advantages of case study method of research

10 Case Study Advantages and Disadvantages

Chris Drew (PhD)

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

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

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

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

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

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

Case Study Advantages and Disadvantages

1. in-depth analysis of complex phenomena.

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

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

As Lee and Saunders (2017) argue,

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

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

2. Holistic Understanding

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

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

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

3. Examination of rare and Unusual Phenomena

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

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

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

4. Helps Reveal the Experiences of Marginalzied Groups

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

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

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

5. Ideal in Situations where Researchers cannot Control the Variables

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

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

Case studies are ideal in such situations.

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

6. Supports the generation of new theories or hypotheses

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

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

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

7. Reveals the Unexpected

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

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

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

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

Disadvantages

1. not usually generalizable.

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

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

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

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

2. Subjectivity in interpretation

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

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

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

3. Difficulty in replicating results

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

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

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

Comprehension Quiz for Students

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Case Study Method – 18 Advantages and Disadvantages

The case study method uses investigatory research as a way to collect data about specific demographics. This approach can apply to individuals, businesses, groups, or events. Each participant receives an equal amount of participation, offering information for collection that can then find new insights into specific trends, ideas, of hypotheses.

Interviews and research observation are the two standard methods of data collection used when following the case study method.

Researchers initially developed the case study method to develop and support hypotheses in clinical medicine. The benefits found in these efforts led the approach to transition to other industries, allowing for the examination of results through proposed decisions, processes, or outcomes. Its unique approach to information makes it possible for others to glean specific points of wisdom that encourage growth.

Several case study method advantages and disadvantages can appear when researchers take this approach.

List of the Advantages of the Case Study Method

1. It requires an intensive study of a specific unit. Researchers must document verifiable data from direct observations when using the case study method. This work offers information about the input processes that go into the hypothesis under consideration. A casual approach to data-gathering work is not effective if a definitive outcome is desired. Each behavior, choice, or comment is a critical component that can verify or dispute the ideas being considered.

Intensive programs can require a significant amount of work for researchers, but it can also promote an improvement in the data collected. That means a hypothesis can receive immediate verification in some situations.

2. No sampling is required when following the case study method. This research method studies social units in their entire perspective instead of pulling individual data points out to analyze them. That means there is no sampling work required when using the case study method. The hypothesis under consideration receives support because it works to turn opinions into facts, verifying or denying the proposals that outside observers can use in the future.

Although researchers might pay attention to specific incidents or outcomes based on generalized behaviors or ideas, the study itself won’t sample those situations. It takes a look at the “bigger vision” instead.

3. This method offers a continuous analysis of the facts. The case study method will look at the facts continuously for the social group being studied by researchers. That means there aren’t interruptions in the process that could limit the validity of the data being collected through this work. This advantage reduces the need to use assumptions when drawing conclusions from the information, adding validity to the outcome of the study over time. That means the outcome becomes relevant to both sides of the equation as it can prove specific suppositions or invalidate a hypothesis under consideration.

This advantage can lead to inefficiencies because of the amount of data being studied by researchers. It is up to the individuals involved in the process to sort out what is useful and meaningful and what is not.

4. It is a useful approach to take when formulating a hypothesis. Researchers will use the case study method advantages to verify a hypothesis under consideration. It is not unusual for the collected data to lead people toward the formulation of new ideas after completing this work. This process encourages further study because it allows concepts to evolve as people do in social or physical environments. That means a complete data set can be gathered based on the skills of the researcher and the honesty of the individuals involved in the study itself.

Although this approach won’t develop a societal-level evaluation of a hypothesis, it can look at how specific groups will react in various circumstances. That information can lead to a better decision-making process in the future for everyone involved.

5. It provides an increase in knowledge. The case study method provides everyone with analytical power to increase knowledge. This advantage is possible because it uses a variety of methodologies to collect information while evaluating a hypothesis. Researchers prefer to use direct observation and interviews to complete their work, but it can also advantage through the use of questionnaires. Participants might need to fill out a journal or diary about their experiences that can be used to study behaviors or choices.

Some researchers incorporate memory tests and experimental tasks to determine how social groups will interact or respond in specific situations. All of this data then works to verify the possibilities that a hypothesis proposes.

6. The case study method allows for comparisons. The human experience is one that is built on individual observations from group situations. Specific demographics might think, act, or respond in particular ways to stimuli, but each person in that group will also contribute a small part to the whole. You could say that people are sponges that collect data from one another every day to create individual outcomes.

The case study method allows researchers to take the information from each demographic for comparison purposes. This information can then lead to proposals that support a hypothesis or lead to its disruption.

7. Data generalization is possible using the case study method. The case study method provides a foundation for data generalization, allowing researches to illustrate their statistical findings in meaningful ways. It puts the information into a usable format that almost anyone can use if they have the need to evaluate the hypothesis under consideration. This process makes it easier to discover unusual features, unique outcomes, or find conclusions that wouldn’t be available without this method. It does an excellent job of identifying specific concepts that relate to the proposed ideas that researchers were verifying through their work.

Generalization does not apply to a larger population group with the case study method. What researchers can do with this information is to suggest a predictable outcome when similar groups are placed in an equal situation.

8. It offers a comprehensive approach to research. Nothing gets ignored when using the case study method to collect information. Every person, place, or thing involved in the research receives the complete attention of those seeking data. The interactions are equal, which means the data is comprehensive and directly reflective of the group being observed.

This advantage means that there are fewer outliers to worry about when researching an idea, leading to a higher level of accuracy in the conclusions drawn by the researchers.

9. The identification of deviant cases is possible with this method. The case study method of research makes it easier to identify deviant cases that occur in each social group. These incidents are units (people) that behave in ways that go against the hypothesis under consideration. Instead of ignoring them like other options do when collecting data, this approach incorporates the “rogue” behavior to understand why it exists in the first place.

This advantage makes the eventual data and conclusions gathered more reliable because it incorporates the “alternative opinion” that exists. One might say that the case study method places as much emphasis on the yin as it does the yang so that the whole picture becomes available to the outside observer.

10. Questionnaire development is possible with the case study method. Interviews and direct observation are the preferred methods of implementing the case study method because it is cheap and done remotely. The information gathered by researchers can also lead to farming questionnaires that can farm additional data from those being studied. When all of the data resources come together, it is easier to formulate a conclusion that accurately reflects the demographics.

Some people in the case study method may try to manipulate the results for personal reasons, but this advantage makes it possible to identify this information readily. Then researchers can look into the thinking that goes into the dishonest behaviors observed.

List of the Disadvantages of the Case Study Method

1. The case study method offers limited representation. The usefulness of the case study method is limited to a specific group of representatives. Researchers are looking at a specific demographic when using this option. That means it is impossible to create any generalization that applies to the rest of society, an organization, or a larger community with this work. The findings can only apply to other groups caught in similar circumstances with the same experiences.

It is useful to use the case study method when attempting to discover the specific reasons why some people behave in a specific way. If researchers need something more generalized, then a different method must be used.

2. No classification is possible with the case study method. This disadvantage is also due to the sample size in the case study method. No classification is possible because researchers are studying such a small unit, group, or demographic. It can be an inefficient process since the skills of the researcher help to determine the quality of the data being collected to verify the validity of a hypothesis. Some participants may be unwilling to answer or participate, while others might try to guess at the outcome to support it.

Researchers can get trapped in a place where they explore more tangents than the actual hypothesis with this option. Classification can occur within the units being studied, but this data cannot extrapolate to other demographics.

3. The case study method still offers the possibility of errors. Each person has an unconscious bias that influences their behaviors and choices. The case study method can find outliers that oppose a hypothesis fairly easily thanks to its emphasis on finding facts, but it is up to the researchers to determine what information qualifies for this designation. If the results from the case study method are surprising or go against the opinion of participating individuals, then there is still the possibility that the information will not be 100% accurate.

Researchers must have controls in place that dictate how data gathering work occurs. Without this limitation in place, the results of the study cannot be guaranteed because of the presence of bias.

4. It is a subjective method to use for research. Although the purpose of the case study method of research is to gather facts, the foundation of what gets gathered is still based on opinion. It uses the subjective method instead of the objective one when evaluating data, which means there can be another layer of errors in the information to consider.

Imagine that a researcher interprets someone’s response as “angry” when performing direct observation, but the individual was feeling “shame” because of a decision they made. The difference between those two emotions is profound, and it could lead to information disruptions that could be problematic to the eventual work of hypothesis verification.

5. The processes required by the case study method are not useful for everyone. The case study method uses a person’s memories, explanations, and records from photographs and diaries to identify interactions on influences on psychological processes. People are given the chance to describe what happens in the world around them as a way for researchers to gather data. This process can be an advantage in some industries, but it can also be a worthless approach to some groups.

If the social group under study doesn’t have the information, knowledge, or wisdom to provide meaningful data, then the processes are no longer useful. Researchers must weigh the advantages and disadvantages of the case study method before starting their work to determine if the possibility of value exists. If it does not, then a different method may be necessary.

6. It is possible for bias to form in the data. It’s not just an unconscious bias that can form in the data when using the case study method. The narrow study approach can lead to outright discrimination in the data. Researchers can decide to ignore outliers or any other information that doesn’t support their hypothesis when using this method. The subjective nature of this approach makes it difficult to challenge the conclusions that get drawn from this work, and the limited pool of units (people) means that duplication is almost impossible.

That means unethical people can manipulate the results gathered by the case study method to their own advantage without much accountability in the process.

7. This method has no fixed limits to it. This method of research is highly dependent on situational circumstances rather than overarching societal or corporate truths. That means the researcher has no fixed limits of investigation. Even when controls are in place to limit bias or recommend specific activities, the case study method has enough flexibility built into its structures to allow for additional exploration. That means it is possible for this work to continue indefinitely, gathering data that never becomes useful.

Scientists began to track the health of 268 sophomores at Harvard in 1938. The Great Depression was in its final years at that point, so the study hoped to reveal clues that lead to happy and healthy lives. It continues still today, now incorporating the children of the original participants, providing over 80 years of information to sort through for conclusions.

8. The case study method is time-consuming and expensive. The case study method can be affordable in some situations, but the lack of fixed limits and the ability to pursue tangents can make it a costly process in most situations. It takes time to gather the data in the first place, and then researchers must interpret the information received so that they can use it for hypothesis evaluation. There are other methods of data collection that can be less expensive and provide results faster.

That doesn’t mean the case study method is useless. The individualization of results can help the decision-making process advance in a variety of industries successfully. It just takes more time to reach the appropriate conclusion, and that might be a resource that isn’t available.

The advantages and disadvantages of the case study method suggest that the helpfulness of this research option depends on the specific hypothesis under consideration. When researchers have the correct skills and mindset to gather data accurately, then it can lead to supportive data that can verify ideas with tremendous accuracy.

This research method can also be used unethically to produce specific results that can be difficult to challenge.

When bias enters into the structure of the case study method, the processes become inefficient, inaccurate, and harmful to the hypothesis. That’s why great care must be taken when designing a study with this approach. It might be a labor-intensive way to develop conclusions, but the outcomes are often worth the investments needed.

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Case Study – Methods, Examples and Guide

Table of Contents

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

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

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

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

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

Multiple-Case Study

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

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

Exploratory Case Study

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

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

Descriptive Case Study

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

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

Instrumental Case Study

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

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

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

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

Observations

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

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

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

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

How to conduct Case Study Research

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

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

Examples of Case Study

Here are some examples of case study research:

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

Application of Case Study

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

Business and Management

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

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

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

Social Sciences

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

Law and Ethics

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

Purpose of Case Study

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

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

Case studies can also serve other purposes, including:

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

Advantages of Case Study Research

There are several advantages of case study research, including:

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

Limitations of Case Study Research

There are several limitations of case study research, including:

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

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• 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.

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 in Research? Definition, Methods, and Examples

Case study methodology offers researchers an exciting opportunity to explore intricate phenomena within specific contexts using a wide range of data sources and collection methods. It is highly pertinent in health and social sciences, environmental studies, social work, education, and business studies. Its diverse applications, such as advancing theory, program evaluation, and intervention development, make it an invaluable tool for driving meaningful research and fostering positive change.[ 1]  

Table of Contents

What is a Case Study?  

A case study method involves a detailed examination of a single subject, such as an individual, group, organization, event, or community, to explore and understand complex issues in real-life contexts. By focusing on one specific case, researchers can gain a deep understanding of the factors and dynamics at play, understanding their complex relationships, which might be missed in broader, more quantitative studies.  

When to do a Case Study?  

A case study design is useful when you want to explore a phenomenon in-depth and in its natural context. Here are some examples of when to use a case study :[ 2]  

• Exploratory Research: When you want to explore a new topic or phenomenon, a case study can help you understand the subject deeply. For example , a researcher studying a newly discovered plant species might use a case study to document its characteristics and behavior.  
• Descriptive Research: If you want to describe a complex phenomenon or process, a case study can provide a detailed and comprehensive description. For instance, a case study design   could describe the experiences of a group of individuals living with a rare disease.  
• Explanatory Research: When you want to understand why a particular phenomenon occurs, a case study can help you identify causal relationships. A case study design could investigate the reasons behind the success or failure of a particular business strategy.  
• Theory Building: Case studies can also be used to develop or refine theories. By systematically analyzing a series of cases, researchers can identify patterns and relationships that can contribute to developing new theories or refining existing ones.  
• Critical Instance: Sometimes, a single case can be used to study a rare or unusual phenomenon, but it is important for theoretical or practical reasons. For example , the case of Phineas Gage, a man who survived a severe brain injury, has been widely studied to understand the relationship between the brain and behavior.  
• Comparative Analysis: Case studies can also compare different cases or contexts. A case study example involves comparing the implementation of a particular policy in different countries to understand its effectiveness and identifying best practices.  

How to Create a Case Study – Step by Step  

Step 1: select a case  .

Careful case selection ensures relevance, insight, and meaningful contribution to existing knowledge in your field. Here’s how you can choose a case study design :[ 3]  

• Define Your Objectives: Clarify the purpose of your case study and what you hope to achieve. Do you want to provide new insights, challenge existing theories, propose solutions to a problem, or explore new research directions?  
• Consider Unusual or Outlying Cases: Focus on unusual, neglected, or outlying cases that can provide unique insights.  
• Choose a Representative Case: Alternatively, select a common or representative case to exemplify a particular category, experience, or phenomenon.   
• Avoid Bias: Ensure your selection process is unbiased using random or criteria-based selection.  
• Be Clear and Specific: Clearly define the boundaries of your study design , including the scope, timeframe, and key stakeholders.   
• Ethical Considerations: Consider ethical issues, such as confidentiality and informed consent.  

Step 2: Build a Theoretical Framework  

To ensure your case study has a solid academic foundation, it’s important to build a theoretical framework:   

• Conduct a Literature Review: Identify key concepts and theories relevant to your case study .  
• Establish Connections with Theory: Connect your case study with existing theories in the field.  
• Guide Your Analysis and Interpretation: Use your theoretical framework to guide your analysis, ensuring your findings are grounded in established theories and concepts.   

Step 3: Collect Your Data  

To conduct a comprehensive case study , you can use various research methods. These include interviews, observations, primary and secondary sources analysis, surveys, and a mixed methods approach. The aim is to gather rich and diverse data to enable a detailed analysis of your case study .  

Step 4: Describe and Analyze the Case  

How you report your findings will depend on the type of research you’re conducting. Here are two approaches:   

• Structured Approach: Follows a scientific paper format, making it easier for readers to follow your argument.  
• Narrative Approach: A more exploratory style aiming to analyze meanings and implications.  

Regardless of the approach you choose, it’s important to include the following elements in your case study :   

• Contextual Details: Provide background information about the case, including relevant historical, cultural, and social factors that may have influenced the outcome.  
• Literature and Theory: Connect your case study to existing literature and theory in the field. Discuss how your findings contribute to or challenge existing knowledge.  
• Wider Patterns or Debates: Consider how your case study fits into wider patterns or debates within the field. Discuss any implications your findings may have for future research or practice.  

What Are the Benefits of a Case Study   

Case studies offer a range of benefits , making them a powerful tool in research.  

1. In-Depth Analysis  

• Comprehensive Understanding: Case studies allow researchers to thoroughly explore a subject, understanding the complexities and nuances involved.  
• Rich Data: They offer rich qualitative and sometimes quantitative data, capturing the intricacies of real-life contexts.  

2. Contextual Insight  

• Real-World Application: Case studies provide insights into real-world applications, making the findings highly relevant and practical.  
• Context-Specific: They highlight how various factors interact within a specific context, offering a detailed picture of the situation.  

3. Flexibility  

• Methodological Diversity: Case studies can use various data collection methods, including interviews, observations, document analysis, and surveys.  
• Adaptability: Researchers can adapt the case study approach to fit the specific needs and circumstances of the research.  

4. Practical Solutions  

• Actionable Insights: The detailed findings from case studies can inform practical solutions and recommendations for practitioners and policymakers.  
• Problem-Solving: They help understand the root causes of problems and devise effective strategies to address them.  

5. Unique Cases  

• Rare Phenomena: Case studies are particularly valuable for studying rare or unique cases that other research methods may not capture.  
• Detailed Documentation: They document and preserve detailed information about specific instances that might otherwise be overlooked.  

What Are the Limitations of a Case Study   

While case studies offer valuable insights and a detailed understanding of complex issues, they have several limitations .  

1. Limited Generalizability  

• Specific Context: Case studies often focus on a single case or a small number of cases, which may limit the generalization of findings to broader populations or different contexts.  
• Unique Situations: The unique characteristics of the case may not be representative of other situations, reducing the applicability of the results.  

2. Subjectivity  

• Researcher Bias: The researcher’s perspectives and interpretations can influence the analysis and conclusions, potentially introducing bias.  
• Participant Bias: Participants’ responses and behaviors may be influenced by their awareness of being studied, known as the Hawthorne effect.  

3. Time-Consuming  

• Data Collection and Analysis: Gathering detailed, in-depth data requires significant time and effort, making case studies more time-consuming than other research methods.  
• Longitudinal Studies: If the case study observes changes over time, it can become even more prolonged.  

4. Resource Intensive  

• Financial and Human Resources: Conducting comprehensive case studies may require significant financial investment and human resources, including trained researchers and participant access.  
• Access to Data: Accessing relevant and reliable data sources can be challenging, particularly in sensitive or proprietary contexts.  

5. Replication Difficulties  

• Unique Contexts: A case study’s specific and detailed context makes it difficult to replicate the study exactly, limiting the ability to validate findings through repetition.  
• Variability: Differences in contexts, researchers, and methodologies can lead to variations in findings, complicating efforts to achieve consistent results.  

By acknowledging and addressing these limitations , researchers can enhance the rigor and reliability of their case study findings.  

Key Takeaways  

Case studies are valuable in research because they provide an in-depth, contextual analysis of a single subject, event, or organization. They allow researchers to explore complex issues in real-world settings, capturing detailed qualitative and quantitative data. This method is useful for generating insights, developing theories, and offering practical solutions to problems. They are versatile, applicable in diverse fields such as business, education, and health, and can complement other research methods by providing rich, contextual evidence. However, their findings may have limited generalizability due to the focus on a specific case.  

Frequently Asked Questions  

Q: What is a case study in research?  

A case study in research is an impactful tool for gaining a deep understanding of complex issues within their real-life context. It combines various data collection methods and provides rich, detailed insights that can inform theory development and practical applications.  

Q: What are the advantages of using case studies in research?  

Case studies are a powerful research method, offering advantages such as in-depth analysis, contextual insights, flexibility, rich data, and the ability to handle complex issues. They are particularly valuable for exploring new areas, generating hypotheses, and providing detailed, illustrative examples that can inform theory and practice.  

Q: Can case studies be used in quantitative research?  

While case studies are predominantly associated with qualitative research, they can effectively incorporate quantitative methods to provide a more comprehensive analysis. A mixed-methods approach leverages qualitative and quantitative research strengths, offering a powerful tool for exploring complex issues in a real-world context. For example , a new medical treatment case study can incorporate quantitative clinical outcomes (e.g., patient recovery rates and dosage levels) along with qualitative patient interviews.  

Q: What are the key components of a case study?  

A case study typically includes several key components:   

• Introductio n, which provides an overview and sets the context by presenting the problem statement and research objectives;  
• Literature review , which connects the study to existing theories and prior research;  
• Methodology , which details the case study design , data collection methods, and analysis techniques;   
• Findings , which present the data and results, including descriptions, patterns, and themes;   
• Discussion and conclusion , which interpret the findings, discuss their implications, and offer conclusions, practical applications, limitations, and suggestions for future research.  

Together, these components ensure a comprehensive, systematic, and insightful exploration of the case.  

References  

• de Vries, K. (2020). Case study methodology. In  Critical qualitative health research  (pp. 41-52). Routledge.  
• Fidel, R. (1984). The case study method: A case study.  Library and Information Science Research ,  6 (3), 273-288.  
• Thomas, G. (2021). How to do your case study.  How to do your case study , 1-320.  

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Case Study Method: Definition, Research Types, Advantages

by  Antony W

May 29, 2024

Case study method, or simply case study research methodology, is a technique that employs investigative inquiry to get data from specific individuals, organizations, groups, events, or demography.

Every participant in a case study method gets a similar engagement with hopes that he or she will provide information that helps with the discovery of novel insights on patterns, ideas, or hypothesis.

What’s The Origin of Case Study Method?

Frederic Le Play in France developed the case study method in sociology in 1829. Field workers would stay with families for a specific time and gather significant data such as income, expenditure, and interaction to understand the family in question.

The case study method was equally popular in clinical medicine, as it helped to generate, analyze, and support hypotheses .

Researchers adapted and integrated the technique to other sectors because of the benefits it uncovered in sociology, anthropology, and clinical medicine. The technique allows for the analysis of outcome through suggested decisions, procedures, and outcomes. 

What Research Types are Used in Case Study Method?

Your case study can be collective, descriptive, exploratory, explanatory, instrumental, or intrinsic.

These case study types require a comprehensive research methodology, which refers to procedures and techniques used to process and evaluate data to solve a problem and achieve a specific goal.

There are 2 types of research approaches for case studies: qualitative and quantitative research . These methods focus on different goals, data, and study.

Qualitative Research for Case Study

Qualitative research focuses on the collection and analysis of non-numerical data and it mostly applies to health sciences, anthropology, history, sociology, and education.

Examples of non-numerical data include audio, text, and video. You can collect qualitative data from focus groups, interviews, surveys, and observations.

Qualitative research for case studies enables you to generate new ideas and helpful insights with relevance and meaning.

Quantitative Research for Case Study

Quantitative research focuses on the collection and analysis of numbers, and it’s common in marketing, psychology, political science, economics, and sociology. Researchers use qualitative research to measure relationships and to test and track averages and patterns.

To do a comprehensive quantitative research:

• Come up with a theory.
• Develop a hypothesis.
• Create a research pattern.
• Operationalize a concept.
• Find a research environment (site).
• Choose your responders.
• Gather, process, and analyze data.
• Record your key findings and publish the results.

What are the Advantages of Case Study Methodology?

The following are the six advantages of the case study methodology:

1. Detailed Examination of a Specific Unit

The case study method enables researchers to document independently verifiable data from firsthand observations. The results provide information on the input mechanism that contributes to a proposed explanation under consideration.

2. Formation of Hypothesis

Researchers use the case study method to test a proposed hypothesis . More often than not, the information acquired from the study may inspire the formation of new concepts and allow further research because it supports change in social and physical settings.

You may collect a comprehensive data set depending on your ability and the openness of the study participants.

3. Constant Examination of Facts

You can use the case study methodology to examine facts about a social group continuously. The constant examination of facts ensures no disruption compromises the authenticity of the data obtained for the project.

Here, researchers don’t need to make assumptions when making conclusions from the collected data, thus ensuring the long-term validity of the findings. The conclusion made becomes significant to both sides of the equation, as it may confirm or reject the theory under investigation.

The constant examination of facts in case study methodology is subject to inefficiency because of the sheer volume of data under examination. Therefore, researchers have the responsibility to determine what information is helpful and what is insignificant.

4. Case Study Method Supports Comparison

Every demographic thinks, behaves, and responds to stimuli in unique ways, but each member of the group will contribute a little portion to a whole. Ideally, individual insights from different settings are a culmination of unique human experiences.

In this case, the case study method allows researchers to compare information from each demographic group, leading to ideas that either support or disapprove a theory.

5. Support for Knowledge Expansion

Researchers can use the case study methodology to expand their knowledge through analysis thanks to the range of methods used to collect data and evaluate hypothesis.

Many researchers collect data from interviews and observations, but even surveys can be just as useful. They may record participants’ experiences and use the information to analyze behavior and decisions. In some instances, a researcher may use memory test and experimental activities to predict how social groups would interact with or respond to given situations.

The information collected then serves to confirm the hypothesized possibilities.

6. Data Sampling Isn’t a Requirement

The case study method looks at social units holistically rather than isolating and analyzing individual data pieces. Therefore, the technique doesn’t require any sampling. The case study method supports the proposition under examination, as it transforms views into facts by validating or rejecting ideas that outside observers may use.

You may heed to specific incidences or results based on broader behavior or concepts. However, the study itself will not sample such instance. The methodology looks at the larger picture instead.

Where Can I Get Help With Case Study Writing?

You can get help with case study writing from Help for Assessment. We have the best case study writers who are only a click away to get you the writing you need to complete your paper on time.

It doesn’t matter if your deadline is closing in or you haven’t started working on the project yet. We can take you from a completely blank page to a well-written document before your due date. 

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About the author 

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

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

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

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

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

Case studies

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

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

Definition of a case study

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

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

Characteristics of case studies

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

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

The role of case studies in research

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

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

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

What is the purpose of a case study?

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

Why use case studies in qualitative research?

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

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

The explanatory, exploratory, and descriptive roles of case studies

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

The impact of case studies on knowledge development

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

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

Types of case studies

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

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

Exploratory case studies

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

Descriptive case studies

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

Explanatory case studies

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

Intrinsic, instrumental, and collective case studies

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

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

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

Critical information systems research

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

Health research

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

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

Asthma research studies

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

Other fields

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

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

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

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

Propositions

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

Units of analysis

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

Argumentation

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

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

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

Defining the research question

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

Selecting and defining the case

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

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

Developing a detailed case study protocol

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

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

Collecting data

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

Analyzing and interpreting data

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

Writing the case study report

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

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

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

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

Observations

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

Documents and artifacts

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

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

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

Ensuring the quality of data collection

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

Data analysis

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

Organizing the data

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

Categorizing and coding the data

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

Identifying patterns and themes

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

Interpreting the data

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

Verification of the data

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

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

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

Benefits include the following:

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

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

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

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

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• Knowledge Base
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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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Understanding Case Study Method in Research: A Comprehensive Guide

Table of Contents

Have you ever wondered how researchers uncover the nuanced layers of individual experiences or the intricate workings of a particular event? One of the keys to unlocking these mysteries lies in the case study method , a research strategy that might seem straightforward at first glance but is rich with complexity and insightful potential. Let’s dive into the world of case studies and discover why they are such a valuable tool in the arsenal of research methods.

What is a Case Study Method?

At its core, the case study method is a form of qualitative research that involves an in-depth, detailed examination of a single subject, such as an individual, group, organization, event, or phenomenon. It’s a method favored when the boundaries between phenomenon and context are not clearly evident, and where multiple sources of data are used to illuminate the case from various perspectives. This method’s strength lies in its ability to provide a comprehensive understanding of the case in its real-life context.

Historical Context and Evolution of Case Studies

Case studies have been around for centuries, with their roots in medical and psychological research. Over time, their application has spread to disciplines like sociology, anthropology, business, and education. The evolution of this method has been marked by a growing appreciation for qualitative data and the rich, contextual insights it can provide, which quantitative methods may overlook.

Characteristics of Case Study Research

What sets the case study method apart are its distinct characteristics:

• Intensive Examination: It provides a deep understanding of the case in question, considering the complexity and uniqueness of each case.
• Contextual Analysis: The researcher studies the case within its real-life context, recognizing that the context can significantly influence the phenomenon.
• Multiple Data Sources: Case studies often utilize various data sources like interviews, observations, documents, and reports, which provide multiple perspectives on the subject.
• Participant’s Perspective: This method often focuses on the perspectives of the participants within the case, giving voice to those directly involved.

Types of Case Studies

There are different types of case studies, each suited for specific research objectives:

• Exploratory: These are conducted before large-scale research projects to help identify questions, select measurement constructs, and develop hypotheses.
• Descriptive: These involve a detailed, in-depth description of the case, without attempting to determine cause and effect.
• Explanatory: These are used to investigate cause-and-effect relationships and understand underlying principles of certain phenomena.
• Intrinsic: This type is focused on the case itself because the case presents an unusual or unique issue.
• Instrumental: Here, the case is secondary to understanding a broader issue or phenomenon.
• Collective: These involve studying a group of cases collectively or comparably to understand a phenomenon, population, or general condition.

The Process of Conducting a Case Study

Conducting a case study involves several well-defined steps:

• Defining Your Case: What or who will you study? Define the case and ensure it aligns with your research objectives.
• Selecting Participants: If studying people, careful selection is crucial to ensure they fit the case criteria and can provide the necessary insights.
• Data Collection: Gather information through various methods like interviews, observations, and reviewing documents.
• Data Analysis: Analyze the collected data to identify patterns, themes, and insights related to your research question.
• Reporting Findings: Present your findings in a way that communicates the complexity and richness of the case study, often through narrative.

Case Studies in Practice: Real-world Examples

Case studies are not just academic exercises; they have practical applications in every field. For instance, in business, they can explore consumer behavior or organizational strategies. In psychology, they can provide detailed insight into individual behaviors or conditions. Education often uses case studies to explore teaching methods or learning difficulties.

Advantages of Case Study Research

While the case study method has its critics, it offers several undeniable advantages:

• Rich, Detailed Data: It captures data too complex for quantitative methods.
• Contextual Insights: It provides a better understanding of the phenomena in its natural setting.
• Contribution to Theory: It can generate and refine theory, offering a foundation for further research.

Limitations and Criticism

However, it’s important to acknowledge the limitations and criticisms:

• Generalizability : Findings from case studies may not be widely generalizable due to the focus on a single case.
• Subjectivity: The researcher’s perspective may influence the study, which requires careful reflection and transparency.
• Time-Consuming: They require a significant amount of time to conduct and analyze properly.

Concluding Thoughts on the Case Study Method

The case study method is a powerful tool that allows researchers to delve into the intricacies of a subject in its real-world environment. While not without its challenges, when executed correctly, the insights garnered can be incredibly valuable, offering depth and context that other methods may miss. Robert K. Yin ’s advocacy for this method underscores its potential to illuminate and explain contemporary phenomena, making it an indispensable part of the researcher’s toolkit.

Reflecting on the case study method, how do you think its application could change with the advancements in technology and data analytics? Could such a traditional method be enhanced or even replaced in the future?

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Research Methods in Psychology

1 Introduction to Psychological Research – Objectives and Goals, Problems, Hypothesis and Variables

• Nature of Psychological Research
• The Context of Discovery
• Context of Justification
• Characteristics of Psychological Research
• Goals and Objectives of Psychological Research

2 Introduction to Psychological Experiments and Tests

• Independent and Dependent Variables
• Extraneous Variables
• Experimental and Control Groups
• Introduction of Test
• Types of Psychological Test
• Uses of Psychological Tests

3 Steps in Research

• Research Process
• Identification of the Problem
• Review of Literature
• Formulating a Hypothesis
• Identifying Manipulating and Controlling Variables
• Formulating a Research Design
• Constructing Devices for Observation and Measurement
• Sample Selection and Data Collection
• Data Analysis and Interpretation
• Hypothesis Testing
• Drawing Conclusion

4 Types of Research and Methods of Research

• Historical Research
• Descriptive Research
• Correlational Research
• Qualitative Research
• Ex-Post Facto Research
• True Experimental Research
• Quasi-Experimental Research

5 Definition and Description Research Design, Quality of Research Design

• Research Design
• Purpose of Research Design
• Design Selection
• Criteria of Research Design
• Qualities of Research Design

6 Experimental Design (Control Group Design and Two Factor Design)

• Experimental Design
• Control Group Design
• Two Factor Design

7 Survey Design

• Survey Research Designs
• Steps in Survey Design
• Structuring and Designing the Questionnaire
• Interviewing Methodology
• Data Analysis
• Final Report

8 Single Subject Design

• Single Subject Design: Definition and Meaning
• Phases Within Single Subject Design
• Requirements of Single Subject Design
• Characteristics of Single Subject Design
• Types of Single Subject Design
• Advantages of Single Subject Design
• Disadvantages of Single Subject Design

9 Observation Method

• Definition and Meaning of Observation
• Characteristics of Observation
• Types of Observation
• Advantages and Disadvantages of Observation
• Guides for Observation Method

10 Interview and Interviewing

• Definition of Interview
• Types of Interview
• Aspects of Qualitative Research Interviews
• Interview Questions
• Convergent Interviewing as Action Research
• Research Team

11 Questionnaire Method

• Definition and Description of Questionnaires
• Types of Questionnaires
• Purpose of Questionnaire Studies
• Designing Research Questionnaires
• The Methods to Make a Questionnaire Efficient
• The Types of Questionnaire to be Included in the Questionnaire
• Advantages and Disadvantages of Questionnaire
• When to Use a Questionnaire?

12 Case Study

• Definition and Description of Case Study Method
• Historical Account of Case Study Method
• Designing Case Study
• Requirements for Case Studies
• Guideline to Follow in Case Study Method
• Other Important Measures in Case Study Method
• Case Reports

13 Report Writing

• Purpose of a Report
• Writing Style of the Report
• Report Writing – the Do’s and the Don’ts
• Format for Report in Psychology Area
• Major Sections in a Report

14 Review of Literature

• Purposes of Review of Literature
• Sources of Review of Literature
• Types of Literature
• Writing Process of the Review of Literature
• Preparation of Index Card for Reviewing and Abstracting

15 Methodology

• Definition and Purpose of Methodology
• Participants (Sample)
• Apparatus and Materials

16 Result, Analysis and Discussion of the Data

• Definition and Description of Results
• Statistical Presentation
• Tables and Figures

17 Summary and Conclusion

• Summary Definition and Description
• Guidelines for Writing a Summary
• Writing the Summary and Choosing Words
• A Process for Paraphrasing and Summarising
• Summary of a Report
• Writing Conclusions

18 References in Research Report

• Reference List (the Format)
• References (Process of Writing)
• Reference List and Print Sources
• Electronic Sources
• Book on CD Tape and Movie
• Reference Specifications
• General Guidelines to Write References

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Case Study Research Method in Psychology

Saul McLeod, PhD

Editor-in-Chief for Simply Psychology

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

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

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.

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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.

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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.

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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

• 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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Sarah Crowe & Anthony Avery

Centre for Population Health Sciences, The University of Edinburgh, Edinburgh, UK

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

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

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

Access your free e-book today.

What Is the Harvard Business School Case Study Method?

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

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

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

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

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

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

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

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

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

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

5 Benefits of Learning Through Case Studies

1. take new perspectives.

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

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

2. Hone Your Decision-Making Skills

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

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

3. Become More Open-Minded

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

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

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

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

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

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

4. Enhance Your Curiosity

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

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

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

5. Build Your Self-Confidence

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

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

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

How to Experience the Case Study Method

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

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

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

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

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

12 Case Study Method Advantages and Disadvantages

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

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

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

List of the Advantages of the Case Study Method

1. it turns client observations into useable data..

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

2. It turns opinion into fact.

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

3. It is relevant to all parties involved.

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

4. It uses a number of different research methodologies.

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

5. It can be done remotely.

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

6. It is inexpensive.

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

7. It is very accessible to readers.

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

List of the Disadvantages of the Case Study Method

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

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

2. It takes longer to analyze the data.

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

3. It can be an inefficient process.

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

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

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

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

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

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

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• First Online: 27 October 2022

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• R. M. Channaveer 4 &
• Rajendra Baikady 5  

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This chapter reviews the strengths and limitations of case study as a research method in social sciences. It provides an account of an evidence base to justify why a case study is best suitable for some research questions and why not for some other research questions. Case study designing around the research context, defining the structure and modality, conducting the study, collecting the data through triangulation mode, analysing the data, and interpreting the data and theory building at the end give a holistic view of it. In addition, the chapter also focuses on the types of case study and when and where to use case study as a research method in social science research.

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Channaveer, R.M., Baikady, R. (2022). Case Study. In: Islam, M.R., Khan, N.A., Baikady, R. (eds) Principles of Social Research Methodology. Springer, Singapore. https://doi.org/10.1007/978-981-19-5441-2_21

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What the Case Study Method Really Teaches

• Nitin Nohria

Seven meta-skills that stick even if the cases fade from memory.

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

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

• Nitin Nohria is the George F. Baker Jr. and Distinguished Service University Professor. He served as the 10th dean of Harvard Business School, from 2010 to 2020.

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• DOI: 10.55041/ijsrem28211
• Corpus ID: 267048425

A Case Study on the Impact of Brand Image on Customer Buying Behaviour with Special Reference to Nilgiris Supermarket in Mangalore

• Harish S. Pai
• Published in INTERANTIONAL JOURNAL OF… 15 January 2024

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Breaking the taboo of using the nursing process: lived experiences of nursing students and faculty members

• Amir Shahzeydi   ORCID: orcid.org/0000-0001-9095-2424 1 , 2 ,
• Parvaneh Abazari   ORCID: orcid.org/0000-0003-4024-2867 3 , 4 ,
• Fatemeh Gorji-varnosfaderani   ORCID: orcid.org/0000-0001-6830-982X 5 ,
• Elaheh Ashouri   ORCID: orcid.org/0000-0002-7566-6566 6 ,
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• Fakhri Sabohi   ORCID: orcid.org/0000-0003-1448-6606 6  

BMC Nursing volume  23 , Article number:  621 ( 2024 ) Cite this article

Metrics details

Despite the numerous advantages of the nursing process, nursing students often struggle with utilizing this model. Therefore, studies suggest innovative teaching methods to address this issue. Teaching based on real clinical cases is considered a collaborative learning method that enhances students’ active learning for the development of critical thinking and problem-solving skills. In this method, students can acquire sufficient knowledge about patient care by accessing authentic information.

The aim of the present study was to investigate the experiences of nursing students and faculty members regarding the implementation of nursing process educational workshops, based on real case studies.

A qualitative descriptive study.

Participants

9 Nursing students and 7 faculty members from the Isfahan School of Nursing and Midwifery who attended the workshops.

This qualitative descriptive study was conducted from 2021 to 2023. Data was collected through semi-structured individual and focus group interviews using a qualitative content analysis approach for data analysis.

After analyzing the data, a theme titled “Breaking Taboos in the Nursing Process” was identified. This theme consists of four categories: “Strengthening the Cognitive Infrastructure for Accepting the Nursing Process,” “Enhancing the Applicability of the Nursing Process,” “Assisting in Positive Professional Identity,” and “Facilitating a Self-Directed Learning Platform.” Additionally, thirteen subcategories were obtained.

The data obtained from the present study showed that conducting nursing process educational workshops, where real clinical cases are discussed, analyzed, and criticized, increases critical thinking, learning motivation, and understanding of the necessity and importance of implementing the nursing process. Therefore, it is recommended that instructors utilize this innovative and effective teaching method for instructing the nursing process.

Peer Review reports

Introduction

The nursing process is a systematic and logical method for planning and providing nursing care [ 1 ] that provides an opportunity for nurses to efficiently and dynamically utilize their knowledge and expertise. It also creates a common language, known as nursing diagnosis, which facilitates action, promotes creative solutions, and minimizes errors in patient care [ 2 ]. Clinical education, based on the nursing process, provides an appropriate setting for nursing students to gain clinical experiences and foster professional development [ 3 ].

Despite the numerous advantages, nursing students face difficulties in implementing this model in various countries [ 4 , 5 ], lack of appropriate knowledge, lack of clinical practice, and insufficient learning are among the most significant obstacles to the implementation of the nursing process by students. This can be attributed to the poor quality of education regarding this important nursing care model. Therefore, it is necessary for educators in this field to use innovative and participatory teaching methods [ 3 , 6 ]. According to research conducted in Iran, 72% of nursing faculty members use passive teaching methods. Meanwhile, 92% of nursing students prefer active and innovative learning methods over traditional and passive methods [ 7 ]. Therefore, the use of modern methods, which aim to stimulate students’ thinking and enhance their responsiveness in acquiring and applying knowledge, can be effective [ 6 ].

Case-based learning is a collaborative learning method that aims to develop and enhance critical thinking and problem-solving skills [ 8 ]. Teaching the nursing process based on clinical and real cases can be very important in terms of promoting critical thinking, simulating real experiences, enhancing clinical judgment, and ultimately improving the quality and effectiveness of education [ 8 , 9 ]. In this method, students gain sufficient knowledge about patient care by accessing real information, improving their skills in patient assessment, and gaining personal nursing experience. This leads to a better understanding of comprehensive care and prepares individuals for future professional roles [ 9 ].

Very few studies have been conducted on teaching methods and their impact on the quality of nursing process [ 10 , 11 ]. In Iran, case-based trainings have mostly focused on hypothetical cases [ 1 , 12 ]. In other countries, most studies conducted on the case-based educational method have not focused on the nursing process. The few studies that have been conducted on the nursing process have either not been based on real clinical cases [ 13 ] or, if clinical cases have been researched, the studies have been conducted quantitatively [ 8 , 9 ] While qualitative research provides researchers with more opportunities to discover and explain the realities of the educational environment and gain a better understanding of many challenging aspects related to the nursing education process. Researchers are able to provide a practical model that helps improve and enhance the current process by gaining insight and a deep understanding of what is happening in the field of study [ 14 ]. This study represents the first qualitative research that describes the lived experiences of nursing students and faculty members regarding the teaching of the nursing process through real-based case workshops.

Study design

This qualitative descriptive study was conducted from 2021 to 2023. Qualitative descriptive studies typically align with the naturalistic inquiry paradigm, which emphasizes examining phenomena in their natural settings as much as possible within the context of research. Naturalistic inquiry, rooted in a constructivist viewpoint, enables a deeper understanding of phenomena by observing them within the authentic social world we inhabit [ 15 ]. In this type of study, researchers provide a comprehensive summary of an extraordinary occurrence or circumstance of interest and its related factors, but they do not delve into deep interpretation [ 16 ]. This study was undertaken to explore students and faculty members perceptions of the effect of the educational workshops on knowledge, skills and attitudes of students to the nursing process.

Setting and sample

Participants were selected from nursing students and faculty members who participated in nursing process workshops (Table  1 ). The criteria for entry into the study included volunteering to participate in the study and attending at least 3 sessions of the workshops.

Workshop details

The workshops were held in the conference hall of the Nursing and Midwifery Faculty. They consisted of 9 sessions, each lasting 2 h, from 16:00 to 18:00. Students from terms 2 to 8 and faculty members participated in these workshops. Each session was attended by an average of 60 members. Despite the inconvenience of scheduling the sessions outside of the official class hours, all the members stayed until the end of the meeting, showing a keen interest in the material and actively participating in discussions. Attendance was open to all students and faculty members, and participants in each of the workshop sessions were not the same.

It should be noted that all workshops were accompanied by a specialized instructor in the field of the nursing process, as well as a specialized instructor in the field of the specific disease being discussed. The details of these workshops are summarized in three stages:

First Stage

Step 1 . The researcher visited one of the inpatient clinical wards of the hospital based on the assigned topic for each workshop. They selected a patient, conducted a comprehensive assessment, and recorded the information using Gordon’s assessment form. This included the patient’s current and past medical history, paraclinical tests, physical examinations, medications, and information gathered from credible sources such as interviews with the patient and their family, medical records, and the patient’s treatment and care interventions documented in their medical file and Cardex.

Step 2 . Preparing the presentation file, which includes the following items:

Writing the comprehensive patient assessment based on step one.

Writing actual and at-risk nursing diagnoses according to PES (Problem/ Etiology/ Signs and Symptoms) and PE (Problem/ Etiology) rules, as well as collaborative problems, and then prioritizing them based on Maslow’s Hierarchy of Needs.

Writing objectives and outcomes for each nursing diagnosis based on the SMART (Specific/ Measurable/ Attainable/ Realistic/ Time Bound).

Writing nursing interventions (based on objectives and outcomes), along with the rationales according to evidence-based, up-to-date, and reliable sources for each intervention.

Step 3 . Sending the presentation file to an expert professor in the field of nursing process for review and implementing her comments.

Second stage

Step 1 . Announcing the date and time of the workshop session to students and faculty members.

Step 2 . Providing students and faculty members with a comprehensive patient assessment.

Third stage (workshop implementation)

Step 1. Presenting all stages of the nursing process based on the case study:

Providing a comprehensive assessment of the patient’s condition. (Giving time for students, faculty members, and presenters to discuss with each other, express their comments, and summarize)

Presenting diagnoses along with the objectives and expected outcomes. (Giving time for students, faculty members, and presenters to discuss with each other, express their comments, and summarize)

Presentation of nursing interventions. (Giving time for students, faculty members, and presenters to discuss with each other, express their comments, and summarize)

Presentation on assessing the level of achievement of expected outcomes and evaluating interventions. (Giving time for students, faculty members, and presenters to discuss with each other, express their comments, and summarize)

Data Collection Tools

Demographic questionnaire.

It included age, gender, Position, degree and number of sessions attended in the workshop.

Semi-structured interview

It included the following questions:

What was your motivation to attend these meetings?

Before entering the nursing process meetings, what did you expect from the meeting?

How many of your expectations were met by participating in the meetings?

How much did these meetings help you in applying the nursing process in the clinical setting?

What do you think about the continuation of such meetings?

Data collection

After obtaining official permission from the university in 2021, the phone numbers of students and faculty members who participated in more sessions of the workshop were collected in 2023. A specific time and location were subsequently arranged to contact and interview participants who had indicated their willingness to take part in the study. Approximately 40 individuals expressed their consent to participate; however, data saturation was achieved after interviewing 16 participants. It is important to note that interviews were conducted through both individual sessions and focus groups. Individual interviews were carried out with 3 faculty members, while two focus groups were conducted separately with 9 students and 4 faculty members.

Individual Interviews

The interviews were conducted in a semi-structured manner and began with a general question to establish initial and closing communication. These interviews were conducted by one of the researchers who holds a PhD in nursing and has published several qualitative articles in reputable journals. In each of these sessions, the interviewer introduced themselves and welcomed the participants. The goals of the session were discussed, and participants were given complete freedom to express their opinions. The interviewer refrained from interfering or reacting to their opinions, and the information discussed was kept completely confidential under the guise of a code. Participants were subsequently asked to provide consent for voice recording during the interviews. Once consent was obtained from the participants, their voices were recorded. Each individual interview lasted between 30 and 45 min.

Focus Group Interviews

All the conditions of these interviews were similar to individual interviews. However, in focus group sessions, an additional researcher acted as an assistant to the main interviewer. The assistant’s role was to determine the order of speaking based on the participants’ requests, observe their facial expressions while speaking, and take necessary notes. Each of the focus group sessions lasted approximately 5 h. It should be noted that participant selection and sampling continued until data saturation was achieved. Saturation of data refers to the repetition of information and the confirmation of previously collected data.

Data analysis

The qualitative content analysis approach proposed by Graneheim and Lundman was used for data analysis [ 16 ]. The recorded interviews were transcribed verbatim (The transcripts were sent to the participants for feedback and were approved by them), and then each word was carefully examined to identify codes Two independent individuals encoded the data. Words that accurately represented thoughts or concepts within the data were highlighted. Then, the researcher added her own notes about his thoughts, interpretations of the text, and initial analysis of the text. With the progression of this process, appropriate names for the codes emerged, and the codes were organized into subcategories. These subcategories were created to organize and categorize the codes within clusters. The researcher reorganized the subcategories based on their relationships, condensing them into a smaller number of organizational categories. And then the concepts of each category, subcategory, and code were developed.

Trustworthiness

Data was managed using the Lincoln and Guba criteria. These criteria include acceptability, which is equivalent to internal validity; transferability, which is equivalent to external validity; similarity, which is equivalent to reliability; and verifiability, which is equivalent to objectivity [ 17 ]. The use of member checks by participants is considered a technique for exploring the credibility of results. In this regard, the interview text and the primary codes extracted from it were made available to several participants to verify the accuracy with their experiences. External supervision was employed to ensure that the criterion of internal consistency was met. For this purpose, the data was given to a researcher who did not participate in the study. If there was agreement in the interpretation of the data, it confirmed the presence of internal consistency. Finally, an audit or verification inquiry was conducted. The researcher accurately recorded and reported all stages and processes of the research from beginning to end. This allows external supervisors to conduct audits and assess the credibility of the findings.

Data analysis resulted in the emergence of 13 subcategories, 4 categories, and 1 theme (Table  2 ).

Strengthening the intellectual infrastructure of accepting the nursing process

Subcategories such as “improving nursing perception,” “strengthening critical thinking,” “evidence-based nursing practice,” and “filling an educational gap” contributed to the emergence of the category “Strengthening the intellectual infrastructure of accepting the nursing process.”

Improving nursing perception

Participants’ experiences indicate the significant positive impact of the workshop on improving students’ perception of the nursing process. Most nurses in departments do not provide patient care based on the nursing process. As a result, students do not have the opportunity to practically experience the real application of the nursing process in the department. Instead, they only perceive the nursing process as a written task.

For me, it was a question of what the nursing process is, for instance. How difficult is it?” and it really helped me overcome my fear in a way. (P3 student) Usually, they would explain the nursing process to us, but it was not practical or based on real cases, like this. (P1 Student)

Strengthening critical thinking

Critical thinking is a fundamental skill in the nursing process that involves various stages and activities. These include questioning to gather adequate information, validating and analyzing information to comprehend the problem and its underlying factors, evaluating interventions, and making appropriate decisions for effective problem-solving. The experiences of the participating students clearly reflected the formation of these stages during the workshop sessions.

I learned in the workshop about the importance of using critical thinking to successfully connect knowledge and practice. It’s a shame that critical thinking has not been cultivated in the minds of students, and these workshops have laid the foundation for it in our minds. (P6 student) Students often come across hypothetical cases in textbooks, but when they are confronted with real cases, the circumstances are different… This is when critical thinking becomes crucial and the art of nursing is demonstrated… These sessions have made a significant contribution to this subject. (P15 Faculty member)

Evidence-based nursing practice

One of the features of the sessions was that in introducing the case from assessment to evaluation, to justify the rationale and process of collecting and formulating nursing diagnoses, establishing expected outcomes, and providing reasons for each intervention, relied on up-to-date and reliable nursing and medical resources

It had a strong scientific foundation, consistently emphasizing the importance of evidence-based practices and a scientific approach, effectively communicating this perspective to audience. (P2 Student). I became familiar with the book ‘Carpenito,’ and it helped me a lot in understanding my shortcomings. (P3 student). In my opinion, one of the factors that contributed to the effectiveness of the work was consulting the references. They emphasized that as a nurse, I should not solely rely on my personal opinion but should instead base my actions on the reference materials (P14 Faculty member).

Filling an educational gap

From the perspective of workshop participants, the workshop has increased their awareness of their limited knowledge about the application of the nursing process. It has also helped them recognize their shortcomings, and motivated them to pursue additional studies in this field.

Exactly, there was a vacant spot for this educational program in our classes. And there should have been sessions that would prove to us that nursing is not just about the theoretical concepts that faculty members teach in class. (P5 Student) The nursing process has a theoretical aspect that students learn, but when they attempt to apply it in practice, they often encounter difficulties. These sessions helped to fill the gap between theory and practice. (P15 Faculty member)

Practicality of the nursing process

Subcategories of “linking the nursing process with team care,” “demonstrating the role of the nursing process in improving care quality,” “comprehensive view in care,” and “student’s guiding light in the clinic,” Created the category “Practicality of the Nursing Process”.

Linking the nursing process with team care

Participants’ experiences indicated that participating in nursing process sessions helped them realize that the nursing process is a model that will lead to collaborative team care. Prior to attending these sessions, nursing students like nurses considered their duty to be solely executing medical orders under the supervision of clinical faculty members and staff nurses.

I realized that in certain situations, I am able to confidently express my opinion to the doctor. For instance, if I believe that a particular course of action would yield better results, I can easily communicate this and provide reasons to support my viewpoint (P7 Student). Teaching the pathway when it’s categorized with knowing what we’re assessing… Let’s go up to the patient; our confidence can really guide them along with us as we progress step by step and systematically. Often, the patient accompanies us, and sometimes they voice their unspoken concerns, which helps improve their care. It means the patient themselves are partnering with us. (P6 student)

Demonstrating the role of the nursing process in improving care quality

Strengthening the attitude and belief in the role and application of the nursing process in improving the quality of care was another concept that emerged from the experiences of the students. Presenting reports on the implementation of the nursing process on real cases led them to believe that providing care based on the nursing process results in organized care planning and enhances the quality of care.

In these workshops, the needs of patients were prioritized, documented, and then organized systematically. This concept remains ingrained in a person’s mind and enables us to deliver comprehensive care to the patient without overlooking any aspect. This has been very helpful for me, and now it greatly assists me in the clinic. (P4 Student) Another great aspect of these sessions was the emphasis they placed on the nurse-patient relationship. I could see that the students had been following up with patients for a while and implementing the process. This was very helpful to me. For instance, diagnosing based on the patient’s current health status was an ongoing process. In my opinion, the connection between the patient and nurse was more important and practical for me.(P1 Student).

Comprehensive view in care

Attention to the patient’s care needs went beyond focusing solely on physiological aspects. It involved a holistic approach that addressed the patient’s needs related to all aspects of biology, psychology, society, spirituality, and economics. This was clearly reflected in the students’ experiences during the nursing process sessions.

…I paid attention to all aspects of the patient. For example, perhaps I overlooked her anxiety issue and never took it into consideration. However, I eventually came to realize that addressing anxiety is crucial, as it is one of the primary concerns and needs of patients. (P2 Student) …that the students had a holistic view of the patient (they had examined the patient thoroughly, including the patient’s skin, etc.) and had compiled a list of the patient’s issues, paying attention to all aspects of the patient (P14 Faculty member).

Student’s guiding light in the clinic

One of the significant accomplishments of nursing process sessions, as evidenced by the students’ experiences, was the role of these sessions in assisting students in overcoming confusion and uncertainty during their internships. These sessions enabled them to establish a mental connection between the theoretical knowledge learned in the classroom and its application in the real clinical setting, also helped them understand how to effectively utilize their theoretical knowledge in a clinical learning environment.

.I was feeling incredibly lost and confused. I didn’t know what steps to take next. Many of us find ourselves in this situation, unsure of what to do. At least for me, as someone who grasps concepts better through examples, the case-based studies conducted during the workshop had a significant impact. (P6 Student)

Supporting a positive professional identity

Two subcategories, “highlighting the importance of nursing science” and “reforming the perception of nursing nature,” have contributed to the development of the category “supporting a positive professional identity.”

Highlighting the importance of nursing science

Based on students’ experiences, the nursing process sessions have been able to answer an important question. Why should they be bombarded with information and expected to possess extensive knowledge in the field of disease recognition, pathophysiology, diagnosis, treatment, and nursing care during their studies? The students believed that the content of the nursing process sessions clarified the necessity and importance of nursing knowledge for them. In these sessions, they came to believe that providing care based on the nursing process requires extensive nursing knowledge.

. In my opinion, this work showcases a significant strength by highlighting the importance of working scientifically as a nurse. Personally, I feel its impact on myself is profound. (P2 Student) In my opinion, it was very touching and captivating because it accurately portrayed the immense power of a nurse. However, amidst the demanding and difficult nature of the job, what specific details should a nurse pay attention to? and it is precisely these details that shape the work of a nurse. It was very interesting and beneficial for me. (P5 student)

Reforming the perception of nursing nature

The student is seeking ways to comprehend and value the practical aspects of nursing as a genuine science, assuming that nursing is indeed regarded as a science. Participants’ experiences have shown that nursing process sessions have been able to address this identity challenge and modify and enhance students’ understanding of the nature of nursing.

I used to believe that nursing was primarily an art complemented by science until I entered term 2 and participated in these workshops. And now I realize that it has the scientific foundation that I expected from an evidence-based practice. (P5 student). . The important point was that lower-term students, who sometimes lacked motivation and thought nursing had nothing to offer, gained motivation and had a change in perspective by attending these sessions. (P2 faculy members)

Self-directed learning facilitator

Subcategories of “stimulating a thirst for learning,” “creating a stress-free learning atmosphere,” and “teaching fishing,” formed the category of “self-directed learning facilitator.”

Stimulating a thirst for learning

Participants’ experiences indicated that the format of conducting sessions, ranging from step-by-step training to training accompanied by multiple examples, had a significant impact on creating a sense of necessity and stimulating learners’ motivation to learn.

First of all, the challenges that you yourself raised (faculty member) for example, why did you make this diagnosis?” Why did you include this action? Why is this a priority? Really, it shook me and made me think that maybe there is more to this, maybe there is more to the nursing process that I haven’t understood yet…. That’s why it became my motivation. (P3 student) …But these sessions helped me a lot. At least, they sparked my curiosity and motivated me to delve deeper into the subject. I began actively participating in these sessions and found them to be highly effective for my personal growth. (P6 student) In my opinion, one of the things that empowered the work was the act of seeking references. They emphasized that as a nurse, I should not solely rely on my personal opinion but should instead base my actions on credible sources. (P14 Faculty member)

Creating a stress-free learning atmosphere

Students believed that the absence of a legal requirement to attend these workshops, coupled with the understanding that their participation or non-participation would not be evaluated for grading purposes, would enable them to engage in these sessions without concern for their academic performance and in accordance with their own volition.

I was more scared… In my internships, for example, we would sit and talk with the instructor. However, the discussions primarily revolved around grades and other academic matters, which created a stressful environment where students were hesitant to freely express their thoughts. But the sessions here are very relaxed, and students no longer have the fear of grades. (P7 student) The essence of these sessions was that they came from the heart and inevitably touched the heart. The beauty of this program was that it was built on love. (P10 Faculty member)

Teaching fishing

Direct reference to teaching fishing in the participants’ experiences points to one of the very important features that effectively prepares the way for self-guided learning. The term “teaching fishing” was repeatedly mentioned in the participants’ experiences. They believed that these sessions served as a roadmap to easily enhance their knowledge and skills in the field of nursing process application.

.And actually, teaching fishing, as mentioned by other students, is important. In my opinion, it has a positive impact both professionally and in terms of the effectiveness of the nursing process. (P2 student) The important aspect was the involvement and full participation of the students, who prepared the materials themselves… The meaning and concept of being a student were more evident, and the talents of the students flourished. They actively participated in discussions about learning and education. (P15 Faculty member)

Planners, in their efforts to help students gain a better understanding of the nature and application of the nursing process, are constantly striving to innovate in teaching this model. The aim of the present study was to describe and explain the experiences of nursing students and faculty during clinical-based nursing process workshops involving real cases.

Hanisch et al. (2020) recommend using data from actual patients [ 18 ], and Yilmaz et al. (2015) suggest providing nursing students with opportunities to apply the nursing process in diverse patient populations during clinical training [ 19 ]. The study conducted by Karimi et al. (2011) demonstrated that organizing nursing process classes as workshops stimulated a sense of competition and superiority both among and within groups. This approach also enhanced participants’ concentration on learning the content of each session. In addition, the workshop fostered a sense of cooperation and cohesion among the students, which was evident in their increased interest and excitement [ 1 ]. The importance of utilizing workshop-based training with real clinical cases is clearly evident. When students receive data related to a real patient, they directly experience the clinical environment. This, in turn, leads to an improvement in their critical thinking and decision-making skills when they encounter similar cases. For this purpose, nursing educators can present the rich clinical cases they encounter during their internships in theory classes based on the stages of the nursing process. They can also ask students to present these cases for their peers to comment on and critique the care provided, in order to stimulate discussion.

The category of " Strengthening the intellectual infrastructure of accepting the nursing process " indicates that the teaching method used in this study has been able to help students better understand and recognize the nature and improvement of insight into the nursing process. In the study by Thuvaraka et al. (2018), 52% of participants strongly agreed on the necessity of having a positive attitude and insight towards the nursing process for its proper implementation [ 20 ]. According to the study by Mert et al. (2020), a lack of insight into the nursing profession and process can even lead students to consider dropping out of their studies [ 21 ]. The importance of reviewing the nursing education process to enhance this perception has been emphasized in various studies. Zamanzadeh et al. (2015) discuss several challenges in the implementation of the nursing process. These challenges include a lack of clarity regarding its meaning, differences in perspectives, and insufficient training leading to a lack of awareness on how to properly implement it [ 22 ]. More than 90% of students (93.5%) in the study conducted by Rajabpoor et al. (2018) [ 4 ] and over two-thirds (75.6%) of students in the study conducted by Sharghi et al. (2015) identified lack of proper training and insufficient time allocated for teaching as the most significant barriers to implementing the nursing process. They attributed this to traditional and routine teaching methods [ 23 ]. This causes students to undervalue the nursing process, perceiving it only at a theoretical level rather than practical. As a result, they become overwhelmed by the routine when working as clinical nurses [ 7 ]. Therefore, by teaching the case method based on real clinical cases, nursing instructors can strengthen students’ positive outlook and ability to apply the nursing process. This increases the percentage of students implementing the nursing process in clinical wards.

Strengthening critical thinking is one of the concepts derived from analyzing the experiences of the students and faculty who participated in the present study. Based on a review study by Carvalho et al. (2017), the utilization of the nursing process, particularly the stage of nursing diagnosis formulation, enables nurses to employ critical thinking in making judgments and providing clinical care [ 24 ]. This process also helps ensure the delivery of high-quality care [ 25 ]. But if the nursing process is presented in an undesirable manner, it suppresses critical thinking. According to Heidari et al. (2016), the nursing process resulted in students relying on copying from books, which led to a decline in creativity and an increase in their dissatisfaction [ 26 ]. According to the study conducted by Ghanbari et al. (2017), the implementation of collaborative workshops focused on the nursing process resulted in an improvement in critical thinking skills among nursing students [ 3 ]. Therefore, nursing instructors can teach theoretical classes based on the clinical cases they have experienced in the hospital. By doing so, students can immerse themselves in the clinical environment during theoretical classes, which significantly enhances their critical thinking skills.

The evidence-based nursing display was one of the achievements of nursing process educational workshops, which were based on real cases. Mackey et al. (2017) consider evidence-based practice as a means to bridge the gap between theory and practice in nursing education for undergraduate and graduate students [ 27 ]. And likewise, Sin et al. (2017) believe that nursing faculties are obligated to enhance the competence and knowledge of students for evidence-based practice by employing innovative methods [ 28 ]. Therefore, it is recommended that nursing instructors use up-to-date scientific references for nursing interventions when teaching about the nursing process of diseases. This practice helps students feel that the care they provide is supported by scientific evidence and motivating them to carry out nursing care more effectively.

One of the emerging concepts in this study was the focus on the practicality of the nursing process. In the study conducted by Agyeman-Yeboah et al. (2017), participants reported that new students and nurses tend to neglect the implementation of the nursing process when they observe experienced nurses failing to apply it in a scientific and systematic manner [ 5 ]. The lack of implementation of the nursing process by nurses is due to a lack of knowledge and a negative attitude towards it. Zerihun Adraro and Adugna Cherkos (2021) conducted a study in Ethiopia and found that the majority of nurses had inadequate knowledge, and half of them lacked a positive attitude towards the implementation of the nursing process [ 29 ]. In the study by Thuvaraka et al. (2018), only 17% of nurses had sufficient knowledge about the nursing process and implemented it [ 20 ]. One of the important experiences for students in the “Practicality of the Nursing Process” category is the development of their participatory and interprofessional spirit. They are encouraged to express their opinions about the care and treatment process of patients, rather than blindly following the doctor’s orders. According to a systematic review study, the level of physicians’ proficiency in their management systems is a significant issue for the healthcare system [ 22 ]. According to the study conducted by Nakhaee et al. (2017), doctors are the ones responsible for making decisions regarding all patient matters, while the efforts of nurses often go unappreciated. This lack of recognition can result in a decline in their self-esteem [ 30 ]. While according to Adamy et al. (2019), the implementation of the nursing process at a professional level is highly effective in creating an independent nursing role, rather than just serving as assistants to physicians. This implementation also enhances the credibility of the nursing profession [ 31 ]. The recommendation of the present researchers to nursing instructors is to take a significant step in enhancing the knowledge and independent spirit of nursing students by basing their teaching on real clinical cases. When students perceive that they have independence and are not merely following doctors’ orders, their engagement in operationalizing the nursing process and evidence-based care will increase.

Strengthening the holistic perspective was one of the positive experiences for students and faculty members who attended these workshops. According to the study by Hackett et al. (2017), physical problems can result in mental stress among patients. Therefore, it is essential to consider all dimensions of care [ 32 ]. According to Ericsson (1995), humans should be considered as a whole, and nursing care should be tailored to address biological, psychological, social, and spiritual aspects [ 33 ]. The importance of holistic care has been emphasized by Florence Nightingale, who encouraged caregivers to practice it [ 34 ]. Holistic care emphasizes partnership and dialogue between nurse and patient about health care needs [ 35 ]. Adequate training is crucial in ensuring that nurses and nursing students are well-prepared to meet the diverse needs of patients and deliver comprehensive care [ 36 ]. It is recommended for nursing instructors to focus on the mental aspect in addition to the physical aspect when teaching the nursing process and encourage students to apply this approach during clinical internships.

Another advantage of these sessions was the successful implementation of the nursing process in apprenticeship. Work disorder and confusion in implementing the nursing process are significant challenges. According to the study by Korkut et al. (2021), students were unable to collect appropriate data from their patients and were confused when formulating and prioritizing nursing diagnoses, determining goals, and planning care. However, due to the fear of receiving a low grade, they were compelled to present fabricated data [ 37 ]. Therefore, nursing instructors should incorporate real clinical cases encountered during internships into their theoretical classes. This simulation helps students perform better in implementing the nursing process in the hospital environment later on.

During these workshop sessions, the students’ awareness of the professional identity of nursing was heightened. They came to understand that this professional identity is a crucial principle that underpins their comprehension of nursing and scientific care. As a result, they recognized the significance of studying pathophysiology and the fundamental principles of scientific care for different diseases. Professional identity is described as a person’s perception of themselves within a profession or the collective identity of the profession [ 38 ]. In nursing, professional identity plays a crucial role in delivering high-quality services to patients [ 39 ] because it effectively enhances clinical competence, self-assurance, self-esteem, and interpersonal communication skills [ 40 , 41 ]. In this regard, the study by Sun et al. (2016) found that professional identity and education level had the greatest impact on the stress levels of nursing students. The results of that study showed that developing and enhancing professional identity could be beneficial for nursing students in managing stress [ 42 ]. Similarly, according to the study by Sabanciogullari et al. (2015), there was a positive and significant correlation between nurses’ job satisfaction and professional identity. This study found that 15.5% of nurses who intended to leave their profession had insufficient professional identity and lower job satisfaction. Professional identity is a significant factor in job satisfaction [ 41 ]. According to the study by Van der Cingel et al. (2021), a lack of attention to the professional identity of nursing contributes to the departure of nursing students and young nurses from the nursing profession [ 43 ]. Therefore, focusing on professional identity in nursing education is crucial and should be a primary objective [ 38 ], despite findings from Haghighat et al. (2019) indicating that nursing education programs in Iran have not effectively nurtured nursing students [ 44 ]. This highlights a greater focus on teaching based on real clinical cases, which enhances the professional identity of nursing and facilitates the implementation of the nursing process.

“Self-directed learning facilitator” is one of the important categories identified in the present study. It encompasses three crucial concepts: “stimulating a thirst for learning”, “creating a stress-free learning atmosphere”, and “teaching fishing”. The students’ experiences indicated that engaging in discussions, asking questions, and providing answers had a significant impact on motivating them to study and enhancing their motivation for learning. This learning took place in a calm and stress-free environment. Participants were able to analyze the content calmly, as grades were not involved. As a result, they were able to diagnose what to prioritize in a clinical setting, even without the assistance of a clinical instructor. In fact, during these sessions, the instructors focused on teaching the students how to fish instead of simply giving them fish. As a result, the students’ spirit of independent learning increased. Kholmuratovich et al. (2020) stated in their study that independent learning helps students to learn effectively and efficiently [ 45 ]. It increases their independence and critical thinking skills, while also effectively enhancing their self-esteem and motivation [ 46 ]. For this reason, Lau et al. (2017) recommend promoting this teaching method in their study [ 47 ]. Based on the aforementioned studies, independent and self-directed learning leads to improved comprehension and learning, increased motivation, enhanced self-confidence, and critical thinking among students. Consequently, it can be argued that teaching based on clinical cases and workshop-based approaches, beyond aiding students in better understanding and applying the nursing process, has the potential to transform students’ overall learning approach.

Teaching the nursing process through workshops based on clinical cases has broken the taboo surrounding the application of the nursing process. The organization of these workshops in a friendly and stress-free environment, where real clinical cases were discussed, analyzed, and criticized, motivated the students to apply the nursing process in clinical setting. This approach led to a correction in their perception that they considered the implementation of the nursing process as time-consuming and unnecessary, and it also increased the students’ critical thinking abilities. The nature and process of conducting the workshops proved to be beneficial in implementing the theoretical standards in practical settings. The nursing interventions program was evidence based. This approach not only fostered students’ motivation for self-directed learning but also heightened their curiosity for acquiring knowledge. In these sessions, the approach involved teaching students how to fish rather than simply giving them fish. On the other hand, one of the significant challenges in the application of the nursing process in clinical practice by students is the lack of knowledge and skills among nurses to provide care based on the nursing process, it is recommended that these workshops also be conducted for nurses. Furthermore, action research should be employed to evaluate the role of this educational approach in enhancing the knowledge and skills of clinical nurses.

Limitations

Considering that the workshops had to be held outside of the regular class hours of the faculty, which is at 16:00, and taking into account the transportation issues of the students, the workshops could only continue until 18:00. The limitations of this study include the restricted hours and duration of these workshops. Another limitation of this study is the lack of implementation of nursing interventions by the researchers for the patient and subsequently the real evaluation of the interventions performed, due to ethical considerations. In fact, considering that the biggest problem for students is the application of the nursing process related to assessment, diagnosis, and planning, the focus of the workshops was on these stages. However, it seems that by covering all stages of the nursing process in educational workshops, the challenges faced by students in the implementation and evaluation stages can also be addressed.

Data availability

The data that support the findings of this study are available from the cor - responding author upon reasonable request.

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Acknowledgements

The researchers would like to express their gratitude to the students and professors who participated in the workshops and Student Research Committee of Isfahan University of Medical Sciences.

This study was financed by the Student Vice Chancellor for Research of Isfahan University of Medical Sciences (Project number 1400254).

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Amir Shahzeydi

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Parvaneh Abazari

Nursing and Midwifery Sciences Development Research Center, Najaf abad Branch, Islamic Azad University, Najaf abad, Iran

Faculty of Nursing and Midwifery, Qom University of Medical Sciences, Qom, Iran

Fatemeh Gorji-varnosfaderani

Nursing and Midwifery Care Research Center, Department of Adult Health Nursing, Faculty of Nursing and Midwifery, Isfahan University of Medical Sciences, Isfahan, Iran

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ASH, PA, FG designed the study. ASH, PA, FG, EA, SHA, FS helded the Workshops. PA interviewed the participants. ASH and FG wrote the interviews. PA, EA and SHA analyzed the interviews. ASH, PA and FS prepared the manuscript, and all authors read and approved the final manuscript.

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This study has been approved by the ethics committee of Isfahan University of Medical Sciences (IR.MUI.NUREMA.REC.1400.139) in 2021. Initially, the research purpose was explained to the patients and their caregivers. They were informed that participation in the research is entirely voluntary and free of charge. Not participating in the research would not affect their care and treatment interventions. They were assured that they could withdraw from the research at any time. Furthermore, it was emphasized that their information would be presented in the workshop in a strictly confidential manner, without disclosing their names, photos, file numbers, etc. Subsequently, both oral and written consent were obtained from them. After that, the study’s purpose was also explained to nursing students and faculty members, and informed oral and written consent was obtained from them. Numeric codes were used instead of personal names to ensure the confidentiality of the interviews. The participants were free to withdraw from the study at any time. All methods were conducted following the applicable guidelines and regulations.

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Shahzeydi, A., Abazari, P., Gorji-varnosfaderani, F. et al. Breaking the taboo of using the nursing process: lived experiences of nursing students and faculty members. BMC Nurs 23 , 621 (2024). https://doi.org/10.1186/s12912-024-02233-z

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DOI : https://doi.org/10.1186/s12912-024-02233-z

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Literature review on collaborative project delivery for sustainable construction: bibliometric analysis.

1. Introduction

2. literature review, 2.1. collaborative project delivery, 2.2. design build (db), 2.3. construction manager at risk (cmar), 2.4. integrated project delivery method (ipd), 2.5. sustainability, 2.6. sustainable construction, 2.7. benefits of eci comparing case studies, 2.8. collaborative delivery models, 3. methodology, 3.1. research methods, 3.2. database research, 4.1. ipd, design-build, and cmar overview, 4.1.1. yearly publication distribution of db cmar and ipd, 4.1.2. major country analysis, 4.1.3. most relevant and influential journals, 4.1.4. corresponding author countries, 4.2. keyword analysis, 4.2.1. high-frequency keyword analysis, 4.2.2. co-occurrence network analysis, 4.2.3. analysis of keywords’ frequency over time, 5. discussion, 5.1. findings of advantages and disadvantages of ipd, db, and cmar for sustainable construction, 5.1.1. advantages of ipd, 5.1.2. advantages of design-build, 5.1.3. advantages of construction manager at risk, 5.1.4. disadvantages of ipd, 5.1.5. disadvantages of design-build, 5.1.6. disadvantages of construction manager at risk, 5.2. most suitable cpd technique for sustainable construction based on literature review, 5.2.1. limitations, 5.2.2. recommendations for future research, 6. future trend, 6.1. enhancing innovation through collaborative project delivery, 6.2. open communication and block chain technology, 6.3. multi-party agreement, 6.4. utilizing artificial intelligence in decision support systems, 7. conclusions, author contributions, institutional review board statement, informed consent statement, data availability statement, conflicts of interest.

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Babalola, O.G.; Alam Bhuiyan, M.M.; Hammad, A. Literature Review on Collaborative Project Delivery for Sustainable Construction: Bibliometric Analysis. Sustainability 2024 , 16 , 7707. https://doi.org/10.3390/su16177707

Babalola OG, Alam Bhuiyan MM, Hammad A. Literature Review on Collaborative Project Delivery for Sustainable Construction: Bibliometric Analysis. Sustainability . 2024; 16(17):7707. https://doi.org/10.3390/su16177707

Babalola, Olabode Gafar, Mohammad Masfiqul Alam Bhuiyan, and Ahmed Hammad. 2024. "Literature Review on Collaborative Project Delivery for Sustainable Construction: Bibliometric Analysis" Sustainability 16, no. 17: 7707. https://doi.org/10.3390/su16177707

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• Published: 05 September 2024

Detecting rare earth elements using EnMAP hyperspectral satellite data: a case study from Mountain Pass, California

• Saeid Asadzadeh 1 ,
• Nicole Koellner 1 &
• Sabine Chabrillat 1 , 2  

Scientific Reports volume  14 , Article number:  20766 ( 2024 ) Cite this article

Metrics details

• Economic geology

Rare earth elements (REEs) exhibit diagnostic absorption features in the visible-near infrared region, enabling their detection and identification via spectroscopic methods. Satellite-based remote sensing mapping of REEs, however, has not been attainable so far due to the necessity for high-quality hyperspectral data to resolve their narrow absorption features. This research leverages EnMAP hyperspectral satellite data to map REEs in Mountain Pass, California—a mining area known to host bastnaesite-Ce ore in sövite and beforsite carbonatites. By employing a polynomial fitting technique to characterize the diagnostic absorption features of Neodymium (Nd) at ∼ 740 and ∼ 800 nm, the surface occurrence of Nd was successfully mapped at a 30m pixel resolution. The relative abundance of Nd was represented using the continuum-removed area of the 800 nm feature. The resulting map, highlighting hundreds of anomalous pixels, was validated through laboratory spectroscopy, surface geology, and high-resolution satellite imagery. This study marks a major advancement in REE exploration, demonstrating for the first time, the possibility of directly detecting Nd in geologic environments using the EnMAP hyperspectral satellite data. This capability can offer a fast and cost-effective method for screening Earth’s surfaces for REE signature, complementing the existing exploration portfolio and facilitating the discovery of new resources.

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Introduction.

Rare Earth Elements (REEs) are essential to many modern technologies, including electric vehicles, wind turbines, and smartphones 1 , 2 , 3 . This broad range of applications, combined with increasing demands and disruptions in the supply chain, has transformed REEs into strategic commodities and critical raw materials 4 . REEs are a group of metallic elements with similar chemical properties comprising the lanthanides (atomic number 57 to 71) plus Y (39), commonly divided into light (LREE) and heavy (HREE) subgroups, comprising La to Eu and Gd to Lu + Y, respectively 5 .

REEs naturally occur in a diverse array of minerals, including carbonates, phosphates, silicates, and oxides of which carbonates and phosphates constitute the most abundant and economically valuable minerals 2 . The REE carbonates include the fluorocarbonate minerals bastnaesite, synchysite, and parisite 6 . The RE 2 O 3  content of these minerals is exceptionally high, reaching up to 75 wt.% in bastnaesite 7 . LREEs typically concentrate in carbonates (i.e., bastnaesite; (Ce,La)(CO 3 )F) and phosphates (i.e., monazite; (Ce,La,Nd,Th)PO 4 ), whereas HREEs are commonly hosted by oxides and, partly, by phosphates, including xenotime ((HREE,Y)PO 4 ). Due to chemical similarity (ionic radii and oxidation states), REEs often substitute for one another and co-occur within the same mineral species 5 .

Contrary to their name, REEs are relatively abundant in the Earth's crust, though economically viable deposits are uncommon. Several deposit classes are recognized to host REEs 2 , with carbonatites being the predominant sources, accounting for more than 70% of global REO (Rare Earth Oxides) production. Two notable examples of such deposits are the Bayan Obo mine in China and the Mountain Pass in the US 8 . Carbonatites are defined as rocks with > 50% primary magmatic carbonates. Geologically, they occur in continental settings and based on their mineralogy and petrographic texture are divided into three distinct classes: calcitic (also referred to as sövite), dolomitic (beforsite), and ankeritic (ferrocarbonatite) 2 , 5 . Carbonatites predominantly host LREEs such as La, Ce, Pr, and Nd, with bastnaesite being the primary mineral exploited in many related deposits 5 , 7 .

The technique of reflectance spectroscopy has recently emerged as a fast and cost-effective analytic tool for detecting and quantifying REEs. Several REEs, including Nd 3+ , Pr 3+ , Sm 3+ , Dy 3+ , Er 3+ , Ho 3+ , and potentially Eu 3+ and Tm 3+ exhibit diagnostic absorption features in the visible-near-infrared (VNIR; 400–1000 nm) and partly in the shortwave-infrared (SWIR; 1000–2500 nm) wavelengths, allowing them to be detected via spectroscopic methods 6 , 9 , 10 , 11 , 12 , 13 , 14 , 15 , 16 . The narrow absorption bands of REEs observed in the VNIR, as exemplified in Fig.  1 , are attributed to 4f-4f intra-configurational electron transitions 6 , 11 , 15 .

Spectral signature of the rare-earth mineral bastnaesite in the VNIR–SWIR range. The spectrum of monazite is shown for comparison—data sourced from the USGS spectral library 21 . The key absorption features of Nd in the VNIR range are bolded. The inset graph provides a closer view of bastnaesite’s absorbing bands between 700 and 910 nm (marked by the solid bar), covering three diagnostic absorption features. The gray columns represent the spectral ranges used for polynomial fitting and remote sensing mapping of Nd in the study area.

Despite the effective shielding of the 4f orbitals by the 5s and 5p closed shells, the corresponding energy levels in the mineralogic phases are not fixed and rather undergo subtle changes, depending on the ligand type, coordination number, and polyhedron asymmetry. This variability leads to shifts in the position of absorbing bands within mineral phases, typically on the order of ∼ 10 nm in the VNIR range 6 , 15 , 17 . In other words, while the absorbing bands arise from REE ions, the host mineralogy plays an important role in determining the exact position of the absorption features and their intensities. The spectral behaviors of rare-earth minerals are already cataloged in several specialized spectral libraries 6 , 18 , 19 , 20 , 21 .

A growing number of studies have shown that Nd is the most spectrally active and readily detectable REE via spectroscopic methods 9 , 12 , 14 , 22 . The identification of Nd typically relies on the characterization of its most prominent and defining absorption features at ∼ 580, ∼ 740, ∼ 800, and ∼ 865 nm (see Fig. 1 ). By leveraging these distinctive features, the hyperspectral imaging technology has been able to detect Nd across various scales and conditions, spanning from close-range scanning of thin sections 23 and hand specimens in laboratory settings 6 , 24 to the mapping of vertical outcrops on the ground 25 , 26 and open-pit mines from airborne platforms 27 , 28 . More recently, Unmanned Aerial Vehicle (UAV)-based imaging systems have been employed to map REE-rich veins and outcrops at very high spatial resolutions 29 .

In contrast, direct detection of REEs by spaceborne satellite systems, such as ASTER and WorldView-3 multispectral instruments, has been unachievable, mainly due to the coarse spectral resolutions of multispectral datasets, rendering them unable to resolve the sharp yet narrow absorption features of REEs (Fig.  1 ), regardless of their spatial resolution 28 , 30 . While previous laboratory-based spectral simulations have demonstrated the potential of hyperspectral instruments, including the EnMAP satellite system, for direct REE detection 9 , the capability of the corresponding dataset has remained untested in real-world conditions.

This paper aims to bridge this gap and pave the way for further research by analyzing the EnMAP imaging spectroscopic data collected over the Mountain Pass REE mine in California, USA. Our study aims to prove the concept and recognize the potentials and limitations of spaceborne hyperspectral datasets for the direct detection and mapping of REEs. This is accomplished by studying the well-exposed, high-grade REE mine of the Mountain Pass area using the EnMAP imaging data at 30 m spatial resolution. Furthermore, the study seeks to evaluate the effectiveness of spectroscopic-based processing methods for REE detection aiming to provide a reliable site-independent mapping technique applicable to EnMAP and analogous hyperspectral remote sensing datasets.

Geology of the Mountain Pass area

Mountain Pass is located in southeastern California, approximately 65 km southwest of Las Vegas, in the Mojave Desert. Geologically, the area comprises a collection of Mesoproterozoic alkaline silicate intrusions (ca. 1.41 Ga) ranging in composition from mafic (shonkinite) through syenite to alkali granite. This suite is associated with a series of contemporaneous carbonatite dikes and intrusions 31 . The northern and eastern parts of the area consist of Proterozoic schists and gneisses, granitoids, and minor carbonatite intrusions. In contrast, the south and southeast are characterized by Paleozoic limestone, dolostone, and sandstone intruded by Jurassic granitic rocks and Cretaceous granodiorites 28 . The central and western parts are covered by folded, thrust-faulted Paleozoic carbonate and quartzose rocks 28 . A more detailed description of the area’s geology can be found in Castor 32 , Mars 30 , Mariano and Mariano 33 , and Watts, et al. 31 .

The carbonatites and the associated alkaline plutons constitute a suite of roughly tabular to lenticular, moderately west-dipping intrusions trending north-northwest within the ultrapotassic intrusive rocks 32 . The largest body, known as the Sulphide Queen carbonatite, is located in the center of the area, measuring 700 m in width and up to 150 m in thickness 10 and hosting the largest REE deposit in the US 7 , 31 . The Sulphide Queen carbonatite primarily consists of bastnaesite-barite sövite (calcitic) and bastnaesite-barite-dolomite (beforsite), or a mixture of both (dolomitic sövite), with the dolomitic carbonatite being more prevalent 32 .

Although the size of the Sulphide Queen carbonatite is modest, the orebody is highly enriched in LREE. The ore, which is recognized to be of igneous origin, typically contains 10–15% bastnaesite-Ce, 65% calcite/dolomite, and 20–25% barite. The bastnaesite mineral crystals are coarse-grained, typically measuring 300 µm in diameter with an average REE composition of 45.50% Ce, 15.82% Nd, 4.65% Pr, and 1.83% Sm, with lower quantities of Eu, Gd, Dy, Ho, and Er 32 . Other LREE-bearing accessory minerals are parisite, synchysite, monazite, and, less often, allanite 33 . Mining activities in the Sulphide Queen stock started in 1952 and ceased by 2002, leaving a reserve of > 20 million metric tons of ore at an average grade of 8.9% REO in place 34 . By 2007, the extraction of selected REE commodities from stockpiles resumed, and since 2018, the mine has been reactivated in response to the increased demand for REEs and geopolitical forces 31 .

Besides the main carbonatite body, there are numerous steeply inclined carbonatite dikes in the area, with the majority occurring in the vicinity of the Sulphide Queen orebody. Several of these dikes, particularly those adjacent to the mine, are known to contain bastnaesite, although most have low REO contents. A fenitized zone approximately 4 km southeast of the mine is also reported to host REE prospects containing allanite and bastnaesite minerals 32 .

The target area has been the focus of several remote sensing studies, primarily aimed at lithologic mapping using different multi- and hyperspectral datasets 28 , 30 , 35 . Based on field observations, vegetation covers between 10 to 30% of the surface, making it suitable for remote sensing studies.

The EnMAP data successfully resolved the REE- and carbonate-related features in the VNIR and SWIR ranges (Fig.  2 ). In the VNIR, it identified four diagnostic absorption features at ∼ 580, ∼ 740, ∼ 800, and ∼ 870 nm (Fig. 2 a). Within the SWIR range, it detected a deep carbonate feature at 2335 nm and two characteristics features related to bastnaesite at 2255 and 2316 nm (Fig.  2 b). The contained carbonate was identified as calcium carbonate, distinguished by a pronounced absorption feature at 2335 nm and the absence of a ferrous iron feature in the VNIR.

Continuum-removed reflectance spectra from EnMAP (in black) over the Sulphide Queen Mine compared to the laboratory-based spectrum of bastnaesite-rich ore from the mine site. The spectra are plotted in the VNIR ( a ) and SWIR ( b ) spectral ranges in native resolution. The laboratory spectrum, acquired using an ASD spectrometer, is sourced from the datasets published by Neave, et al. 9 . The vertical gray column in ( a ) highlights the EnMAP band affected by oxygen’s residual absorption feature at 760 nm. The minimum wavelengths were calculated by the polynomial fitting technique described in section " Processing methodology ". Note that the two graphs have different Y-axis scales.

The representative pixel spectrum over the open-pit mine shows good agreement with the laboratory spectroscopy of the orebody. Both datasets exhibit a comparable spectral pattern with the same number of absorption features and intensities across the VNIR and SWIR ranges, following continuum removal (Fig.  2 ). Notably, the positions of absorption minimums for the 580, 740, and 800 nm features are nearly identical in both datasets and for the characteristic features of bastnaesite, the difference is in the order of 1–2 nm (2255 vs. 2254 nm and 2216 vs. 2218 nm). However, the minimum wavelength differences for the 870 and 2330 nm features are significant. In the EnMAP data, the Nd feature occurs at a slightly longer wavelength (871 vs. 865 nm), and the carbonate feature appears at a shorter wavelength (2335 vs. 2342 nm) (Fig.  2 ). The latter is likely due to the spectral mixture of calcic carbonate with bastnaesite absorption features at the EnMAP ground sampling distance of 30 m. It is noteworthy that the bastnaesite spectrum depicted in Fig.  1 exhibits a different pattern compared to the laboratory plot in Fig.  2 b. The features at 2254, 2318, and 2342 nm appear respectively at 2249, 2314, and 2327 nm in Fig.  1 , possibly due to the complex/mixed mineralogy of the sample from the Mountain Pass. The 2255 nm feature observed in Fig.  2 b is speculated to arise from the hydroxyl bond in bastnaesite 6 .

Further distinctions include variations in the width of absorption features, which tend to be broader in the EnMAP data. Additionally, the right side of the 740 nm absorption feature in the EnMAP data is affected by a widespread residual O 2 absorption feature (Fig.  2 a). EnMAP also resolves an additional feature at 2200 nm, likely linked to clay minerals (Fig.  2 b). It is worth noting that the laboratory spectrum of this study closely resembles the spectral plot (published in Mars 30 i.e., Spectrum A in Fig. 7).

The distribution and relative abundance of Nd across the Mountain Pass area is illustrated in Fig.  3 a. Here, the spectral signature of Nd was mapped not only over the open-pit mine but also over the stockpiles, tailings storages, evaporation ponds, the crusher site, and the concentrator facilities (Fig.  3 b). The anomalies detected over the concentrator facility are probably the result of REE-bearing dust being transported westward from the mine crusher by the prevailing wind direction in the Mojave Desert. The Nd signature was also detected in several localities beyond the mining site, including at the edge of the Colosseum mine northward (Fig.  3 c) and over carbonate rocks in the west and southwest of the study area (Fig.  3 d–f). However, unlike the anomalies observed in the mining area, which form clusters of connected pixels, the peripheral anomalies are generally limited to a few pixels. In total, 740 pixels encompassing an area of 880,000 m 2 were identified to exhibit Nd features. The most prominent absorption feature was observed over the evaporation ponds, while the faintest was detected above the tailing storages (Fig.  3 b). The mapping method detected no anomalies over the fenitized zone southeast of the mining area (Fig.  3 a).

The spatial distribution and relative abundance of REEs in the Mountain Pass area, California. ( a ) Nd anomaly map (blue-red) yielded from spectral analysis of EnMAP hyperspectral data overlaid on enhanced albedo imagery. The area of the 800 nm absorption feature is used to indicate the relative abundance of Nd in the mapped pixels. The relative abundance of iron oxide and carbonate minerals are depicted in the background by orange and purple-red colors, respectively. ( b – f ) The same Nd anomalies from ( a ) overlaid on high-resolution satellite imagery of the area available on Google Earth. The data are from 29 th March 2021 at a ground sampling distance of ∼ 1 m. White rectangles in ( a ) define the outline of the images shown in ( b ) to ( f ). Major faults are shown by solid/dashed black lines.

In Fig.  3 a, the relative abundance of iron oxide minerals (i.e., hematite and goethite) and carbonates (i.e., calcite and dolomite) are depicted in orange and purple-red colors, respectively. Iron oxides are predominantly found in the NW to SE of the area, whereas carbonates are more abundant westward.

The statistical relationships between different spectral parameters within the mapped pixels are summarized in the scatterplots of Fig.  4 . During the spectral processing, it was noted that the minimum wavelengths of the 740 and 800 nm features vary within the ranges of 735–755 and 793–805 nm, respectively. These features exhibit a strong correlation in terms of absorption depth (R 2  = 0.88; Fig.  4 a), with the 800 nm feature appearing to be slightly deeper (see also Fig.  2 a). The interfering effect of residual O 2 absorption (Fig.  2 a) seems to be largely mitigated after excluding the corresponding band from the calculations.

Scatterplots of the spectral parameters of the Nd-bearing pixels derived from EnMAP data over the Mountain Pass area. ( a ) plot of the absorption depth at ∼ 740 nm (740D) against 800D. ( b ) plot of the absorption area at ∼ 740 nm (740A) against 580A. ( c ) plot of the absorption depth at ∼ 740 nm (740D) against 865D. ( d ) Plot of the minimum wavelength of the carbonate absorption feature against its depth for the pixels containing REE absorption features. The plotted data corresponds to the Nd anomalies mapped in Fig.  3 a. The solid red and dashed gray lines depict the best-fitted line to the data and the 1-to-1 line, respectively.

In contrast, the less prominent Nd feature at ∼ 580 nm (Fig. 2 a), while visually discernible in several Nd-bearing pixels, was found unsuitable for Nd mapping. This is primarily due to significant interferences from other scene components comprising green vegetation, causing noticeable shifts in the feature’s minimum wavelength making it difficult to track the via processing method. Nevertheless, the area of this feature correlates well with the area of the 740 nm feature (R 2  = 0.74; Fig.  4 b) and the 800 nm feature (R 2  = 0.66; not shown). The feature at ∼ 865 nm, although noticeable in some pixels over the orebody (Fig. 2 a), was not well-developed and therefore not resolvable in the EnMAP data. Statistically, it shows a weak correlation (R 2  = 0.36) with the depths of the absorption features at ∼ 740 and ∼ 800 nm (Fig. 4 c).

Figure  4 d depicts the plot of carbonate minimum wavelength against its depth for the pixels mapped in Fig.  3 a. In this plot, pixels from over the mining area and orebody exhibit wavelengths ranging from 2335 to 2350 nm and a relatively shallow carbonate absorption, typical of bastnaesite-rich calcic carbonatite. Pixels with similar absorption depths but shorter wavelength ranges (2310 to 2330 nm) were interpreted to arise from REE-bearing dolomitic carbonatite. The third cluster in Fig.  4 d represents isolated pixels mapped at the periphery of the mining area over carbonate rocks (highlighted in Fig. 3 d–f). These pixels are characterized by very shallow features at ∼ 740 and ∼ 800 nm but a deeper carbonate feature at wavelengths ranges between 2320 to 2340 nm. Verifying the presence of REEs/Nd in these pixels would indeed require ground truthing.

For reliable detection of REEs using spectral remote sensing data, it is essential to resolve multiple absorption features within the dataset. While some studies have successfully used three and occasionally four of the diagnostic absorption features of Nd 23 , 24 , 36 , many others have shown that not all the distinctive absorption features in the VNIR range, particularly those at ∼ 580 and ∼ 870 nm (refer to Figs. 1 and 2 a), are consistently present and resolvable in spectral data, even under optimal laboratory conditions 12 , 14 , 18 , 22 , 37 . Consequently, it is not surprising that the EnMAP data can only resolve the most prominent absorption features of Nd at ∼ 740 and ∼ 800 nm. This is consistent with the results of other remote sensing studies conducted to map REEs under open-air conditions using a UAV platform 29 . Conversely, relying solely on a single absorption feature can introduce large uncertainty in Nd detection 12 .

As demonstrated in this study, the minimum wavelength of the absorption features is as important and informative as the feature depth for REE detection. However, the minimum wavelengths of the absorption features are highly variable in spectral data. In laboratory studies, the minimum wavelengths of the 580, 740, and 800 nm features have been reported to vary from 575 to 590 nm, 740 to 747 nm, and 799 to 805 nm, respectively 9 . The variations retrieved from the EnMAP data, however, cover a wider range varying from 581 to 597 nm, 735 to 755 nm, and 793 to 805 nm, respectively. This wide range could be attributed to various factors, including intrinsic variations in the minimum wavelength of bastnaesite (typically on the order of ∼ 10 nm, as stated in the introduction), the co-occurrences of other REE-bearing minerals such as parisite, synchysite, and monazite inside the pixel footprint, the intimate/areal mixture of rare-earth minerals with other lithologic/background constituents (see below), the uncertainty of the retrieval method, and above all, limitations in the spectral sampling interval of EnMAP (i.e., 6.5 nm) compared to laboratory data.

It is important to note that each of these absorption features results from the superposition of several absorbing bands. For instance, the pronounced absorption feature at ∼ 740 nm is the result of at least six narrow absorbing bands centered at 733, 738, 741, 749, 755, and 762 nm (see the inset plot in Fig. 1 ), of which only four (i.e., at 734, 741, 747, and 757 nm) are discernible in the laboratory data of Fig.  2 a. A thorough analysis of these features can help characterize the mineralogical state of REEs and potentially unravel the presence of other REEs beyond Nd in spectral data.

In general, the ability to detect REEs spectrally could be affected by the following factors:

The overall albedo of the target and the contrast of the REE host with its background constituents . High proportions of opaque minerals such as magnetite (and allanite in non-carbonatite deposits) have been observed to dampen the spectral signal, contributing to low reflectance levels from the samples/surfaces and thus difficulty in REE detection 9 , 14 . In contrast, brighter backgrounds, exemplified here by the dominance of calcic carbonatite, can facilitate the detection of REEs.

The relative proportion of ferric (Fe 3 + ) iron minerals . The broad and intense absorption features of iron oxide minerals (i.e., hematite and goethite) in the VNIR region are reported to suppress the REE features significantly 10 , 12 , 22 , 25 . Simulated experiments have shown that even 1 wt.% of iron oxides can attenuate REE-related features, with the 580 and 870 nm features being particularly susceptible to suppression. In the range of 2 to 5 wt.%, iron minerals can readily dampen the features arising from 0.5 wt.% Nd, and at the 10 wt.% level, the REE features disappear entirely due to the dominance of ferric iron absorptions in the VNIR range 13 , 22 . As a general rule, the two weaker absorptions at ∼ 580 and ∼ 870 nm are more vulnerable and often go undetected in many spectral measurements (Todd Hoefen, personal communication). In the Mountain Pass area, although iron oxides are scarce over the open-pit mine, they are prevalent in the surrounding area, particularly over the alkaline intrusions eastward of the major fault lines (Fig. 3 a), contributing to the suppression of potential Nd features.

The fraction of vegetation cover . The presence of the green peak and chlorophyll absorption, respectively at ∼ 550 and ∼ 590 nm can undermine the REE feature at 580 nm. Presumably, the interference from vegetation in this area has impeded the mapping of the 580 nm feature in the EnMAP data, despite its existence and reasonable correlation with the 740 nm feature (Fig. 4 b). This is supported by the observation that pixels with the highest incidence of false-positives when using only the 580 nm feature for Nd mapping, are spatially associated with the highest Normalized Difference Vegetation Index (NDVI) values calculated from the same data. The interference from chlorophyll absorption may also explain the shift in the minimum wavelength of the 580 nm feature towards longer wavelengths (581 to 597 nm in EnMAP vs 575 to 590 nm in laboratory data). Further studies are required to understand the sensitivity of REE features to vegetation coverage/fraction.

The atmospheric correction effects . As illustrated in Fig.  2 a, the distinct O 2 -related absorption at 760 nm can interfere with the 740 nm feature of Nd. When the 740 nm feature surpasses the residual O 2 absorption, excluding the corresponding band from calculations, as demonstrated in this study, offers a simple yet effective solution to the problem. However, in situations where the feature is weakly developed and oxygen’s residual absorption predominates, excluding the band may not resolve the issue and could potentially lead to miscalculations of the spectral parameters, affecting the Nd mapping results. In contrast to O 2 , the residual water vapor effect appears as noise beyond 890 nm suppressing the 870 nm feature of Nd. While it is likely that the 870 nm feature may not be well-developed in the first place, the impact of water vapor residuals in weakening this feature within the EnMAP data needs to be considered. A more robust atmospheric correction procedure could certainly lead to better retrieval of REE signatures from EnMAP data.

The grain size effect. The size of REE-bearing grains is another factor affecting the intensity of Nd absorption features and, consequently, its detectability. Larger grain sizes absorb more light, leading to deeper absorption features 9 . In the Mountain Pass area, the relatively large bastnaesite grains, with an average diameter of 300 μm 32 , could be the reason behind the increased depth and width of absorption features in the EnMAP data (Fig.  2 a). However, variability in Nd grade and the scale effect (30 m image pixel vs point-scale ASD data) may have also played a role in this behavior.

The proportion of Nd (and total REEs) . Since the intensity of absorption features is proportional to the concentration of Nd in a sample/pixel, a higher concentration results in more pronounced absorption features, thereby facilitating spectral detection 9 , 12 , 14 , 17 . Based on this premise, while the exceptionally high concentration of Nd in the Mountain Pass area appears to have facilitated the remote sensing mapping, it is noteworthy that Nd was also detected over the tailings and waste storage sites (Fig.  3 b), indicating the detectability of lower grades of Nd via EnMAP data. In contrast, EnMAP was unsuccessful in mapping any Nd signatures over the fenitized zone and the adjacent areas (encircled in Fig.  3 a). This can be attributed to the small size of the carbonatite veins in this zone, the low content of REEs (Nd), as reported by Castor 32 , and the prevalence of iron oxides (see Fig.  3 a). Similarly, no carbonate signatures were detected over these veins using EnMAP's SWIR bands.

It's important to note that the depth of Nd's absorption features is reportedly influenced by the Nd to ΣREE (total REE) proportion, with higher ratios resulting in more pronounced absorption features 29 . The smallest REE-bearing target detectable at the 30 m pixel size of EnMAP, as well as the lowest level of Nd detectable spectrally (corresponding to the detection limit of EnMAP data), is currently unknown and should be addressed in future studies considering the noted factors. However, since reflectance spectroscopy has demonstrated a relatively low detection limit for Nd, ranging from 1000 to < 200 ppm 9 , 10 , 12 , 29 , it can be expected that under optimal environmental conditions, the EnMAP instrument will be sensitive to low grades of Nd/REEs in a pixel (see below).

The sensor effects. While EnMAP data exhibits excellent quality in both the VNIR and SWIR ranges, it is acknowledged that the bands at the longer wavelength end of the VNIR detector display erratic nonlinear behavior due to the fringing effect (EnMAP's unpublished internal report). The challenges faced by EnMAP in resolving the 870 nm feature may, in part, be attributed to this phenomenon, particularly beyond 900 nm, where the right shoulder of the feature is located.

Comparing the outcomes of this study with the analysis conducted by Mars 30 using WorldView-3 data underscores the significance of spectral resolution over spatial resolution in mapping REEs. Because despite WorldView-3's exceptional spatial resolution, it could not map Nd occurrences in the area. In contrast, EnMAP, with a spatial resolution of 30 m, succeeded due to its high spectral resolution and calibration accuracy. Certainly, high spatial resolution hyperspectral data can enable the detection and mapping of meter-scale veins in geologic outcrops. However, for spaceborne remote sensing data with restrictions in spatial resolution, enhancing the SNR and spectral resolution can increase their sensitivity and utility for REEs.

The spectral processing method. After testing various spectral processing methods, which included multiple target detection algorithms, similarity measures, feature fitting algorithms, and a support vector machine classifier 38 , it was observed that the choice of processing method has implications for successful Nd detection. Remarkably, none of the tested methods were able to generate results comparable to the map shown in Fig.  3 a (using the mapped pixels as endmembers/training data), highlighting the superiority of the absorption feature analysis and polynomial fitting technique for REE detection. This may explain why prior attempts to map REEs in the area using airborne data e.g., 28 , 35 were not very successful. The main advantage of the approach employed in this paper is that it does not require a priori knowledge about REE occurrences in a given area and rather it relies on the spectroscopic knowledge of rare-earth minerals for remote sensing mapping.

In summary, the ability to detect REEs using hyperspectral remote sensing data depends on geological and instrumental constraints. Geologically, it depends on the size of the target, its exposure level, the contained level of REEs, and the composition of accompanying minerals. Instrumentally, it primarily depends on the imaging system's SNR and spectral resolution, followed by spatial resolution, and the quality of atmospheric correction and processing methods.

While in this study, hundreds of pixels were identified to contain Nd, in similar remote sensing studies in the future, the detection of REE signatures, even in a single image pixel, should be considered promising for subsequent field studies. While identifying the rare-earth mineralogic host, as achieved here, may not be always practical or necessary for remote sensing studies, detecting the carbonate signature (via SWIR bands) in a carbonatite host 39 , 40 could further support the presence of REE in a target. It is important to note that as a remote sensing method, our methodology can only detect REE signatures at the surface without the ability to penetrate to depth.

This study demonstrated that EnMAP hyperspectral satellite data can directly and efficiently detect REEs in geological environments. EnMAP successfully resolved the distinctive absorption features of Nd at 740 and 800 nm arising from the Nd-rich bastnaesite ore in the Mountain Pass area. While EnMAP could resolve the feature at ∼ 580 nm, the feature was not suitable for REE mapping due to its low intensity and interference with iron oxides and the chlorophyll absorption feature occurring at ∼ 590 nm. EnMAP data was unable to confidently resolve the feature at ∼ 870 nm. The absorption feature analysis and polynomial fitting technique proved to be a superior and effective processing method for characterizing the prominent REE absorption features and mapping the occurrences and relative abundances of Nd in imaging spectroscopic data.

Detecting the spectral signature of REEs by spaceborne imaging spectroscopic data can take exploration activities for REEs to another level. Conventionally, carbonatite bodies, as the primary hosts of LREEs, have been explored through geophysical methods relying on airborne magnetic and radiometric surveys 41 . Introducing a remote sensing approach capable of detecting the contained REEs directly and mapping the underlying host mineralogy and alteration aureoles can complement the existing exploration portfolio, facilitating the discovery of new carbonatite bodies and REEs resources.

The EnMAP satellite data with its global coverage can be used to screen large areas for REE signatures. However, given its 30 m spatial resolution, it is expected to mainly detect well-exposed targets of sufficient Nd quantities/sizes in arid to semi-arid regions of the world. Advancements in atmospheric correction procedures and processing methods can aid in detecting lower grades and smaller Nd-bearing targets. Because REEs are often associated with each other, and because the host mineralogy does not highly modify the REE-related absorption features, remote sensing mapping of Nd should serve as an exploration pathfinder for light (and potentially heavy) REEs, irrespective of their deposit types.

Future work will involve establishing quantitative relationships between Nd grade and spectral signatures and testing the methodology across a diverse range of REE-rich deposits/prospects with varying levels of light/heavy REEs, outcrop exposures, geologic /conditions, and vegetation coverage. This could help to better understand the spectral behavior of REEs at EnMAP resolution and determine the instrument’s full capability in detecting and mapping REEs occurrences remotely.

Materials and methods

Enmap hyperspectral data.

The EnMAP (Environmental Mapping and Analysis Program) hyperspectral satellite system was launched into orbit on April 1, 2022, and since November 2022 has been in routine operation 42 . EnMAP is a German satellite mission designed and operated by the German Aerospace Center (DLR) and funded by the Federal Ministry for Economic Affairs and Climate Action (BMWK) of Germany 43 , 44 .

The EnMAP data of the study area, collected on July 7th, 2022 at 18:47:54.75 UTC (11:47 local time) was obtained from the EOWEB® portal. The data was ordered using the following settings: Level 2A data with ozone and terrain corrections enabled, with no spectral interpolation, resampled by the nearest neighbor method. The data was processed using the March 2023 version of the EnMAP processor. The Level 2A orthorectified surface reflectance data of EnMAP comprises 224 spectral bands at 30-m spatial resolution. The VNIR bands used in this study cover the spectral range between 420 and 1000 nm at a spectral sampling interval of 6.5 nm and a spectral bandwidth of 8.1 nm. The VNIR bands maintain a signal-to-noise ratio (SNR) exceeding 400:1 and spectral stability better than 0.5 nm thanks to the instrument’s onboard calibration assembly 45 . These attributes render the EnMAP data an excellent choice for remote sensing mapping of REEs.

Processing methodology

We applied a curve-fitting technique using a 4th-order polynomial 46 to detect and map REEs within the L2A data product. This technique enabled us to characterize the main absorption features of Nd at ∼ 580, ∼ 740, ∼ 800, and ∼ 865 nm (depicted in Fig. 1 ), as well as the carbonate feature between 2330 to 2340 nm. To achieve this, the local continuum was first removed between 520 to 900 nm for the VNIR and between 2230 to 2400 nm for the SWIR bands. Then, separate polynomials were fitted to the continuum-removed spectra within the ranges of 720–778, 770–825, 565–605, 825–895, and 2305–2365 nm (Fig.  1 ). Subsequently, the (real) root of the explicit first derivative was used to determine the wavelength of minimum reflectance (minimum wavelength). The coefficients of the fitted polynomial were also used to retrieve the depth, area, and width of the diagnostic absorption features. To eliminate the interfering effects of O 2 , the EnMAP band corresponding to oxygen’s residual absorption feature at 764 nm (band 62) was omitted from the calculations.

The retrieved spectral parameters then were subsequently employed in a stepwise decision-making process to identify Nd-bearing pixels. Initially, the pixels meeting the following criteria were isolated:

where λW and λD are the minimum wavelength and depth of the absorption feature centered at wavelength λ (nm). These results were further refined by retaining only the pixels that were linearly aligned in the scatterplot of 740D against 800D. Subsequently, the area of the 800 nm feature was used to represent the relative abundance of Nd in the mapped pixels. The relative abundance of carbonate rocks in the area was mapped based on the carbonate feature at ∼ 2340 nm (D > 0.13). The distribution of iron oxides was also mapped using \(\frac{{\lambda }_{690(nm)}}{{\lambda }_{450(nm)}}>\) 2.5. Finally, to better understand the spectral and statistical variability of the mapped pixels, 2D scatterplots were prepared from the retrieved spectral parameters. All these processes were applied to a spatial subset of the mosaicked EnMAP data covering the Sulphide Queen mine and the surrounding areas.

The obtained results were validated in three ways: (i) by comparing the EnMAP spectra to laboratory-based spectral measurements of a hand specimen collected from the Sulphide Queen mine, (ii) by superimposing the yielded anomalies over high-resolution satellite images of the area, available on Google Earth, and (iii) by matching the anomalies with local geologic data. The reflectance spectral data was collated from the datasets published by Neave, et al. 9 . The corresponding specimen (CR36), containing 30,848 ppm ( ∼ 3%) Nd, has been measured using an ASD Field-Spec Pro FR spectroradiometer, with sampling intervals of 1.4 and 2 nm between 350–1000 and 1000–2500 nm, respectively. The final spectrum has resulted from averaging tens of evenly spaced repeat measurements taken from across the sample surface so that the 1σ of the spectrum was < 0.5% relative 9 .

Data availability

All EnMAP data are freely available through the EnMAP data access portal at the following link: https://www.enmap.org/data_access/ . The EnMAP data are licensed products of DLR [2022], all rights reserved.

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Acknowledgements

This study was supported by the EnMAP science program (grant numbers 50EE1923 and 50EE2401) from the DLR Space Agency.

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Saeid Asadzadeh, Nicole Koellner & Sabine Chabrillat

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Asadzadeh, S., Koellner, N. & Chabrillat, S. Detecting rare earth elements using EnMAP hyperspectral satellite data: a case study from Mountain Pass, California. Sci Rep 14 , 20766 (2024). https://doi.org/10.1038/s41598-024-71395-2

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DOI : https://doi.org/10.1038/s41598-024-71395-2

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