paper is generally structured the same as it is for any college-level research paper. The difference, however, is that the literature review is focused on providing background information and  enabling historical interpretation of the subject of analysis in relation to the research problem the case is intended to address . This includes synthesizing studies that help to:

• Place relevant works in the context of their contribution to understanding the case study being investigated . This would involve summarizing studies that have used a similar subject of analysis to investigate the research problem. If there is literature using the same or a very similar case to study, you need to explain why duplicating past research is important [e.g., conditions have changed; prior studies were conducted long ago, etc.].
• Describe the relationship each work has to the others under consideration that informs the reader why this case is applicable . Your literature review should include a description of any works that support using the case to investigate the research problem and the underlying research questions.
• Identify new ways to interpret prior research using the case study . If applicable, review any research that has examined the research problem using a different research design. Explain how your use of a case study design may reveal new knowledge or a new perspective or that can redirect research in an important new direction.
• Resolve conflicts amongst seemingly contradictory previous studies . This refers to synthesizing any literature that points to unresolved issues of concern about the research problem and describing how the subject of analysis that forms the case study can help resolve these existing contradictions.
• Point the way in fulfilling a need for additional research . Your review should examine any literature that lays a foundation for understanding why your case study design and the subject of analysis around which you have designed your study may reveal a new way of approaching the research problem or offer a perspective that points to the need for additional research.
• Expose any gaps that exist in the literature that the case study could help to fill . Summarize any literature that not only shows how your subject of analysis contributes to understanding the research problem, but how your case contributes to a new way of understanding the problem that prior research has failed to do.
• Locate your own research within the context of existing literature [very important!] . Collectively, your literature review should always place your case study within the larger domain of prior research about the problem. The overarching purpose of reviewing pertinent literature in a case study paper is to demonstrate that you have thoroughly identified and synthesized prior studies in relation to explaining the relevance of the case in addressing the research problem.

III.  Method

In this section, you explain why you selected a particular case [i.e., subject of analysis] and the strategy you used to identify and ultimately decide that your case was appropriate in addressing the research problem. The way you describe the methods used varies depending on the type of subject of analysis that constitutes your case study.

If your subject of analysis is an incident or event . In the social and behavioral sciences, the event or incident that represents the case to be studied is usually bounded by time and place, with a clear beginning and end and with an identifiable location or position relative to its surroundings. The subject of analysis can be a rare or critical event or it can focus on a typical or regular event. The purpose of studying a rare event is to illuminate new ways of thinking about the broader research problem or to test a hypothesis. Critical incident case studies must describe the method by which you identified the event and explain the process by which you determined the validity of this case to inform broader perspectives about the research problem or to reveal new findings. However, the event does not have to be a rare or uniquely significant to support new thinking about the research problem or to challenge an existing hypothesis. For example, Walo, Bull, and Breen conducted a case study to identify and evaluate the direct and indirect economic benefits and costs of a local sports event in the City of Lismore, New South Wales, Australia. The purpose of their study was to provide new insights from measuring the impact of a typical local sports event that prior studies could not measure well because they focused on large "mega-events." Whether the event is rare or not, the methods section should include an explanation of the following characteristics of the event: a) when did it take place; b) what were the underlying circumstances leading to the event; and, c) what were the consequences of the event in relation to the research problem.

If your subject of analysis is a person. Explain why you selected this particular individual to be studied and describe what experiences they have had that provide an opportunity to advance new understandings about the research problem. Mention any background about this person which might help the reader understand the significance of their experiences that make them worthy of study. This includes describing the relationships this person has had with other people, institutions, and/or events that support using them as the subject for a case study research paper. It is particularly important to differentiate the person as the subject of analysis from others and to succinctly explain how the person relates to examining the research problem [e.g., why is one politician in a particular local election used to show an increase in voter turnout from any other candidate running in the election]. Note that these issues apply to a specific group of people used as a case study unit of analysis [e.g., a classroom of students].

If your subject of analysis is a place. In general, a case study that investigates a place suggests a subject of analysis that is unique or special in some way and that this uniqueness can be used to build new understanding or knowledge about the research problem. A case study of a place must not only describe its various attributes relevant to the research problem [e.g., physical, social, historical, cultural, economic, political], but you must state the method by which you determined that this place will illuminate new understandings about the research problem. It is also important to articulate why a particular place as the case for study is being used if similar places also exist [i.e., if you are studying patterns of homeless encampments of veterans in open spaces, explain why you are studying Echo Park in Los Angeles rather than Griffith Park?]. If applicable, describe what type of human activity involving this place makes it a good choice to study [e.g., prior research suggests Echo Park has more homeless veterans].

If your subject of analysis is a phenomenon. A phenomenon refers to a fact, occurrence, or circumstance that can be studied or observed but with the cause or explanation to be in question. In this sense, a phenomenon that forms your subject of analysis can encompass anything that can be observed or presumed to exist but is not fully understood. In the social and behavioral sciences, the case usually focuses on human interaction within a complex physical, social, economic, cultural, or political system. For example, the phenomenon could be the observation that many vehicles used by ISIS fighters are small trucks with English language advertisements on them. The research problem could be that ISIS fighters are difficult to combat because they are highly mobile. The research questions could be how and by what means are these vehicles used by ISIS being supplied to the militants and how might supply lines to these vehicles be cut off? How might knowing the suppliers of these trucks reveal larger networks of collaborators and financial support? A case study of a phenomenon most often encompasses an in-depth analysis of a cause and effect that is grounded in an interactive relationship between people and their environment in some way.

NOTE:   The choice of the case or set of cases to study cannot appear random. Evidence that supports the method by which you identified and chose your subject of analysis should clearly support investigation of the research problem and linked to key findings from your literature review. Be sure to cite any studies that helped you determine that the case you chose was appropriate for examining the problem.

IV.  Discussion

The main elements of your discussion section are generally the same as any research paper, but centered around interpreting and drawing conclusions about the key findings from your analysis of the case study. Note that a general social sciences research paper may contain a separate section to report findings. However, in a paper designed around a case study, it is common to combine a description of the results with the discussion about their implications. The objectives of your discussion section should include the following:

Reiterate the Research Problem/State the Major Findings Briefly reiterate the research problem you are investigating and explain why the subject of analysis around which you designed the case study were used. You should then describe the findings revealed from your study of the case using direct, declarative, and succinct proclamation of the study results. Highlight any findings that were unexpected or especially profound.

Explain the Meaning of the Findings and Why They are Important Systematically explain the meaning of your case study findings and why you believe they are important. Begin this part of the section by repeating what you consider to be your most important or surprising finding first, then systematically review each finding. Be sure to thoroughly extrapolate what your analysis of the case can tell the reader about situations or conditions beyond the actual case that was studied while, at the same time, being careful not to misconstrue or conflate a finding that undermines the external validity of your conclusions.

Relate the Findings to Similar Studies No study in the social sciences is so novel or possesses such a restricted focus that it has absolutely no relation to previously published research. The discussion section should relate your case study results to those found in other studies, particularly if questions raised from prior studies served as the motivation for choosing your subject of analysis. This is important because comparing and contrasting the findings of other studies helps support the overall importance of your results and it highlights how and in what ways your case study design and the subject of analysis differs from prior research about the topic.

Consider Alternative Explanations of the Findings Remember that the purpose of social science research is to discover and not to prove. When writing the discussion section, you should carefully consider all possible explanations revealed by the case study results, rather than just those that fit your hypothesis or prior assumptions and biases. Be alert to what the in-depth analysis of the case may reveal about the research problem, including offering a contrarian perspective to what scholars have stated in prior research if that is how the findings can be interpreted from your case.

Acknowledge the Study's Limitations You can state the study's limitations in the conclusion section of your paper but describing the limitations of your subject of analysis in the discussion section provides an opportunity to identify the limitations and explain why they are not significant. This part of the discussion section should also note any unanswered questions or issues your case study could not address. More detailed information about how to document any limitations to your research can be found here .

Suggest Areas for Further Research Although your case study may offer important insights about the research problem, there are likely additional questions related to the problem that remain unanswered or findings that unexpectedly revealed themselves as a result of your in-depth analysis of the case. Be sure that the recommendations for further research are linked to the research problem and that you explain why your recommendations are valid in other contexts and based on the original assumptions of your study.

V.  Conclusion

As with any research paper, you should summarize your conclusion in clear, simple language; emphasize how the findings from your case study differs from or supports prior research and why. Do not simply reiterate the discussion section. Provide a synthesis of key findings presented in the paper to show how these converge to address the research problem. If you haven't already done so in the discussion section, be sure to document the limitations of your case study and any need for further research.

The function of your paper's conclusion is to: 1) reiterate the main argument supported by the findings from your case study; 2) state clearly the context, background, and necessity of pursuing the research problem using a case study design in relation to an issue, controversy, or a gap found from reviewing the literature; and, 3) provide a place to persuasively and succinctly restate the significance of your research problem, given that the reader has now been presented with in-depth information about the topic.

Consider the following points to help ensure your conclusion is appropriate:

• If the argument or purpose of your paper is complex, you may need to summarize these points for your reader.
• If prior to your conclusion, you have not yet explained the significance of your findings or if you are proceeding inductively, use the conclusion of your paper to describe your main points and explain their significance.
• Move from a detailed to a general level of consideration of the case study's findings that returns the topic to the context provided by the introduction or within a new context that emerges from your case study findings.

Note that, depending on the discipline you are writing in or the preferences of your professor, the concluding paragraph may contain your final reflections on the evidence presented as it applies to practice or on the essay's central research problem. However, the nature of being introspective about the subject of analysis you have investigated will depend on whether you are explicitly asked to express your observations in this way.

Problems to Avoid

Overgeneralization One of the goals of a case study is to lay a foundation for understanding broader trends and issues applied to similar circumstances. However, be careful when drawing conclusions from your case study. They must be evidence-based and grounded in the results of the study; otherwise, it is merely speculation. Looking at a prior example, it would be incorrect to state that a factor in improving girls access to education in Azerbaijan and the policy implications this may have for improving access in other Muslim nations is due to girls access to social media if there is no documentary evidence from your case study to indicate this. There may be anecdotal evidence that retention rates were better for girls who were engaged with social media, but this observation would only point to the need for further research and would not be a definitive finding if this was not a part of your original research agenda.

Failure to Document Limitations No case is going to reveal all that needs to be understood about a research problem. Therefore, just as you have to clearly state the limitations of a general research study , you must describe the specific limitations inherent in the subject of analysis. For example, the case of studying how women conceptualize the need for water conservation in a village in Uganda could have limited application in other cultural contexts or in areas where fresh water from rivers or lakes is plentiful and, therefore, conservation is understood more in terms of managing access rather than preserving access to a scarce resource.

Failure to Extrapolate All Possible Implications Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings. If you do not, your reader may question the validity of your analysis, particularly if you failed to document an obvious outcome from your case study research. For example, in the case of studying the accident at the railroad crossing to evaluate where and what types of warning signals should be located, you failed to take into consideration speed limit signage as well as warning signals. When designing your case study, be sure you have thoroughly addressed all aspects of the problem and do not leave gaps in your analysis that leave the reader questioning the results.

Case Studies. Writing@CSU. Colorado State University; Gerring, John. Case Study Research: Principles and Practices . New York: Cambridge University Press, 2007; Merriam, Sharan B. Qualitative Research and Case Study Applications in Education . Rev. ed. San Francisco, CA: Jossey-Bass, 1998; Miller, Lisa L. “The Use of Case Studies in Law and Social Science Research.” Annual Review of Law and Social Science 14 (2018): TBD; Mills, Albert J., Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Putney, LeAnn Grogan. "Case Study." In Encyclopedia of Research Design , Neil J. Salkind, editor. (Thousand Oaks, CA: SAGE Publications, 2010), pp. 116-120; Simons, Helen. Case Study Research in Practice . London: SAGE Publications, 2009;  Kratochwill,  Thomas R. and Joel R. Levin, editors. Single-Case Research Design and Analysis: New Development for Psychology and Education .  Hilldsale, NJ: Lawrence Erlbaum Associates, 1992; Swanborn, Peter G. Case Study Research: What, Why and How? London : SAGE, 2010; Yin, Robert K. Case Study Research: Design and Methods . 6th edition. Los Angeles, CA, SAGE Publications, 2014; Walo, Maree, Adrian Bull, and Helen Breen. “Achieving Economic Benefits at Local Events: A Case Study of a Local Sports Event.” Festival Management and Event Tourism 4 (1996): 95-106.

Writing Tip

At Least Five Misconceptions about Case Study Research

Social science case studies are often perceived as limited in their ability to create new knowledge because they are not randomly selected and findings cannot be generalized to larger populations. Flyvbjerg examines five misunderstandings about case study research and systematically "corrects" each one. To quote, these are:

Misunderstanding 1 :  General, theoretical [context-independent] knowledge is more valuable than concrete, practical [context-dependent] knowledge. Misunderstanding 2 :  One cannot generalize on the basis of an individual case; therefore, the case study cannot contribute to scientific development. Misunderstanding 3 :  The case study is most useful for generating hypotheses; that is, in the first stage of a total research process, whereas other methods are more suitable for hypotheses testing and theory building. Misunderstanding 4 :  The case study contains a bias toward verification, that is, a tendency to confirm the researcher’s preconceived notions. Misunderstanding 5 :  It is often difficult to summarize and develop general propositions and theories on the basis of specific case studies [p. 221].

While writing your paper, think introspectively about how you addressed these misconceptions because to do so can help you strengthen the validity and reliability of your research by clarifying issues of case selection, the testing and challenging of existing assumptions, the interpretation of key findings, and the summation of case outcomes. Think of a case study research paper as a complete, in-depth narrative about the specific properties and key characteristics of your subject of analysis applied to the research problem.

Flyvbjerg, Bent. “Five Misunderstandings About Case-Study Research.” Qualitative Inquiry 12 (April 2006): 219-245.

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Methodology or method? A critical review of qualitative case study reports

Despite on-going debate about credibility, and reported limitations in comparison to other approaches, case study is an increasingly popular approach among qualitative researchers. We critically analysed the methodological descriptions of published case studies. Three high-impact qualitative methods journals were searched to locate case studies published in the past 5 years; 34 were selected for analysis. Articles were categorized as health and health services ( n= 12), social sciences and anthropology ( n= 7), or methods ( n= 15) case studies. The articles were reviewed using an adapted version of established criteria to determine whether adequate methodological justification was present, and if study aims, methods, and reported findings were consistent with a qualitative case study approach. Findings were grouped into five themes outlining key methodological issues: case study methodology or method, case of something particular and case selection, contextually bound case study, researcher and case interactions and triangulation, and study design inconsistent with methodology reported. Improved reporting of case studies by qualitative researchers will advance the methodology for the benefit of researchers and practitioners.

Case study research is an increasingly popular approach among qualitative researchers (Thomas, 2011 ). Several prominent authors have contributed to methodological developments, which has increased the popularity of case study approaches across disciplines (Creswell, 2013b ; Denzin & Lincoln, 2011b ; Merriam, 2009 ; Ragin & Becker, 1992 ; Stake, 1995 ; Yin, 2009 ). Current qualitative case study approaches are shaped by paradigm, study design, and selection of methods, and, as a result, case studies in the published literature vary. Differences between published case studies can make it difficult for researchers to define and understand case study as a methodology.

Experienced qualitative researchers have identified case study research as a stand-alone qualitative approach (Denzin & Lincoln, 2011b ). Case study research has a level of flexibility that is not readily offered by other qualitative approaches such as grounded theory or phenomenology. Case studies are designed to suit the case and research question and published case studies demonstrate wide diversity in study design. There are two popular case study approaches in qualitative research. The first, proposed by Stake ( 1995 ) and Merriam ( 2009 ), is situated in a social constructivist paradigm, whereas the second, by Yin ( 2012 ), Flyvbjerg ( 2011 ), and Eisenhardt ( 1989 ), approaches case study from a post-positivist viewpoint. Scholarship from both schools of inquiry has contributed to the popularity of case study and development of theoretical frameworks and principles that characterize the methodology.

The diversity of case studies reported in the published literature, and on-going debates about credibility and the use of case study in qualitative research practice, suggests that differences in perspectives on case study methodology may prevent researchers from developing a mutual understanding of practice and rigour. In addition, discussion about case study limitations has led some authors to query whether case study is indeed a methodology (Luck, Jackson, & Usher, 2006 ; Meyer, 2001 ; Thomas, 2010 ; Tight, 2010 ). Methodological discussion of qualitative case study research is timely, and a review is required to analyse and understand how this methodology is applied in the qualitative research literature. The aims of this study were to review methodological descriptions of published qualitative case studies, to review how the case study methodological approach was applied, and to identify issues that need to be addressed by researchers, editors, and reviewers. An outline of the current definitions of case study and an overview of the issues proposed in the qualitative methodological literature are provided to set the scene for the review.

Definitions of qualitative case study research

Case study research is an investigation and analysis of a single or collective case, intended to capture the complexity of the object of study (Stake, 1995 ). Qualitative case study research, as described by Stake ( 1995 ), draws together “naturalistic, holistic, ethnographic, phenomenological, and biographic research methods” in a bricoleur design, or in his words, “a palette of methods” (Stake, 1995 , pp. xi–xii). Case study methodology maintains deep connections to core values and intentions and is “particularistic, descriptive and heuristic” (Merriam, 2009 , p. 46).

As a study design, case study is defined by interest in individual cases rather than the methods of inquiry used. The selection of methods is informed by researcher and case intuition and makes use of naturally occurring sources of knowledge, such as people or observations of interactions that occur in the physical space (Stake, 1998 ). Thomas ( 2011 ) suggested that “analytical eclecticism” is a defining factor (p. 512). Multiple data collection and analysis methods are adopted to further develop and understand the case, shaped by context and emergent data (Stake, 1995 ). This qualitative approach “explores a real-life, contemporary bounded system (a case ) or multiple bounded systems (cases) over time, through detailed, in-depth data collection involving multiple sources of information … and reports a case description and case themes ” (Creswell, 2013b , p. 97). Case study research has been defined by the unit of analysis, the process of study, and the outcome or end product, all essentially the case (Merriam, 2009 ).

The case is an object to be studied for an identified reason that is peculiar or particular. Classification of the case and case selection procedures informs development of the study design and clarifies the research question. Stake ( 1995 ) proposed three types of cases and study design frameworks. These include the intrinsic case, the instrumental case, and the collective instrumental case. The intrinsic case is used to understand the particulars of a single case, rather than what it represents. An instrumental case study provides insight on an issue or is used to refine theory. The case is selected to advance understanding of the object of interest. A collective refers to an instrumental case which is studied as multiple, nested cases, observed in unison, parallel, or sequential order. More than one case can be simultaneously studied; however, each case study is a concentrated, single inquiry, studied holistically in its own entirety (Stake, 1995 , 1998 ).

Researchers who use case study are urged to seek out what is common and what is particular about the case. This involves careful and in-depth consideration of the nature of the case, historical background, physical setting, and other institutional and political contextual factors (Stake, 1998 ). An interpretive or social constructivist approach to qualitative case study research supports a transactional method of inquiry, where the researcher has a personal interaction with the case. The case is developed in a relationship between the researcher and informants, and presented to engage the reader, inviting them to join in this interaction and in case discovery (Stake, 1995 ). A postpositivist approach to case study involves developing a clear case study protocol with careful consideration of validity and potential bias, which might involve an exploratory or pilot phase, and ensures that all elements of the case are measured and adequately described (Yin, 2009 , 2012 ).

Current methodological issues in qualitative case study research

The future of qualitative research will be influenced and constructed by the way research is conducted, and by what is reviewed and published in academic journals (Morse, 2011 ). If case study research is to further develop as a principal qualitative methodological approach, and make a valued contribution to the field of qualitative inquiry, issues related to methodological credibility must be considered. Researchers are required to demonstrate rigour through adequate descriptions of methodological foundations. Case studies published without sufficient detail for the reader to understand the study design, and without rationale for key methodological decisions, may lead to research being interpreted as lacking in quality or credibility (Hallberg, 2013 ; Morse, 2011 ).

There is a level of artistic license that is embraced by qualitative researchers and distinguishes practice, which nurtures creativity, innovation, and reflexivity (Denzin & Lincoln, 2011b ; Morse, 2009 ). Qualitative research is “inherently multimethod” (Denzin & Lincoln, 2011a , p. 5); however, with this creative freedom, it is important for researchers to provide adequate description for methodological justification (Meyer, 2001 ). This includes paradigm and theoretical perspectives that have influenced study design. Without adequate description, study design might not be understood by the reader, and can appear to be dishonest or inaccurate. Reviewers and readers might be confused by the inconsistent or inappropriate terms used to describe case study research approach and methods, and be distracted from important study findings (Sandelowski, 2000 ). This issue extends beyond case study research, and others have noted inconsistencies in reporting of methodology and method by qualitative researchers. Sandelowski ( 2000 , 2010 ) argued for accurate identification of qualitative description as a research approach. She recommended that the selected methodology should be harmonious with the study design, and be reflected in methods and analysis techniques. Similarly, Webb and Kevern ( 2000 ) uncovered inconsistencies in qualitative nursing research with focus group methods, recommending that methodological procedures must cite seminal authors and be applied with respect to the selected theoretical framework. Incorrect labelling using case study might stem from the flexibility in case study design and non-directional character relative to other approaches (Rosenberg & Yates, 2007 ). Methodological integrity is required in design of qualitative studies, including case study, to ensure study rigour and to enhance credibility of the field (Morse, 2011 ).

Case study has been unnecessarily devalued by comparisons with statistical methods (Eisenhardt, 1989 ; Flyvbjerg, 2006 , 2011 ; Jensen & Rodgers, 2001 ; Piekkari, Welch, & Paavilainen, 2009 ; Tight, 2010 ; Yin, 1999 ). It is reputed to be the “the weak sibling” in comparison to other, more rigorous, approaches (Yin, 2009 , p. xiii). Case study is not an inherently comparative approach to research. The objective is not statistical research, and the aim is not to produce outcomes that are generalizable to all populations (Thomas, 2011 ). Comparisons between case study and statistical research do little to advance this qualitative approach, and fail to recognize its inherent value, which can be better understood from the interpretive or social constructionist viewpoint of other authors (Merriam, 2009 ; Stake, 1995 ). Building on discussions relating to “fuzzy” (Bassey, 2001 ), or naturalistic generalizations (Stake, 1978 ), or transference of concepts and theories (Ayres, Kavanaugh, & Knafl, 2003 ; Morse et al., 2011 ) would have more relevance.

Case study research has been used as a catch-all design to justify or add weight to fundamental qualitative descriptive studies that do not fit with other traditional frameworks (Merriam, 2009 ). A case study has been a “convenient label for our research—when we ‘can't think of anything ‘better”—in an attempt to give it [qualitative methodology] some added respectability” (Tight, 2010 , p. 337). Qualitative case study research is a pliable approach (Merriam, 2009 ; Meyer, 2001 ; Stake, 1995 ), and has been likened to a “curious methodological limbo” (Gerring, 2004 , p. 341) or “paradigmatic bridge” (Luck et al., 2006 , p. 104), that is on the borderline between postpositivist and constructionist interpretations. This has resulted in inconsistency in application, which indicates that flexibility comes with limitations (Meyer, 2001 ), and the open nature of case study research might be off-putting to novice researchers (Thomas, 2011 ). The development of a well-(in)formed theoretical framework to guide a case study should improve consistency, rigour, and trust in studies published in qualitative research journals (Meyer, 2001 ).

Assessment of rigour

The purpose of this study was to analyse the methodological descriptions of case studies published in qualitative methods journals. To do this we needed to develop a suitable framework, which used existing, established criteria for appraising qualitative case study research rigour (Creswell, 2013b ; Merriam, 2009 ; Stake, 1995 ). A number of qualitative authors have developed concepts and criteria that are used to determine whether a study is rigorous (Denzin & Lincoln, 2011b ; Lincoln, 1995 ; Sandelowski & Barroso, 2002 ). The criteria proposed by Stake ( 1995 ) provide a framework for readers and reviewers to make judgements regarding case study quality, and identify key characteristics essential for good methodological rigour. Although each of the factors listed in Stake's criteria could enhance the quality of a qualitative research report, in Table I we present an adapted criteria used in this study, which integrates more recent work by Merriam ( 2009 ) and Creswell ( 2013b ). Stake's ( 1995 ) original criteria were separated into two categories. The first list of general criteria is “relevant for all qualitative research.” The second list, “high relevance to qualitative case study research,” was the criteria that we decided had higher relevance to case study research. This second list was the main criteria used to assess the methodological descriptions of the case studies reviewed. The complete table has been preserved so that the reader can determine how the original criteria were adapted.

Framework for assessing quality in qualitative case study research.

Adapted from Stake ( 1995 , p. 131).

Study design

The critical review method described by Grant and Booth ( 2009 ) was used, which is appropriate for the assessment of research quality, and is used for literature analysis to inform research and practice. This type of review goes beyond the mapping and description of scoping or rapid reviews, to include “analysis and conceptual innovation” (Grant & Booth, 2009 , p. 93). A critical review is used to develop existing, or produce new, hypotheses or models. This is different to systematic reviews that answer clinical questions. It is used to evaluate existing research and competing ideas, to provide a “launch pad” for conceptual development and “subsequent testing” (Grant & Booth, 2009 , p. 93).

Qualitative methods journals were located by a search of the 2011 ISI Journal Citation Reports in Social Science, via the database Web of Knowledge (see m.webofknowledge.com). No “qualitative research methods” category existed in the citation reports; therefore, a search of all categories was performed using the term “qualitative.” In Table II , we present the qualitative methods journals located, ranked by impact factor. The highest ranked journals were selected for searching. We acknowledge that the impact factor ranking system might not be the best measure of journal quality (Cheek, Garnham, & Quan, 2006 ); however, this was the most appropriate and accessible method available.

International Journal of Qualitative Studies on Health and Well-being.

Search strategy

In March 2013, searches of the journals, Qualitative Health Research , Qualitative Research , and Qualitative Inquiry were completed to retrieve studies with “case study” in the abstract field. The search was limited to the past 5 years (1 January 2008 to 1 March 2013). The objective was to locate published qualitative case studies suitable for assessment using the adapted criterion. Viewpoints, commentaries, and other article types were excluded from review. Title and abstracts of the 45 retrieved articles were read by the first author, who identified 34 empirical case studies for review. All authors reviewed the 34 studies to confirm selection and categorization. In Table III , we present the 34 case studies grouped by journal, and categorized by research topic, including health sciences, social sciences and anthropology, and methods research. There was a discrepancy in categorization of one article on pedagogy and a new teaching method published in Qualitative Inquiry (Jorrín-Abellán, Rubia-Avi, Anguita-Martínez, Gómez-Sánchez, & Martínez-Mones, 2008 ). Consensus was to allocate to the methods category.

Outcomes of search of qualitative methods journals.

In Table III , the number of studies located, and final numbers selected for review have been reported. Qualitative Health Research published the most empirical case studies ( n= 16). In the health category, there were 12 case studies of health conditions, health services, and health policy issues, all published in Qualitative Health Research . Seven case studies were categorized as social sciences and anthropology research, which combined case study with biography and ethnography methodologies. All three journals published case studies on methods research to illustrate a data collection or analysis technique, methodological procedure, or related issue.

The methodological descriptions of 34 case studies were critically reviewed using the adapted criteria. All articles reviewed contained a description of study methods; however, the length, amount of detail, and position of the description in the article varied. Few studies provided an accurate description and rationale for using a qualitative case study approach. In the 34 case studies reviewed, three described a theoretical framework informed by Stake ( 1995 ), two by Yin ( 2009 ), and three provided a mixed framework informed by various authors, which might have included both Yin and Stake. Few studies described their case study design, or included a rationale that explained why they excluded or added further procedures, and whether this was to enhance the study design, or to better suit the research question. In 26 of the studies no reference was provided to principal case study authors. From reviewing the description of methods, few authors provided a description or justification of case study methodology that demonstrated how their study was informed by the methodological literature that exists on this approach.

The methodological descriptions of each study were reviewed using the adapted criteria, and the following issues were identified: case study methodology or method; case of something particular and case selection; contextually bound case study; researcher and case interactions and triangulation; and, study design inconsistent with methodology. An outline of how the issues were developed from the critical review is provided, followed by a discussion of how these relate to the current methodological literature.

Case study methodology or method

A third of the case studies reviewed appeared to use a case report method, not case study methodology as described by principal authors (Creswell, 2013b ; Merriam, 2009 ; Stake, 1995 ; Yin, 2009 ). Case studies were identified as a case report because of missing methodological detail and by review of the study aims and purpose. These reports presented data for small samples of no more than three people, places or phenomenon. Four studies, or “case reports” were single cases selected retrospectively from larger studies (Bronken, Kirkevold, Martinsen, & Kvigne, 2012 ; Coltart & Henwood, 2012 ; Hooghe, Neimeyer, & Rober, 2012 ; Roscigno et al., 2012 ). Case reports were not a case of something, instead were a case demonstration or an example presented in a report. These reports presented outcomes, and reported on how the case could be generalized. Descriptions focussed on the phenomena, rather than the case itself, and did not appear to study the case in its entirety.

Case reports had minimal in-text references to case study methodology, and were informed by other qualitative traditions or secondary sources (Adamson & Holloway, 2012 ; Buzzanell & D'Enbeau, 2009 ; Nagar-Ron & Motzafi-Haller, 2011 ). This does not suggest that case study methodology cannot be multimethod, however, methodology should be consistent in design, be clearly described (Meyer, 2001 ; Stake, 1995 ), and maintain focus on the case (Creswell, 2013b ).

To demonstrate how case reports were identified, three examples are provided. The first, Yeh ( 2013 ) described their study as, “the examination of the emergence of vegetarianism in Victorian England serves as a case study to reveal the relationships between boundaries and entities” (p. 306). The findings were a historical case report, which resulted from an ethnographic study of vegetarianism. Cunsolo Willox, Harper, Edge, ‘My Word’: Storytelling and Digital Media Lab, and Rigolet Inuit Community Government (2013) used “a case study that illustrates the usage of digital storytelling within an Inuit community” (p. 130). This case study reported how digital storytelling can be used with indigenous communities as a participatory method to illuminate the benefits of this method for other studies. This “case study was conducted in the Inuit community” but did not include the Inuit community in case analysis (Cunsolo Willox et al., 2013 , p. 130). Bronken et al. ( 2012 ) provided a single case report to demonstrate issues observed in a larger clinical study of aphasia and stroke, without adequate case description or analysis.

Case study of something particular and case selection

Case selection is a precursor to case analysis, which needs to be presented as a convincing argument (Merriam, 2009 ). Descriptions of the case were often not adequate to ascertain why the case was selected, or whether it was a particular exemplar or outlier (Thomas, 2011 ). In a number of case studies in the health and social science categories, it was not explicit whether the case was of something particular, or peculiar to their discipline or field (Adamson & Holloway, 2012 ; Bronken et al., 2012 ; Colón-Emeric et al., 2010 ; Jackson, Botelho, Welch, Joseph, & Tennstedt, 2012 ; Mawn et al., 2010 ; Snyder-Young, 2011 ). There were exceptions in the methods category ( Table III ), where cases were selected by researchers to report on a new or innovative method. The cases emerged through heuristic study, and were reported to be particular, relative to the existing methods literature (Ajodhia-Andrews & Berman, 2009 ; Buckley & Waring, 2013 ; Cunsolo Willox et al., 2013 ; De Haene, Grietens, & Verschueren, 2010 ; Gratton & O'Donnell, 2011 ; Sumsion, 2013 ; Wimpenny & Savin-Baden, 2012 ).

Case selection processes were sometimes insufficient to understand why the case was selected from the global population of cases, or what study of this case would contribute to knowledge as compared with other possible cases (Adamson & Holloway, 2012 ; Bronken et al., 2012 ; Colón-Emeric et al., 2010 ; Jackson et al., 2012 ; Mawn et al., 2010 ). In two studies, local cases were selected (Barone, 2010 ; Fourie & Theron, 2012 ) because the researcher was familiar with and had access to the case. Possible limitations of a convenience sample were not acknowledged. Purposeful sampling was used to recruit participants within the case of one study, but not of the case itself (Gallagher et al., 2013 ). Random sampling was completed for case selection in two studies (Colón-Emeric et al., 2010 ; Jackson et al., 2012 ), which has limited meaning in interpretive qualitative research.

To demonstrate how researchers provided a good justification for the selection of case study approaches, four examples are provided. The first, cases of residential care homes, were selected because of reported occurrences of mistreatment, which included residents being locked in rooms at night (Rytterström, Unosson, & Arman, 2013 ). Roscigno et al. ( 2012 ) selected cases of parents who were admitted for early hospitalization in neonatal intensive care with a threatened preterm delivery before 26 weeks. Hooghe et al. ( 2012 ) used random sampling to select 20 couples that had experienced the death of a child; however, the case study was of one couple and a particular metaphor described only by them. The final example, Coltart and Henwood ( 2012 ), provided a detailed account of how they selected two cases from a sample of 46 fathers based on personal characteristics and beliefs. They described how the analysis of the two cases would contribute to their larger study on first time fathers and parenting.

Contextually bound case study

The limits or boundaries of the case are a defining factor of case study methodology (Merriam, 2009 ; Ragin & Becker, 1992 ; Stake, 1995 ; Yin, 2009 ). Adequate contextual description is required to understand the setting or context in which the case is revealed. In the health category, case studies were used to illustrate a clinical phenomenon or issue such as compliance and health behaviour (Colón-Emeric et al., 2010 ; D'Enbeau, Buzzanell, & Duckworth, 2010 ; Gallagher et al., 2013 ; Hooghe et al., 2012 ; Jackson et al., 2012 ; Roscigno et al., 2012 ). In these case studies, contextual boundaries, such as physical and institutional descriptions, were not sufficient to understand the case as a holistic system, for example, the general practitioner (GP) clinic in Gallagher et al. ( 2013 ), or the nursing home in Colón-Emeric et al. ( 2010 ). Similarly, in the social science and methods categories, attention was paid to some components of the case context, but not others, missing important information required to understand the case as a holistic system (Alexander, Moreira, & Kumar, 2012 ; Buzzanell & D'Enbeau, 2009 ; Nairn & Panelli, 2009 ; Wimpenny & Savin-Baden, 2012 ).

In two studies, vicarious experience or vignettes (Nairn & Panelli, 2009 ) and images (Jorrín-Abellán et al., 2008 ) were effective to support description of context, and might have been a useful addition for other case studies. Missing contextual boundaries suggests that the case might not be adequately defined. Additional information, such as the physical, institutional, political, and community context, would improve understanding of the case (Stake, 1998 ). In Boxes 1 and 2 , we present brief synopses of two studies that were reviewed, which demonstrated a well bounded case. In Box 1 , Ledderer ( 2011 ) used a qualitative case study design informed by Stake's tradition. In Box 2 , Gillard, Witt, and Watts ( 2011 ) were informed by Yin's tradition. By providing a brief outline of the case studies in Boxes 1 and 2 , we demonstrate how effective case boundaries can be constructed and reported, which may be of particular interest to prospective case study researchers.

Article synopsis of case study research using Stake's tradition

Ledderer ( 2011 ) used a qualitative case study research design, informed by modern ethnography. The study is bounded to 10 general practice clinics in Denmark, who had received federal funding to implement preventative care services based on a Motivational Interviewing intervention. The researcher question focussed on “why is it so difficult to create change in medical practice?” (Ledderer, 2011 , p. 27). The study context was adequately described, providing detail on the general practitioner (GP) clinics and relevant political and economic influences. Methodological decisions are described in first person narrative, providing insight on researcher perspectives and interaction with the case. Forty-four interviews were conducted, which focussed on how GPs conducted consultations, and the form, nature and content, rather than asking their opinion or experience (Ledderer, 2011 , p. 30). The duration and intensity of researcher immersion in the case enhanced depth of description and trustworthiness of study findings. Analysis was consistent with Stake's tradition, and the researcher provided examples of inquiry techniques used to challenge assumptions about emerging themes. Several other seminal qualitative works were cited. The themes and typology constructed are rich in narrative data and storytelling by clinic staff, demonstrating individual clinic experiences as well as shared meanings and understandings about changing from a biomedical to psychological approach to preventative health intervention. Conclusions make note of social and cultural meanings and lessons learned, which might not have been uncovered using a different methodology.

Article synopsis of case study research using Yin's tradition

Gillard et al. ( 2011 ) study of camps for adolescents living with HIV/AIDs provided a good example of Yin's interpretive case study approach. The context of the case is bounded by the three summer camps of which the researchers had prior professional involvement. A case study protocol was developed that used multiple methods to gather information at three data collection points coinciding with three youth camps (Teen Forum, Discover Camp, and Camp Strong). Gillard and colleagues followed Yin's ( 2009 ) principles, using a consistent data protocol that enhanced cross-case analysis. Data described the young people, the camp physical environment, camp schedule, objectives and outcomes, and the staff of three youth camps. The findings provided a detailed description of the context, with less detail of individual participants, including insight into researcher's interpretations and methodological decisions throughout the data collection and analysis process. Findings provided the reader with a sense of “being there,” and are discovered through constant comparison of the case with the research issues; the case is the unit of analysis. There is evidence of researcher immersion in the case, and Gillard reports spending significant time in the field in a naturalistic and integrated youth mentor role.

This case study is not intended to have a significant impact on broader health policy, although does have implications for health professionals working with adolescents. Study conclusions will inform future camps for young people with chronic disease, and practitioners are able to compare similarities between this case and their own practice (for knowledge translation). No limitations of this article were reported. Limitations related to publication of this case study were that it was 20 pages long and used three tables to provide sufficient description of the camp and program components, and relationships with the research issue.

Researcher and case interactions and triangulation

Researcher and case interactions and transactions are a defining feature of case study methodology (Stake, 1995 ). Narrative stories, vignettes, and thick description are used to provoke vicarious experience and a sense of being there with the researcher in their interaction with the case. Few of the case studies reviewed provided details of the researcher's relationship with the case, researcher–case interactions, and how these influenced the development of the case study (Buzzanell & D'Enbeau, 2009 ; D'Enbeau et al., 2010 ; Gallagher et al., 2013 ; Gillard et al., 2011 ; Ledderer, 2011 ; Nagar-Ron & Motzafi-Haller, 2011 ). The role and position of the researcher needed to be self-examined and understood by readers, to understand how this influenced interactions with participants, and to determine what triangulation is needed (Merriam, 2009 ; Stake, 1995 ).

Gillard et al. ( 2011 ) provided a good example of triangulation, comparing data sources in a table (p. 1513). Triangulation of sources was used to reveal as much depth as possible in the study by Nagar-Ron and Motzafi-Haller ( 2011 ), while also enhancing confirmation validity. There were several case studies that would have benefited from improved range and use of data sources, and descriptions of researcher–case interactions (Ajodhia-Andrews & Berman, 2009 ; Bronken et al., 2012 ; Fincham, Scourfield, & Langer, 2008 ; Fourie & Theron, 2012 ; Hooghe et al., 2012 ; Snyder-Young, 2011 ; Yeh, 2013 ).

Study design inconsistent with methodology

Good, rigorous case studies require a strong methodological justification (Meyer, 2001 ) and a logical and coherent argument that defines paradigm, methodological position, and selection of study methods (Denzin & Lincoln, 2011b ). Methodological justification was insufficient in several of the studies reviewed (Barone, 2010 ; Bronken et al., 2012 ; Hooghe et al., 2012 ; Mawn et al., 2010 ; Roscigno et al., 2012 ; Yeh, 2013 ). This was judged by the absence, or inadequate or inconsistent reference to case study methodology in-text.

In six studies, the methodological justification provided did not relate to case study. There were common issues identified. Secondary sources were used as primary methodological references indicating that study design might not have been theoretically sound (Colón-Emeric et al., 2010 ; Coltart & Henwood, 2012 ; Roscigno et al., 2012 ; Snyder-Young, 2011 ). Authors and sources cited in methodological descriptions were inconsistent with the actual study design and practices used (Fourie & Theron, 2012 ; Hooghe et al., 2012 ; Jorrín-Abellán et al., 2008 ; Mawn et al., 2010 ; Rytterström et al., 2013 ; Wimpenny & Savin-Baden, 2012 ). This occurred when researchers cited Stake or Yin, or both (Mawn et al., 2010 ; Rytterström et al., 2013 ), although did not follow their paradigmatic or methodological approach. In 26 studies there were no citations for a case study methodological approach.

The findings of this study have highlighted a number of issues for researchers. A considerable number of case studies reviewed were missing key elements that define qualitative case study methodology and the tradition cited. A significant number of studies did not provide a clear methodological description or justification relevant to case study. Case studies in health and social sciences did not provide sufficient information for the reader to understand case selection, and why this case was chosen above others. The context of the cases were not described in adequate detail to understand all relevant elements of the case context, which indicated that cases may have not been contextually bounded. There were inconsistencies between reported methodology, study design, and paradigmatic approach in case studies reviewed, which made it difficult to understand the study methodology and theoretical foundations. These issues have implications for methodological integrity and honesty when reporting study design, which are values of the qualitative research tradition and are ethical requirements (Wager & Kleinert, 2010a ). Poorly described methodological descriptions may lead the reader to misinterpret or discredit study findings, which limits the impact of the study, and, as a collective, hinders advancements in the broader qualitative research field.

The issues highlighted in our review build on current debates in the case study literature, and queries about the value of this methodology. Case study research can be situated within different paradigms or designed with an array of methods. In order to maintain the creativity and flexibility that is valued in this methodology, clearer descriptions of paradigm and theoretical position and methods should be provided so that study findings are not undervalued or discredited. Case study research is an interdisciplinary practice, which means that clear methodological descriptions might be more important for this approach than other methodologies that are predominantly driven by fewer disciplines (Creswell, 2013b ).

Authors frequently omit elements of methodologies and include others to strengthen study design, and we do not propose a rigid or purist ideology in this paper. On the contrary, we encourage new ideas about using case study, together with adequate reporting, which will advance the value and practice of case study. The implications of unclear methodological descriptions in the studies reviewed were that study design appeared to be inconsistent with reported methodology, and key elements required for making judgements of rigour were missing. It was not clear whether the deviations from methodological tradition were made by researchers to strengthen the study design, or because of misinterpretations. Morse ( 2011 ) recommended that innovations and deviations from practice are best made by experienced researchers, and that a novice might be unaware of the issues involved with making these changes. To perpetuate the tradition of case study research, applications in the published literature should have consistencies with traditional methodological constructions, and deviations should be described with a rationale that is inherent in study conduct and findings. Providing methodological descriptions that demonstrate a strong theoretical foundation and coherent study design will add credibility to the study, while ensuring the intrinsic meaning of case study is maintained.

The value of this review is that it contributes to discussion of whether case study is a methodology or method. We propose possible reasons why researchers might make this misinterpretation. Researchers may interchange the terms methods and methodology, and conduct research without adequate attention to epistemology and historical tradition (Carter & Little, 2007 ; Sandelowski, 2010 ). If the rich meaning that naming a qualitative methodology brings to the study is not recognized, a case study might appear to be inconsistent with the traditional approaches described by principal authors (Creswell, 2013a ; Merriam, 2009 ; Stake, 1995 ; Yin, 2009 ). If case studies are not methodologically and theoretically situated, then they might appear to be a case report.

Case reports are promoted by university and medical journals as a method of reporting on medical or scientific cases; guidelines for case reports are publicly available on websites ( http://www.hopkinsmedicine.org/institutional_review_board/guidelines_policies/guidelines/case_report.html ). The various case report guidelines provide a general criteria for case reports, which describes that this form of report does not meet the criteria of research, is used for retrospective analysis of up to three clinical cases, and is primarily illustrative and for educational purposes. Case reports can be published in academic journals, but do not require approval from a human research ethics committee. Traditionally, case reports describe a single case, to explain how and what occurred in a selected setting, for example, to illustrate a new phenomenon that has emerged from a larger study. A case report is not necessarily particular or the study of a case in its entirety, and the larger study would usually be guided by a different research methodology.

This description of a case report is similar to what was provided in some studies reviewed. This form of report lacks methodological grounding and qualities of research rigour. The case report has publication value in demonstrating an example and for dissemination of knowledge (Flanagan, 1999 ). However, case reports have different meaning and purpose to case study, which needs to be distinguished. Findings of our review suggest that the medical understanding of a case report has been confused with qualitative case study approaches.

In this review, a number of case studies did not have methodological descriptions that included key characteristics of case study listed in the adapted criteria, and several issues have been discussed. There have been calls for improvements in publication quality of qualitative research (Morse, 2011 ), and for improvements in peer review of submitted manuscripts (Carter & Little, 2007 ; Jasper, Vaismoradi, Bondas, & Turunen, 2013 ). The challenging nature of editor and reviewers responsibilities are acknowledged in the literature (Hames, 2013 ; Wager & Kleinert, 2010b ); however, review of case study methodology should be prioritized because of disputes on methodological value.

Authors using case study approaches are recommended to describe their theoretical framework and methods clearly, and to seek and follow specialist methodological advice when needed (Wager & Kleinert, 2010a ). Adequate page space for case study description would contribute to better publications (Gillard et al., 2011 ). Capitalizing on the ability to publish complementary resources should be considered.

Limitations of the review

There is a level of subjectivity involved in this type of review and this should be considered when interpreting study findings. Qualitative methods journals were selected because the aims and scope of these journals are to publish studies that contribute to methodological discussion and development of qualitative research. Generalist health and social science journals were excluded that might have contained good quality case studies. Journals in business or education were also excluded, although a review of case studies in international business journals has been published elsewhere (Piekkari et al., 2009 ).

The criteria used to assess the quality of the case studies were a set of qualitative indicators. A numerical or ranking system might have resulted in different results. Stake's ( 1995 ) criteria have been referenced elsewhere, and was deemed the best available (Creswell, 2013b ; Crowe et al., 2011 ). Not all qualitative studies are reported in a consistent way and some authors choose to report findings in a narrative form in comparison to a typical biomedical report style (Sandelowski & Barroso, 2002 ), if misinterpretations were made this may have affected the review.

Case study research is an increasingly popular approach among qualitative researchers, which provides methodological flexibility through the incorporation of different paradigmatic positions, study designs, and methods. However, whereas flexibility can be an advantage, a myriad of different interpretations has resulted in critics questioning the use of case study as a methodology. Using an adaptation of established criteria, we aimed to identify and assess the methodological descriptions of case studies in high impact, qualitative methods journals. Few articles were identified that applied qualitative case study approaches as described by experts in case study design. There were inconsistencies in methodology and study design, which indicated that researchers were confused whether case study was a methodology or a method. Commonly, there appeared to be confusion between case studies and case reports. Without clear understanding and application of the principles and key elements of case study methodology, there is a risk that the flexibility of the approach will result in haphazard reporting, and will limit its global application as a valuable, theoretically supported methodology that can be rigorously applied across disciplines and fields.

Conflict of interest and funding

The authors have not received any funding or benefits from industry or elsewhere to conduct this study.

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Case Study Research: Methods and Designs

Case study research is a type of qualitative research design. It’s often used in the social sciences because it involves…

Case study research is a type of qualitative research design. It’s often used in the social sciences because it involves observing subjects, or cases, in their natural setting, with minimal interference from the researcher.

In the case study method , researchers pose a specific question about an individual or group to test their theories or hypothesis. This can be done by gathering data from interviews with key informants.

Here’s what you need to know about case study research design .

What Is The Case Study Method?

Main approaches to data collection, case study research methods, how case studies are used, case study model.

Case study research is a great way to understand the nuances of a matter that can get lost in quantitative research methods. A case study is distinct from other qualitative studies in the following ways:

• It’s interested in the effect of a set of circumstances on an individual or group.
• It begins with a specific question about one or more cases.
• It focuses on individual accounts and experiences.

Here are the primary features of case study research:

• Case study research methods typically involve the researcher asking a few questions of one person or a small number of people—known as respondents—to test one hypothesis.
• Case study in research methodology may apply triangulation to collect data, in which the researcher uses several sources, including documents and field data. This is then analyzed and interpreted to form a hypothesis that can be tested through further research or validated by other researchers.
• The case study method requires clear concepts and theories to guide its methods. A well-defined research question is crucial when conducting a case study because the results of the study depend on it. The best approach to answering a research question is to challenge the existing theories, hypotheses or assumptions.
• Concepts are defined using objective language with no reference to preconceived notions that individuals might have about them. The researcher sets out to discover by asking specific questions on how people think or perceive things in their given situation.

They commonly use the case study method in business, management, psychology, sociology, political science and other related fields.

A fundamental requirement of qualitative research is recording observations that provide an understanding of reality. When it comes to the case study method, there are two major approaches that can be used to collect data: document review and fieldwork.

A case study in research methodology also includes literature review, the process by which the researcher collects all data available through historical documents. These might include books, newspapers, journals, videos, photographs and other written material. The researcher may also record information using video cameras to capture events as they occur. The researcher can also go through materials produced by people involved in the case study to gain an insight into their lives and experiences.

Field research involves participating in interviews and observations directly. Observation can be done during telephone interviews, events or public meetings, visits to homes or workplaces, or by shadowing someone for a period of time. The researcher can conduct one-on-one interviews with individuals or group interviews where several people are interviewed at once.

Let’s look now at case study methodology.

The case study method can be divided into three stages: formulation of objectives; collection of data; and analysis and interpretation. The researcher first makes a judgment about what should be studied based on their knowledge. Next, they gather data through observations and interviews. Here are some of the common case study research methods:

One of the most basic methods is the survey. Respondents are asked to complete a questionnaire with open-ended and predetermined questions. It usually takes place through face-to-face interviews, mailed questionnaires or telephone interviews. It can even be done by an online survey.

2. Semi-structured Interview

For case study research a more complex method is the semi-structured interview. This involves the researcher learning about the topic by listening to what others have to say. This usually occurs through one-on-one interviews with the sample. Semi-structured interviews allow for greater flexibility and can obtain information that structured questionnaires can’t.

3. Focus Group Interview

Another method is the focus group interview, where the researcher asks a few people to take part in an open-ended discussion on certain themes or topics. The typical group size is 5–15 people. This method allows researchers to delve deeper into people’s opinions, views and experiences.

4. Participant Observation

Participant observation is another method that involves the researcher gaining insight into an experience by joining in and taking part in normal events. The people involved don’t always know they’re being studied, but the researcher observes and records what happens through field notes.

Case study research design can use one or several of these methods depending on the context.

Case studies are widely used in the social sciences. To understand the impact of socio-economic forces, interpersonal dynamics and other human conditions, sometimes there’s no other way than to study one case at a time and look for patterns and data afterward.

It’s for the same reasons that case studies are used in business. Here are a few uses:

• Case studies can be used as tools to educate and give examples of situations and problems that might occur and how they were resolved. They can also be used for strategy development and implementation.
• Case studies can evaluate the success of a program or project. They can help teams improve their collaboration by identifying areas that need improvements, such as team dynamics, communication, roles and responsibilities and leadership styles.
• Case studies can explore how people’s experiences affect the working environment. Because the study involves observing and analyzing concrete details of life, they can inform theories on how an individual or group interacts with their environment.
• Case studies can evaluate the sustainability of businesses. They’re useful for social, environmental and economic impact studies because they look at all aspects of a business or organization. This gives researchers a holistic view of the dynamics within an organization.
• We can use case studies to identify problems in organizations or businesses. They can help spot problems that are invisible to customers, investors, managers and employees.
• Case studies are used in education to show students how real-world issues or events can be sorted out. This enables students to identify and deal with similar situations in their lives.

And that’s not all. Case studies are incredibly versatile, which is why they’re used so widely.

Human beings are complex and they interact with each other in their everyday life in various ways. The researcher observes a case and tries to find out how the patterns of behavior are created, including their causal relations. Case studies help understand one or more specific events that have been observed. Here are some common methods:

1. Illustrative case study

This is where the researcher observes a group of people doing something. Studying an event or phenomenon this way can show cause-and-effect relationships between various variables.

2. Cumulative case study

A cumulative case study is one that involves observing the same set of phenomena over a period. Cumulative case studies can be very helpful in understanding processes, which are things that happen over time. For example, if there are behavioral changes in people who move from one place to another, the researcher might want to know why these changes occurred.

3. Exploratory case study

An exploratory case study collects information that will answer a question. It can help researchers better understand social, economic, political or other social phenomena.

There are several other ways to categorize case studies. They may be chronological case studies, where a researcher observes events over time. In the comparative case study, the researcher compares one or more groups of people, places, or things to draw conclusions about them. In an intervention case study, the researcher intervenes to change the behavior of the subjects. The study method depends on the needs of the research team.

Deciding how to analyze the information at our disposal is an important part of effective management. An understanding of the case study model can help. With Harappa’s Thinking Critically course, managers and young professionals receive input and training on how to level up their analytic skills. Knowledge of frameworks, reading real-life examples and lived wisdom of faculty come together to create a dynamic and exciting course that helps teams leap to the next level.

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• Case Study | Definition, Examples & Methods

Case Study | Definition, Examples & Methods

Published on 5 May 2022 by Shona McCombes . Revised on 30 January 2023.

A case study is a detailed study of a specific subject, such as a person, group, place, event, organisation, 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 analyse the case.

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

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.

If you find yourself aiming to simultaneously investigate and solve an issue, consider conducting action research . As its name suggests, action research conducts research and takes action at the same time, and is highly iterative and flexible. 

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

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 .

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

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 analyse 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.

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Case Study Method In Research – A Comprehensive Guide

The case study method in research is a method that involves an in-depth examination of a particular situation or event, known as the “ case ,” in order to understand a complex phenomenon. The case study method is used in a variety of fields, including psychology, sociology, business , and education. It is often used to study a specific individual, group, or organization, and can involve both qualitative and quantitative data collection methods, such as interviews, observations, and document analysis. The goal of the case study method is to provide a detailed, in-depth understanding of the case, which can then be used to generate new theories or test existing ones.

what is the history Case Study Method In Research?

The case study method in research has a long history, dating back to the early 20th century . The origins of the case study method can be traced back to the fields of psychology and sociology, where researchers such as Sigmund Freud , Carl Jung, and W.I. Thomas used the method to study individuals and groups.

In the 1920s and 1930s, a group of sociologists at the University of Chicago, including Robert Park and Ernest Burgess, began using the case study method to study the social and economic conditions of urban areas. They used the method to study the city of Chicago, and their work is considered to be some of the earliest examples of the use of the case study method in sociology.

In the 1940s and 1950s, the case study method was further developed by Harvard Business School, where it was used to study the management and organizational practices of businesses. The work of Harvard Business School professors such as Kenneth Andrews, Theodore Levitt, and Richard Nolan, helped to establish the case study method as a valuable tool for studying business and management.

In the following decades, the case study method in research has been widely used in fields such as psychology, sociology, anthropology, education, and political science, as well as in business, management, and law. Today, the case study method is considered one of the most versatile and widely used research methods in the social sciences.

How is Case Study Method in research different from other methodologies?

The case study method is different from other research methods in several ways:

• In-depth examination : The case study method focuses on a particular situation or event, and involves a deep and detailed examination of the case. This allows for a thorough understanding of the complexities and nuances of the case.
• Qualitative and quantitative data : Case studies often use a combination of both qualitative and quantitative data collection methods, such as interviews, observations, and document analysis, to gain a comprehensive understanding of the case.
• Flexibility : The case study method is flexible and can be adapted to various fields and research questions. It can be used to study individuals, groups, organizations, or even entire communities.
• Contextual understanding : The case study method is particularly useful in understanding the context in which a phenomenon occurs. It allows researchers to study a phenomenon in its natural setting, rather than in a controlled laboratory environment.
• Generalizability : Case studies are not designed to provide generalizable findings, but to provide an in-depth understanding of a specific case. The findings may not be applicable to other cases or situations.

It’s important to note that the case study method in research is not the only method of research and should be used in conjunction with other methods to gain a comprehensive understanding of a phenomenon.

How to conduct a Case Study Method in Research Design?

There are several steps involved in using the case study method in research. These include:

• Defining the research question : The first step in using the case study method is to define the research question that the study will address. This should be a clear and specific question that can be answered through the examination of a particular case.
• Selecting the case : After the research question has been defined, the next step is to select the case or cases that will be studied. The case should be relevant to the research question and should provide a rich source of data for the study.
• Designing the study : The study should be designed in such a way that it will provide the data needed to answer the research question. This may include the use of qualitative and quantitative data collection methods, such as interviews, observations, and document analysis.
• Collecting data : Once the study has been designed, data should be collected from the case or cases being studied. This may involve conducting interviews, observations, and document analysis, as well as gathering secondary data.
• Analyzing data : After the data has been collected, it should be analyzed in order to answer the research question. This may involve coding and categorizing the data, using techniques such as content analysis, discourse analysis, and statistical analysis.
• Drawing conclusions : After the data has been analyzed, conclusions should be drawn about the case or cases being studied. These conclusions should be based on the data collected and analyzed and should be related to the research question.
• Communicating the findings : The findings of the case study should be communicated to the relevant audience in a clear and concise manner, through a written report or presentation.

It’s important to note that case studies are not designed to provide generalizable findings but to provide an in-depth understanding of a specific case or case. The findings may not be applicable to other cases or situations.

What are the core elements of the Case Study Method in Research?

The core elements of the case study research methodology include:

• Selection of the case: This involves choosing the case or cases that will be studied. The case should be relevant to the research question and should provide a rich source of data for the study.
• Data collection : This involves gathering data from the case or cases being studied. This may involve using a variety of data collection methods, such as interviews, observations, and document analysis.
• Data analysis : This involves analyzing the data collected from the case or cases. The data should be analyzed in a way that allows the researcher to answer the research question.
• Contextualization : This involves understanding the case in its broader social, historical, and cultural context. It is important to understand the context in which the case occurs in order to fully understand the phenomenon being studied.
• Triangulation : This involves using multiple data sources and methods to enhance the credibility of the findings. By using different types of data and methods, the researcher can triangulate and cross-check the findings to increase the reliability of the study.
• Thick description : The researcher should provide a detailed and comprehensive description of the case, including the context, the process, and the outcome, in order to understand the complexity and uniqueness of the case.
• Theory building: The case study method in research should be used to generate new theories or to test existing ones.
• Reporting : Finally, the findings of the case study should be communicated to the relevant audience in a clear and concise manner, through a written report or presentation.

It’s important to note that case study research methodology is not a rigid process and may vary depending on the research question, the field of study, and the researcher’s approach.

How is the case study research method used in management education?

The case study method in research is widely used in management education to provide students with an in-depth understanding of real-world business situations and problems. This method is used to teach students how to analyze and solve complex business problems, and to develop critical thinking and decision-making skills.

There are several ways in which the case study research method is used in management education:

• Case studies as teaching tools : Case studies are used as teaching tools in management classrooms to provide students with a realistic understanding of the business world. Students read and analyze the case, and then discuss and debate the issues and problems presented in the case.
• Case analysis and problem-solving : Case studies are used to teach students how to analyze and solve complex business problems. Students are asked to identify the key issues and problems presented in the case and to develop and present solutions.
• Role-playing and simulation : Case studies are used in conjunction with role-playing and simulation exercises to provide students with hands-on experience in decision-making and problem-solving.
• Teamwork and collaboration : Case studies are often used to teach students the importance of teamwork and collaboration in business. Students work in teams to analyze and solve the problem presented in the case.
• Developing critical thinking : Case studies help students to develop critical thinking and problem-solving skills. Students learn to think critically and evaluate different options and alternatives by analyzing real-world business situations.
• Integrating theory and practice : Case studies help students to see how the theories and concepts they learn in class can be applied to real-world business problems, thus integrating theoretical knowledge with practical skills.

It’s important to note that case studies are not the only teaching method in management education and should be used in conjunction with other methods to provide a comprehensive learning experience.

What are some limitations of the case study research methodology?

The case study research methodology has some limitations, which include:

• Generalizability : One of the main limitations of case study research is that the findings may not be generalizable to other cases or situations. The case study method is designed to provide an in-depth understanding of a specific case, and the findings may not be applicable to other cases or situations.
• Bias : The researcher’s own bias can influence the design, data collection, and interpretation of the case study. To minimize bias, r esearchers should use triangulation and multiple data sources, and be transparent about their own perspectives and assumptions.
• Lack of control : The case study method is conducted in a natural setting, which means that the researcher has limited control over the variables being studied. This can make it difficult to establish cause-and-effect relationships.
• Time-consuming: The case study method can be time-consuming, as it requires the collection and analysis of large amounts of data.
• Complexity : The case study method in research can be complex, as it requires the researcher to understand the case in its broader social, historical, and cultural context. This can be challenging, as the researcher needs to have a good understanding of the field and the case being studied.
• Data saturation : It can be difficult to determine when data collection is complete, and when data saturation has been reached. It is also possible that the researcher may miss important information.
• Ethical issues : The case study method in research raises ethical issues such as protecting the participants’ privacy and obtaining informed consent. The researcher should ensure that they follow ethical guidelines and obtain the necessary permissions.
• Data interpretation : The interpretation of data collected during a case study method in research can be subjective. This can be addressed by using multiple data sources and methods, as well as by involving multiple researchers in the analysis.

It’s important to keep in mind that every research method has its own limitations, and it’s important to be aware of them and to consider alternative methods if the limitations outweigh the benefits of the case study method.

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• Open access
• Published: 27 June 2011

The case study approach

• Sarah Crowe 1 ,
• Kathrin Cresswell 2 ,
• Ann Robertson 2 ,
• Guro Huby 3 ,
• Anthony Avery 1 &
• Aziz Sheikh 2  

BMC Medical Research Methodology volume  11 , Article number:  100 ( 2011 ) Cite this article

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The case study approach allows in-depth, multi-faceted explorations of complex issues in their real-life settings. The value of the case study approach is well recognised in the fields of business, law and policy, but somewhat less so in health services research. Based on our experiences of conducting several health-related case studies, we reflect on the different types of case study design, the specific research questions this approach can help answer, the data sources that tend to be used, and the particular advantages and disadvantages of employing this methodological approach. The paper concludes with key pointers to aid those designing and appraising proposals for conducting case study research, and a checklist to help readers assess the quality of case study reports.

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Introduction

The case study approach is particularly useful to employ when there is a need to obtain an in-depth appreciation of an issue, event or phenomenon of interest, in its natural real-life context. Our aim in writing this piece is to provide insights into when to consider employing this approach and an overview of key methodological considerations in relation to the design, planning, analysis, interpretation and reporting of case studies.

The illustrative 'grand round', 'case report' and 'case series' have a long tradition in clinical practice and research. Presenting detailed critiques, typically of one or more patients, aims to provide insights into aspects of the clinical case and, in doing so, illustrate broader lessons that may be learnt. In research, the conceptually-related case study approach can be used, for example, to describe in detail a patient's episode of care, explore professional attitudes to and experiences of a new policy initiative or service development or more generally to 'investigate contemporary phenomena within its real-life context' [ 1 ]. Based on our experiences of conducting a range of case studies, we reflect on when to consider using this approach, discuss the key steps involved and illustrate, with examples, some of the practical challenges of attaining an in-depth understanding of a 'case' as an integrated whole. In keeping with previously published work, we acknowledge the importance of theory to underpin the design, selection, conduct and interpretation of case studies[ 2 ]. In so doing, we make passing reference to the different epistemological approaches used in case study research by key theoreticians and methodologists in this field of enquiry.

This paper is structured around the following main questions: What is a case study? What are case studies used for? How are case studies conducted? What are the potential pitfalls and how can these be avoided? We draw in particular on four of our own recently published examples of case studies (see Tables 1 , 2 , 3 and 4 ) and those of others to illustrate our discussion[ 3 – 7 ].

What is a case study?

A case study is a research approach that is used to generate an in-depth, multi-faceted understanding of a complex issue in its real-life context. It is an established research design that is used extensively in a wide variety of disciplines, particularly in the social sciences. A case study can be defined in a variety of ways (Table 5 ), the central tenet being the need to explore an event or phenomenon in depth and in its natural context. It is for this reason sometimes referred to as a "naturalistic" design; this is in contrast to an "experimental" design (such as a randomised controlled trial) in which the investigator seeks to exert control over and manipulate the variable(s) of interest.

Stake's work has been particularly influential in defining the case study approach to scientific enquiry. He has helpfully characterised three main types of case study: intrinsic , instrumental and collective [ 8 ]. An intrinsic case study is typically undertaken to learn about a unique phenomenon. The researcher should define the uniqueness of the phenomenon, which distinguishes it from all others. In contrast, the instrumental case study uses a particular case (some of which may be better than others) to gain a broader appreciation of an issue or phenomenon. The collective case study involves studying multiple cases simultaneously or sequentially in an attempt to generate a still broader appreciation of a particular issue.

These are however not necessarily mutually exclusive categories. In the first of our examples (Table 1 ), we undertook an intrinsic case study to investigate the issue of recruitment of minority ethnic people into the specific context of asthma research studies, but it developed into a instrumental case study through seeking to understand the issue of recruitment of these marginalised populations more generally, generating a number of the findings that are potentially transferable to other disease contexts[ 3 ]. In contrast, the other three examples (see Tables 2 , 3 and 4 ) employed collective case study designs to study the introduction of workforce reconfiguration in primary care, the implementation of electronic health records into hospitals, and to understand the ways in which healthcare students learn about patient safety considerations[ 4 – 6 ]. Although our study focusing on the introduction of General Practitioners with Specialist Interests (Table 2 ) was explicitly collective in design (four contrasting primary care organisations were studied), is was also instrumental in that this particular professional group was studied as an exemplar of the more general phenomenon of workforce redesign[ 4 ].

What are case studies used for?

According to Yin, case studies can be used to explain, describe or explore events or phenomena in the everyday contexts in which they occur[ 1 ]. These can, for example, help to understand and explain causal links and pathways resulting from a new policy initiative or service development (see Tables 2 and 3 , for example)[ 1 ]. In contrast to experimental designs, which seek to test a specific hypothesis through deliberately manipulating the environment (like, for example, in a randomised controlled trial giving a new drug to randomly selected individuals and then comparing outcomes with controls),[ 9 ] the case study approach lends itself well to capturing information on more explanatory ' how ', 'what' and ' why ' questions, such as ' how is the intervention being implemented and received on the ground?'. The case study approach can offer additional insights into what gaps exist in its delivery or why one implementation strategy might be chosen over another. This in turn can help develop or refine theory, as shown in our study of the teaching of patient safety in undergraduate curricula (Table 4 )[ 6 , 10 ]. Key questions to consider when selecting the most appropriate study design are whether it is desirable or indeed possible to undertake a formal experimental investigation in which individuals and/or organisations are allocated to an intervention or control arm? Or whether the wish is to obtain a more naturalistic understanding of an issue? The former is ideally studied using a controlled experimental design, whereas the latter is more appropriately studied using a case study design.

Case studies may be approached in different ways depending on the epistemological standpoint of the researcher, that is, whether they take a critical (questioning one's own and others' assumptions), interpretivist (trying to understand individual and shared social meanings) or positivist approach (orientating towards the criteria of natural sciences, such as focusing on generalisability considerations) (Table 6 ). Whilst such a schema can be conceptually helpful, it may be appropriate to draw on more than one approach in any case study, particularly in the context of conducting health services research. Doolin has, for example, noted that in the context of undertaking interpretative case studies, researchers can usefully draw on a critical, reflective perspective which seeks to take into account the wider social and political environment that has shaped the case[ 11 ].

How are case studies conducted?

Here, we focus on the main stages of research activity when planning and undertaking a case study; the crucial stages are: defining the case; selecting the case(s); collecting and analysing the data; interpreting data; and reporting the findings.

Defining the case

Carefully formulated research question(s), informed by the existing literature and a prior appreciation of the theoretical issues and setting(s), are all important in appropriately and succinctly defining the case[ 8 , 12 ]. Crucially, each case should have a pre-defined boundary which clarifies the nature and time period covered by the case study (i.e. its scope, beginning and end), the relevant social group, organisation or geographical area of interest to the investigator, the types of evidence to be collected, and the priorities for data collection and analysis (see Table 7 )[ 1 ]. A theory driven approach to defining the case may help generate knowledge that is potentially transferable to a range of clinical contexts and behaviours; using theory is also likely to result in a more informed appreciation of, for example, how and why interventions have succeeded or failed[ 13 ].

For example, in our evaluation of the introduction of electronic health records in English hospitals (Table 3 ), we defined our cases as the NHS Trusts that were receiving the new technology[ 5 ]. Our focus was on how the technology was being implemented. However, if the primary research interest had been on the social and organisational dimensions of implementation, we might have defined our case differently as a grouping of healthcare professionals (e.g. doctors and/or nurses). The precise beginning and end of the case may however prove difficult to define. Pursuing this same example, when does the process of implementation and adoption of an electronic health record system really begin or end? Such judgements will inevitably be influenced by a range of factors, including the research question, theory of interest, the scope and richness of the gathered data and the resources available to the research team.

Selecting the case(s)

The decision on how to select the case(s) to study is a very important one that merits some reflection. In an intrinsic case study, the case is selected on its own merits[ 8 ]. The case is selected not because it is representative of other cases, but because of its uniqueness, which is of genuine interest to the researchers. This was, for example, the case in our study of the recruitment of minority ethnic participants into asthma research (Table 1 ) as our earlier work had demonstrated the marginalisation of minority ethnic people with asthma, despite evidence of disproportionate asthma morbidity[ 14 , 15 ]. In another example of an intrinsic case study, Hellstrom et al.[ 16 ] studied an elderly married couple living with dementia to explore how dementia had impacted on their understanding of home, their everyday life and their relationships.

For an instrumental case study, selecting a "typical" case can work well[ 8 ]. In contrast to the intrinsic case study, the particular case which is chosen is of less importance than selecting a case that allows the researcher to investigate an issue or phenomenon. For example, in order to gain an understanding of doctors' responses to health policy initiatives, Som undertook an instrumental case study interviewing clinicians who had a range of responsibilities for clinical governance in one NHS acute hospital trust[ 17 ]. Sampling a "deviant" or "atypical" case may however prove even more informative, potentially enabling the researcher to identify causal processes, generate hypotheses and develop theory.

In collective or multiple case studies, a number of cases are carefully selected. This offers the advantage of allowing comparisons to be made across several cases and/or replication. Choosing a "typical" case may enable the findings to be generalised to theory (i.e. analytical generalisation) or to test theory by replicating the findings in a second or even a third case (i.e. replication logic)[ 1 ]. Yin suggests two or three literal replications (i.e. predicting similar results) if the theory is straightforward and five or more if the theory is more subtle. However, critics might argue that selecting 'cases' in this way is insufficiently reflexive and ill-suited to the complexities of contemporary healthcare organisations.

The selected case study site(s) should allow the research team access to the group of individuals, the organisation, the processes or whatever else constitutes the chosen unit of analysis for the study. Access is therefore a central consideration; the researcher needs to come to know the case study site(s) well and to work cooperatively with them. Selected cases need to be not only interesting but also hospitable to the inquiry [ 8 ] if they are to be informative and answer the research question(s). Case study sites may also be pre-selected for the researcher, with decisions being influenced by key stakeholders. For example, our selection of case study sites in the evaluation of the implementation and adoption of electronic health record systems (see Table 3 ) was heavily influenced by NHS Connecting for Health, the government agency that was responsible for overseeing the National Programme for Information Technology (NPfIT)[ 5 ]. This prominent stakeholder had already selected the NHS sites (through a competitive bidding process) to be early adopters of the electronic health record systems and had negotiated contracts that detailed the deployment timelines.

It is also important to consider in advance the likely burden and risks associated with participation for those who (or the site(s) which) comprise the case study. Of particular importance is the obligation for the researcher to think through the ethical implications of the study (e.g. the risk of inadvertently breaching anonymity or confidentiality) and to ensure that potential participants/participating sites are provided with sufficient information to make an informed choice about joining the study. The outcome of providing this information might be that the emotive burden associated with participation, or the organisational disruption associated with supporting the fieldwork, is considered so high that the individuals or sites decide against participation.

In our example of evaluating implementations of electronic health record systems, given the restricted number of early adopter sites available to us, we sought purposively to select a diverse range of implementation cases among those that were available[ 5 ]. We chose a mixture of teaching, non-teaching and Foundation Trust hospitals, and examples of each of the three electronic health record systems procured centrally by the NPfIT. At one recruited site, it quickly became apparent that access was problematic because of competing demands on that organisation. Recognising the importance of full access and co-operative working for generating rich data, the research team decided not to pursue work at that site and instead to focus on other recruited sites.

Collecting the data

In order to develop a thorough understanding of the case, the case study approach usually involves the collection of multiple sources of evidence, using a range of quantitative (e.g. questionnaires, audits and analysis of routinely collected healthcare data) and more commonly qualitative techniques (e.g. interviews, focus groups and observations). The use of multiple sources of data (data triangulation) has been advocated as a way of increasing the internal validity of a study (i.e. the extent to which the method is appropriate to answer the research question)[ 8 , 18 – 21 ]. An underlying assumption is that data collected in different ways should lead to similar conclusions, and approaching the same issue from different angles can help develop a holistic picture of the phenomenon (Table 2 )[ 4 ].

Brazier and colleagues used a mixed-methods case study approach to investigate the impact of a cancer care programme[ 22 ]. Here, quantitative measures were collected with questionnaires before, and five months after, the start of the intervention which did not yield any statistically significant results. Qualitative interviews with patients however helped provide an insight into potentially beneficial process-related aspects of the programme, such as greater, perceived patient involvement in care. The authors reported how this case study approach provided a number of contextual factors likely to influence the effectiveness of the intervention and which were not likely to have been obtained from quantitative methods alone.

In collective or multiple case studies, data collection needs to be flexible enough to allow a detailed description of each individual case to be developed (e.g. the nature of different cancer care programmes), before considering the emerging similarities and differences in cross-case comparisons (e.g. to explore why one programme is more effective than another). It is important that data sources from different cases are, where possible, broadly comparable for this purpose even though they may vary in nature and depth.

Analysing, interpreting and reporting case studies

Making sense and offering a coherent interpretation of the typically disparate sources of data (whether qualitative alone or together with quantitative) is far from straightforward. Repeated reviewing and sorting of the voluminous and detail-rich data are integral to the process of analysis. In collective case studies, it is helpful to analyse data relating to the individual component cases first, before making comparisons across cases. Attention needs to be paid to variations within each case and, where relevant, the relationship between different causes, effects and outcomes[ 23 ]. Data will need to be organised and coded to allow the key issues, both derived from the literature and emerging from the dataset, to be easily retrieved at a later stage. An initial coding frame can help capture these issues and can be applied systematically to the whole dataset with the aid of a qualitative data analysis software package.

The Framework approach is a practical approach, comprising of five stages (familiarisation; identifying a thematic framework; indexing; charting; mapping and interpretation) , to managing and analysing large datasets particularly if time is limited, as was the case in our study of recruitment of South Asians into asthma research (Table 1 )[ 3 , 24 ]. Theoretical frameworks may also play an important role in integrating different sources of data and examining emerging themes. For example, we drew on a socio-technical framework to help explain the connections between different elements - technology; people; and the organisational settings within which they worked - in our study of the introduction of electronic health record systems (Table 3 )[ 5 ]. Our study of patient safety in undergraduate curricula drew on an evaluation-based approach to design and analysis, which emphasised the importance of the academic, organisational and practice contexts through which students learn (Table 4 )[ 6 ].

Case study findings can have implications both for theory development and theory testing. They may establish, strengthen or weaken historical explanations of a case and, in certain circumstances, allow theoretical (as opposed to statistical) generalisation beyond the particular cases studied[ 12 ]. These theoretical lenses should not, however, constitute a strait-jacket and the cases should not be "forced to fit" the particular theoretical framework that is being employed.

When reporting findings, it is important to provide the reader with enough contextual information to understand the processes that were followed and how the conclusions were reached. In a collective case study, researchers may choose to present the findings from individual cases separately before amalgamating across cases. Care must be taken to ensure the anonymity of both case sites and individual participants (if agreed in advance) by allocating appropriate codes or withholding descriptors. In the example given in Table 3 , we decided against providing detailed information on the NHS sites and individual participants in order to avoid the risk of inadvertent disclosure of identities[ 5 , 25 ].

What are the potential pitfalls and how can these be avoided?

The case study approach is, as with all research, not without its limitations. When investigating the formal and informal ways undergraduate students learn about patient safety (Table 4 ), for example, we rapidly accumulated a large quantity of data. The volume of data, together with the time restrictions in place, impacted on the depth of analysis that was possible within the available resources. This highlights a more general point of the importance of avoiding the temptation to collect as much data as possible; adequate time also needs to be set aside for data analysis and interpretation of what are often highly complex datasets.

Case study research has sometimes been criticised for lacking scientific rigour and providing little basis for generalisation (i.e. producing findings that may be transferable to other settings)[ 1 ]. There are several ways to address these concerns, including: the use of theoretical sampling (i.e. drawing on a particular conceptual framework); respondent validation (i.e. participants checking emerging findings and the researcher's interpretation, and providing an opinion as to whether they feel these are accurate); and transparency throughout the research process (see Table 8 )[ 8 , 18 – 21 , 23 , 26 ]. Transparency can be achieved by describing in detail the steps involved in case selection, data collection, the reasons for the particular methods chosen, and the researcher's background and level of involvement (i.e. being explicit about how the researcher has influenced data collection and interpretation). Seeking potential, alternative explanations, and being explicit about how interpretations and conclusions were reached, help readers to judge the trustworthiness of the case study report. Stake provides a critique checklist for a case study report (Table 9 )[ 8 ].

Conclusions

The case study approach allows, amongst other things, critical events, interventions, policy developments and programme-based service reforms to be studied in detail in a real-life context. It should therefore be considered when an experimental design is either inappropriate to answer the research questions posed or impossible to undertake. Considering the frequency with which implementations of innovations are now taking place in healthcare settings and how well the case study approach lends itself to in-depth, complex health service research, we believe this approach should be more widely considered by researchers. Though inherently challenging, the research case study can, if carefully conceptualised and thoughtfully undertaken and reported, yield powerful insights into many important aspects of health and healthcare delivery.

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Acknowledgements

We are grateful to the participants and colleagues who contributed to the individual case studies that we have drawn on. This work received no direct funding, but it has been informed by projects funded by Asthma UK, the NHS Service Delivery Organisation, NHS Connecting for Health Evaluation Programme, and Patient Safety Research Portfolio. We would also like to thank the expert reviewers for their insightful and constructive feedback. Our thanks are also due to Dr. Allison Worth who commented on an earlier draft of this manuscript.

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AS conceived this article. SC, KC and AR wrote this paper with GH, AA and AS all commenting on various drafts. SC and AS are guarantors.

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Crowe, S., Cresswell, K., Robertson, A. et al. The case study approach. BMC Med Res Methodol 11 , 100 (2011). https://doi.org/10.1186/1471-2288-11-100

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What is a case study?

A case study is a type of research method. In case studies, the unit of analysis is a case . The case typically provides a detailed account of a situation that usually focuses on a conflict or complexity that one might encounter in the workplace.

• Case studies help explain the process by which a unit (a person, department, business, organization, industry, country, etc.) deals with the issue or problem confronting it, and offers possible solutions that can be applied to other units facing similar situations.
• The information presented in case studies is usually qualitative in nature - gathered through methods such as interview, observation, and document collection.
• There are different types of case study, including  intrinsic, instrumental, naturalistic,  and  pragmatic.

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• Volume 14, Issue 3
• What impact has the Centre of Research Excellence in Digestive Health made in the field of gastrointestinal health in Australia and internationally? Study protocol for impact evaluation using the FAIT framework
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• http://orcid.org/0000-0002-8647-5933 Natasha Koloski 1 , 2 , 3 ,
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• http://orcid.org/0000-0003-1374-5565 Shanthi Ann Ramanathan 1 , 4 ,
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• Nicholas J Talley 1 , 4
• 1 School of Medicine and Public Health , University of Newcastle , Callaghan , New South Wales , Australia
• 2 School of Health & Behavioural Sciences , University of Queensland , St Lucia , Queensland , Australia
• 3 Department of Gastroenterology & Hepatology , Princess Alexandra Hospital , Woolloongabba , Queensland , Australia
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• Correspondence to Nicholas J Talley; nicholas.talley{at}newcastle.edu.au

Introduction The need for public research funding to be more accountable and demonstrate impact beyond typical academic outputs is increasing. This is particularly challenging and the science behind this form of research is in its infancy when applied to collaborative research funding such as that provided by the Australian National Health and Medical Research Council to the Centre for Research Excellence in Digestive Health (CRE-DH).

Methods and analysis In this paper, we describe the protocol for applying the Framework to Assess the Impact from Translational health research to the CRE-DH. The study design involves a five-stage sequential mixed-method approach. In phase I, we developed an impact programme logic model to map the pathway to impact and establish key domains of benefit such as knowledge advancement, capacity building, clinical implementation, policy and legislation, community and economic impacts. In phase 2, we have identified and selected appropriate, measurable and timely impact indicators for each of these domains and established a data plan to capture the necessary data. Phase 3 will develop a model for cost–consequence analysis and identification of relevant data for microcosting and valuation of consequences. In phase 4, we will determine selected case studies to include in the narrative whereas phase 5 involves collation, data analysis and completion of the reporting of impact.

We expect this impact evaluation to comprehensively describe the contribution of the CRE-DH for intentional activity over the CRE-DH lifespan and beyond to improve outcomes for people suffering with chronic and debilitating digestive disorders.

Ethics and dissemination This impact evaluation study has been registered with the Hunter New England Human Research Ethics Committee as project 2024/PID00336 and ethics application 2024/ETH00290. Results of this study will be disseminated via medical conferences, peer-reviewed publications, policy submissions, direct communication with relevant stakeholders, media and social media channels such as X (formely Twitter).

• Protocols & guidelines
• Irritable Bowel Syndrome
• Inflammatory bowel disease

This is an open access article distributed in accordance with the Creative Commons Attribution Non Commercial (CC BY-NC 4.0) license, which permits others to distribute, remix, adapt, build upon this work non-commercially, and license their derivative works on different terms, provided the original work is properly cited, appropriate credit is given, any changes made indicated, and the use is non-commercial. See:  http://creativecommons.org/licenses/by-nc/4.0/ .

https://doi.org/10.1136/bmjopen-2023-076839

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STRENGTHS AND LIMITATIONS OF THIS STUDY

This protocol provides a prospective view of the application of the Framework to Assess the Impact of Translational health research to the Centre for Research Excellence in Digestive Health (CRE-DH with the explicit aim of optimising research impact and providing direction for future digestive health planning and prioritisation.

This protocol describes three validated methods of impact assessment including the Payback Framework that describes impact using quantified metrics in different domains, economic analyses to quantify the return on research investment and narratives to describe the pathway to impact and provide qualitative evidence of impact.

There is always a lag in the health research translation process resulting in delays in reporting the full extent of research impact. This lag will limit the reporting of the longer-term benefits of the CRE-DH, for which evidence will not be available.

Introduction

Chronic gastrointestinal (GI) diseases are a major health burden in Australia and worldwide. 1 2 More than one-third of Australians experience chronic or relapsing unexplained GI symptoms. 3 4 In half of these cases, symptoms are serious enough to require a medical consultation usually at a general practitioner clinic or an emergency department. These cases also currently make up half of all referrals to GI specialists. 5 For the majority of cases, however, no structural or biochemical abnormality is found after comprehensive and costly diagnostic workup resulting in a diagnosis of a disorder of gut-brain interaction (DGBI) most notably irritable bowel syndrome (IBS) or functional dyspepsia. 6 7 Currently, there is no cure and for DGBIs treatment approaches are suboptimal, leading to frequent healthcare consultations by these patients. 8 IBS alone has been estimated to cost more than US$41 billion annually in the USA. 2 For other chronic GI conditions, including gastro-oesophageal reflux disease and inflammatory bowel disease (IBD), the prevalence is increasing, placing pressure on the healthcare system. 9 10 Chronic GI diseases are also associated with significantly impaired quality of life, reduced work productivity, work absenteeism, relationship problems, higher levels of psychological distress and extraintestinal symptoms. 11–16

While there have been impressive advancements into the underlying pathology of chronic GI diseases in recent years, 17 18 there have been delays in the development of novel, pathology-based, subtyping of DGBI to facilitate improved integrated care and rationalised therapeutic strategies in clinical practice. This critical need was recognised by the Australian National Health and Medical Research Council (NHMRC) which funded the Centre for Research Excellence in Digestive Health (CRE-DH) from 2019 to 2024. The CRE’s vision is to advance the understanding, identification and treatment of chronic digestive diseases by implementing a risk-based and pathophysiology-based categorisation of patients and targeted treatments that are suitable for all sectors of the healthcare system (including primary care).

The specific objectives of the CRE scheme are to improve health-related outcomes and enhance translation of research outcomes into policy and/or practice while also building capacity in the health and medical research workforce. 19 This is aligned with the NHMRC definition of the impact of research as ‘the verifiable outcomes that research makes to knowledge, health, the economy and/or society, and not the prospective or anticipated effects of the research’. 20 However, the NHMRC also recognises that ‘the relationship between research and impact is often indirect, non-linear and not well understood and depends on complex interactions and collaboration across the health innovation system. 20 ’ This emphasis on research impact arises from the growing pressure on grant funding bodies to be accountable for taxpayer-funded research and provide evidence of the wider benefits of research above and beyond traditional academic outputs (eg, publications). Examples include evidence of translation to new drugs and devices, changes to policy and practice and ultimately the social and economic impacts on society including the return on research investment, in order to support continued research funding.

In light of the complexities involved in assessing the impact from research, a myriad of Research Impact Assessment Frameworks (RIAFs) have been developed that provide a conceptual framework and methods against which the translation and impact of research can be assessed. 21 22 However, most RIAFs tend to focus on specific research studies rather than research programmes such as CREs and are typically used retrospectively to justify past research investments. In contrast, the Framework to Assess the Impact from Translational health research (FAIT), developed by a team of health economists and health and medical researchers from the Hunter Medical Research Institute, is prospective in design and incorporates monitoring and feedback with the specific aim of increasing translation and impact. 23 Ramanathan et al applied FAIT to the CRE in Stroke Rehabilitation and Brain Recovery and assessed its validity and feasibility. 24 Overall, they found FAIT allowed a wide range of impacts to be reliably reported beyond the standard academic achievements. Thus, to take advantage of FAIT’s comprehensive design and prospective application, and allow for better benchmarking with other CREs, we have selected FAIT to assess the impact of the CRE-DH. This paper describes the protocol of a mixed methods study to:

Demonstrate the research impact and monetise the return on investment in the CRE-DH.

Provide a prospective view of optimising research impact.

Assess the suitability of FAIT.

The anticipated outcomes will be greater transparency and translation of research within CRE-DH, and the data will set the direction for future digestive health planning and prioritisation. In addition, this paper will contribute to this growing area of research impact assessment.

We prospectively applied FAIT to measure the impact of the CRE-DH. FAIT incorporates three validated methods of impact assessment. The Payback Framework describes impact within domains of benefit. Within FAIT, it has been modified to capture impact using quantitative indicators rather than qualitative data. Economic analyses are applied to quantify the return on research investment and narratives are used to describe the pathway to impact and provide qualitative evidence of impact. The assessment of the suitability of FAIT will take the form of a facilitated discussion among authors, at the conclusion of the impact evaluation, to identify the strengths and limitations of FAIT in the context of its application to the CRE and to make suggestions, if appropriate, for its future application

Details of FAIT have been previously published. 23

The setting is the CRE-DH, which is composed of senior, mid-career, early career and student researchers, clinicians, consumers and other key stakeholders in the fields of gastroenterology, immunology, microbiology, epidemiology, dietetics, psychology and biostatistics primarily from four major research centres across Australia. These include the University of Newcastle and Macquarie University in New South Wales, Princess Alexandra Hospital and University of Queensland in Queensland, and Monash University in Victoria, along with substantial international contributions from the University of Leuven in Belgium, McMaster University in Canada, Mayo Clinic in USA and Kings College in the UK. The CRE-DH researchers pool their highly complementary expertise and capabilities for projects within the CRE-DH, which facilitates recruitment of large representative patient cohorts, the availability of cutting-edge methodologies and translation of findings into practice and policy. The CRE-DH was funded ($A2.5 million) from 2019 to 2024.

Participants

These include a mix of experienced, early career and student researchers associated with the CRE-DH and end users of the findings and outputs of the CRE-DH including other DGBI researchers, patients, consumers more broadly, clinicians, health services, policy-makers and industry partners.

Patient and public involvement

Development of the FAIT model involved extensive and broad end user engagement including interviews with the following key stakeholder groups—researchers from across the research spectrum, multiple Australian medical research institutes, health and medical research funders including the NHMRC, Australian Research Council, The Medical Research Futures Fund, NSW Office for Health and Medical Research, Brunel University, UK and Karolinska Institute, Sweden who were leaders in the field at the time and policy-makers. All interviews were conducted by staff from the Health Economics and Impact team at HMRI and covered attitudes to impact measurements, barriers and enablers, what was being done at the time and opinions about what should be done. There was a diversity of views and differences which were reconciled by designing a comprehensive framework (FAIT) that addressed all their needs. There is an absolute bias to selecting and reporting metrics for which there are data and this is addressed by impact planning that ensures as much data as possible is collected from the start. Other ways this bias is mitigated is by expressing the limitations and bias inherent in an impact assessment framework like FAIT.

This was supplemented by broad consumer representation on the CRE-DH advisory board that provided feedback at all stages of CRE-DH impact framework development. The use of the existing Payback domains and input from consumers with a range of conditions and experiences will ensure that the metrics selected reflect a broad range of potential impacts beyond academic impacts.

The study involves a five-stage sequential mixed method design, summarised as follows:

Phase 1: Development of a programme logic model (PLM) to map the pathway to impact and establish domains of benefit and aspirational impacts.

Phase 2: Identifying and selecting appropriate, measurable and timely impact indicators for each of these domains and establishing a data plan to capture the necessary data.

Phase 3: Developing a model for the cost–consequence analysis and identification of relevant data for micro costing and valuation of consequences (where appropriate).

Phase 4: Determining selected case studies to include in the narrative including the data collection for these.

Phase 5: Collation, data analysis and completion of the reporting of impact using the three methods.

Phase 1: development of a logic model to map the pathway to impact and establish domains of benefit

A PLM is a critical component of any FAIT impact assessment. The PLM used in FAIT is a map that follows the pathway from the need for the CRE through its aims, activities, outputs and aspirational impacts. The CRE-DH logic model ( figure 1 ) shows how the needs and aims drive CRE activities. These activities should produce outputs that, when used by an end user, creates an opportunity for the generation of impact. These impacts are articulated as both short-term and medium-long-term impacts under broad domains of benefit such as impacts on knowledge advancement, capacity building, clinical implementation, policy legislation, community and economic impacts. While the PLM appears linear, its application over the lifetime of the CRE-DH will most likely be non-linear and subject to change.

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Logic model for the CRE-DH. CRE-DH, Centre for Research Excellence in Digestive Health; DGBI, disorder of gut brain interaction; GI, gastrointestinal; QOL, quality of life; TGA, Therapeutic Goods Administratio; EMCR, Early/Mid career researchers

Phase 2: identifying and selecting appropriate, measurable and timely impact indicators for each of these domains and establishing a data plan to capture the necessary data

The PLM ( figure 1 ) identifies the Payback domains of benefits under which the CRE’s impact will be assessed. Impact metrics have been developed and customised for the CRE-DH taking into account their appropriateness for the CRE-DH and its aims and their ability to be measured in a timely manner. Table 1 shows the list of Payback metrics under each domain for which evidence is captured.

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Payback metrics table for the CRE-DH

Routine monitoring of implementation embedded into each project stream

The purpose of this data collection method is to collect quantitative data to monitor and measure the impact of specific studies within the CRE-DH and its capacity building and translational activities. Initial data collection involves annual distribution of a CRE-DH impact data survey via REDCap to chief investigators and associate investigators to be populated for all their CRE-DH affiliated researchers. Results of the survey are being collated into an Excel file that includes individual spreadsheets that are aligned with impact indicators. Additional data are being retrieved from available sources including publicly available online data from researchers’ university profiles, data collected for triannual CRE-DH advisory board meetings, through ethics systems, publication tracking and evaluation of CRE-DH organised capacity building and translational activities. The Excel spreadsheets for each project stream are being emailed annually to each CI to add any data that has not been captured using the above methods.

Reports during the regular team meetings

This data collection method aims to collect quantitative and qualitative data to monitor and measure the translation, implementation and impact of CRE-DH that are not obtained from routine monitoring. The data are collected online by accessing the recorded monthly CRE-DH meeting minutes and added to project stream spreadsheets or flagged for further discussion in semistructured interviews for vignettes or case study examples of CRE-DH impact, described as part of phase 4.

Phase 3: developing a model for the cost–consequence analysis and identification of relevant data for microcosting and valuation of consequences (where appropriate)

To determine whether the cost associated with the delivery and participation in activities associated with the CRE-DH and the consequences achieved represent a good return on investment, a cost–consequence analysis will be undertaken. 25

First, we will detail out the activities funded by the NHMRC investment. Second, we will microcost any activity and other costs not covered by the US$2.5 million NHMRC research investment and add these to the NHMRC investment as implementation costs. This will include costing all in-kind investigator time and capacity building participation time not directly funded by the CRE monies.

Microcosting data will involve a log of all intervention activities including the individual’s involved, their roles and wages and the time taken for implementation. Other resources such as travel and consumables will also be costed. The proportion of cost attributable to CRE-DH activity will be estimated where feasible.

In collaboration with the lead investigators of the CRE-DH, the consequences of the CRE-DH will be established including the consequences that cannot be monetised and appear in their natural units in the Payback metrics table. For those consequences that can be monetised, economic methods will be employed to adequately monetise their value and determine the appropriate level of attribution to the CRE-DH. This will include a search of the literature for established values for these consequences (where they occur), clearly defined assumptions about these values and sensitivity analyses to account for any variance in these values. Given that CRE-DH activity will be occurring concurrently with other research activities supported by the research institutions from which CRE-DH researchers are affiliated, attribution of consequences (eg, leveraged funding) will take this into account. Where practical, researchers will be asked for their own assessment of CRE-DH attribution to a particular consequence or a conservative attribution percentage will be applied to avoid overclaiming the consequences and impacts of CRE-DH. All values will be converted into Australian dollars and valued in the year that the final analysis is conducted.

Phase 4: determining selected case studies to include in the narrative including the data collection for these

During the course of the CRE-DH, the pathways to adoption of the outputs will be documented by the team and team meetings will be used to highlight potential case studies that can be developed to demonstrate outstanding impacts of the CRE-DH or case studies that describe key learnings. Semistructured interviews will be conducted to collect relevant data that will inform these case studies. It is anticipated that these interviews will be with CRE-DH researchers and key end users, where appropriate.

Semistructured interviews involving CRE-DH staff, collaborative investigators, advisory group members and other key stakeholders

Qualitative data will be collected, to provide context and a richer, more comprehensive overall understanding of the impact of the CRE-DH. Topics of interest will be flagged through the quantitative data collection and in meeting discussions, based on the underlying question of ‘How did this publication, conference presentation, collaboration, capacity building activity or project lead to an impactful outcome that would not have been achieved without the CRE-DH?’ Interviews will be facilitated by the HMRI FAIT team, who have expertise in qualitative data collection for impact evaluation. These data will be narratively synthesised and triangulated with quantitative data and incorporated into impact evaluation reporting within the narrative method and include specific quotes from the researchers and end-users.

Impact assessment data will be collected for the 5-year period from November 2019 to October 2024.

Phase 5: collation, data analysis and completion of the reporting of impact using the three FAIT methods

The data collected over the course of the CRE-DH using the various methods described above will be reported using the FAIT scorecard format. 23

Results for the metrics table will be collated and where bibliometric results are required, a cut-off date will be established after which time, the results will not be updated. The cost–consequence will be reported by way of a cost–consequence table that will only include the consequences that can be monetised. Other consequences will be reported in their natural units in the Payback metrics tables. The narratives will be reported as vignettes highlighting some of the outstanding achievements of the CRE-DH including the pathway to translation and impact.

Ethics and dissemination

This impact evaluation study has been registered with Hunter New England Human Research Ethics Committee as project 2024/PID00336 and ethics application 2024/ETH00290. Results of this study will be disseminated via medical conferences, peer-reviewed publications, policy submissions, direct communication with relevant stakeholders, media and social media channels such as X (formerly Twitter).

This protocol aims to define and describe processes to collect, collate and synthesise data for the CRE-DH to evaluate the impact of the CRE-DH from inception in November 2019 to final data collection in mid-2024 for reporting of outcomes in October 2024. We plan to operationalise this protocol as a mixed-methods study by applying a PLM to the original aims and needs identified in our CRE-DH application, to use that modelling to review CRE-DH progress towards our aims, and to inform prospective direction for the CRE-DH based on ongoing progress and at specified annual data collection review time points. Therefore, our impact evaluation will be an organic, prospective, informative and responsive process, as well as providing an overall final and retrospective account of CRE-DH impact by the end of 2024. Impact will be reported and used to inform future funding applications and direction for digestive health research in Australia, and position the CI, AI and affiliate team as leaders in the field internationally. This impact evaluation will also inform future directions for DGBI and other digestive diseases research, which we expect to overlap and integrate more with related fields such as immune and microbiome research in coming years. The prospective design of our impact evaluation will facilitate expansion into new fields throughout the life of the CRE-DH, which will enhance translation potential, impact and transformative research and clinical practice change.

Although, there are other frameworks from various medical fields 26 to assess evaluation of research outcomes, this evaluation applied the FAIT to the CRE-DH with the explicit aim of optimising research impact and providing direction for future digestive health planning and prioritisation.

Despite the benefits of comprehensively assessing the impact of the CRE-DH using three distinct methods namely quantified impact metrics, a cost–consequence analysis and a narrative of the impact there are some potential risks and limitations. These include (1) Lag in translation could impact on the ability to capture and demonstrate longer-term impacts. (2) Data collection for impact reporting while feasible, does require additional commitment by CRE partners to ensure it is comprehensive and complete. Therefore, this could be seen as an added administrative burden and may not be completed as required. However, the desire to continue the collaboration and the fact that CRE affiliates have been engaged with the impact assessment from the start should provide a counterbalance to the burden. The inclusion of the HMRI Research Impact Team as expert advisors will also ensure that multiple strategies previously used in other CRE impact assessments are employed to enhance data collection. (3) Attribution of impacts is challenging and will have to rely on researchers to attribute the contribution of CRE-DH to a particular consequence. (4) Selection of case studies means other potential impact stories may be foregone.

The novelty of this work is that the application of FAIT is still very much in its infancy with only two protocol papers (both using very different framings for the application) 24 27 and only one results paper published. 28 There is still much to learn and reflect on in the application of such a comprehensive framework, and this protocol paper will provide a useful roadmap for other GI research collaborations planning formal impact evaluations. A deepened understanding about what enhances the impact of a CRE will only be possible when we have benchmarked protocols and outcomes. We will then have the ability to undertake meta-analyses to ascertain what works under what circumstances in order to further enhance the impact in a large and complex research collaborative such as a CRE. Contribution to a larger bank of metrics will give visibility to the potential capacity and capability impacts from CREs.

This study will capture outputs and impacts that have been initiated or enhanced as a result of the CRE-DH’s collaborative efforts of basic scientists, allied health and medical clinician researchers, translational scientists, consumers and advisors across the spectrum from animal, preclinical laboratory research to health service delivery from acute to integrated and primary care settings. All costs for CRE-DH activity will be valued and where possible, the economic analysis will monetise reportable CRE-DH outcomes and impacts. If this is not possible, these impacts will be reported in their natural units. We expect this impact evaluation to comprehensively describe the contribution of the CRE-DH to a range of impacts including any improved outcomes for people suffering with chronic and debilitating digestive disorders. The impact evaluation will inform future directions for digestive health research and assessment of its impact.

Ethics statements

Patient consent for publication.

Not applicable.

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Twitter @Ramanathan

Contributors NK was involved in conceptualisation, methodology, project administration, writing of the original draft, revisions and editing. KD contributed to conceptualisation, writing of the original draft,revisions and editing. SAR was involved in the conceptualisation, methodology and writing of the original draft. MR, GH and NT were involved in the writing of the original draft, revisions and editing. In addition, GH and NT were involved in funding acquisition and resources.

Funding This work was supported by National Health and Medical Research Council of Australia, APP1170893.

Competing interests NK, KD, SAR and MR disclose no conflicts. NT is Emeritus Editor-in-Chief of Medical Journal of Australia, Section Editor of Up to Date and has research collaborations with Intrinsic Medicine (human milk oligosaccharide), Alimentry (gastric mapping) and is a consultant for Agency for Health Care Research and Quality (fiber and laxation), outside the submitted work. In addition, he has licenced Nepean Dyspepsia Index (NDI) to MAPI, and Talley Bowel Disease Questionnaire licensed to Mayo/Talley, 'Diagnostic marker for functional gastrointestinal disorders' Australian Provisional Patent Application 2021901692, 'Methods and compositions for treating age-related neurodegenerative disease associated with dysbiosis' US Patent Application No. 63/537,725. GH received unrestricted educational support from the Falk Foundation. Research support was provided via the Princess Alexandra Hospital, Brisbane by GI Therapies, Takeda Development Center Asia, Eli Lilly Australia, F. Hoffmann-La Roche, MedImmune, Celgene, Celgene International II Sarl, Gilead Sciences, Quintiles, Vital Food Processors, Datapharm Australia Commonwealth Laboratories, Prometheus Laboratories, FALK GmbH & Co KG, Nestle, Mylan and Allergan (prior to acquisition by AbbVie). GH is also a patent holder for a biopsy device to take aseptic biopsies (US 20150320407 A1).

Patient and public involvement Patients and/or the public were involved in the design, or conduct, or reporting, or dissemination plans of this research. Refer to the Methods section for further details.

Provenance and peer review Not commissioned; externally peer reviewed.

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Amplifying Indigenous Voices in Decolonial Research: A Case Study of West Papua

• By: Camellia Webb-Gannon
• Product: Sage Research Methods: Diversifying and Decolonizing Research
• Publisher: SAGE Publications Ltd
• Publication year: 2024
• Online pub date: March 21, 2024
• Discipline: Political Science and International Relations
• Methods: Case study research , Ethnography , Participant observation
• DOI: https:// doi. org/10.4135/9781529683387
• Keywords: decolonization , knowledge , movement , Papua New Guinea Show all Show less
• Online ISBN: 9781529683387 Copyright: © 2024 SAGE Publications Ltd More information Less information

This case study is based on an advocacy research project exploring the politics of decolonization within the West Papuan independence movement. To carry out the research, I undertook semistructured interviews with more than 70 West Papuan activists living in West Papua and in diaspora and participated in a sustained activist/advocacy program for a decolonized West Papua. This case study outlines the ways in which I have engaged with West Papuans’ accounts of their decolonization struggle and worked to use my positionality as an Australian researcher to amplify West Papuan voices as they assert their right to self-determination. It highlights challenges I encountered along the way and foregrounds the extraordinary generosity and courage of the West Papuan people who have shared their stories with me.

Learning Outcomes

By the end of this case study, readers should be able to

• identify key ethical considerations involved in carrying out decolonization or decolonial-related research.
• evaluate their own positionality in relation to various decolonization or decolonial research projects.
• propose ways in which they can use research processes and outputs to support decolonization and/or decoloniality.

Project Overview and Context

I stood at the head of a long table, around which were seated 15 of West Papua’s most esteemed leaders. Among those present were the supreme commander of the West Papuan guerrilla army, Richard Yoweni, and senior West Papuan diplomats Otto Ondawame and Rex Rumakiek, who had traveled the world for decades campaigning for self-determination. It was a humid afternoon in Port Vila, Vanuatu, in 2008, and the heads of (most of) West Papua’s preeminent independence-seeking organizations had gathered to determine how they might work together as a unified coalition (the West Papua National Coalition for Liberation). My PhD supervisor, Peter King, a recognized expert on West Papuan politics, had been invited to observe this landmark meeting, but he had asked whether he could send me in his stead. The leaders in the room wanted to know why I was there. My mouth felt dry, and my heart was hammering. What could I say to justify my presence at this summit of powerful political figures? I explained that I had grown up in Papua New Guinea and so was very interested in the Melanesian region, had worked briefly in East Timor and so was well versed in the effects of Indonesian nationalism and colonialism, and because of these experiences, wanted to better understand the West Papuan self-determination movement by making it the subject of my PhD research. What did they think about this, I asked?

West Papua has been under Indonesian military occupation since 1962. The territory’s previous colonizer, the Dutch, had buckled under pressure from the United States to hand over administration of West Papua to the expansionist regime of the highly nationalistic president of Indonesia, Sukarno. This was to avoid Indonesia seeking communist assistance in order to wrest from the Dutch the western half of the island of New Guinea, which Indonesia considered to be part of its own sovereign territory. Indonesia (formerly the Dutch East Indies) also had been a Dutch colony, and Indonesia authorities purported that Indonesian state borders should encompass all Dutch colonial territory in the region. The United Nations was responsible for overseeing a referendum in 1969 in which West Papuans were to cast a vote for independence or permanent Indonesian annexation. The Indonesian military hand-picked 1025 West Papuans to vote, threatening them with violence if they chose independence. The United Nations turned a blind eye to the sham plebiscite, and from that time on, the international community has largely considered West Papua to be part of the Indonesian state. Since that time, West Papuans have been subject to crimes against humanity and what they call a “slow-motion genocide” ( Elmslie & Webb-Gannon 2013 ) at the hand of Indonesian security forces. They have carried out a six-decades-long campaign for decolonization from Indonesia.

When I had finished pleading my case for my presence at the West Papua National Coalition for Liberation summit to its leaders, requesting their permission to observe the meeting, I was met with silence and averted gazes. After a long moment, one elder at the table explained to me that the group had had plenty of experience in previous decades of researchers and journalists wanting to write about their struggle only to disappear shortly thereafter with no discernible benefits from their publications for West Papuans. Indeed, published portrayals of Melanesian people in the past three decades have often primitivized and exoticized them while maligning their political frameworks and struggles (see Kabutaulaka 2015 , pp. 118–119). Do not collect our stories, obtain your PhD, and forget about us, the leaders in front of me cautioned. Anthropologist Eben Kirsksey was similarly warned by a prospective research participant during a fieldwork encounter: “Don’t use your data as a pillow and go to sleep when you get back to America. . . . Don’t just use this as a bridge to your own professional opportunities” ( Kirksey, 2009 , p. 149; on this point, see also Smith, 1999 , pp. 24–25). It was clear to me that I would need to earn my place as an observer at that table and as a researcher and ally of the movement. It was at that moment that I made a commitment to myself and to the group in the room that my research would be academic and activist—part of a greater solidarity effort to work alongside West Papuans for decolonization—if and for as long as those present thought this would be useful.

Tunisian decolonization writer Albert Memmi recognized “what help to fighting [people] the simple, ordered description of their misery and humiliation could be . . . [and] how explosive the objective revelation to the colonized and the colonizer of an essentially explosive condition could be” ( Memmi, 1965 , p. x). As I have expressed elsewhere, it is my hope that my ethnography (written field observations and analysis of interview data), often pared back to take the form of a “simple and ordered description” of West Papuans’ struggle and unflagging agency, can be of assistance to the West Papuan pursuit of decolonization ( Webb-Gannon, 2021 ).

Section Summary

• Your interlocutors and their communities may well ask you to justify your reasons for undertaking decolonization-focused research—be prepared to state these.
• Embarking on decolonization-focused research requires a positionality regarding your research topic that commits you to “taking the side” of the oppressed to work for justice.
• Do not assume that your presence and research will be welcome. Consider it a privilege, if invited to do so, to develop relationships with the people and communities you are researching alongside. This can take time.

Research Design

Decolonial research acknowledges that although a place and its peoples may not have been formally colonized or, in contrast, may have been formally de colonized, it may still be subject to the power matrix of coloniality , that is, the “intersectionality of multiple and heterogeneous global hierarchies . . . [including] sexual, political, epistemic, economic, spiritual, linguistic and racial forms of domination and exploitation” ( Grosfoguel, 2011 , p. 17). Decolonial research involves using research methods that emphasize the sovereignty of colonized and/or colonialized peoples and that recognizes the expertise of research participants as coproducers of knowledge, as central agents in their decolonization struggles, and as the owners of their own stories.

To undertake research about decolonization in a decolonial way (following methods that avoid imposing coloniality and that may be able to effect decolonial change), I decided to employ ethnographic methods that would afford me opportunities to “bear witness” ( Kirsch, 2010 , p. 58; Scheper-Hughes, 1995) to the colonial violence West Papuans had survived and continued to endure. These methods included participant observation (carrying out advocacy for self-determination together with West Papuans) and semistructured interviews to document and then amplify West Papuan stories, ideas, and aspirations. There is a prevalent essentialist colonialist narrative that the West Papuan decolonization movement is hopelessly mired in debilitating internal conflict, a result, at least in part, it has been asserted, of innate Melanesian social-cultural disunity (on this, see Webb-Gannon, 2021 , p. 15; McGibbon, 2004 , pp. 27–28; Sidik, 2018 ). I would present what I had learned to support a contrapuntal perspective to this narrative. This endeavor would require me to take a partial rather than a neutral stance in my ethnographic account of the West Papuan movement for self-determination—to analyze and speak out against the unjust power differential between the Indonesian establishment and the West Papuans resisting colonialism.

To situate my research as decolonial, I undertook to ensure that

• 1. its guiding research question was developed through conversation with West Papuans and was one that West Papuans wanted addressed and believed they would benefit from. This question, broadly, asked how might the West Papuan decolonization movement become more strategically unified to accomplish its decolonization goals.
• 2. the knowledge that my research participants and I coproduced would be publicly available as resources so that any decolonial insights could be leveraged by West Papuans and others with similar goals.
• 3. I would be reflexive about my own positionality as a non-Indigenous researcher to avoid reproducing structures of coloniality by establishing myself as an “expert” and West Papuan research participants as “subjects.”

Taking on political leadership positions in West Papua is dangerous (prominent leaders have experienced imprisonment and/or assassination; Budiardjo, 2010). To escape such dangers, many West Papuan leaders and communities have sought refuge around the world. As a result, my research involved interviews with Papuan leaders and diaspora communities in Papua New Guinea, Indonesia, Vanuatu, Australia, the Netherlands, Sweden, and England. While I attempted to individualize interview questions to some extent based on what I knew of participants’ biographies in advance, the sheer range of experiences of people who participated in my study (living in seven countries and representing at least three generations) required that the interviews be at least partially unstructured to capture the depth and richness of the diversity of participants. More than 70 West Papuan decolonization leaders took part in the research project. The criterion for West Papuan research participants was that they must be community-recognized leaders working toward decolonization from a political, cultural, religious, gender-focused, or other self-identified perspective. To make contact with participants, I used previously established connections with West Papuans and advocacy groups in Australia and worked within their networks using a snowballing approach.

I was fortunate in 2008 to be accepted as a volunteer on a social-cultural visa for 6 weeks in Merauke, West Papua, by two local human rights organizations. Having professional experience in the development sector in HIV prevention, I was able to assist these organizations to provide education in sex-work venues, with community health initiatives in nearby villages, and with the preparation of funding proposals. After this work was completed, I was given an opportunity to attend a week-long nonviolence campaign development workshop in Sentani, West Papua, for young women, hosted by the Jayapura (capital of Papua Province) counterpart of one of the organizations with which I had volunteered in Merauke. During this time, news spread by word of mouth concerning the research project on decolonization in West Papua I was undertaking, and many people made opportunities to share their perspectives with me in locations they deemed safe or at my own lodgings in the evenings. Following the conclusion of the workshop, I took some time to travel to the highlands town of Wamena and then to visit with several West Papuan friends I had made in Jayapura. These experiences in West Papua and with diaspora groups provided me with opportunities for participant observation.

• Ensure that your research objective is established in consultation with your research participants.
• Use your decolonial objective to guide your research design, including your selection of research methods.
• Take opportunities to contribute your own skills and resources to the communities with which you are researching.

Research Practicalities

Ethical considerations were paramount during the entire research process. I continually needed to weigh the ethical benefits of documenting important but frequently overlooked perspectives to fulfill the decolonial objective of the research project while being aware that I was carrying out research in the context of a military regime (this was particularly so in West Papua but also in Papua New Guinea given its proximity to West Papua). I had to be circumspect about how, where, and how much I communicated about my research to protect the people entrusting me with their stories. In contrast to a more traditional ethnographic study, due to the nature of my research objective (to work in solidarity with West Papuans toward decolonization), it was not safe for me to spend extended periods of time in West Papua. I was cognizant at all times of keeping data (i.e., recorded interviews, fieldnotes, and photographs) confidential by coding file names and by carrying digital interview files and fieldnotes on my person rather than leaving them in my lodgings and out of my sight.

I was conscious of the formal underrepresentation of women’s voices as I carried out interviews with West Papuans in various locations. Most of my initial contacts were men who, in turn, generally referred me to other male participants. Within West Papua’s patriarchal societies, as in some other Melanesian societies, women occupy fewer formal leadership positions than men ( White, 2007 , p. 12; Macintyre, 2000, p. 146). This holds true within the West Papuan decolonization movement, too. In mixed-gender group interviews, women tended to be more reluctant to speak. In casual settings, though, because of my female gender, I formed closer relationships with women and developed greater insight into their daily living conditions and decolonization aspirations than I did with men, even though I was not able to formally interview as many women.

Another challenge I faced in my research at times was an unrealistic expectation among research participants or their broader communities of my ability to influence political outcomes for West Papuans or to provide research participants with any tangible, immediate benefits as reciprocity for sharing their experiences with me. I found myself, time and again, being invited (not necessarily as a researcher but as a White Westerner) into communities’ halls and people’s homes and being asked to provide guns (by members of the guerilla army) and other expensive technologies. Having no intention or capacity to provide weapons—I sympathize with the aims of the movement but am an advocate of nonviolence—and as an at that time unsalaried researcher with no access to spare laptops and the like, I discovered at these moments during my research that whatever capital I carried with me as a foreign researcher and could share was underwhelming to some West Papuan independence seekers. This was despite my efforts to dispel false expectations prior to interviews and while I spent time in communities about the potential of the research project to deliver near-term material benefits.

• Considering the ethical implications of your research methods is an ongoing research process rather than a one-off activity at the commencement of the project.
• Structural inequalities can exist within social justice—including decolonization—movements. It may take more effort to draw out voices from groups that are not frequently consulted on their views.
• It is important to be aware of the limited benefits your research may be able to offer research participants and to make those limitations clear.

Method in Action

Commencing as a PhD project, my research with West Papuan people, of whom many have become lifelong friends, has continued over a decade and a half. As long as my West Papuan co-researchers persist in their struggle for justice, my commitment to this project continues. My research project has encountered many obstacles and challenges but also was able to elicit moments of joy, connection, and decolonial progress in the form of raising greater awareness outside of West Papua about the decolonization struggle taking place within (and in the diaspora). Certainly my ability to talk about decolonization safely with research participants in West Papua was an initial and primary challenge. Meetings often took place at night. I was advised to wear long sleeves and a hat to detract attention from my white skin and to switch taxis/modes of transport enroute to appointments. During daylight, I followed further advice and hired a car with tinted windows as well as “safe” drivers (known to trusted West Papuan interlocuters) to take me to meetings. These were not formal interviews per se but rather opportunities for West Papua activists to brief me on their aspirations and activities. It would have been altogether easier not to take part in these interactions given the challenges involved. I chose to participate in such conversations, however, despite the circumstances because they revealed stories of years of human rights abuses, threats, and injustices but also of audacity, tenacity, and hope. By showing up, I hoped to demonstrate my solidarity with West Papuans’ struggles and to gather perspectives that threats and acts of violence had tried but failed to silence.

As Soyini Madison points out, critical ethnography (which I extend here to include decolonial ethnography) “is always a meeting of multiple sides in an encounter with and among the Other(s), in which there is negotiation and dialogue toward substantial and viable meanings that make a difference in the Other’s world” ( Madison, 2005 , p. 9). When carrying out interviews, the questions that I thought mattered did not always matter (or even make sense) to the research participants. During one interview in Port Moresby, Papua New Guinea, I asked a series of questions to a group of West Papuan university students studying at the University of Papua New Guinea, and after each question, I was met with awkward silence. At first I tried being “comfortable” in the silences, and then I assured the students that they could take as long as they wanted to answer (or that they could choose not to answer), but I still felt as if something was off. Finally, the group leader intervened, informing me that my questions (about official university politics regarding West Papua’s independence movement and in relation to identity politics) were not issues the students thought about or cared to discuss. They wanted to tell me about a funeral for a West Papuan student held on campus and about West Papuan culture—how they celebrated it through music and dancing groups and social events. Ultimately, we were discussing the same issues but were approaching them from different framings. Mutual meaning was arrived at through negotiation, dialogue, and generous intervention from a research participant.

Following Linda Tuhiwai Smith’s schema for self-determination-centered research that holds a strong decolonial imperative, I have worked to create research opportunities for participants to “reclaim” lost histories ( Smith, 1999 , p. 143), histories ignored in dominant outsider narratives of the conflict. An example of this is the 2021 conference hosted by the West Papua Project at the University of Wollongong (which I coordinated) examining the history of West Papua at the United Nations. The West Papua Project opened the floor to West Papuan political leaders in West Papua and in the diaspora to reflect on Papuans’ and their allies’ attempts since 1969 to engage the United Nations in their decolonization journey. We heard from those present at the conference, in person and online, who were able to recount their past tragedies and triumphs on the international stage (at the United Nations and beyond), highlighting the unceasing agency of decolonization activists against a historical backdrop of oppression ( West Papua Project, 2021 ).

Smith exhorts that research with a decolonial objective should provide space for research participants to give “testimonies” to recount experiences of “rage and dignity and sorrow” ( Smith, 1999 , pp. 144–145). In an effort to provide this space, through the West Papua Project at the University of Wollongong, I hosted a West Papua Talks seminar series in 2022, an online event in which Gustaf Kawer, the West Papuan lawyer for imprisoned activist Victor Yeimo; Rode Wanimbo, a West Papuan women’s advocate; and Elvira Rumkabu, an academic focusing on women’s rights, conflict resolution, and the #PapuanLivesMatter movement, were invited to offer testimonies from their work ( West Papua Project, 2022 ). These testimonies detailing the failure of the legal system in West Papua, entrenched structural-colonial violence against women, and conflict-fueling racism against West Papuans, allowed listeners online to better calibrate solidarity strategies from Australia with West Papuan needs. One listener, Emeritus Professor Stuart Rees, founder of the Centre for Peace and Conflict Studies at the University of Sydney, penned an advocacy piece for an Australian audience about Victor Yeimo’s political imprisonment ( Rees, 2022 ), others contacted Rode Wanimbo to support her work with women victim-survivors of violence, and I have since partnered with Elvira Rumkabu on a different research project of mutual interest.

Smith also advocates for decolonial research that “celebrates survival” ( Smith, 1999 , p. 146). I have collaborated in this vein with West Papuan diplomat and musician Ronny Kareni and ethnomusicologist Michael Webb to curate an exhibition of songs and sounds from West Papua that celebrate Papuan identity, history, culture, struggle, and survival. This exhibition was commissioned by the Chau Chak Wing Museum at the University of Sydney in 2022 as the launch event for their Pacific Views exhibition. It was offered by Kareni and the many collaborating artists featured in the event to “celebrate [West Papuan] peoples’ recognition of song and spoken word as one of the most powerful tools humans have to keep communities strong and carry ideas forward through adversity and the good times” ( Chau Chak Wing, 2022 ). The exhibition took the form of an online performance (Kareni, Webb, and I introduced each artist and song, providing context for the significance of each piece) that attracted viewers from around the world. A West Papuan activist living in the Netherlands emailed me to express appreciation for the exhibition, which showcased the vitality, strength, and beauty of her culture. Such research outputs demonstrate the ongoing resilience of West Papuan people through their decolonization initiatives and provide inspiration to people within the movements themselves and outside observers.

• As a researcher, you cannot assume that the questions you want to ask are the questions your research participants want to or are in a position to answer. In decolonial research, let your participants decide what they want to talk about and how.
• To develop the decolonial possibilities planned for in your research project, it can be helpful to follow the guidance of prominent decolonization thinkers, including Linda Tuhiwai Smith.
• Listening to stories from research participants who have been silenced, despite the challenges and barriers to doing so, can constitute a critical component of a decolonial research methodology.

Practical Lessons Learned

There are several key practical lessons I can highlight from this methodologic case study. First, decolonial research requires a significant time and emotional investment from both the researcher and the other research participants. You may notice that some of the method-in-action research activities I write about in the preceding section have taken place relatively recently, although I originally commenced research related to this case study in 2008. The lengthy span of this research case study is a result of two factors. First, when undertaking research with people who have had their cultural knowledge and practices denied, denigrated, and/or appropriated for decades due to colonialism, community trust takes time to earn. A researcher’s actions are observed—do they listen to and respect the community and cultural differences? Do they show up for the community, contributing skills and sharing privileges? Do they stand with the community at events or at protests or in the media? Developing trust requires emotional investment. Emmanuel Levinas argues that our existence is defined through relationship with and responsibility to others (Levins, 1985, p. 98). This leads into the second factor for the lengthy span of this project. As a researcher who takes research relationships seriously, my life has become entwined, over time, with the lives of the people with whom I have been conducting research. Decolonial research is not a one-time event but a long-term commitment. As a result, many of the research outputs of this project are emerging more than a decade after the project started. One of the more difficult parts of a project involving emotional investment in others’ lives and relationships built over time, particularly when working with people who have experienced sustained trauma and who live in oppressive conditions, is bearing witness to their premature deaths. Distressingly for their communities and for me as a researcher, 14 of the people I interviewed or worked alongside have died “before their time” since I embarked on this research journey. Decolonization in West Papua is imperative for Papuans to be able to live long, healthy lives.

A further challenge in remaining engaged with a single decolonial research case study over the longue duration is staying abreast of continually changing politics affecting research participants and the research topic. In my experience, this has required keeping up to date with West Papua–related media stories and participating in activist and advocacy campaigns; staying active on social media with West Papuan research interlocuters, friends, and colleagues; and communicating via Zoom (especially during the COVID-19 years when travel was not possible). Remaining engaged with the West Papuan decolonization struggle in these somewhat tangential ways has meant that I have been able to take up opportunities for further research with West Papuan partners on issues intersectional to decolonization as they have presented themselves over the years. These have included investigations into climate change and resource exploitation (see Pacific Waves, 2016 ), the different roles women take on in the decolonization movement (this is an ongoing project), the strategic benefits of pressing for change based on indigenous rights versus nation-state rights ( Webb-Gannon, 2022a ), and the correlations between the #BlackLivesMatter movement and the #PapuanLivesMatter movement ( Webb-Gannon, 2022b ).

Another important practical lesson in decolonial research is that academic publication of research data may be a goal, but it is not the ultimate goal. Pierre Bourdieu avers, “Those who have the good fortune to be able to devote their lives to the study of the social world cannot stand aside, neutral and indifferent, from the struggles in which the future of that world is at stake” ( Bourdieu, 2003 , p. 11). Regarding questions such as “knowledge for what” and “knowledge in whose interest” ( Singer, 1990 , p. 549), knowledge in the decolonial context must be used to support advocacy for the interests of the communities coproducing the knowledge for the project to be ethical. In the context of this case study, using knowledge to support action has involved presenting research findings to the Australian Parliament; discussing research findings in international, national, and local media; speaking about my research to secondary school students; teaching my research to university students; and responding to public invitations to speak about my research to populations in bars and churches and at various other diverse gatherings. As often as I could, I shared this knowledge at these forums in partnership with the West Papuan people. The knowledge is theirs. My job has been to gather their stories, apply my theoretical “value added” (Phil Carspecken asserts that “all research is always only an interpretation strongly colored by the value orientation and social position of the researcher” [2001, p. 38]), and broadcast these to as broad an audience as possible.

• Building research relationships requires time and emotional investment in decolonial research.
• The politics of and within decolonial research projects shift over time. It is incumbent on the researcher to remain abreast of these to continue to coproduce relevant research together with research communities.
• The ultimate goal of decolonial research is to leverage research knowledge in the form of advocacy.

Decolonial research methodologies can be applied to research that attends to former or ongoing decolonization struggles or to research contexts, peoples, and/or problems that are subject to the technologies of coloniality. This case study has outlined key considerations in designing a decolonial research project, some fundamental practicalities involved in such projects, what decolonial methods can look like in action, and core lessons learned from my own participation in a sustained decolonial research project in the still-colonized territory of West Papua. At the outset, when thinking about a decolonial research agenda, as an outsider researcher, it is important to be clear about your motivations for undertaking decolonial research and to be prepared to discuss these with the potential communities with whom you would like to collaborate. When commencing your research, ensure that your research objective and methods have been designed in consultation with your research participants or your research may be an imposition on rather than a benefit to them. In decolonial research, consider the ethical implications of your research, including the methods you are employing on an ongoing basis. People change, communities change, and politics change, so what might constitute an ethical pathway at one point in the research journey also may change. It is important to “dig deep” to uncover hidden perspectives from people whose voices are not often heard, even within social justice movements. In the context of this case study, for example, I found that it was necessary to work harder to elicit views from women about decolonization than from men. It is also imperative to be realistic about and upfront with research participants regarding the limitations of any benefits your research may be able to deliver in the short and long term. Decolonial research requires an emotional, intellectual, and time commitment to building relationships, standing up for and with communities when appropriate, and ultimately translating knowledge coproduced with communities into advocacy. It is about processes (methods) and outputs (advocacy actions) that prioritize the sovereignty and agency of groups experiencing colonization or oppression stemming from coloniality.

Discussion Questions

• 1. In what research contexts is it appropriate to apply a decolonial research methodology?
• 2. What roles and responsibilities can and should an “outsider” researcher (in other words, a researcher not belonging to the community in which they are undertaking research) take on in a decolonial research project?
• 3. At what point, if any, should a decolonial research project conclude?
• 4. With whom and how should research goals and methods be negotiated?
• 5. In what ways might decolonial research relationships be fostered between researchers and research participants?

Multiple Choice Quiz Questions

1. The concept of coloniality refers to

Correct Answer

Feedback: Well done, correct answer

Incorrect Answer

Feedback: This is not the correct answer. The correct answer is A.

2. Which of the following sets of methods provides opportunities for spending time with research participants to understand how and why they pursue specific decolonial objectives?

Feedback: This is not the correct answer. The correct answer is B.

3. Why were the leaders of the West Papua National Coalition for Liberation initially wary of the researcher?

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• Open access
• Published: 22 March 2024

Hybrid off-grid energy systems optimal sizing with integrated hydrogen storage based on deterministic balance approach

• Alaa Selim 1 , 2 , 3 ,
• Mohamed El-shimy 2 ,
• Ghada Amer 4 ,
• Ilham Ihoume 5 ,
• Hasan Masrur 6 &
• Josep M. Guerrero 7 , 8 , 9  

Scientific Reports volume  14 , Article number:  6888 ( 2024 ) Cite this article

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Metrics details

• Electrical and electronic engineering
• Energy grids and networks
• Energy infrastructure
• Hydrogen storage
• Solar energy
• Wind energy

The transition to sustainable power infrastructure necessitates integrating various renewable energy sources efficiently. Our study introduces the deterministic balanced method (DBM) for optimizing hybrid energy systems, with a particular focus on using hydrogen for energy balance. The DBM translates the sizing optimization problem into a deterministic one, significantly reducing the number of iterations compared to state-of-the-art methods. Comparative analysis with HOMER Pro demonstrates a strong alignment of results, with deviations limited to a 5% margin, confirming the precision of our method in sizing determinations. Utilizing solar and wind data, our research includes a case study of Cairo International Airport, applying the DBM to actual energy demands.

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Introduction

Hybrid off-grid systems, designed for longevity, possessed inherent complexities. Notably, integrating hydrogen as an energy storage solution amplified the challenges related to system sizing. While hydrogen offered remarkable energy density and could be produced from renewable sources, its high levelized cost of energy (LCOE) necessitated meticulous optimization to bring down the overall system LCOE. Batteries had been a predominant choice in hybrid systems, but the allure of hydrogen storage as a sustainable alternative was undeniable. Still, the harmonious interplay between wind and solar PV systems mitigated their energy production shortfalls, enhancing the system’s comprehensive reliability. Increasingly, these hybrid energy configurations were seen as the vanguard for sustainably powering remote and off-grid regions.

Research conducted in 1 described the design information of solar PV and wind turbine hybrid power generation systems to provide electricity to a model community of 100 households and a health clinic and elementary school. The optimal simulation results in this study showed that solar PV/wind turbine/diesel generator/battery and converter was the best-configured system for their application with a renewable fraction of 84%. Many research papers have introduced different system configurations and comparative analysis for deciding the most economically feasible one. One of these researches in 2 presented a case study in the desert region of the United Arab Emirates. This study introduced a technical-economic analysis based on integrated modeling, simulation, and optimization approach to design an off-grid hybrid solar PV/FC power system. This system was designed to meet the residential community’s energy demand of 4500 kWh/day (150 houses). The total power production from the distributed hybrid energy system was 52% from the solar PV and 48% from the FC with a 40.2% renewable fraction, which was a low value for the renewable energy penetration of this system. Consequently, one of the main concerns of our paper is how to achieve a renewable fraction of 100% in the simulated configurations of various hybrid off-grid systems. These given numbers of renewable fractions are used to provide a rough estimate for the previous research that focused on the penetration of renewable resources (increasing the renewable fraction percentage) and selecting the best configuration for the application targets.

Another approach for choosing the best size and location for off-grid hybrid systems was presented by 3 . They considered economic, technical, social, and environmental factors to discover the ideal capacity and location for continually meeting the load while reducing LCOE and overall life cycle cost. The hybrid algorithm based on the geographic information system, simulated annealing, and enhanced harmony search was evaluated with real data for a genuine case study in South Khorasan, Iran, and the findings showed that it provided more accurate results than those from previous heuristic approaches. Compared to a standalone diesel system, the hybrid system saved 8948 L of diesel generator fuel and reduced pollutant emissions by 59.6% according to the IHS SA-GIS methodology. Cai et al. 3 and Alberizzi et al. 4 presented a method based on mixed integer linear programming (MILP) and an algorithm implemented through Matlab software to determine the ideal size of a hybrid solar-wind system with battery storage to replace a diesel-fueled internal combustion engine (ICE) for a mountain lodge in South Tyrol, Italy. This gap in understanding the optimal sizing and location for hybrid systems, particularly in different geographical and environmental contexts, is a key focus of our study.

Research in 5 conducted a reliability-based analysis of different combinations of photovoltaic panels and wind turbines with a backup system. The study aimed to compare the sizing of three hybrid energy systems: solar PV/Genset, Wind/Genset, and solar PV/Wind/Genset, focusing on reducing carbon dioxide emissions, total annual costs, or both. Utilizing the gravitational search algorithm, the study’s results were juxtaposed with those obtained from the simulated annealing method. This comprehensive examination encompassed 45 cases, integrating economic and environmental analysis and considerations of human health impacts due to carbon dioxide emissions. The findings revealed that the PV/Wind/Genset system was optimal, achieving a 27.2% reduction in pollution and a 4.76% cost saving compared to the solar PV/Genset system. Additionally, the imposition of carbon taxes on hybrid system designs proved effective, reducing CO2 emissions by about 9% and lessening health-related damages by 8.9%. While comprehensive, this study highlights the need to explore diverse optimization algorithms and system configurations further to enhance environmental and economic efficiencies in different geographical contexts.

Research work in 6 introduced a novel method for optimizing power planning in renewable hybrid systems, including wind turbines, PV systems, bio-site units, thermal storage, and electric vehicle facilities with smart charging. Their approach minimized NPV and LCOE using a refined cost model and a modified multi-objective function. Bio-site units enhanced efficiency and reduced emissions, while adaptive smart charging reduced LCOE and NPV by optimizing load and storage requirements. The study also incorporated uncertainties in renewable sources, load demands, and electric vehicle aspects, adding robustness but increasing resource and storage needs, thus raising costs. They applied an advanced Grey Wolf Optimizer combined with the Sine Cosine Algorithm for better convergence and stability. The research highlights the ongoing challenge of balancing efficiency and cost-effectiveness in renewable energy systems, especially given inherent uncertainties, suggesting the need for more sophisticated optimization strategies.

Methods used for solving the sizing optimization of energy systems. (Source: self painted by the author).

Figure 1 provides a visual taxonomy of optimization methods used in energy system sizing, classified by their nature and complexity. It illustrates a spectrum ranging from deterministic approaches like linear programming (LP), nonlinear programming (NLP), integer linear programming (ILP), and dynamic programming (DP), to nature-inspired and metaheuristic algorithms such as genetic algorithm (GA), particle swarm optimization (PSO), and ant colony optimization (ACO). The complexity gradient, denoted by the color bar, indicates that deterministic methods, while established earlier, tend to offer lower complexity relative to the more recent metaheuristic or nature-inspired methods. This suggests that deterministic methods, despite their simplicity, remain a robust choice for energy system optimization, especially in scenarios where computational efficiency and the guarantee of reaching an optimal solution are paramount.

Our study, as outlined in Table 1 , addresses significant gaps in renewable energy system (RES) sizing optimization literature. It uniquely combines a deterministic methodology with hydrogen system sizing and computational efficiency, a combination not extensively explored in previous research. Our approach involves detailed 1-year simulations across diverse system configurations shown in Fig. 2 , offering a comprehensive view of RES performance. A distinct feature of our research is the theoretical analysis of optimality, which, alongside thorough techno-economic assessments, provides deeper insights into RES optimization. Further, our findings are validated with commercial software.

Conceptual model for energy system based on hydrogen storage.

System modeling

Solar photovoltaic (pv) model.

The main objective functions are used to get the output power of the PV modules taking into consideration the efficiency of the modules and other derating factors. The first equation used in PV modeling is an output power function of irradiance 13 .

Other factors that have been encountered during the literature review. Temperature and wind speed have significantly affected the model to get more accurate results feasible for execution. Consequently, another objective function for calculating the output power is evolved, providing a relation between the irradiance and temperature to deliver the actual output power shown in the equation 14 .

After studying the behavior of temperature and irradiance throughout the meteorological model, the effect of this behavior is linked to the changes in each of the two parameters and the overall efficiency of the PV system 14 . The following equation supports this relation.

Numerous factors prohibit solar PV arrays from operating at maximum efficiency. In addition to voltage drop and dust accumulation, one of these factors is the operating temperature of the solar PV module, which can contribute considerably to the most significant proportion of power loss. The effect of temperature on output varies by module and can be calculated using the temperature coefficients supplied on the manufacturer’s data sheets and the following relationships.

In this model, it is assumed that AC losses are fixed at roughly 7% while array temperature losses range between 5 and 11% depending on the monthly temperature profile for theexample shown in Table 2 .

Wind turbine generators

The wind turbine generator (WTG) hourly power output, at the studied location, depends on the hourly wind speed as shown in Fig. 3 . It can be expressed by following equations 15 .

Power output curve of wind 15 .

We analyze the site’s wind conditions and match them with the desired turbine characteristics to select the appropriate wind turbine model for a specific location. Using computational tools, we determine the optimal rated speed and the cut-in and cut-out speed limits. With these parameters defined, we consult a comprehensive database of available wind turbines 16 to find a model that aligns with our requirements. We further refine our selection based on site-specific restrictions, such as height limitations.

• Hydrogen system

FC can be defined as an electrochemical device that produces electrical power directly from a fuel like hydrogen, natural gas, diesel, or propane. Its operation is similar to that of a conventional battery except for some parts that will be discussed in detail later in this paper and will affect the modeling of the hybrid off-grid system. Accordingly, their development has been much related to the development of electrochemistry more than power engineering, and it is already studied as a distinct branch of physical chemistry 17 . The second element in the hydrogen system is the ELZ, an electrochemical device that makes electrolysis for the water molecules to produce hydrogen and oxygen. The excess electrical in the system powers this process. In other words, ELZ is used to convert unused electrical energy into stored chemical energy inside hydrogen and then recall it back in the time of operation. The mathematical formula of the produced hydrogen can be expressed as follows 18 .

The sizing of the hydrogen storage system takes place after determining the maximum energy generation from the PV, WTGs, and the minimum load power. The ELZ utilizes surplus energy to produce a maximum of 23 kg of hydrogen per hour. Consequently, the hydrogen tank size is determined to have a maximum capacity of 100 kg, representing the upper safe limit the hydrogen might reach during the year. To decrease the volume of a gas at constant temperatures, one can increase its pressure. Under such high pressure, a 125-l tank can store 5 kg of hydrogen. Currently, most car manufacturers opt to store hydrogen in gaseous form at high pressure. This technology allows a FC-powered car to cover between 500 and 600 km between fill-ups, as referenced in 19 , 20 . The Model H15T4X200 21 compresses hydrogen in each 10 kg tank to 345 bar. The system configuration includes ten compressors paired with ten hydrogen tanks, plus an additional tank for excess hydrogen storage. As a result, the total hydrogen storage capacity stands at 100 kg, maintained at a constant pressure of 345 bar. This system connects to 10 compressors via pipelines, ensuring the pressure for hydrogen storage and transport.

Load profile system

In this study, it is assumed that the DC and AC wiring losses are small enough to be neglected due to the small geographic scatter of the study system. The reliability test system (RTS) load profile is used in this study 22 as shown in Fig. 4 , and the peak load is set to 250 kW. The load profile is then determined per hour for the 8760 h of a year.

Load profile system based on RTS system.

Economic investigation for the studied system

The economic evaluation of hybrid renewable energy systems is pivotal, specifically assessing LCOE, capital costs, and cash flows to determine project viability. LCOE represents the unit cost of electricity over the system’s lifespan, while the net present cost (NPC) reflects the discounted total of all expenses incurred throughout the project’s life. These financial metrics are critical for investors considering funding such ventures, especially in remote areas.

A detailed cash flow analysis elucidates operational, maintenance, and, where applicable, fuel costs. The discount factor, distinct from inflation, adjusts future costs to present-day values, with the real discount factor accounting for inflationary effects. The capital recovery factor (CRF) translates NPC into an equivalent annual cost influenced by inflation and project duration. These economic indicators form the foundation for optimizing techniques to minimize costs and achieve the most economical system configuration 23 .

To optimally design the hybrid generation system, the optimization problem, defined by equation below as in 23 , is solved using any of the mentioned optimization techniques in the paper.

To minimize the total cost function,

The economic model of the studied system is studied for the lifetime of the system using the following equations:

Deterministic balance method (DBM)

Area under curve for DBM.

Methodology procedures

The use of DBM requires determining solar PV output power, ELZ size, FC size and hydrogen tank efficiency models. The accuracy of the solar PV model is crucial since it will be used to guide the overall layout of the system. To use the DBM, it is necessary to balance the energy need to offset the time of zero solar PV output hour (usually at night) with the energy produced net by the solar PV (during sun hours after being absorbed through the load). Hydrogen tanks will store this surplus energy until needed; at this point, FCs will convert it to meet the day’s energy needs. Power generated by solar PV and required by the load through FCs is determined using the Area under graphs, as illustrated in Fig. 5 , which are computed using the trapezium rule. A discrete optimization is performed to determine how many solar PV modules would be ideal for striking this equilibrium. In the first stage of the DBM design process, N solar PV modules would be sufficient to meet the required load and provide excess power at the end of the day. To begin computing energy Production values, this is founded on a random guess. This initial estimate is based on the energy balance equation discussed in the prior work 24 and is performed to estimate the surplus power supplied by solar PV to compensate for the time of zero PV output power completely. Using the data from NASA and METEONORM 25 , 26 , the output solar PV power is calculated using equations in the section of modeling of solar PV based on the irradiance profile of a specific day. Throughout the entirety of the model, the method of calculating energy production by obtaining the Area under curves is the primary method employed. Numerous methods for calculating the Area under curves, including the trapezium rule and the integration of curve functions in MATLAB. This model uses the trapezium rule to calculate the area under curves in a 1-h time step because it is challenging to obtain the function of each curve so that it can be integrated. In addition, the accuracy of the trapezium rule is deemed acceptable with minimal error ranges. As shown in Fig. 6 , the Area under the curve is calculated for the \(E^+\) , \(E^-\) , and \(E^D\) .

\(E^{+}\) has to be equal or greater than \(E^{-}\) to ensure the energy balanced operation.

Our target is to find the optimal sizing of \(N_{PV}\) as follows:

Figure 7 depicts the computation of the optimal number of solar PVs. For Eq. ( 28 ), we iteratively compute the number of PVs, denoted as \(N_{PV}\) , given the energy provided by each PV module, \(E_1\) . This calculation is grounded on the premise that these values represent the maximum energy required by the load during nighttime hours. The goal is to achieve an optimal surplus of solar PV power capable of covering the load, taking into account the efficiencies of the FC and the hydrogen tank.

Low chart of the DBM method.

Furthermore, it is observed that the surplus energy supplied by the solar PV modules must surpass the nighttime discharge power by a specific margin. This surplus predominantly hinges on the efficiency of the fuel cell, electrolyzer, and hydrogen tank. As such, system components with higher efficiency tend to yield better sizing optimization results. Equation ( 29 ) elucidates the influence of system component efficiencies on the surplus energy supplied and serves as a constraint for the optimization strategy.

\(E^{D,1}\) and \(E^{D,2}\) resemble the energy the load consumes via solar PV modules during the first hours between sunset and sunrise. In previous calculations, these two values should have been taken into account. In our system, \(E^{-}\) represents the energy available to the ELZ. The hydrogen production, \(H_2\) , is governed by Eqs. ( 11 ) and ( 12 ), derived from the energy supplied by \(E^{-}\) . Subsequently, the produced \(H_2\) serves as the primary input for the FC. The sizing or rating of the FC is directly determined based on the volume of hydrogen generated by the ELZ. Nevertheless, it is essential to analyze the system efficiency, as they will account for the losses that occur during the conversion process via hydrogen tanks and FCs. After determining the optimal sizing of the system components, we proceed to calculate the annual energy production. This calculation is grounded in the operational characteristics of each component, as described by the subsequent equations. It is essential to note that the performance of each component directly influences the overall system’s energy output. By integrating these operational equations over the year, we obtain an accurate representation of the system’s annual energy production capabilities.

It is essential to note that, despite the method designation, the DBM does not prioritize addressing uncertainties. Instead, it is engineered primarily to tackle the sizing dilemma of hybrid energy systems deterministically. Interestingly, DBM focuses on determining the optimal size analytically, operating much in the vein of MILP solvers. However, its augmented flexibility sets it apart, allowing users to adjust sizing parameters based on seasonal variations they input. One of its distinctive advantages is its capability to reduce the iteration counts typically required and deliver a feasible solution. Such a solution could be computationally burdensome when sought through other heuristic methods. This section presents the methodology for calculating the optimal number of solar PV modules. Using this framework, one can similarly ascertain \(N_W\) the ideal number of wind turbines. By employing data analysis and performance metrics, this approach ensures optimal energy output and system efficiency.

Global optimality and computational complexity analysis

The objective function \(N_{PV}\) is a linear function of \(E^+\) and \(E^D\) , as \(E_{1,PV}\) is constant. A linear function is convex. To establish this, consider two arbitrary values \(E^{+,1}, E^{+,2}\) and \(E^{D,1}, E^{D,2}\) representing the energy values on two different times of the day, and any \(\lambda\) such that \(0 \le \lambda \le 1\) . The objective function must satisfy:

Given \(E_{1,PV}\) is constant, we can simplify the above to:

This confirms the convexity of the objective function. The constraints involve integrals of the difference between measured values \(P_l\) and \(P_{pv}\) , which form a set of linear equations. Linear equations define a convex set. The energy balance constraints can be expressed as linear inequalities, which also define convex sets. Therefore, the optimization problem, which aims to determine \(N_{PV}\) such that the energy produced matches or exceeds the energy demanded, is convex. Since the objective function is convex and the feasible region defined by the constraints is a convex set, any local minimum found in this optimization problem is also a global minimum. The non-triviality of this optimization problem arises from the computational complexity involved in integrating measured values of power to obtain \(E^+\) and \(E^D\) for each hour across an entire year. The integrals do not have closed-form solutions and must be numerically evaluated. The computational complexity of the DBM algorithm is given by \(O(m)\) , with \(m\) being the number of iterations until the energy balance is achieved. The algorithm’s steps and their complexities are as follows:

Calculate the energy output for a single PV module, \(E_{1,PV}\) , which is a constant. This is an \(O(1)\) operation.

In each iteration \(i\) , the cumulative energy \(E^+_i\) and the demand \(E^D_i\) are computed. These are based on pre-determined measurements, the complexity is \(O(1)\) per iteration.

The iteration proceeds until the condition \(E^+_i \ge E_{Load} + E_{sys,losses}\) is met. Thus, the loop runs \(m\) times, where \(m\) is the smallest integer satisfying the energy balance.

The integral computation within each iteration has a polynomial complexity with respect to the number of data points; however, since it is a single operation per iteration, it does not affect the overall linear complexity.

The overall complexity is modeled by the equation:

This equation demonstrates that the primary factor determining complexity is the number of iterations \(m\) , leading to a linear computational complexity of \(O(m)\) . The algorithm is efficient as it avoids unnecessary computations beyond the point of achieving an energy balance, ensuring minimal computational burden.

Numerical results

Sizing methodology of hybrid solar pv/hydrogen system: case study 1, applying dbm for the system sizing.

Our previous research derived the optimal sizing for the specified system using DBM. The finalized system comprised a total of \(N_{\text {PV}} = 5400\) panels. Alongside this, the system configuration included FC with a capacity of 300 kW, ELZ with capacities of 800 kW and 1000 kW, respectively, and a hydrogen ( \(H_{2}\) ) tank with a storage limit of 100 kg. The efficacy and specifications of this model were compared with the system advisor model (SAM). For a detailed understanding of the model and its derivations, readers are referred to our earlier publication 24 .

In analyzing the annual system behavior for the examined location of Cairo International Airport, the production and energy consumption are investigated (same data as in 24 ) using the DBM method. From October to March, hydrogen consumption exceeds production, and solar energy is the sole source of hydrogen production. During April through September, solar energy increases due to increased irradiance and moderate temperature ranges, causing hydrogen production to exceed consumption. The entire year’s excess solar electricity is stored in a hydrogen tank, yielding approximately 2000 kg of hydrogen that will be exported to the grid upon application of the power management method during January and December, when there is no surplus power and end consumers consume all produced energy. As shown in Fig. 7 and Table 3 , the net energy produced by solar PV modules (considering temperature losses that are mentioned in previous section) is sufficient to cover the load demand for each month except for December that is considered as the worst-case scenario. The solar PV contribution in that energy mix is found to be 50% or exceeding depending on the month of the year and this what proves the capability of the DBM for optimizing the generation and meeting the load requirement. In December, there is a lack of generation around 5% which are supplied by the stored hydrogen from the excess of the previous months. Finally, energy profiles for solar PVs, FC, ELZ and hydrogen production are deduced using DBM for 8760 h as shown in Fig. 8 .

Energy balance results using DBM.

Visualization of system energy outputs using DBM.

Referring to cost equations in the modeling section and system cost per 1 kW as illustrated in Table 5 , the economic model of the hybrid system is computed as shown in Table 4 and Fig. 9 . Consider Electrical selling price (ESP) = 0.0788 USD/kWh 27 , 28 , project lifetime = 25 years, annual discount rate = 10% and assuming no decommissioning cost paid. Net present cost is negative, indicating that the project will not be profitable with the current selling prices for Solar PV plants announced by the government. The tariff prices will drastically increase if the hydrogen system is used as an energy storage system.

Cost structure of hybrid solar PV/hydrogen system).

Evaluation using HOMER tool

HOMER-Pro 29 is an advanced optimization model that conducts numerous simulations to determine the optimal system design. The PV/FC configuration, as depicted in Fig. 10 , is simulated for Cairo International Airport using a yearly load profile provided in 24 . The simulation is executed on an HP laptop with an Intel®Core \(^{\textrm{TM}}\) i5 CPU at 2.20 GHz and 4.00 GB of RAM. Detailed specifications of the hybrid system components are illustrated in Table 6 , where data has been collected from commercial datasheets during the selection process.

HOMER configuration (surplus mode).

An optimization analysis determines the most efficient hybrid power system configuration that satisfies the set constraints at the minimal net present cost using the cycle charging control (CC). HOMER has three primary controllers: cycle charging, combined dispatch, and load following. Cycle charging is the most suitable for this application because it optimally employs the hydrogen system. In contrast, the other controllers do not incorporate the ELZ and hydrogen tank in their simulations. The hybrid power system derives its electrical production primarily from the solar PV system, contributing 76.2%, and the Genset (fuel cell), providing 23.8%, or 748,235 kWh/year. This represents a 100% renewable fraction. The hybrid system caters to the AC primary load, which is 1,582,615 kWh/year (58% of the total production). Additionally, the ELZ consumes 1,063,082 kWh/year (42%) from the hybrid system for hydrogen production, with a 214 kWh/year surplus. Consequently, the unmet electrical demand by Solar PV—the primary power source—stands at 235,003 kWh/year. The system also generates an excess electricity of 366,370 kWh/year. This data plays a pivotal role in determining the hybrid system’s reliability.

System operation profiles for 1-year simulations using HOMER.

To corroborate these results, HOMER Pro creates energy profiles for the solar PV, FC, ELZ, and hydrogen tanks, as depicted in Fig. 11 . The operational ranges are 0–1800 kW for Solar PV, 0–250 kW for the FC, and 0–700 kW for the ELZ. These findings align with the operational ranges derived from the DBM method, as illustrated in Fig. 8 . However, a deviation appears in the hydrogen tank storage, which fluctuates between 5 0 and 200 kg, differing from the DBM results. This discrepancy arises from the lack of an effective power management controller as in 30 that streamlines hydrogen production while avoiding undue stress on the hydrogen tanks, as evident in Fig.  11 (e) with a significant portion of the regions appearing red during the summer.

Sizing methodology of solar PV/wind/hydrogen system: case study 2

This study analyzes various hybrid renewable energy scenarios, focusing on different combinations of WTGs and solar PV systems. We start with a 250 kW WTG and increase its capacity in 250 kW increments to 750 kW. Simultaneously, we assess each WTG level’s required solar PV contribution to ensure balanced power generation. Our analysis identifies January as a critical month due to its lack of surplus energy. Using this information, we optimize system sizing and energy output predictions for January using the DBM approach. The results in Fig. 12 illustrate the various configurations between solar PV and WTGs.

Comparative analysis of energy production scenarios.

System in Fig. 12 c is found to have the highest annual energy production with a higher ratio of solar PV installed capacity compared to the installed wind turbine. As a result, this system is used in this paper for full simulation for 8760 h using DBM and conducting energy profiles for all system components, as shown in Fig. 13 .

Comparison of various energy outputs using DBM.

Sensitivity analysis

Sensitivity analysis plays a pivotal role in understanding the intricacies of system design, specifically in determining how the ideal composition of components shifts in response to parametric fluctuations over a system’s lifespan. Figure 14 presents surface plots that depict variations in solar PV array capacity and wind turbine quantity related to primary load adjustments. For a more narrowed focus, we consider two specific sensitivity cases: the installed capacities of solar PV and wind turbines. Meanwhile, we maintained the other two variables-load and price-at a constant, pegging them at 100%, and analyze the outcomes within the context of the maximum renewable fraction.

Comparative analysis of solar PV and WTGs.

Consider ESP = 0.0788 USD/kWh 27 , 28 , project lifetime = 25 years, annual discount rate = 10% and assuming no decommissioning cost paid. Additionally, a sensitivity analysis is conducted as shown in Fig. 15 and Table 6 for studying the effect of ratio between solar PV and wind installed capacity on the LCOE.

Cost structure of hybrid solar PV/WTG-system 1.

Simulation of HOMER is conducted for 8760 h, as shown in Fig. 16 , to deduce the operation profiles of FC, solar PV, wind turbine, and hydrogen tanks, respectively. This section provides an in-depth comparative analysis between standalone solar PV systems, standalone WTG, and their hybrid combination. This comparison delves into critical metrics, including system sizing capacities, LCOE, and annual energy production. The computational efficiency of different sizing methods varies considerably. When using HOMER for optimization, the time complexity can be significant, with case 2 requiring up to 14 h and case 1 taking approximately 6 h. The duration largely depends on the search space associated with each component size. In contrast, the DBM method demonstrates a much more streamlined approach. It iteratively arrives at the optimal sizing of components and their modes of operation within a broader search space in just a fraction of the time. Specifically, DBM computations can conclude in mere minutes.

Comparative analysis of hybrid solar PV/WTG system.

Based on the comparison and cost analysis study conducted in Fig. 17 , hybrid solar PV/Wind with high penetration of solar PV modules, which corresponds to the lowest LCOE, is selected for implementation in the site of Cairo International Airport to supply the community load of 250 kW peak. These figures demonstrate the close alignment in annual energy production between the two methods. Despite differing in installed capacity setups, our approach notably outperformed HOMER regarding LCOE across all configurations. This comparison uses identical model parameters and input data to ensure a fair and accurate evaluation. It is observed that HOMER favors wind energy penetration rather than solar PV. However, this penetration affects the utilization of the installed wind turbines, resulting in a lower capacity factor for the turbines.

The present study has formulated a deterministic approach for the sizing optimization of hybrid energy systems, with particular attention to computational efficiency and 1-year simulations. Herein, we summarize the salient aspects and findings:

Our proposed DBM has demonstrated a less iterative and direct approach to determining the optimal sizing of RES components for a 1-year simulation scenario. This was achieved by utilizing the area under curves method for computing energy balance on a daily base from historical datasets.

Based on the data presented, it is evident that the DBM method consistently outperformed HOMER in achieving lower LCOE across all system configurations.

An optimal system configuration, predominantly featuring solar PV in conjunction with wind turbines, was identified for the specific geographic conditions studied in Egypt, leading to favorable annual energy production and cost metrics.

Comparison with HOMER software outcomes confirmed the viability of our approach, with discrepancies within an acceptable range, thus underscoring the method’s effectiveness.

Our approach finds seasonal energy production variances due to the natural availability of solar and wind resources. The feasibility of using hydrogen tanks for energy storage has been examined, showcasing the potential for converting excess seasonal energy production into hydrogen to support future hydrogen fueling infrastructure.

Building upon our study’s deterministic optimization framework, future research will enhance the algorithm’s robustness against uncertainties in renewable energy production and demand. Efforts will focus on integrating stochastic elements and real-time data into the system, improving predictive capabilities for energy surplus management and system configuration adaptability. Additionally, we will explore the scalability of hydrogen storage solutions within the broader context of energy strategies. We aim to extend our model’s application to various geographic and climatic conditions, thus advancing hybrid energy systems’ resilience and economic viability.

Data availability

The datasets analyzed during the current study are available on GitHub .

Abbreviations

Annual energy production (kWh)

Annual net income ($/year)

Annual revenue from selling the electricity ($/year)

Capital investment ($)

Cost of energy ($)

Decommissioning costs ($)

Surplus energy supplied by PV arrays

Total lack of energy which will be supplied by fuel cell and electrolyzer

Lack of energy from 12:00 a.m. till sunrise

Lack of energy from sunset till 12:00 a.m.

Energy demanded by load and supplied by solar PV arrays

Energy demanded by load and supplied by solar PV arrays during sunrise

Energy demanded by load and supplied by solar PV arrays during sunset

Electrolyzer

Electricity selling price ($/kWh)

Future value

Irradiance power (W/m \(^2\) )

Levelized annual cost ($)

Levelized cost of energy ($/kWh)

Load interruption probability

Lifespan cost of the hybrid system

Net present value ($)

Annual operating and maintenance cost ($/kWh)

Period of years (years)

Load power (kW)

Rated electrical power output (kW)

Photovoltaics

Present value of the cost analysis

Present value of all the costs ($)

Present value of the cost of decommissioning ($)

Present value maintenance and repair cost

Electrolyzer power

Fuel cell power

Generated power

Solar PV power

System losses

Power stored in the tank

Hydrogen load power

Annual discount rate (%)

Reference temperature (25 \(^\circ\) C)

Module temperature ( \(^\circ\) C)

Temperature de-rating factor

End time of simulation

Rated speed (m/s)

Cut-in speed (m/s)

Cut-off speed (m/s)

Wind speed (m/s)

Wind turbine generator

Power temperature coefficient for module selected (-0.331% \(^\circ\) C)

Energy required to produce one kilogram of hydrogen

Efficiency of the system

Efficiency of the electrolyzer

Efficiency of the fuel cell

Efficiency of the hydrogen tank

Heating value of \(H_2\)

Hydrogen produced in kilograms

Density of \(H_2\)

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Conceptualization, A.S. and M.E.; methodology, A.S. and M.E.; software, A.S.; validation, A.S., M.E. and G.A..; formal analysis, M.E., H.M. and J.G; investigation, M.E. and G.A.; resources, M.E and H.M.; data curation, A.S.; literature review: A.S. and I.I.; writing-original draft preparation, A.S.; writing-review and editing, A.S., M.E., G.A., I.I., H.M. and J.G. All authors have read and agreed to the published version of the manuscript.

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Selim, A., El-shimy, M., Amer, G. et al. Hybrid off-grid energy systems optimal sizing with integrated hydrogen storage based on deterministic balance approach. Sci Rep 14 , 6888 (2024). https://doi.org/10.1038/s41598-024-55631-3

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Gene-based Hardy-Weinberg equilibrium test using genotype count data identifies novel cancer-related genes

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Background: An alternative approach to investigate associations between genetic variants and disease is to examine deviations from the Hardy-Weinberg equilibrium (HWE) in genotype frequencies within a case population, instead of case-control association analysis. The HWE analysis distinctively requires disease cases without the need for controls and demonstrates a notable ability in mapping recessive variants. Allelic heterogeneity is a common phenomenon in diseases. While gene-based case-control association analysis successfully incorporates this heterogeneity, there are no such approaches for HWE analysis. Therefore, we proposed a gene-based HWE test (gene-HWT) by aggregating single-nucleotide polymorphism (SNP)-level HWE test statistics in a gene to address allelic heterogeneity. Results: This method used only genotype count data and publicly available linkage disequilibrium information and has a very low computational cost. Extensive simulations demonstrated that gene-HWT effectively controls the type I error at a low significance level and outperforms SNP-level HWE test in power when there are multiple causal variants within a gene. Using gene-HWT, we analyzed genotype count data from genome-wide association study for six types of cancers in Japanese individuals and found that most of the genes detected are associated with cancers. In addition, we identified novel genes (AGBL3 and PSORS1C1), novel variants in CTSO known to be associated with breast cancer prognosis and drug sensitivity, and novel genes as germline factors, which have associations in gene expression or methylation status with cancers in the combined analysis of six types of cancers. Conclusions: These findings indicate the potential of gene-HWT to elucidate the genetic basis of complex diseases, including cancer.

Competing Interest Statement

The authors have declared no competing interest.

Funding Statement

This work was supported by JSPS KAKENHI (Grant Number JP23K05871).

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Data Availability

Genotypes from 1KG are available at http://ftp.ensembl.org/pub/data_files/homo_sapiens/GRCh38/variation_genotype/ ALL.chr20_GRCh38.genotypes.20170504.vcf.gz. Genotype counts data of six cancer types used for this research are available at the website of the NBDC Human Database / the Japan Science and Technology Agency (JST) (http://humandbs.biosciencedbc.jp/) through the following six accession numbers: hum0014.v2.jsnp.cc.v1, hum0014.v2.jsnp.pc.v1, hum0014.v2.jsnp.sc.v1, hum0014.v2.jsnp.bc.v1, hum0014.v2.jsnp.lc.v1, and hum0014.v2.jsnp.182ec.v1. The R code for implementing gene-HWT is available at https://github.com/jonishino/gene-HWT.git

http://ftp.ensembl.org/pub/data_files/homo_sapiens/GRCh38/variation_genotype/ALL.chr20_GRCh38.genotypes.20170504.vcf.gz

http://humandbs.biosciencedbc.jp/

https://github.com/jonishino/gene-HWT.git

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Scientific Consensus

It’s important to remember that scientists always focus on the evidence, not on opinions. Scientific evidence continues to show that human activities ( primarily the human burning of fossil fuels ) have warmed Earth’s surface and its ocean basins, which in turn have continued to impact Earth’s climate . This is based on over a century of scientific evidence forming the structural backbone of today's civilization.

NASA Global Climate Change presents the state of scientific knowledge about climate change while highlighting the role NASA plays in better understanding our home planet. This effort includes citing multiple peer-reviewed studies from research groups across the world, 1 illustrating the accuracy and consensus of research results (in this case, the scientific consensus on climate change) consistent with NASA’s scientific research portfolio.

With that said, multiple studies published in peer-reviewed scientific journals 1 show that climate-warming trends over the past century are extremely likely due to human activities. In addition, most of the leading scientific organizations worldwide have issued public statements endorsing this position. The following is a partial list of these organizations, along with links to their published statements and a selection of related resources.

American Scientific Societies

Statement on climate change from 18 scientific associations.

"Observations throughout the world make it clear that climate change is occurring, and rigorous scientific research demonstrates that the greenhouse gases emitted by human activities are the primary driver." (2009) 2

American Association for the Advancement of Science

"Based on well-established evidence, about 97% of climate scientists have concluded that human-caused climate change is happening." (2014) 3

American Chemical Society

"The Earth’s climate is changing in response to increasing concentrations of greenhouse gases (GHGs) and particulate matter in the atmosphere, largely as the result of human activities." (2016-2019) 4

American Geophysical Union

"Based on extensive scientific evidence, it is extremely likely that human activities, especially emissions of greenhouse gases, are the dominant cause of the observed warming since the mid-20th century. There is no alterative explanation supported by convincing evidence." (2019) 5

American Medical Association

"Our AMA ... supports the findings of the Intergovernmental Panel on Climate Change’s fourth assessment report and concurs with the scientific consensus that the Earth is undergoing adverse global climate change and that anthropogenic contributions are significant." (2019) 6

American Meteorological Society

"Research has found a human influence on the climate of the past several decades ... The IPCC (2013), USGCRP (2017), and USGCRP (2018) indicate that it is extremely likely that human influence has been the dominant cause of the observed warming since the mid-twentieth century." (2019) 7

American Physical Society

"Earth's changing climate is a critical issue and poses the risk of significant environmental, social and economic disruptions around the globe. While natural sources of climate variability are significant, multiple lines of evidence indicate that human influences have had an increasingly dominant effect on global climate warming observed since the mid-twentieth century." (2015) 8

The Geological Society of America

"The Geological Society of America (GSA) concurs with assessments by the National Academies of Science (2005), the National Research Council (2011), the Intergovernmental Panel on Climate Change (IPCC, 2013) and the U.S. Global Change Research Program (Melillo et al., 2014) that global climate has warmed in response to increasing concentrations of carbon dioxide (CO2) and other greenhouse gases ... Human activities (mainly greenhouse-gas emissions) are the dominant cause of the rapid warming since the middle 1900s (IPCC, 2013)." (2015) 9

Science Academies

International academies: joint statement.

"Climate change is real. There will always be uncertainty in understanding a system as complex as the world’s climate. However there is now strong evidence that significant global warming is occurring. The evidence comes from direct measurements of rising surface air temperatures and subsurface ocean temperatures and from phenomena such as increases in average global sea levels, retreating glaciers, and changes to many physical and biological systems. It is likely that most of the warming in recent decades can be attributed to human activities (IPCC 2001)." (2005, 11 international science academies) 1 0

U.S. National Academy of Sciences

"Scientists have known for some time, from multiple lines of evidence, that humans are changing Earth’s climate, primarily through greenhouse gas emissions." 1 1

U.S. Government Agencies

U.s. global change research program.

"Earth’s climate is now changing faster than at any point in the history of modern civilization, primarily as a result of human activities." (2018, 13 U.S. government departments and agencies) 12

Intergovernmental Bodies

Intergovernmental panel on climate change.

“It is unequivocal that the increase of CO 2 , methane, and nitrous oxide in the atmosphere over the industrial era is the result of human activities and that human influence is the principal driver of many changes observed across the atmosphere, ocean, cryosphere, and biosphere. “Since systematic scientific assessments began in the 1970s, the influence of human activity on the warming of the climate system has evolved from theory to established fact.” 1 3-17

Other Resources

List of worldwide scientific organizations.

The following page lists the nearly 200 worldwide scientific organizations that hold the position that climate change has been caused by human action. http://www.opr.ca.gov/facts/list-of-scientific-organizations.html

U.S. Agencies

The following page contains information on what federal agencies are doing to adapt to climate change. https://www.c2es.org/site/assets/uploads/2012/02/climate-change-adaptation-what-federal-agencies-are-doing.pdf

Technically, a “consensus” is a general agreement of opinion, but the scientific method steers us away from this to an objective framework. In science, facts or observations are explained by a hypothesis (a statement of a possible explanation for some natural phenomenon), which can then be tested and retested until it is refuted (or disproved).

As scientists gather more observations, they will build off one explanation and add details to complete the picture. Eventually, a group of hypotheses might be integrated and generalized into a scientific theory, a scientifically acceptable general principle or body of principles offered to explain phenomena.

1. K. Myers, et al, "Consensus revisited: quantifying scientific agreement on climate change and climate expertise among Earth scientists 10 years later", Environmental Research Letters Vol.16 No. 10, 104030 (20 October 2021); DOI:10.1088/1748-9326/ac2774 M. Lynas, et al, "Greater than 99% consensus on human caused climate change in the peer-reviewed scientific literature", Environmental Research Letters Vol.16 No. 11, 114005 (19 October 2021); DOI:10.1088/1748-9326/ac2966 J. Cook et al., "Consensus on consensus: a synthesis of consensus estimates on human-caused global warming", Environmental Research Letters Vol. 11 No. 4, (13 April 2016); DOI:10.1088/1748-9326/11/4/048002 J. Cook et al., "Quantifying the consensus on anthropogenic global warming in the scientific literature", Environmental Research Letters Vol. 8 No. 2, (15 May 2013); DOI:10.1088/1748-9326/8/2/024024 W. R. L. Anderegg, “Expert Credibility in Climate Change”, Proceedings of the National Academy of Sciences Vol. 107 No. 27, 12107-12109 (21 June 2010); DOI: 10.1073/pnas.1003187107 P. T. Doran & M. K. Zimmerman, "Examining the Scientific Consensus on Climate Change", Eos Transactions American Geophysical Union Vol. 90 Issue 3 (2009), 22; DOI: 10.1029/2009EO030002 N. Oreskes, “Beyond the Ivory Tower: The Scientific Consensus on Climate Change”, Science Vol. 306 no. 5702, p. 1686 (3 December 2004); DOI: 10.1126/science.1103618

2. Statement on climate change from 18 scientific associations (2009)

3. AAAS Board Statement on Climate Change (2014)

4. ACS Public Policy Statement: Climate Change (2016-2019)

5. Society Must Address the Growing Climate Crisis Now (2019)

6. Global Climate Change and Human Health (2019)

7. Climate Change: An Information Statement of the American Meteorological Society (2019)

8. American Physical Society (2021)

9. GSA Position Statement on Climate Change (2015)

10. Joint science academies' statement: Global response to climate change (2005)

11. Climate at the National Academies

12. Fourth National Climate Assessment: Volume II (2018)

13. IPCC Fifth Assessment Report, Summary for Policymakers, SPM 1.1 (2014)

14. IPCC Fifth Assessment Report, Summary for Policymakers, SPM 1 (2014)

15. IPCC Sixth Assessment Report, Working Group 1 (2021)

16. IPCC Sixth Assessment Report, Working Group 2 (2022)

17. IPCC Sixth Assessment Report, Working Group 3 (2022)

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