findings of a case study

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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Organizing Your Social Sciences Research Assignments

• Annotated Bibliography
• Analyzing a Scholarly Journal Article
• Group Presentations
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• Types of Structured Group Activities
• Group Project Survival Skills
• Leading a Class Discussion
• Multiple Book Review Essay
• Reviewing Collected Works
• Writing a Case Analysis Paper
• Writing a Case Study
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Reflective Paper
• Writing a Research Proposal
• Generative AI and Writing
• Acknowledgments

Definition and Introduction

Case analysis is a problem-based teaching and learning method that involves critically analyzing complex scenarios within an organizational setting for the purpose of placing the student in a “real world” situation and applying reflection and critical thinking skills to contemplate appropriate solutions, decisions, or recommended courses of action. It is considered a more effective teaching technique than in-class role playing or simulation activities. The analytical process is often guided by questions provided by the instructor that ask students to contemplate relationships between the facts and critical incidents described in the case.

Cases generally include both descriptive and statistical elements and rely on students applying abductive reasoning to develop and argue for preferred or best outcomes [i.e., case scenarios rarely have a single correct or perfect answer based on the evidence provided]. Rather than emphasizing theories or concepts, case analysis assignments emphasize building a bridge of relevancy between abstract thinking and practical application and, by so doing, teaches the value of both within a specific area of professional practice.

Given this, the purpose of a case analysis paper is to present a structured and logically organized format for analyzing the case situation. It can be assigned to students individually or as a small group assignment and it may include an in-class presentation component. Case analysis is predominately taught in economics and business-related courses, but it is also a method of teaching and learning found in other applied social sciences disciplines, such as, social work, public relations, education, journalism, and public administration.

Ellet, William. The Case Study Handbook: A Student's Guide . Revised Edition. Boston, MA: Harvard Business School Publishing, 2018; Christoph Rasche and Achim Seisreiner. Guidelines for Business Case Analysis . University of Potsdam; Writing a Case Analysis . Writing Center, Baruch College; Volpe, Guglielmo. "Case Teaching in Economics: History, Practice and Evidence." Cogent Economics and Finance 3 (December 2015). doi:https://doi.org/10.1080/23322039.2015.1120977.

How to Approach Writing a Case Analysis Paper

The organization and structure of a case analysis paper can vary depending on the organizational setting, the situation, and how your professor wants you to approach the assignment. Nevertheless, preparing to write a case analysis paper involves several important steps. As Hawes notes, a case analysis assignment “...is useful in developing the ability to get to the heart of a problem, analyze it thoroughly, and to indicate the appropriate solution as well as how it should be implemented” [p.48]. This statement encapsulates how you should approach preparing to write a case analysis paper.

Before you begin to write your paper, consider the following analytical procedures:

• Review the case to get an overview of the situation . A case can be only a few pages in length, however, it is most often very lengthy and contains a significant amount of detailed background information and statistics, with multilayered descriptions of the scenario, the roles and behaviors of various stakeholder groups, and situational events. Therefore, a quick reading of the case will help you gain an overall sense of the situation and illuminate the types of issues and problems that you will need to address in your paper. If your professor has provided questions intended to help frame your analysis, use them to guide your initial reading of the case.
• Read the case thoroughly . After gaining a general overview of the case, carefully read the content again with the purpose of understanding key circumstances, events, and behaviors among stakeholder groups. Look for information or data that appears contradictory, extraneous, or misleading. At this point, you should be taking notes as you read because this will help you develop a general outline of your paper. The aim is to obtain a complete understanding of the situation so that you can begin contemplating tentative answers to any questions your professor has provided or, if they have not provided, developing answers to your own questions about the case scenario and its connection to the course readings,lectures, and class discussions.
• Determine key stakeholder groups, issues, and events and the relationships they all have to each other . As you analyze the content, pay particular attention to identifying individuals, groups, or organizations described in the case and identify evidence of any problems or issues of concern that impact the situation in a negative way. Other things to look for include identifying any assumptions being made by or about each stakeholder, potential biased explanations or actions, explicit demands or ultimatums , and the underlying concerns that motivate these behaviors among stakeholders. The goal at this stage is to develop a comprehensive understanding of the situational and behavioral dynamics of the case and the explicit and implicit consequences of each of these actions.
• Identify the core problems . The next step in most case analysis assignments is to discern what the core [i.e., most damaging, detrimental, injurious] problems are within the organizational setting and to determine their implications. The purpose at this stage of preparing to write your analysis paper is to distinguish between the symptoms of core problems and the core problems themselves and to decide which of these must be addressed immediately and which problems do not appear critical but may escalate over time. Identify evidence from the case to support your decisions by determining what information or data is essential to addressing the core problems and what information is not relevant or is misleading.
• Explore alternative solutions . As noted, case analysis scenarios rarely have only one correct answer. Therefore, it is important to keep in mind that the process of analyzing the case and diagnosing core problems, while based on evidence, is a subjective process open to various avenues of interpretation. This means that you must consider alternative solutions or courses of action by critically examining strengths and weaknesses, risk factors, and the differences between short and long-term solutions. For each possible solution or course of action, consider the consequences they may have related to their implementation and how these recommendations might lead to new problems. Also, consider thinking about your recommended solutions or courses of action in relation to issues of fairness, equity, and inclusion.
• Decide on a final set of recommendations . The last stage in preparing to write a case analysis paper is to assert an opinion or viewpoint about the recommendations needed to help resolve the core problems as you see them and to make a persuasive argument for supporting this point of view. Prepare a clear rationale for your recommendations based on examining each element of your analysis. Anticipate possible obstacles that could derail their implementation. Consider any counter-arguments that could be made concerning the validity of your recommended actions. Finally, describe a set of criteria and measurable indicators that could be applied to evaluating the effectiveness of your implementation plan.

Use these steps as the framework for writing your paper. Remember that the more detailed you are in taking notes as you critically examine each element of the case, the more information you will have to draw from when you begin to write. This will save you time.

NOTE : If the process of preparing to write a case analysis paper is assigned as a student group project, consider having each member of the group analyze a specific element of the case, including drafting answers to the corresponding questions used by your professor to frame the analysis. This will help make the analytical process more efficient and ensure that the distribution of work is equitable. This can also facilitate who is responsible for drafting each part of the final case analysis paper and, if applicable, the in-class presentation.

Framework for Case Analysis . College of Management. University of Massachusetts; Hawes, Jon M. "Teaching is Not Telling: The Case Method as a Form of Interactive Learning." Journal for Advancement of Marketing Education 5 (Winter 2004): 47-54; Rasche, Christoph and Achim Seisreiner. Guidelines for Business Case Analysis . University of Potsdam; Writing a Case Study Analysis . University of Arizona Global Campus Writing Center; Van Ness, Raymond K. A Guide to Case Analysis . School of Business. State University of New York, Albany; Writing a Case Analysis . Business School, University of New South Wales.

Structure and Writing Style

A case analysis paper should be detailed, concise, persuasive, clearly written, and professional in tone and in the use of language . As with other forms of college-level academic writing, declarative statements that convey information, provide a fact, or offer an explanation or any recommended courses of action should be based on evidence. If allowed by your professor, any external sources used to support your analysis, such as course readings, should be properly cited under a list of references. The organization and structure of case analysis papers can vary depending on your professor’s preferred format, but its structure generally follows the steps used for analyzing the case.

Introduction

The introduction should provide a succinct but thorough descriptive overview of the main facts, issues, and core problems of the case . The introduction should also include a brief summary of the most relevant details about the situation and organizational setting. This includes defining the theoretical framework or conceptual model on which any questions were used to frame your analysis.

Following the rules of most college-level research papers, the introduction should then inform the reader how the paper will be organized. This includes describing the major sections of the paper and the order in which they will be presented. Unless you are told to do so by your professor, you do not need to preview your final recommendations in the introduction. U nlike most college-level research papers , the introduction does not include a statement about the significance of your findings because a case analysis assignment does not involve contributing new knowledge about a research problem.

Background Analysis

Background analysis can vary depending on any guiding questions provided by your professor and the underlying concept or theory that the case is based upon. In general, however, this section of your paper should focus on:

• Providing an overarching analysis of problems identified from the case scenario, including identifying events that stakeholders find challenging or troublesome,
• Identifying assumptions made by each stakeholder and any apparent biases they may exhibit,
• Describing any demands or claims made by or forced upon key stakeholders, and
• Highlighting any issues of concern or complaints expressed by stakeholders in response to those demands or claims.

These aspects of the case are often in the form of behavioral responses expressed by individuals or groups within the organizational setting. However, note that problems in a case situation can also be reflected in data [or the lack thereof] and in the decision-making, operational, cultural, or institutional structure of the organization. Additionally, demands or claims can be either internal and external to the organization [e.g., a case analysis involving a president considering arms sales to Saudi Arabia could include managing internal demands from White House advisors as well as demands from members of Congress].

Throughout this section, present all relevant evidence from the case that supports your analysis. Do not simply claim there is a problem, an assumption, a demand, or a concern; tell the reader what part of the case informed how you identified these background elements.

Identification of Problems

In most case analysis assignments, there are problems, and then there are problems . Each problem can reflect a multitude of underlying symptoms that are detrimental to the interests of the organization. The purpose of identifying problems is to teach students how to differentiate between problems that vary in severity, impact, and relative importance. Given this, problems can be described in three general forms: those that must be addressed immediately, those that should be addressed but the impact is not severe, and those that do not require immediate attention and can be set aside for the time being.

All of the problems you identify from the case should be identified in this section of your paper, with a description based on evidence explaining the problem variances. If the assignment asks you to conduct research to further support your assessment of the problems, include this in your explanation. Remember to cite those sources in a list of references. Use specific evidence from the case and apply appropriate concepts, theories, and models discussed in class or in relevant course readings to highlight and explain the key problems [or problem] that you believe must be solved immediately and describe the underlying symptoms and why they are so critical.

Alternative Solutions

This section is where you provide specific, realistic, and evidence-based solutions to the problems you have identified and make recommendations about how to alleviate the underlying symptomatic conditions impacting the organizational setting. For each solution, you must explain why it was chosen and provide clear evidence to support your reasoning. This can include, for example, course readings and class discussions as well as research resources, such as, books, journal articles, research reports, or government documents. In some cases, your professor may encourage you to include personal, anecdotal experiences as evidence to support why you chose a particular solution or set of solutions. Using anecdotal evidence helps promote reflective thinking about the process of determining what qualifies as a core problem and relevant solution .

Throughout this part of the paper, keep in mind the entire array of problems that must be addressed and describe in detail the solutions that might be implemented to resolve these problems.

Recommended Courses of Action

In some case analysis assignments, your professor may ask you to combine the alternative solutions section with your recommended courses of action. However, it is important to know the difference between the two. A solution refers to the answer to a problem. A course of action refers to a procedure or deliberate sequence of activities adopted to proactively confront a situation, often in the context of accomplishing a goal. In this context, proposed courses of action are based on your analysis of alternative solutions. Your description and justification for pursuing each course of action should represent the overall plan for implementing your recommendations.

For each course of action, you need to explain the rationale for your recommendation in a way that confronts challenges, explains risks, and anticipates any counter-arguments from stakeholders. Do this by considering the strengths and weaknesses of each course of action framed in relation to how the action is expected to resolve the core problems presented, the possible ways the action may affect remaining problems, and how the recommended action will be perceived by each stakeholder.

In addition, you should describe the criteria needed to measure how well the implementation of these actions is working and explain which individuals or groups are responsible for ensuring your recommendations are successful. In addition, always consider the law of unintended consequences. Outline difficulties that may arise in implementing each course of action and describe how implementing the proposed courses of action [either individually or collectively] may lead to new problems [both large and small].

Throughout this section, you must consider the costs and benefits of recommending your courses of action in relation to uncertainties or missing information and the negative consequences of success.

The conclusion should be brief and introspective. Unlike a research paper, the conclusion in a case analysis paper does not include a summary of key findings and their significance, a statement about how the study contributed to existing knowledge, or indicate opportunities for future research.

Begin by synthesizing the core problems presented in the case and the relevance of your recommended solutions. This can include an explanation of what you have learned about the case in the context of your answers to the questions provided by your professor. The conclusion is also where you link what you learned from analyzing the case with the course readings or class discussions. This can further demonstrate your understanding of the relationships between the practical case situation and the theoretical and abstract content of assigned readings and other course content.

Problems to Avoid

The literature on case analysis assignments often includes examples of difficulties students have with applying methods of critical analysis and effectively reporting the results of their assessment of the situation. A common reason cited by scholars is that the application of this type of teaching and learning method is limited to applied fields of social and behavioral sciences and, as a result, writing a case analysis paper can be unfamiliar to most students entering college.

After you have drafted your paper, proofread the narrative flow and revise any of these common errors:

• Unnecessary detail in the background section . The background section should highlight the essential elements of the case based on your analysis. Focus on summarizing the facts and highlighting the key factors that become relevant in the other sections of the paper by eliminating any unnecessary information.
• Analysis relies too much on opinion . Your analysis is interpretive, but the narrative must be connected clearly to evidence from the case and any models and theories discussed in class or in course readings. Any positions or arguments you make should be supported by evidence.
• Analysis does not focus on the most important elements of the case . Your paper should provide a thorough overview of the case. However, the analysis should focus on providing evidence about what you identify are the key events, stakeholders, issues, and problems. Emphasize what you identify as the most critical aspects of the case to be developed throughout your analysis. Be thorough but succinct.
• Writing is too descriptive . A paper with too much descriptive information detracts from your analysis of the complexities of the case situation. Questions about what happened, where, when, and by whom should only be included as essential information leading to your examination of questions related to why, how, and for what purpose.
• Inadequate definition of a core problem and associated symptoms . A common error found in case analysis papers is recommending a solution or course of action without adequately defining or demonstrating that you understand the problem. Make sure you have clearly described the problem and its impact and scope within the organizational setting. Ensure that you have adequately described the root causes w hen describing the symptoms of the problem.
• Recommendations lack specificity . Identify any use of vague statements and indeterminate terminology, such as, “A particular experience” or “a large increase to the budget.” These statements cannot be measured and, as a result, there is no way to evaluate their successful implementation. Provide specific data and use direct language in describing recommended actions.
• Unrealistic, exaggerated, or unattainable recommendations . Review your recommendations to ensure that they are based on the situational facts of the case. Your recommended solutions and courses of action must be based on realistic assumptions and fit within the constraints of the situation. Also note that the case scenario has already happened, therefore, any speculation or arguments about what could have occurred if the circumstances were different should be revised or eliminated.

Bee, Lian Song et al. "Business Students' Perspectives on Case Method Coaching for Problem-Based Learning: Impacts on Student Engagement and Learning Performance in Higher Education." Education & Training 64 (2022): 416-432; The Case Analysis . Fred Meijer Center for Writing and Michigan Authors. Grand Valley State University; Georgallis, Panikos and Kayleigh Bruijn. "Sustainability Teaching using Case-Based Debates." Journal of International Education in Business 15 (2022): 147-163; Hawes, Jon M. "Teaching is Not Telling: The Case Method as a Form of Interactive Learning." Journal for Advancement of Marketing Education 5 (Winter 2004): 47-54; Georgallis, Panikos, and Kayleigh Bruijn. "Sustainability Teaching Using Case-based Debates." Journal of International Education in Business 15 (2022): 147-163; .Dean,  Kathy Lund and Charles J. Fornaciari. "How to Create and Use Experiential Case-Based Exercises in a Management Classroom." Journal of Management Education 26 (October 2002): 586-603; Klebba, Joanne M. and Janet G. Hamilton. "Structured Case Analysis: Developing Critical Thinking Skills in a Marketing Case Course." Journal of Marketing Education 29 (August 2007): 132-137, 139; Klein, Norman. "The Case Discussion Method Revisited: Some Questions about Student Skills." Exchange: The Organizational Behavior Teaching Journal 6 (November 1981): 30-32; Mukherjee, Arup. "Effective Use of In-Class Mini Case Analysis for Discovery Learning in an Undergraduate MIS Course." The Journal of Computer Information Systems 40 (Spring 2000): 15-23; Pessoa, Silviaet al. "Scaffolding the Case Analysis in an Organizational Behavior Course: Making Analytical Language Explicit." Journal of Management Education 46 (2022): 226-251: Ramsey, V. J. and L. D. Dodge. "Case Analysis: A Structured Approach." Exchange: The Organizational Behavior Teaching Journal 6 (November 1981): 27-29; Schweitzer, Karen. "How to Write and Format a Business Case Study." ThoughtCo. https://www.thoughtco.com/how-to-write-and-format-a-business-case-study-466324 (accessed December 5, 2022); Reddy, C. D. "Teaching Research Methodology: Everything's a Case." Electronic Journal of Business Research Methods 18 (December 2020): 178-188; Volpe, Guglielmo. "Case Teaching in Economics: History, Practice and Evidence." Cogent Economics and Finance 3 (December 2015). doi:https://doi.org/10.1080/23322039.2015.1120977.

Writing Tip

Ca se Study and Case Analysis Are Not the Same!

Confusion often exists between what it means to write a paper that uses a case study research design and writing a paper that analyzes a case; they are two different types of approaches to learning in the social and behavioral sciences. Professors as well as educational researchers contribute to this confusion because they often use the term "case study" when describing the subject of analysis for a case analysis paper. But you are not studying a case for the purpose of generating a comprehensive, multi-faceted understanding of a research problem. R ather, you are critically analyzing a specific scenario to argue logically for recommended solutions and courses of action that lead to optimal outcomes applicable to professional practice.

To avoid any confusion, here are twelve characteristics that delineate the differences between writing a paper using the case study research method and writing a case analysis paper:

• Case study is a method of in-depth research and rigorous inquiry ; case analysis is a reliable method of teaching and learning . A case study is a modality of research that investigates a phenomenon for the purpose of creating new knowledge, solving a problem, or testing a hypothesis using empirical evidence derived from the case being studied. Often, the results are used to generalize about a larger population or within a wider context. The writing adheres to the traditional standards of a scholarly research study. A case analysis is a pedagogical tool used to teach students how to reflect and think critically about a practical, real-life problem in an organizational setting.
• The researcher is responsible for identifying the case to study; a case analysis is assigned by your professor . As the researcher, you choose the case study to investigate in support of obtaining new knowledge and understanding about the research problem. The case in a case analysis assignment is almost always provided, and sometimes written, by your professor and either given to every student in class to analyze individually or to a small group of students, or students select a case to analyze from a predetermined list.
• A case study is indeterminate and boundless; a case analysis is predetermined and confined . A case study can be almost anything [see item 9 below] as long as it relates directly to examining the research problem. This relationship is the only limit to what a researcher can choose as the subject of their case study. The content of a case analysis is determined by your professor and its parameters are well-defined and limited to elucidating insights of practical value applied to practice.
• Case study is fact-based and describes actual events or situations; case analysis can be entirely fictional or adapted from an actual situation . The entire content of a case study must be grounded in reality to be a valid subject of investigation in an empirical research study. A case analysis only needs to set the stage for critically examining a situation in practice and, therefore, can be entirely fictional or adapted, all or in-part, from an actual situation.
• Research using a case study method must adhere to principles of intellectual honesty and academic integrity; a case analysis scenario can include misleading or false information . A case study paper must report research objectively and factually to ensure that any findings are understood to be logically correct and trustworthy. A case analysis scenario may include misleading or false information intended to deliberately distract from the central issues of the case. The purpose is to teach students how to sort through conflicting or useless information in order to come up with the preferred solution. Any use of misleading or false information in academic research is considered unethical.
• Case study is linked to a research problem; case analysis is linked to a practical situation or scenario . In the social sciences, the subject of an investigation is most often framed as a problem that must be researched in order to generate new knowledge leading to a solution. Case analysis narratives are grounded in real life scenarios for the purpose of examining the realities of decision-making behavior and processes within organizational settings. A case analysis assignments include a problem or set of problems to be analyzed. However, the goal is centered around the act of identifying and evaluating courses of action leading to best possible outcomes.
• The purpose of a case study is to create new knowledge through research; the purpose of a case analysis is to teach new understanding . Case studies are a choice of methodological design intended to create new knowledge about resolving a research problem. A case analysis is a mode of teaching and learning intended to create new understanding and an awareness of uncertainty applied to practice through acts of critical thinking and reflection.
• A case study seeks to identify the best possible solution to a research problem; case analysis can have an indeterminate set of solutions or outcomes . Your role in studying a case is to discover the most logical, evidence-based ways to address a research problem. A case analysis assignment rarely has a single correct answer because one of the goals is to force students to confront the real life dynamics of uncertainly, ambiguity, and missing or conflicting information within professional practice. Under these conditions, a perfect outcome or solution almost never exists.
• Case study is unbounded and relies on gathering external information; case analysis is a self-contained subject of analysis . The scope of a case study chosen as a method of research is bounded. However, the researcher is free to gather whatever information and data is necessary to investigate its relevance to understanding the research problem. For a case analysis assignment, your professor will often ask you to examine solutions or recommended courses of action based solely on facts and information from the case.
• Case study can be a person, place, object, issue, event, condition, or phenomenon; a case analysis is a carefully constructed synopsis of events, situations, and behaviors . The research problem dictates the type of case being studied and, therefore, the design can encompass almost anything tangible as long as it fulfills the objective of generating new knowledge and understanding. A case analysis is in the form of a narrative containing descriptions of facts, situations, processes, rules, and behaviors within a particular setting and under a specific set of circumstances.
• Case study can represent an open-ended subject of inquiry; a case analysis is a narrative about something that has happened in the past . A case study is not restricted by time and can encompass an event or issue with no temporal limit or end. For example, the current war in Ukraine can be used as a case study of how medical personnel help civilians during a large military conflict, even though circumstances around this event are still evolving. A case analysis can be used to elicit critical thinking about current or future situations in practice, but the case itself is a narrative about something finite and that has taken place in the past.
• Multiple case studies can be used in a research study; case analysis involves examining a single scenario . Case study research can use two or more cases to examine a problem, often for the purpose of conducting a comparative investigation intended to discover hidden relationships, document emerging trends, or determine variations among different examples. A case analysis assignment typically describes a stand-alone, self-contained situation and any comparisons among cases are conducted during in-class discussions and/or student presentations.

The Case Analysis . Fred Meijer Center for Writing and Michigan Authors. Grand Valley State University; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Ramsey, V. J. and L. D. Dodge. "Case Analysis: A Structured Approach." Exchange: The Organizational Behavior Teaching Journal 6 (November 1981): 27-29; Yin, Robert K. Case Study Research and Applications: Design and Methods . 6th edition. Thousand Oaks, CA: Sage, 2017; Crowe, Sarah et al. “The Case Study Approach.” BMC Medical Research Methodology 11 (2011):  doi: 10.1186/1471-2288-11-100; Yin, Robert K. Case Study Research: Design and Methods . 4th edition. Thousand Oaks, CA: Sage Publishing; 1994.

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Home Blog Business How to Present a Case Study: Examples and Best Practices

How to Present a Case Study: Examples and Best Practices

Marketers, consultants, salespeople, and all other types of business managers often use case study analysis to highlight a success story, showing how an exciting problem can be or was addressed. But how do you create a compelling case study and then turn it into a memorable presentation? Get a lowdown from this post! 

Table of Content s

• Why Case Studies are a Popular Marketing Technique 

Popular Case Study Format Types

How to write a case study: a 4-step framework, how to do a case study presentation: 3 proven tips, how long should a case study be, final tip: use compelling presentation visuals, business case study examples, what is a case study .

Let’s start with this great case study definition by the University of South Caroline:

In the social sciences, the term case study refers to both a method of analysis and a specific research design for examining a problem, both of which can generalize findings across populations.

In simpler terms — a case study is investigative research into a problem aimed at presenting or highlighting solution(s) to the analyzed issues.

A standard business case study provides insights into:

• General business/market conditions 
• The main problem faced 
• Methods applied 
• The outcomes gained using a specific tool or approach

Case studies (also called case reports) are also used in clinical settings to analyze patient outcomes outside of the business realm. 

But this is a topic for another time. In this post, we’ll focus on teaching you how to write and present a business case, plus share several case study PowerPoint templates and design tips! 

Why Case Studies are a Popular Marketing Technique 

Besides presenting a solution to an internal issue, case studies are often used as a content marketing technique . According to a 2020 Content Marketing Institute report, 69% of B2B marketers use case studies as part of their marketing mix.

A case study informs the reader about a possible solution and soft-sells the results, which can be achieved with your help (e.g., by using your software or by partnering with your specialist). 

For the above purpose, case studies work like a charm. Per the same report: 

• For 9% of marketers, case studies are also the best method for nurturing leads. 
• 23% admit that case studies are beneficial for improving conversions. 

Moreover, case studies also help improve your brand’s credibility, especially in the current fake news landscape and dubious claims made without proper credit. 

Ultimately, case studies naturally help build up more compelling, relatable stories and showcase your product benefits through the prism of extra social proof, courtesy of the case study subject. 

Most case studies come either as a slide deck or as a downloadable PDF document. 

Typically, you have several options to distribute your case study for maximum reach:

• Case study presentations — in-person, virtual, or pre-recorded, there are many times when a case study presentation comes in handy. For example, during client workshops, sales pitches, networking events, conferences, trade shows, etc. 
• Dedicated website page — highlighting case study examples on your website is a great way to convert middle-on-the-funnel prospects. Google’s Think With Google case study section is a great example of a web case study design done right.

• Blog case studies — data-driven storytelling is a staunch way to stand apart from your competition by providing unique insights, no other brand can tell. 
• Video case studies — video is a great medium for showcasing more complex business cases and celebrating customer success stories.

Once you decide on your case study format, the next step is collecting data and then translating it into a storyline. There are different case study methods and research approaches you can use to procure data. 

But let’s say you already have all your facts straight and need to organize them in a clean copy for your presentation deck. Here’s how you should do it. 

1. Identify the Problem 

Every compelling case study research starts with a problem statement definition. While in business settings, there’s no need to explain your methodology in-depth; you should still open your presentation with a quick problem recap slide.

Be sure to mention: 

• What’s the purpose of the case study? What will the audience learn? 
• Set the scene. Explain the before, aka the problems someone was facing. 
• Advertise the main issues and findings without highlighting specific details.

The above information should nicely fit in several paragraphs or 2-3 case study template slides

2. Explain the Solution 

The bulk of your case study copy and presentation slides should focus on the provided solution(s). This is the time to speak at length about how the subject went from before to the glorious after. 

Here are some writing prompts to help you articulate this better:

• State the subject’s main objective and goals. What outcomes were they after?
• Explain the main solution(s) provided. What was done? Why this, but not that? 
• Mention if they tried any alternatives. Why did those work? Why were you better?

This part may take the longest to write. Don’t rush it and reiterate several times. Sprinkle in some powerful words and catchphrases to make your copy more compelling.

3. Collect Testimonials 

Persuasive case studies feature the voice of customer (VoC) data — first-party testimonials and assessments of how well the solution works. These provide extra social proof and credibility to all the claims you are making. 

So plan and schedule interviews with your subjects to collect their input and testimonials. Also, design your case study interview questions in a way that lets you obtain quantifiable results.

4. Package The Information in a Slide Deck

Once you have a rough first draft, try different business case templates and designs to see how these help structure all the available information. 

As a rule of thumb, try to keep one big idea per slide. If you are talking about a solution, first present the general bullet points. Then give each solution a separate slide where you’ll provide more context and perhaps share some quantifiable results.

For example, if you look at case study presentation examples from AWS like this one about Stripe , you’ll notice that the slide deck has few texts and really focuses on the big picture, while the speaker provides extra context.

Need some extra case study presentation design help? Download our Business Case Study PowerPoint template with 100% editable slides. 

Your spoken presentation (and public speaking skills ) are equally if not more important than the case study copy and slide deck. To make a strong business case, follow these quick techniques. 

Focus on Telling a Great Story

A case study is a story of overcoming a challenge, and achieving something grand. Your delivery should reflect that. Step away from the standard “features => benefits” sales formula. Instead, make your customer the hero of the study. Describe the road they went through and how you’ve helped them succeed. 

The premises of your story can be as simple as:

• Help with overcoming a hurdle
• Gaining major impact
• Reaching a new milestone
• Solving a persisting issue no one else code 

Based on the above, create a clear story arc. Show where your hero started. Then explain what type of journey they went through. Inject some emotions into the mix to make your narrative more relatable and memorable. 

Experiment with Copywriting Formulas 

Copywriting is the art and science of organizing words into compelling and persuasive combinations that help readers retain the right ideas. 

To ensure that the audience retains the right takeaways from your case study presentation, you can try using some of the classic copywriting formulas to structure your delivery. These include:

• AIDCA — short for A ttention, I nterest, D esire, C onviction, and A ction. First, grab the audience’s attention by addressing the major problem. Next, pique their interest with some teaser facts. Spark their desire by showing that you know the right way out. Then, show a conviction that you know how to solve the issue—finally, prompt follow-up action such as contacting you to learn more. 
• PADS — is short for Problem, Agitation, Discredit, or Solution. This is more of a sales approach to case study narration. Again, you start with a problem, agitate about its importance, discredit why other solutions won’t cut it, and then present your option. 
• 4Ps — short for P roblem, P romise, P roof, P roposal. This is a middle-ground option that prioritizes storytelling over hard pitches. Set the scene first with a problem. Then make a promise of how you can solve it. Show proof in the form of numbers, testimonials, and different scenarios. Round it up with a proposal for getting the same outcomes. 

Take an Emotion-Inducing Perspective

The key to building a strong rapport with an audience is showing that you are one of them and fully understand what they are going through. 

One of the ways to build this connection is by speaking from an emotion-inducing perspective. This is best illustrated with an example: 

• A business owner went to the bank
• A business owner came into a bank branch 

In the second case, the wording prompts listeners to paint a mental picture from the perspective of the bank employees — a role you’d like them to relate to. By placing your audience in the right visual perspective, you can make them more receptive to your pitches. 

One common question that arises when creating a case study is determining its length. The length of a case study can vary depending on the complexity of the problem and the level of detail you want to provide. Here are some general guidelines to help you decide how long your case study should be:

• Concise and Informative: A good case study should be concise and to the point. Avoid unnecessary fluff and filler content. Focus on providing valuable information and insights.
• Tailor to Your Audience: Consider your target audience when deciding the length. If you’re presenting to a technical audience, you might include more in-depth technical details. For a non-technical audience, keep it more high-level and accessible.
• Cover Key Points: Ensure that your case study covers the key points effectively. These include the problem statement, the solution, and the outcomes. Provide enough information for the reader to understand the context and the significance of your case.
• Visuals: Visual elements such as charts, graphs, images, and diagrams can help convey information more effectively. Use visuals to supplement your written content and make complex information easier to understand.
• Engagement: Keep your audience engaged. A case study that is too long may lose the reader’s interest. Make sure the content is engaging and holds the reader’s attention throughout.
• Consider the Format: Depending on the format you choose (e.g., written document, presentation, video), the ideal length may vary. For written case studies, aim for a length that can be easily read in one sitting.

In general, a written case study for business purposes often falls in the range of 1,000 to 2,000 words. However, this is not a strict rule, and the length can be shorter or longer based on the factors mentioned above.

Our brain is wired to process images much faster than text. So when you are presenting a case study, always look for an opportunity to tie in some illustrations such as: 

• A product demo/preview
• Processes chart 
• Call-out quotes or numbers
• Custom illustrations or graphics 
• Customer or team headshots 

Use icons to minimize the volume of text. Also, opt for readable fonts that can look good in a smaller size too.

To better understand how to create an effective business case study, let’s explore some examples of successful case studies:

Apple Inc.: Apple’s case study on the launch of the iPhone is a classic example. It covers the problem of a changing mobile phone market, the innovative solution (the iPhone), and the outstanding outcomes, such as market dominance and increased revenue.

Tesla, Inc.: Tesla’s case study on electric vehicles and sustainable transportation is another compelling example. It addresses the problem of environmental concerns and the need for sustainable transportation solutions. The case study highlights Tesla’s electric cars as the solution and showcases the positive impact on reducing carbon emissions.

Amazon.com: Amazon’s case study on customer-centricity is a great illustration of how the company transformed the e-commerce industry. It discusses the problem of customer dissatisfaction with traditional retail, Amazon’s customer-focused approach as the solution, and the remarkable outcomes in terms of customer loyalty and market growth.

Coca-Cola: Coca-Cola’s case study on brand evolution is a valuable example. It outlines the challenge of adapting to changing consumer preferences and demographics. The case study demonstrates how Coca-Cola continually reinvented its brand to stay relevant and succeed in the global market.

Airbnb: Airbnb’s case study on the sharing economy is an intriguing example. It addresses the problem of travelers seeking unique and affordable accommodations. The case study presents Airbnb’s platform as the solution and highlights its impact on the hospitality industry and the sharing economy.

These examples showcase the diversity of case studies in the business world and how they effectively communicate problems, solutions, and outcomes. When creating your own business case study, use these examples as inspiration and tailor your approach to your specific industry and target audience.

Finally, practice your case study presentation several times — solo and together with your team — to collect feedback and make last-minute refinements! 

1. Business Case Study PowerPoint Template

To efficiently create a Business Case Study it’s important to ask all the right questions and document everything necessary, therefore this PowerPoint Template will provide all the sections you need.

Use This Template

2. Medical Case Study PowerPoint Template

3. Medical Infographics PowerPoint Templates

4. Success Story PowerPoint Template

5. Detective Research PowerPoint Template

6. Animated Clinical Study PowerPoint Templates

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What Is a Case Study?

Weighing the pros and cons of this method of research

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

Cara Lustik is a fact-checker and copywriter.

Verywell / Colleen Tighe

• Pros and Cons

What Types of Case Studies Are Out There?

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

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

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

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

At a Glance

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

What Are the Benefits and Limitations of Case Studies?

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

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

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

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

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

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

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

Case Study Examples

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

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

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

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

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

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

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

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

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

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

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

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

Section 1: A Case History

This section will have the following structure and content:

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

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

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

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

Section 2: Treatment Plan

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

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

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

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

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

Need More Tips?

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

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

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

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

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

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

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

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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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Your Step-By-Step Guide To Writing a Case Study

Creating a case study is both an art and a science. It requires making an in-depth exploration of your chosen subject in order to extract meaningful insights and understand the dynamics that more general surveys or statistical research might not uncover. At the same time, your case study also needs to be a compelling read to ensure those insights get attention from other people!

Unsurprisingly, the prospect of crafting an effective case study can be daunting. It calls for strategic planning, careful organization, and clear communication, all of which can be challenging even for experienced researchers. That's why we've created this step-by-step guide, which breaks the process down into manageable steps, demystifying the journey from defining your research question to sharing your findings. Whether you're a seasoned researcher or a first-timer, this guide aims to equip you with the necessary tools and tips to create a case study that's not just informative, but also engaging and impactful.

Are you ready to unlock the potential of case studies? Let's dive in!

What is a case study?

First, it's important to understand what a case study is – and what it isn't.

A case study is a thorough exploration of a specific subject or event over a certain time frame. Case studies are utilized in numerous fields, including sociology, psychology, education, anthropology, business, and the health sciences, and employ various research techniques to shed light on complex issues.

A case study does not provide absolute proof or conclusions that can be universally applied. Because it concentrates on one particular case or just a few cases, the findings might not apply to different contexts or subjects. Case studies also aren't ideal for determining cause-and-effect relationships as they do not use controlled conditions to separate and measure the impacts of different factors. Lastly, it must be said that a case study isn't just a random assortment of facts or observations; it necessitates a clear research question, a methodical approach to data collection and analysis, and a thoughtful interpretation of the results.

Getting started

Now that we've established the definition and purpose of a case study, let's explore the process by which one is created. You can produce a case study by following these nine steps:

1. Define the purpose of your case study

Before you start writing a case study, you need to define its purpose clearly. Ask yourself: What is the research question or problem you aim to solve? What insights are you looking to uncover? Your goals will guide your research design and influence your choice of case. This initial stage of introspection and clarification is crucial as it acts as a roadmap for your study.

2. Select the case to study

Once you've defined your research objective, the next step is to choose a suitable case that can help answer your research question. This might be a unique, critical, or representative instance. Unique cases offer the opportunity to observe and analyze a situation that is unusual or not well-understood. In contrast, a representative or typical case is often chosen because it represents other cases or a broader phenomenon.

In any case, be sure to justify your choice. Explain why the case is of interest and how it can contribute to the knowledge or understanding of the issue at hand. For instance, if you're studying the effects of corporate restructuring on employee morale, you might choose to focus on a company that recently underwent a significant restructure.

3. Conduct a thorough literature review

Performing a literature review involves a careful examination of relevant scholarly articles, books, and other sources related to your research question or problem. In the process, you identify gaps in the current knowledge and determine how your case study can address them. By critically examining existing research, you will not only gain a comprehensive understanding of your chosen topic but also be able to refine your research question or hypothesis, if necessary.

4. Choose a methodological approach

The methodological approach used in your case study will depend on your research objectives and the nature of the case. Methodologies that can be employed in case studies include qualitative, quantitative, and mixed methods .

Qualitative methods are often used when the goal is to explore, understand, or interpret certain phenomena. These involve approaches like interviews, focus groups, or ethnography. Quantitative methods, on the other hand, are used when the goal is to test hypotheses or examine relationships between variables. Quantitative approaches often include experiments. Also, surveys may be either qualitative or quantitative depending on the question design.

You may choose to use a combination of qualitative and quantitative methods (mixed methods) if it suits your research objectives.

5. Collect and organize your data

Data collection should be systematic and organized to maintain the integrity and reliability of your research. You need to plan how you will record and store your data to ensure that it's accessible and usable.

If you're conducting interviews or observations, consider using recording devices (with participant consent) to capture the data accurately. In addition, you may want to transcribe the recorded material for easier analysis. If you're using documents or archival records, develop a system for coding and categorizing the data.

6. Analyze the data

Analysis involves interpreting your data to draw out meaningful insights; it is in this stage that your findings start to take shape. Depending on the nature of your data and your research question, you might use any of a variety of analysis methods. For qualitative data, you might employ thematic analysis to identify key themes or grounded theory to generate a new theoretical framework. For quantitative data, you might use statistical analysis to identify patterns or correlations.

Always be open to unexpected findings. Your initial hypotheses might not be supported, or you might uncover new insights that you hadn't initially considered. Remember that all data, whether they fit neatly into your analysis or not, provide valuable insights and contribute to the holistic understanding of your case.

7. Write the case study report

After analyzing the data, it's finally time to compose your case study. In terms of structure, a typical case study might consist of an introduction, background information, the collected data (results), analysis of that data, and the conclusion. Here's a brief breakdown of each section:

• Introduction: The introduction should be brief but engaging, providing a clear statement of the research question or problem, explaining why the case was chosen, and outlining what the case study will cover.
• Background: The background provides the context for your case. Describe the case, its history, and any relevant information that will help readers understand the situation.
• Results: This section should provide a comprehensive account of what you found, without interpretation or opinion. Present your findings in a clear, organized manner. Use visuals such as charts or graphs if they aid comprehension.
• Analysis: This section should provide your interpretations and arguments. Discuss the patterns, themes, or relationships you've identified in your data. Explain what these findings mean in relation to your research question.
• Conclusion: Finally, summarize the key insights from your case study along with their implications. Discuss the limitations of your study and propose avenues for future research.

8. Review and revise

The process of writing a case study doesn't actually end when the report is written; you also need to review your writing for coherence, clarity, and correctness. Don't underestimate the importance of this step! Make sure the information flows logically and that your arguments are well-supported. Check for any grammar or spelling errors. Having a peer or mentor review your work can be incredibly helpful as they provide a fresh perspective and can catch mistakes you might have missed.

9. Get approval if required

If your case study involves human subjects, you may need to obtain approval from an ethical review board. You'll also need to obtain informed consent from your subjects and ensure you respect their privacy and confidentiality throughout the research process. Always follow your institution's ethical guidelines and any other relevant legislation .

Practical tips for writing a compelling case study

Getting through all those steps can feel like a formidable challenge, but here are some practical tips to make the process more manageable:

Be systematic and organized

Given the importance of detail in case studies, it's vital to be systematic and organized from the get-go. This means keeping meticulous records of your data, your sources, and any changes to your research design. A good practice is to maintain a research journal or log where you can record your process, thoughts, and reflections.

In addition, use technology to your advantage. Digital tools like citation managers can help you keep track of your sources and make formatting references a breeze, while spreadsheet or database software can assist in managing and organizing your data. Developing a consistent system for labeling and storing information at the outset will save you time and effort later when you need to retrieve data for analysis.

Stay focused

One common pitfall in research and writing is loss of focus: getting sidetracked by interesting but ultimately irrelevant digressions, which can be very easy, especially when you're dealing with a rich and complex case. Always remember your research question and objectives, and let these guide your study at every step. It's perfectly acceptable – and in fact advisable – to delineate what your study will not cover. Setting clear boundaries can help you stay focused and manage the scope of your study effectively.

Use visual aids

Visual aids such as charts, diagrams, or photographs can greatly enhance your case study. They provide readers with a break from the monotony of text and can communicate complex data or relationships more easily. For instance, if you're presenting a lot of numerical data, consider using a chart or graph. If you're describing a process or sequence of events, portraying it in a flowchart or timeline might be useful. Remember, the goal is to aid comprehension, so make sure your visual aids are clear, well-labeled, and integrated into the text.

Include direct quotes

If your case study involves interviews, including direct quotes can add depth and a sense of the personal to your findings. They provide readers with a firsthand perspective and make your case study more engaging.

When using quotes, be sure to integrate them smoothly into your text. Provide enough context so readers understand the quote's relevance. Also, remember to adhere to ethical guidelines– always respect confidentiality and anonymity agreements.

Maintain ethical standards

Ethics is a fundamental consideration in all research, including case studies. Ensure you have proper consent from participants, respect their privacy, and accurately present your findings without manipulation.

Misrepresenting data or failing to respect participants' rights can lead to serious ethical violations. Always follow your institution's ethical guidelines and any other relevant legislation. If in doubt, seek advice from a supervisor or your institution's ethics committee.

Acknowledge limitations

Every research study has limitations, which could relate to the research design, data collection methods, or other aspects of the study. Being transparent about the limitations of your study can enhance its credibility; moreover, not only does identifying limitations demonstrate your critical thinking and honesty, but it also helps readers accurately interpret your findings.

Finally, acknowledging the limitations of your work helps to set the stage for further research. By identifying aspects that your study couldn't address, you provide other researchers with avenues for building on your findings.

Learn from examples

Before you start writing your case study, it can be helpful to review some published case studies in your field. Different fields may have different conventions, and familiarizing yourself with case studies in your own field can help guide your writing. Look at the structure, tone, and style. Pay attention to how the authors present and analyze data, and how they link their findings back to the research question. You can also learn a lot from the strengths and weaknesses of previously published works. However, remember to develop your own unique voice and perspective – don't just mimic what others have done.

Design for triangulation

Triangulation involves using multiple data sources or methods to gain a more comprehensive and balanced understanding of your research topic. By coming at your research question from multiple directions, such as by examining different datasets or using different methods, you can increase the validity of your results and gain more nuanced insights.

For example, if you're studying the impact of a new teaching method in a school, you might observe classes, interview teachers, and also survey students. Each method will provide a slightly different perspective, and together, they allow you to develop a more complete picture of the teaching method's impact.

Practice reflexivity

Reflexivity involves reflecting on how your assumptions, values, or experiences might influence your research process and interpretations. As a researcher, it's essential to be aware of your potential biases and how they might shape your study.

Consider keeping a reflexivity journal where you can note your thoughts, feelings, and reflections throughout the research process. This practice can help you stay aware of your biases and ensure your research is as objective and balanced as possible.

Write for your audience

Always make sure that your writing is on target for your intended audience. If you're writing for an academic audience, for example, you'll likely use a more formal tone and include more detailed methodological information. If you're writing for practitioners or a general audience, you might use a more accessible language and focus more on practical implications.

Remember to define any technical terms or jargon, and provide sufficient context so your readers can understand your research. The goal is to communicate your findings effectively, regardless of who your readers are.

Seek feedback

Feedback is valuable for improving your case study. Consider sharing drafts with your peers, mentors, or supervisors and asking for their input. Fresh eyes can provide different perspectives, catch errors, or suggest ways to strengthen your arguments.

Remember, feedback is not personal; it's about improving your work. Be open to critique and willing to revise your work based on the feedback you receive.

Writing a case study is a meticulous process that requires clear purpose, careful planning, systematic data collection, and thoughtful analysis. Although it can be time-consuming, the rich, detailed insights a well-executed case study can provide make this study design an invaluable tool in research.

By following this guide and adopting its practical tips, you will be well on your way to crafting a compelling case study that contributes meaningful insights to your chosen field. Good luck with your research journey!

Header image by Kateryna Hliznitsova .

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Writing a Case Study

What is a case study?

A Case study is: 

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

What are the different types of case studies?

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

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

Who are your case study participants?

What is triangulation ? 

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

How to write a Case Study?

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

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Blog Business How to Present a Case Study like a Pro (With Examples)

How to Present a Case Study like a Pro (With Examples)

Written by: Danesh Ramuthi Sep 07, 2023

Okay, let’s get real: case studies can be kinda snooze-worthy. But guess what? They don’t have to be!

In this article, I will cover every element that transforms a mere report into a compelling case study, from selecting the right metrics to using persuasive narrative techniques.

And if you’re feeling a little lost, don’t worry! There are cool tools like Venngage’s Case Study Creator to help you whip up something awesome, even if you’re short on time. Plus, the pre-designed case study templates are like instant polish because let’s be honest, everyone loves a shortcut.

Click to jump ahead: 

What is a case study presentation?

What is the purpose of presenting a case study, how to structure a case study presentation, how long should a case study presentation be, 5 case study presentation examples with templates, 6 tips for delivering an effective case study presentation, 5 common mistakes to avoid in a case study presentation, how to present a case study faqs.

A case study presentation involves a comprehensive examination of a specific subject, which could range from an individual, group, location, event, organization or phenomenon.

They’re like puzzles you get to solve with the audience, all while making you think outside the box.

Unlike a basic report or whitepaper, the purpose of a case study presentation is to stimulate critical thinking among the viewers. 

The primary objective of a case study is to provide an extensive and profound comprehension of the chosen topic. You don’t just throw numbers at your audience. You use examples and real-life cases to make you think and see things from different angles.

The primary purpose of presenting a case study is to offer a comprehensive, evidence-based argument that informs, persuades and engages your audience.

Here’s the juicy part: presenting that case study can be your secret weapon. Whether you’re pitching a groundbreaking idea to a room full of suits or trying to impress your professor with your A-game, a well-crafted case study can be the magic dust that sprinkles brilliance over your words.

Think of it like digging into a puzzle you can’t quite crack . A case study lets you explore every piece, turn it over and see how it fits together. This close-up look helps you understand the whole picture, not just a blurry snapshot.

It’s also your chance to showcase how you analyze things, step by step, until you reach a conclusion. It’s all about being open and honest about how you got there.

Besides, presenting a case study gives you an opportunity to connect data and real-world scenarios in a compelling narrative. It helps to make your argument more relatable and accessible, increasing its impact on your audience.

One of the contexts where case studies can be very helpful is during the job interview. In some job interviews, you as candidates may be asked to present a case study as part of the selection process.

Having a case study presentation prepared allows the candidate to demonstrate their ability to understand complex issues, formulate strategies and communicate their ideas effectively.

The way you present a case study can make all the difference in how it’s received. A well-structured presentation not only holds the attention of your audience but also ensures that your key points are communicated clearly and effectively.

In this section, let’s go through the key steps that’ll help you structure your case study presentation for maximum impact.

Let’s get into it. 

Open with an introductory overview 

Start by introducing the subject of your case study and its relevance. Explain why this case study is important and who would benefit from the insights gained. This is your opportunity to grab your audience’s attention.

Explain the problem in question

Dive into the problem or challenge that the case study focuses on. Provide enough background information for the audience to understand the issue. If possible, quantify the problem using data or metrics to show the magnitude or severity.

Detail the solutions to solve the problem

After outlining the problem, describe the steps taken to find a solution. This could include the methodology, any experiments or tests performed and the options that were considered. Make sure to elaborate on why the final solution was chosen over the others.

Key stakeholders Involved

Talk about the individuals, groups or organizations that were directly impacted by or involved in the problem and its solution. 

Stakeholders may experience a range of outcomes—some may benefit, while others could face setbacks.

For example, in a business transformation case study, employees could face job relocations or changes in work culture, while shareholders might be looking at potential gains or losses.

Discuss the key results & outcomes

Discuss the results of implementing the solution. Use data and metrics to back up your statements. Did the solution meet its objectives? What impact did it have on the stakeholders? Be honest about any setbacks or areas for improvement as well.

Include visuals to support your analysis

Visual aids can be incredibly effective in helping your audience grasp complex issues. Utilize charts, graphs, images or video clips to supplement your points. Make sure to explain each visual and how it contributes to your overall argument.

Pie charts illustrate the proportion of different components within a whole, useful for visualizing market share, budget allocation or user demographics.

This is particularly useful especially if you’re displaying survey results in your case study presentation.

Stacked charts on the other hand are perfect for visualizing composition and trends. This is great for analyzing things like customer demographics, product breakdowns or budget allocation in your case study.

Consider this example of a stacked bar chart template. It provides a straightforward summary of the top-selling cake flavors across various locations, offering a quick and comprehensive view of the data.

Not the chart you’re looking for? Browse Venngage’s gallery of chart templates to find the perfect one that’ll captivate your audience and level up your data storytelling.

Recommendations and next steps

Wrap up by providing recommendations based on the case study findings. Outline the next steps that stakeholders should take to either expand on the success of the project or address any remaining challenges.

Acknowledgments and references

Thank the people who contributed to the case study and helped in the problem-solving process. Cite any external resources, reports or data sets that contributed to your analysis.

Feedback & Q&A session

Open the floor for questions and feedback from your audience. This allows for further discussion and can provide additional insights that may not have been considered previously.

Closing remarks

Conclude the presentation by summarizing the key points and emphasizing the takeaways. Thank your audience for their time and participation and express your willingness to engage in further discussions or collaborations on the subject.

Well, the length of a case study presentation can vary depending on the complexity of the topic and the needs of your audience. However, a typical business or academic presentation often lasts between 15 to 30 minutes. 

This time frame usually allows for a thorough explanation of the case while maintaining audience engagement. However, always consider leaving a few minutes at the end for a Q&A session to address any questions or clarify points made during the presentation.

When it comes to presenting a compelling case study, having a well-structured template can be a game-changer. 

It helps you organize your thoughts, data and findings in a coherent and visually pleasing manner. 

Not all case studies are created equal and different scenarios require distinct approaches for maximum impact. 

To save you time and effort, I have curated a list of 5 versatile case study presentation templates, each designed for specific needs and audiences. 

Here are some best case study presentation examples that showcase effective strategies for engaging your audience and conveying complex information clearly.

1 . Lab report case study template

Ever feel like your research gets lost in a world of endless numbers and jargon? Lab case studies are your way out!

Think of it as building a bridge between your cool experiment and everyone else. It’s more than just reporting results – it’s explaining the “why” and “how” in a way that grabs attention and makes sense.

This lap report template acts as a blueprint for your report, guiding you through each essential section (introduction, methods, results, etc.) in a logical order.

Want to present your research like a pro? Browse our research presentation template gallery for creative inspiration!

2. Product case study template

It’s time you ditch those boring slideshows and bullet points because I’ve got a better way to win over clients: product case study templates.

Instead of just listing features and benefits, you get to create a clear and concise story that shows potential clients exactly what your product can do for them. It’s like painting a picture they can easily visualize, helping them understand the value your product brings to the table.

Grab the template below, fill in the details, and watch as your product’s impact comes to life!

3. Content marketing case study template

In digital marketing, showcasing your accomplishments is as vital as achieving them. 

A well-crafted case study not only acts as a testament to your successes but can also serve as an instructional tool for others. 

With this coral content marketing case study template—a perfect blend of vibrant design and structured documentation, you can narrate your marketing triumphs effectively.

4. Case study psychology template

Understanding how people tick is one of psychology’s biggest quests and case studies are like magnifying glasses for the mind. They offer in-depth looks at real-life behaviors, emotions and thought processes, revealing fascinating insights into what makes us human.

Writing a top-notch case study, though, can be a challenge. It requires careful organization, clear presentation and meticulous attention to detail. That’s where a good case study psychology template comes in handy.

Think of it as a helpful guide, taking care of formatting and structure while you focus on the juicy content. No more wrestling with layouts or margins – just pour your research magic into crafting a compelling narrative.

5. Lead generation case study template

Lead generation can be a real head-scratcher. But here’s a little help: a lead generation case study.

Think of it like a friendly handshake and a confident resume all rolled into one. It’s your chance to showcase your expertise, share real-world successes and offer valuable insights. Potential clients get to see your track record, understand your approach and decide if you’re the right fit.

No need to start from scratch, though. This lead generation case study template guides you step-by-step through crafting a clear, compelling narrative that highlights your wins and offers actionable tips for others. Fill in the gaps with your specific data and strategies, and voilà! You’ve got a powerful tool to attract new customers.

Related: 15+ Professional Case Study Examples [Design Tips + Templates]

So, you’ve spent hours crafting the perfect case study and are now tasked with presenting it. Crafting the case study is only half the battle; delivering it effectively is equally important. 

Whether you’re facing a room of executives, academics or potential clients, how you present your findings can make a significant difference in how your work is received. 

Forget boring reports and snooze-inducing presentations! Let’s make your case study sing. Here are some key pointers to turn information into an engaging and persuasive performance:

• Know your audience : Tailor your presentation to the knowledge level and interests of your audience. Remember to use language and examples that resonate with them.
• Rehearse : Rehearsing your case study presentation is the key to a smooth delivery and for ensuring that you stay within the allotted time. Practice helps you fine-tune your pacing, hone your speaking skills with good word pronunciations and become comfortable with the material, leading to a more confident, conversational and effective presentation.
• Start strong : Open with a compelling introduction that grabs your audience’s attention. You might want to use an interesting statistic, a provocative question or a brief story that sets the stage for your case study.
• Be clear and concise : Avoid jargon and overly complex sentences. Get to the point quickly and stay focused on your objectives.
• Use visual aids : Incorporate slides with graphics, charts or videos to supplement your verbal presentation. Make sure they are easy to read and understand.
• Tell a story : Use storytelling techniques to make the case study more engaging. A well-told narrative can help you make complex data more relatable and easier to digest.

Ditching the dry reports and slide decks? Venngage’s case study templates let you wow customers with your solutions and gain insights to improve your business plan. Pre-built templates, visual magic and customer captivation – all just a click away. Go tell your story and watch them say “wow!”

Nailed your case study, but want to make your presentation even stronger? Avoid these common mistakes to ensure your audience gets the most out of it:

Overloading with information

A case study is not an encyclopedia. Overloading your presentation with excessive data, text or jargon can make it cumbersome and difficult for the audience to digest the key points. Stick to what’s essential and impactful. Need help making your data clear and impactful? Our data presentation templates can help! Find clear and engaging visuals to showcase your findings.

Lack of structure

Jumping haphazardly between points or topics can confuse your audience. A well-structured presentation, with a logical flow from introduction to conclusion, is crucial for effective communication.

Ignoring the audience

Different audiences have different needs and levels of understanding. Failing to adapt your presentation to your audience can result in a disconnect and a less impactful presentation.

Poor visual elements

While content is king, poor design or lack of visual elements can make your case study dull or hard to follow. Make sure you use high-quality images, graphs and other visual aids to support your narrative.

Not focusing on results

A case study aims to showcase a problem and its solution, but what most people care about are the results. Failing to highlight or adequately explain the outcomes can make your presentation fall flat.

How to start a case study presentation?

Starting a case study presentation effectively involves a few key steps:

• Grab attention : Open with a hook—an intriguing statistic, a provocative question or a compelling visual—to engage your audience from the get-go.
• Set the stage : Briefly introduce the subject, context and relevance of the case study to give your audience an idea of what to expect.
• Outline objectives : Clearly state what the case study aims to achieve. Are you solving a problem, proving a point or showcasing a success?
• Agenda : Give a quick outline of the key sections or topics you’ll cover to help the audience follow along.
• Set expectations : Let your audience know what you want them to take away from the presentation, whether it’s knowledge, inspiration or a call to action.

How to present a case study on PowerPoint and on Google Slides?

Presenting a case study on PowerPoint and Google Slides involves a structured approach for clarity and impact using presentation slides :

• Title slide : Start with a title slide that includes the name of the case study, your name and any relevant institutional affiliations.
• Introduction : Follow with a slide that outlines the problem or situation your case study addresses. Include a hook to engage the audience.
• Objectives : Clearly state the goals of the case study in a dedicated slide.
• Findings : Use charts, graphs and bullet points to present your findings succinctly.
• Analysis : Discuss what the findings mean, drawing on supporting data or secondary research as necessary.
• Conclusion : Summarize key takeaways and results.
• Q&A : End with a slide inviting questions from the audience.

What’s the role of analysis in a case study presentation?

The role of analysis in a case study presentation is to interpret the data and findings, providing context and meaning to them. 

It helps your audience understand the implications of the case study, connects the dots between the problem and the solution and may offer recommendations for future action.

Is it important to include real data and results in the presentation?

Yes, including real data and results in a case study presentation is crucial to show experience,  credibility and impact. Authentic data lends weight to your findings and conclusions, enabling the audience to trust your analysis and take your recommendations more seriously

How do I conclude a case study presentation effectively?

To conclude a case study presentation effectively, summarize the key findings, insights and recommendations in a clear and concise manner. 

End with a strong call-to-action or a thought-provoking question to leave a lasting impression on your audience.

What’s the best way to showcase data in a case study presentation ?

The best way to showcase data in a case study presentation is through visual aids like charts, graphs and infographics which make complex information easily digestible, engaging and creative. 

Don’t just report results, visualize them! This template for example lets you transform your social media case study into a captivating infographic that sparks conversation.

Choose the type of visual that best represents the data you’re showing; for example, use bar charts for comparisons or pie charts for parts of a whole. 

Ensure that the visuals are high-quality and clearly labeled, so the audience can quickly grasp the key points. 

Keep the design consistent and simple, avoiding clutter or overly complex visuals that could distract from the message.

Choose a template that perfectly suits your case study where you can utilize different visual aids for maximum impact. 

Need more inspiration on how to turn numbers into impact with the help of infographics? Our ready-to-use infographic templates take the guesswork out of creating visual impact for your case studies with just a few clicks.

Related: 10+ Case Study Infographic Templates That Convert

Congrats on mastering the art of compelling case study presentations! This guide has equipped you with all the essentials, from structure and nuances to avoiding common pitfalls. You’re ready to impress any audience, whether in the boardroom, the classroom or beyond.

And remember, you’re not alone in this journey. Venngage’s Case Study Creator is your trusty companion, ready to elevate your presentations from ordinary to extraordinary. So, let your confidence shine, leverage your newly acquired skills and prepare to deliver presentations that truly resonate.

Go forth and make a lasting impact!

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All You Wanted to Know About How to Write a Case Study

What do you study in your college? If you are a psychology, sociology, or anthropology student, we bet you might be familiar with what a case study is. This research method is used to study a certain person, group, or situation. In this guide from our dissertation writing service , you will learn how to write a case study professionally, from researching to citing sources properly. Also, we will explore different types of case studies and show you examples — so that you won’t have any other questions left.

What Is a Case Study?

A case study is a subcategory of research design which investigates problems and offers solutions. Case studies can range from academic research studies to corporate promotional tools trying to sell an idea—their scope is quite vast.

What Is the Difference Between a Research Paper and a Case Study?

While research papers turn the reader’s attention to a certain problem, case studies go even further. Case study guidelines require students to pay attention to details, examining issues closely and in-depth using different research methods. For example, case studies may be used to examine court cases if you study Law, or a patient's health history if you study Medicine. Case studies are also used in Marketing, which are thorough, empirically supported analysis of a good or service's performance. Well-designed case studies can be valuable for prospective customers as they can identify and solve the potential customers pain point.

Case studies involve a lot of storytelling – they usually examine particular cases for a person or a group of people. This method of research is very helpful, as it is very practical and can give a lot of hands-on information. Most commonly, the length of the case study is about 500-900 words, which is much less than the length of an average research paper.

The structure of a case study is very similar to storytelling. It has a protagonist or main character, which in your case is actually a problem you are trying to solve. You can use the system of 3 Acts to make it a compelling story. It should have an introduction, rising action, a climax where transformation occurs, falling action, and a solution.

Here is a rough formula for you to use in your case study:

Problem (Act I): > Solution (Act II) > Result (Act III) > Conclusion.

Types of Case Studies

The purpose of a case study is to provide detailed reports on an event, an institution, a place, future customers, or pretty much anything. There are a few common types of case study, but the type depends on the topic. The following are the most common domains where case studies are needed:

• Historical case studies are great to learn from. Historical events have a multitude of source info offering different perspectives. There are always modern parallels where these perspectives can be applied, compared, and thoroughly analyzed.
• Problem-oriented case studies are usually used for solving problems. These are often assigned as theoretical situations where you need to immerse yourself in the situation to examine it. Imagine you’re working for a startup and you’ve just noticed a significant flaw in your product’s design. Before taking it to the senior manager, you want to do a comprehensive study on the issue and provide solutions. On a greater scale, problem-oriented case studies are a vital part of relevant socio-economic discussions.
• Cumulative case studies collect information and offer comparisons. In business, case studies are often used to tell people about the value of a product.
• Critical case studies explore the causes and effects of a certain case.
• Illustrative case studies describe certain events, investigating outcomes and lessons learned.

Need a compelling case study? EssayPro has got you covered. Our experts are ready to provide you with detailed, insightful case studies that capture the essence of real-world scenarios. Elevate your academic work with our professional assistance.

Case Study Format

The case study format is typically made up of eight parts:

• Executive Summary. Explain what you will examine in the case study. Write an overview of the field you’re researching. Make a thesis statement and sum up the results of your observation in a maximum of 2 sentences.
• Background. Provide background information and the most relevant facts. Isolate the issues.
• Case Evaluation. Isolate the sections of the study you want to focus on. In it, explain why something is working or is not working.
• Proposed Solutions. Offer realistic ways to solve what isn’t working or how to improve its current condition. Explain why these solutions work by offering testable evidence.
• Conclusion. Summarize the main points from the case evaluations and proposed solutions. 6. Recommendations. Talk about the strategy that you should choose. Explain why this choice is the most appropriate.
• Implementation. Explain how to put the specific strategies into action.
• References. Provide all the citations.

How to Write a Case Study

Let's discover how to write a case study.

Setting Up the Research

When writing a case study, remember that research should always come first. Reading many different sources and analyzing other points of view will help you come up with more creative solutions. You can also conduct an actual interview to thoroughly investigate the customer story that you'll need for your case study. Including all of the necessary research, writing a case study may take some time. The research process involves doing the following:

• Define your objective. Explain the reason why you’re presenting your subject. Figure out where you will feature your case study; whether it is written, on video, shown as an infographic, streamed as a podcast, etc.
• Determine who will be the right candidate for your case study. Get permission, quotes, and other features that will make your case study effective. Get in touch with your candidate to see if they approve of being part of your work. Study that candidate’s situation and note down what caused it.
• Identify which various consequences could result from the situation. Follow these guidelines on how to start a case study: surf the net to find some general information you might find useful.
• Make a list of credible sources and examine them. Seek out important facts and highlight problems. Always write down your ideas and make sure to brainstorm.
• Focus on several key issues – why they exist, and how they impact your research subject. Think of several unique solutions. Draw from class discussions, readings, and personal experience. When writing a case study, focus on the best solution and explore it in depth. After having all your research in place, writing a case study will be easy. You may first want to check the rubric and criteria of your assignment for the correct case study structure.

Read Also: ' WHAT IS A CREDIBLE SOURCES ?'

Although your instructor might be looking at slightly different criteria, every case study rubric essentially has the same standards. Your professor will want you to exhibit 8 different outcomes:

• Correctly identify the concepts, theories, and practices in the discipline.
• Identify the relevant theories and principles associated with the particular study.
• Evaluate legal and ethical principles and apply them to your decision-making.
• Recognize the global importance and contribution of your case.
• Construct a coherent summary and explanation of the study.
• Demonstrate analytical and critical-thinking skills.
• Explain the interrelationships between the environment and nature.
• Integrate theory and practice of the discipline within the analysis.

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Case Study Outline

Let's look at the structure of an outline based on the issue of the alcoholic addiction of 30 people.

Introduction

• Statement of the issue: Alcoholism is a disease rather than a weakness of character.
• Presentation of the problem: Alcoholism is affecting more than 14 million people in the USA, which makes it the third most common mental illness there.
• Explanation of the terms: In the past, alcoholism was commonly referred to as alcohol dependence or alcohol addiction. Alcoholism is now the more severe stage of this addiction in the disorder spectrum.
• Hypotheses: Drinking in excess can lead to the use of other drugs.
• Importance of your story: How the information you present can help people with their addictions.
• Background of the story: Include an explanation of why you chose this topic.
• Presentation of analysis and data: Describe the criteria for choosing 30 candidates, the structure of the interview, and the outcomes.
• Strong argument 1: ex. X% of candidates dealing with anxiety and depression...
• Strong argument 2: ex. X amount of people started drinking by their mid-teens.
• Strong argument 3: ex. X% of respondents’ parents had issues with alcohol.
• Concluding statement: I have researched if alcoholism is a disease and found out that…
• Recommendations: Ways and actions for preventing alcohol use.

Writing a Case Study Draft

After you’ve done your case study research and written the outline, it’s time to focus on the draft. In a draft, you have to develop and write your case study by using: the data which you collected throughout the research, interviews, and the analysis processes that were undertaken. Follow these rules for the draft:

• Your draft should contain at least 4 sections: an introduction; a body where you should include background information, an explanation of why you decided to do this case study, and a presentation of your main findings; a conclusion where you present data; and references.
• In the introduction, you should set the pace very clearly. You can even raise a question or quote someone you interviewed in the research phase. It must provide adequate background information on the topic. The background may include analyses of previous studies on your topic. Include the aim of your case here as well. Think of it as a thesis statement. The aim must describe the purpose of your work—presenting the issues that you want to tackle. Include background information, such as photos or videos you used when doing the research.
• Describe your unique research process, whether it was through interviews, observations, academic journals, etc. The next point includes providing the results of your research. Tell the audience what you found out. Why is this important, and what could be learned from it? Discuss the real implications of the problem and its significance in the world.
• Include quotes and data (such as findings, percentages, and awards). This will add a personal touch and better credibility to the case you present. Explain what results you find during your interviews in regards to the problem and how it developed. Also, write about solutions which have already been proposed by other people who have already written about this case.
• At the end of your case study, you should offer possible solutions, but don’t worry about solving them yourself.

Use Data to Illustrate Key Points in Your Case Study

Even though your case study is a story, it should be based on evidence. Use as much data as possible to illustrate your point. Without the right data, your case study may appear weak and the readers may not be able to relate to your issue as much as they should. Let's see the examples from essay writing service :

‍ With data: Alcoholism is affecting more than 14 million people in the USA, which makes it the third most common mental illness there. Without data: A lot of people suffer from alcoholism in the United States.

Try to include as many credible sources as possible. You may have terms or sources that could be hard for other cultures to understand. If this is the case, you should include them in the appendix or Notes for the Instructor or Professor.

Finalizing the Draft: Checklist

After you finish drafting your case study, polish it up by answering these ‘ask yourself’ questions and think about how to end your case study:

• Check that you follow the correct case study format, also in regards to text formatting.
• Check that your work is consistent with its referencing and citation style.
• Micro-editing — check for grammar and spelling issues.
• Macro-editing — does ‘the big picture’ come across to the reader? Is there enough raw data, such as real-life examples or personal experiences? Have you made your data collection process completely transparent? Does your analysis provide a clear conclusion, allowing for further research and practice?

Problems to avoid:

• Overgeneralization – Do not go into further research that deviates from the main problem.
• Failure to Document Limitations – Just as you have to clearly state the limitations of a general research study, you must describe the specific limitations inherent in the subject of analysis.
• Failure to Extrapolate All Possible Implications – Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings.

How to Create a Title Page and Cite a Case Study

Let's see how to create an awesome title page.

Your title page depends on the prescribed citation format. The title page should include:

• A title that attracts some attention and describes your study
• The title should have the words “case study” in it
• The title should range between 5-9 words in length
• Your name and contact information
• Your finished paper should be only 500 to 1,500 words in length.With this type of assignment, write effectively and avoid fluff

Here is a template for the APA and MLA format title page:

There are some cases when you need to cite someone else's study in your own one – therefore, you need to master how to cite a case study. A case study is like a research paper when it comes to citations. You can cite it like you cite a book, depending on what style you need.

Citation Example in MLA ‍ Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies. Boston: Harvard Business Publishing, 2008. Print.

Citation Example in APA ‍ Hill, L., Khanna, T., & Stecker, E. A. (2008). HCL Technologies. Boston: Harvard Business Publishing.

Citation Example in Chicago Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies.

Case Study Examples

To give you an idea of a professional case study example, we gathered and linked some below.

Eastman Kodak Case Study

Case Study Example: Audi Trains Mexican Autoworkers in Germany

To conclude, a case study is one of the best methods of getting an overview of what happened to a person, a group, or a situation in practice. It allows you to have an in-depth glance at the real-life problems that businesses, healthcare industry, criminal justice, etc. may face. This insight helps us look at such situations in a different light. This is because we see scenarios that we otherwise would not, without necessarily being there. If you need custom essays , try our research paper writing services .

Get Help Form Qualified Writers

Crafting a case study is not easy. You might want to write one of high quality, but you don’t have the time or expertise. If you’re having trouble with your case study, help with essay request - we'll help. EssayPro writers have read and written countless case studies and are experts in endless disciplines. Request essay writing, editing, or proofreading assistance from our custom case study writing service , and all of your worries will be gone.

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What Is A Case Study?

How to cite a case study in apa, how to write a case study.

Daniel Parker

is a seasoned educational writer focusing on scholarship guidance, research papers, and various forms of academic essays including reflective and narrative essays. His expertise also extends to detailed case studies. A scholar with a background in English Literature and Education, Daniel’s work on EssayPro blog aims to support students in achieving academic excellence and securing scholarships. His hobbies include reading classic literature and participating in academic forums.

is an expert in nursing and healthcare, with a strong background in history, law, and literature. Holding advanced degrees in nursing and public health, his analytical approach and comprehensive knowledge help students navigate complex topics. On EssayPro blog, Adam provides insightful articles on everything from historical analysis to the intricacies of healthcare policies. In his downtime, he enjoys historical documentaries and volunteering at local clinics.

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How to Write a Case Study: A Breakdown of Requirements

It can take months to develop a case study. First, a topic must be chosen. Then the researcher must state his hypothesis, and make certain it lines up with the chosen topic. Then all the research must be completed. The case study can require both quantitative and qualitative research, as well as interviews with subjects. Once that is all done, it is time to write the case study.

Not all case studies are written the same. Depending on the size and topic of the study, it could be hundreds of pages long. Regardless of the size, the case study should have four main sections. These sections are:

1. Introduction

2. Background

3. Presentation of Findings

4. Conclusion

The Introduction

The introduction should set the stage for the case study, and state the thesis for the report. The intro must clearly articulate what the study's intention is, as well as how you plan on explaining and answering the thesis.

Again, remember that a case study is not a formal scientific research report that will only be read by scientists. The case study must be able to be read and understood by the layperson, and should read almost as a story, with a clear narrative.

As the reader reads the introduction, they should fully understand what the study is about, and why it is important. They should have a strong foundation for the background they will learn about in the next section.

The introduction should not be long. You must be able to introduce your topic in one or two paragraphs. Ideally, the introduction is one paragraph of about 3-5 sentences.

The Background

The background should detail what information brought the researcher to pose his hypothesis. It should clearly explain the subject or subjects, as well as their background information. And lastly, the background must give the reader a full understanding of the issue at hand, and what process will be taken with the study. Photos and videos are always helpful when applicable.

When writing the background, the researcher must explain the research methods used, and why. The type of research used will be dependent on the type of case study. The reader should have a clear idea why a particular type of research is good for the field and type of case study.

For example, a case study that is trying to determine what causes PTSD in veterans will heavily use interviews as a research method. Directly interviewing subjects garners invaluable research for the researcher. If possible, reference studies that prove this.

Again, as with the introduction, you do not want to write an extremely long background. It is important you provide the right amount of information, as you do not want to bore your readers with too much information, and you don't want them under-informed.

How much background information should a case study provide? What would happen if the case study had too much background info?

What would happen if the case study had too little background info?

The Presentation of Findings

While a case study might use scientific facts and information, a case study should not read as a scientific research journal or report. It should be easy to read and understand, and should follow the narrative determined in the first step.

The presentation of findings should clearly explain how the topic was researched, and summarize what the results are. Data should be summarized as simply as possible so that it is understandable by people without a scientific background. The researcher should describe what was learned from the interviews, and how the results answered the questions asked in the introduction.

When writing up the report, it is important to set the scene. The writer must clearly lay out all relevant facts and detail the most important points. While this section may be lengthy, you do not want to overwhelm the reader with too much information.

The Conclusion

The final section of the study is the conclusion. The purpose of the study isn't necessarily to solve the problem, only to offer possible solutions. The final summary should be an end to the story.

Remember, the case study is about asking and answering questions. The conclusion should answer the question posed by the researcher, but also leave the reader with questions of his own. The researcher wants the reader to think about the questions posed in the study, and be free to come to their own conclusions as well.

When reading the conclusion, the reader should be able to have the following takeaways:

Was there a solution provided? If so, why was it chosen?

Was the solution supported with solid evidence?

Did the personal experiences and interviews support the solution?

The conclusion should also make any recommendations that are necessary. What needs to be done, and you exactly should do it? In the case of the vets with PTSD, once a cause is determined, who is responsible for making sure the needs of the veterans are met?

English Writing Standards For Case Studies

When writing the case study, it is important to follow standard academic and scientific rules when it comes to spelling and grammar.

Spelling and Grammar

It should go without saying that a thorough spell check should be done. Remember, many case studies will require words or terms that are not in standard online dictionaries, so it is imperative the correct spelling is used. If possible, the first draft of the case study should be reviewed and edited by someone other than yourself.

Case studies are normally written in the past tense, as the report is detailing an event or topic that has since passed. The report should be written using a very logical and clear tone. All case studies are scientific in nature and should be written as such.

The First Draft

You do not sit down and write the case study in one day. It is a long and detailed process, and it must be done carefully and with precision. When you sit down to first start writing, you will want to write in plain English, and detail the what, when and how.

When writing the first draft, note any relevant assumptions. Don't immediately jump to any conclusions; just take notes of any initial thoughts. You are not looking for solutions yet. In the first draft use direct quotes when needed, and be sure to identify and qualify all information used.

If there are any issues you do not understand, the first draft is where it should be identified. Make a note so you return to review later. Using a spreadsheet program like Excel or Google Sheets is very valuable during this stage of the writing process, and can help keep you and your information and data organized.

The Second Draft

To prepare the second draft, you will want to assemble everything you have written thus far. You want to reduce the amount of writing so that the writing is tightly written and cogent. Remember, you want your case study to be interesting to read.

When possible, you should consider adding images, tables, maps, or diagrams to the text to make it more interesting for the reader. If you use any of these, make sure you have permission to use them. You cannot take an image from the Internet and use it without permission.

Once you have completed the second draft, you are not finished! It is imperative you have someone review your work. This could be a coworker, friend, or trusted colleague. You want someone who will give you an honest review of your work, and is willing to give you feedback, whether positive or negative.

Remember, you cannot proofread enough! You do not want to risk all of your hard work and research, and end up with a final case study that has spelling or grammatical errors. One typo could greatly hurt your project and damage your reputation in your field.

All case studies should follow LIT – Logical – Inclusive – Thorough.

The case study obviously must be logical. There can be no guessing or estimating. This means that the report must state what was observed, but cannot include any opinion or assumptions that might come from such an observation.

For example, if a veteran subject arrives at an interview holding an empty liquor bottle and is slurring his words, that observation must be made. However, the researcher cannot make the inference that the subject was intoxicated. The report can only include the facts.

With the Genie case, researchers witnessed Genie hitting herself and practicing self-harm. It could be assumed that she did this when she was angry. However, this wasn't always the case. She would also hit herself when she was afraid, bored or apprehensive. It is essential that researchers not guess or infer.

In order for a report to be inclusive, it must contain ALL data and findings. The researcher cannot pick and choose which data or findings to use in the report.

Using the example above, if a veteran subject arrives for an interview holding an empty liquor bottle and is slurring his words; any and all additional information that can be garnered should be recorded. For instance, what the subject was wearing, what was his demeanor, was he able to speak and communicate, etc.

When observing a man who might be drunk, it can be easy to make assumptions. However, the researcher cannot allow personal biases or beliefs to sway the findings. Any and all relevant facts must be included, regardless of size or perceived importance. Remember, small details might not seem relevant at the time of the interview. But once it is time to catalog the findings, small details might become important.

The last tip is to be thorough. It is important to delve into every observation. The researcher shouldn't just write down what they see and move on. It is essential to detail as much as possible.

For example, when interviewing veteran subjects, there interview responses are not the only information that should be garnered from the interview. The interviewer should use all senses when detailing their subject.

How does the subject appear? Is he clean? How is he dressed?

How does his voice sound? Is he speaking clearly and making cohesive thoughts? Does his voice sound raspy? Does he speak with a whisper, or does he speak too loudly?

Does the subject smell? Is he wearing cologne, or can you smell that he hasn't bathed or washed his clothes? What do his clothes look like? Is he well dressed, or does he wear casual clothes?

What is the background of the subject? What are his current living arrangements? Does he have supportive family and friends? Is he a loner who doesn't have a solid support system? Is the subject working? If so, is he happy with the job? If he is not employed, why is that? What makes the subject unemployable?

Case Studies in Marketing

We have already determined that case studies are very valuable in the business world. This is particularly true in the marketing field, which includes advertising and public relations. While case studies are almost all the same, marketing case studies are usually more dependent on interviews and observations.

Well-Known Marketing Case Studies

DeBeers is a diamond company headquartered in Luxembourg, and based in South Africa. It is well known for its logo, "A diamond is forever", which has been voted the best advertising slogan of the 20 th century.

Many studies have been done about DeBeers, but none are as well known as their marketing case study, and how they positioned themselves to be the most successful and well-known diamond company in the world.

DeBeers developed the idea for a diamond engagement ring. They also invented the "eternity band", which is a ring that has diamonds going all around it, signifying that long is forever.

They also invented the three-stone ring, signifying the past, present and future. De Beers was the first company to attribute their products, diamonds to the idea of love and romance. They originated the idea that an engagement ring should cost two-months salary.

The two-month salary standard is particularly unique, in that it is totally subjective. A ring should mean the same whether the man makes $25,000 a year or $250,000. And yet, the standard sticks due to DeBeers incredible marketing skills.

The De Beers case study is one of the most famous studies when it comes to both advertising and marketing, and is used worldwide as the ultimate example of a successful ongoing marketing campaign.

Planning the Market Research

The most important parts of the marketing case study are:

1. The case study's questions

2. The study's propositions

3. How information and data will be analyzed

4. The logic behind what is being proposed

5. How the findings will be interpreted

The study's questions should be either "how" or "why" questions, and their definitions are the researchers first job. These questions will help determine the study's goals.

Not every case study has a proposition. If you are doing an exploratory study, you will not have propositions. Instead, you will have a stated purpose, which will determine whether your study is successful, or not.

How the information will be analyzed will depend on what the topic is. This would vary depending on whether it was a person, group, or organization. Event and place studies are done differently.

When setting up your research, you will want to follow case study protocol. The protocol should have the following sections:

1. An overview of the case study, including the objectives, topic and issues.

2. Procedures for gathering information and conducting interviews.

3. Questions that will be asked during interviews and data collection.

4. A guide for the final case study report.

When deciding upon which research methods to use, these are the most important:

1. Documents and archival records

2 . Interviews

3. Direct observations (and indirect when possible)

4. Indirect observations, or observations of subjects

5. Physical artifacts and tools

Documents could include almost anything, including letters, memos, newspaper articles, Internet articles, other case studies, or any other document germane to the study.

Developing the Case Study

Developing a marketing case study follows the same steps and procedures as most case studies. It begins with asking a question, "what is missing?"

1. What is the background of the case study? Who requested the study to be done and why? What industry is the study in, and where will the study take place? What marketing needs are you trying to address?

2. What is the problem that needs a solution? What is the situation, and what are the risks? What are you trying to prove?

3. What questions are required to analyze the problem? What questions might the reader of the study have?

4. What tools are required to analyze the problem? Is data analysis necessary? Can the study use just interviews and observations, or will it require additional information?

5. What is your current knowledge about the problem or situation? How much background information do you need to procure? How will you obtain this background info?

6. What other information do you need to know to successfully complete the study?

7. How do you plan to present the report? Will it be a simple written report, or will you add PowerPoint presentations or images or videos? When is the report due? Are you giving yourself enough time to complete the project?

Formulating the Marketing Case Study

1. What is the marketing problem? Most case studies begin with a problem that management or the marketing department is facing. You must fully understand the problem and what caused it. That is when you can start searching for a solution.

However, marketing case studies can be difficult to research. You must turn a marketing problem into a research problem. For example, if the problem is that sales are not growing, you must translate that to a research problem.

What could potential research problems be?

Research problems could be poor performance or poor expectations. You want a research problem because then you can find an answer. Management problems focus on actions, such as whether to advertise more, or change advertising strategies. Research problems focus on finding out how to solve the management problem.

Method of Inquiry

As with the research for most case studies, the scientific method is standard. It allows you to use existing knowledge as a starting point. The scientific method has the following steps:

1. Ask a question – formulate a problem

2. Do background research

3. Formulate a problem

4. Develop/construct a hypothesis

5. Make predictions based on the hypothesis

6. Do experiments to test the hypothesis

7 . Conduct the test/experiment

8 . Analyze and communicate the results

The above terminology is very similar to the research process. The main difference is that the scientific method is objective and the research process is subjective. Quantitative research is based on impartial analysis, and qualitative research is based on personal judgment.

Research Method

After selecting the method of inquiry, it is time to decide on a research method. There are two main research methodologies, experimental research and non-experimental research.

Experimental research allows you to control the variables and to manipulate any of the variables that influence the study.

Non-experimental research allows you to observe, but not intervene. You just observe and then report your findings.

Research Design

The design is the plan for how you will conduct the study, and how you will collect the data. The design is the scientific method you will use to obtain the information you are seeking.

Data Collection

There are many different ways to collect data, with the two most important being interviews and observation.

Interviews are when you ask people questions and get a response. These interviews can be done face-to-face, by telephone, the mail, email, or even the Internet. This category of research techniques is survey research. Interviews can be done in both experimental and non-experimental research.

Observation is watching a person or company's behavior. For example, by observing a persons buying behavior, you could predict how that person will make purchases in the future.

When using interviews or observation, it is required that you record your results. How you record the data will depend on which method you use. As with all case studies, using a research notebook is key, and will be the heart of the study.

Sample Design

When developing your case study, you won't usually examine an entire population; those are done by larger research projects. Your study will use a sample, which is a small representation of the population. When designing your sample, be prepared to answer the following questions:

1. From which type of population should the sample be chosen?

2. What is the process for the selection of the sample?

3. What will be the size of the sample?

There are two ways to select a sample from the general population; probability and non-probability sampling. Probability sampling uses random sampling of everyone in the population. Non-probability sampling uses the judgment of the researcher.

The last step of designing your sample is to determine the sample size. This can depend on cost and accuracy. Larger samples are better and more accurate, but they can also be costly.

Analysis of the Data

In order to use the data, it first must be analyzed. How you analyze the data should be decided upon as early in the process as possible, and will vary depending on the type of info you are collecting, and the form of measurement being used. As stated repeatedly, make sure you keep track of everything in the research notebook.

The Marketing Case Study Report

The final stage of the process is the marketing case study. The final study will include all of the information, as well as detail the process. It will also describe the results, conclusions, and any recommendations. It must have all the information needed so that the reader can understand the case study.

As with all case studies, it must be easy to read. You don't want to use info that is too technical; otherwise you could potentially overwhelm your reader. So make sure it is written in plain English, with scientific and technical terms kept to a minimum.

Using Your Case Study

Once you have your finished case study, you have many opportunities to get that case study in front of potential customers. Here is a list of the ways you can use your case study to help your company's marketing efforts.

1. Have a page on your website that is dedicated to case studies. The page should have a catchy name and list all of the company's case studies, beginning with the most recent. Next to each case study list its goals and results.

2. Put the case study on your home page. This will put your study front and center, and will be immediately visible when customers visit your web page. Make sure the link isn't hidden in an area rarely visited by guests. You can highlight the case study for a few weeks or months, or until you feel your study has received enough looks.

3. Write a blog post about your case study. Obviously you must have a blog for this to be successful. This is a great way to give your case study exposure, and it allows you to write the post directly addressing your audience's needs.

4 . Make a video from your case study. Videos are more popular than ever, and turning a lengthy case study into a brief video is a great way to get your case study in front of people who might not normally read a case study.

5. Use your case study on a landing page. You can pull quotes from the case study and use those on product pages. Again, this format works best when you use market segmentation.

6. Post about your case studies on social media. You can share links on Twitter, Facebook and LinkedIn. Write a little interesting tidbit, enough to capture your client's interest, and then place the link.

7 . Use your case study in your email marketing. This is most effective if your email list is segmented, and you can direct your case study to those most likely to be receptive to it.

8. Use your case studies in your newsletters. This can be especially effective if you use segmentation with your newsletters, so you can gear the case study to those most likely to read and value it.

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Home » Research Findings – Types Examples and Writing Guide

Research Findings – Types Examples and Writing Guide

Table of Contents

Research Findings

Definition:

Research findings refer to the results obtained from a study or investigation conducted through a systematic and scientific approach. These findings are the outcomes of the data analysis, interpretation, and evaluation carried out during the research process.

Types of Research Findings

There are two main types of research findings:

Qualitative Findings

Qualitative research is an exploratory research method used to understand the complexities of human behavior and experiences. Qualitative findings are non-numerical and descriptive data that describe the meaning and interpretation of the data collected. Examples of qualitative findings include quotes from participants, themes that emerge from the data, and descriptions of experiences and phenomena.

Quantitative Findings

Quantitative research is a research method that uses numerical data and statistical analysis to measure and quantify a phenomenon or behavior. Quantitative findings include numerical data such as mean, median, and mode, as well as statistical analyses such as t-tests, ANOVA, and regression analysis. These findings are often presented in tables, graphs, or charts.

Both qualitative and quantitative findings are important in research and can provide different insights into a research question or problem. Combining both types of findings can provide a more comprehensive understanding of a phenomenon and improve the validity and reliability of research results.

Parts of Research Findings

Research findings typically consist of several parts, including:

• Introduction: This section provides an overview of the research topic and the purpose of the study.
• Literature Review: This section summarizes previous research studies and findings that are relevant to the current study.
• Methodology : This section describes the research design, methods, and procedures used in the study, including details on the sample, data collection, and data analysis.
• Results : This section presents the findings of the study, including statistical analyses and data visualizations.
• Discussion : This section interprets the results and explains what they mean in relation to the research question(s) and hypotheses. It may also compare and contrast the current findings with previous research studies and explore any implications or limitations of the study.
• Conclusion : This section provides a summary of the key findings and the main conclusions of the study.
• Recommendations: This section suggests areas for further research and potential applications or implications of the study’s findings.

How to Write Research Findings

Writing research findings requires careful planning and attention to detail. Here are some general steps to follow when writing research findings:

• Organize your findings: Before you begin writing, it’s essential to organize your findings logically. Consider creating an outline or a flowchart that outlines the main points you want to make and how they relate to one another.
• Use clear and concise language : When presenting your findings, be sure to use clear and concise language that is easy to understand. Avoid using jargon or technical terms unless they are necessary to convey your meaning.
• Use visual aids : Visual aids such as tables, charts, and graphs can be helpful in presenting your findings. Be sure to label and title your visual aids clearly, and make sure they are easy to read.
• Use headings and subheadings: Using headings and subheadings can help organize your findings and make them easier to read. Make sure your headings and subheadings are clear and descriptive.
• Interpret your findings : When presenting your findings, it’s important to provide some interpretation of what the results mean. This can include discussing how your findings relate to the existing literature, identifying any limitations of your study, and suggesting areas for future research.
• Be precise and accurate : When presenting your findings, be sure to use precise and accurate language. Avoid making generalizations or overstatements and be careful not to misrepresent your data.
• Edit and revise: Once you have written your research findings, be sure to edit and revise them carefully. Check for grammar and spelling errors, make sure your formatting is consistent, and ensure that your writing is clear and concise.

Research Findings Example

Following is a Research Findings Example sample for students:

Title: The Effects of Exercise on Mental Health

Sample : 500 participants, both men and women, between the ages of 18-45.

Methodology : Participants were divided into two groups. The first group engaged in 30 minutes of moderate intensity exercise five times a week for eight weeks. The second group did not exercise during the study period. Participants in both groups completed a questionnaire that assessed their mental health before and after the study period.

Findings : The group that engaged in regular exercise reported a significant improvement in mental health compared to the control group. Specifically, they reported lower levels of anxiety and depression, improved mood, and increased self-esteem.

Conclusion : Regular exercise can have a positive impact on mental health and may be an effective intervention for individuals experiencing symptoms of anxiety or depression.

Applications of Research Findings

Research findings can be applied in various fields to improve processes, products, services, and outcomes. Here are some examples:

• Healthcare : Research findings in medicine and healthcare can be applied to improve patient outcomes, reduce morbidity and mortality rates, and develop new treatments for various diseases.
• Education : Research findings in education can be used to develop effective teaching methods, improve learning outcomes, and design new educational programs.
• Technology : Research findings in technology can be applied to develop new products, improve existing products, and enhance user experiences.
• Business : Research findings in business can be applied to develop new strategies, improve operations, and increase profitability.
• Public Policy: Research findings can be used to inform public policy decisions on issues such as environmental protection, social welfare, and economic development.
• Social Sciences: Research findings in social sciences can be used to improve understanding of human behavior and social phenomena, inform public policy decisions, and develop interventions to address social issues.
• Agriculture: Research findings in agriculture can be applied to improve crop yields, develop new farming techniques, and enhance food security.
• Sports : Research findings in sports can be applied to improve athlete performance, reduce injuries, and develop new training programs.

When to use Research Findings

Research findings can be used in a variety of situations, depending on the context and the purpose. Here are some examples of when research findings may be useful:

• Decision-making : Research findings can be used to inform decisions in various fields, such as business, education, healthcare, and public policy. For example, a business may use market research findings to make decisions about new product development or marketing strategies.
• Problem-solving : Research findings can be used to solve problems or challenges in various fields, such as healthcare, engineering, and social sciences. For example, medical researchers may use findings from clinical trials to develop new treatments for diseases.
• Policy development : Research findings can be used to inform the development of policies in various fields, such as environmental protection, social welfare, and economic development. For example, policymakers may use research findings to develop policies aimed at reducing greenhouse gas emissions.
• Program evaluation: Research findings can be used to evaluate the effectiveness of programs or interventions in various fields, such as education, healthcare, and social services. For example, educational researchers may use findings from evaluations of educational programs to improve teaching and learning outcomes.
• Innovation: Research findings can be used to inspire or guide innovation in various fields, such as technology and engineering. For example, engineers may use research findings on materials science to develop new and innovative products.

Purpose of Research Findings

The purpose of research findings is to contribute to the knowledge and understanding of a particular topic or issue. Research findings are the result of a systematic and rigorous investigation of a research question or hypothesis, using appropriate research methods and techniques.

The main purposes of research findings are:

• To generate new knowledge : Research findings contribute to the body of knowledge on a particular topic, by adding new information, insights, and understanding to the existing knowledge base.
• To test hypotheses or theories : Research findings can be used to test hypotheses or theories that have been proposed in a particular field or discipline. This helps to determine the validity and reliability of the hypotheses or theories, and to refine or develop new ones.
• To inform practice: Research findings can be used to inform practice in various fields, such as healthcare, education, and business. By identifying best practices and evidence-based interventions, research findings can help practitioners to make informed decisions and improve outcomes.
• To identify gaps in knowledge: Research findings can help to identify gaps in knowledge and understanding of a particular topic, which can then be addressed by further research.
• To contribute to policy development: Research findings can be used to inform policy development in various fields, such as environmental protection, social welfare, and economic development. By providing evidence-based recommendations, research findings can help policymakers to develop effective policies that address societal challenges.

Characteristics of Research Findings

Research findings have several key characteristics that distinguish them from other types of information or knowledge. Here are some of the main characteristics of research findings:

• Objective : Research findings are based on a systematic and rigorous investigation of a research question or hypothesis, using appropriate research methods and techniques. As such, they are generally considered to be more objective and reliable than other types of information.
• Empirical : Research findings are based on empirical evidence, which means that they are derived from observations or measurements of the real world. This gives them a high degree of credibility and validity.
• Generalizable : Research findings are often intended to be generalizable to a larger population or context beyond the specific study. This means that the findings can be applied to other situations or populations with similar characteristics.
• Transparent : Research findings are typically reported in a transparent manner, with a clear description of the research methods and data analysis techniques used. This allows others to assess the credibility and reliability of the findings.
• Peer-reviewed: Research findings are often subject to a rigorous peer-review process, in which experts in the field review the research methods, data analysis, and conclusions of the study. This helps to ensure the validity and reliability of the findings.
• Reproducible : Research findings are often designed to be reproducible, meaning that other researchers can replicate the study using the same methods and obtain similar results. This helps to ensure the validity and reliability of the findings.

Advantages of Research Findings

Research findings have many advantages, which make them valuable sources of knowledge and information. Here are some of the main advantages of research findings:

• Evidence-based: Research findings are based on empirical evidence, which means that they are grounded in data and observations from the real world. This makes them a reliable and credible source of information.
• Inform decision-making: Research findings can be used to inform decision-making in various fields, such as healthcare, education, and business. By identifying best practices and evidence-based interventions, research findings can help practitioners and policymakers to make informed decisions and improve outcomes.
• Identify gaps in knowledge: Research findings can help to identify gaps in knowledge and understanding of a particular topic, which can then be addressed by further research. This contributes to the ongoing development of knowledge in various fields.
• Improve outcomes : Research findings can be used to develop and implement evidence-based practices and interventions, which have been shown to improve outcomes in various fields, such as healthcare, education, and social services.
• Foster innovation: Research findings can inspire or guide innovation in various fields, such as technology and engineering. By providing new information and understanding of a particular topic, research findings can stimulate new ideas and approaches to problem-solving.
• Enhance credibility: Research findings are generally considered to be more credible and reliable than other types of information, as they are based on rigorous research methods and are subject to peer-review processes.

Limitations of Research Findings

While research findings have many advantages, they also have some limitations. Here are some of the main limitations of research findings:

• Limited scope: Research findings are typically based on a particular study or set of studies, which may have a limited scope or focus. This means that they may not be applicable to other contexts or populations.
• Potential for bias : Research findings can be influenced by various sources of bias, such as researcher bias, selection bias, or measurement bias. This can affect the validity and reliability of the findings.
• Ethical considerations: Research findings can raise ethical considerations, particularly in studies involving human subjects. Researchers must ensure that their studies are conducted in an ethical and responsible manner, with appropriate measures to protect the welfare and privacy of participants.
• Time and resource constraints : Research studies can be time-consuming and require significant resources, which can limit the number and scope of studies that are conducted. This can lead to gaps in knowledge or a lack of research on certain topics.
• Complexity: Some research findings can be complex and difficult to interpret, particularly in fields such as science or medicine. This can make it challenging for practitioners and policymakers to apply the findings to their work.
• Lack of generalizability : While research findings are intended to be generalizable to larger populations or contexts, there may be factors that limit their generalizability. For example, cultural or environmental factors may influence how a particular intervention or treatment works in different populations or contexts.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• Library Catalogue

Finding case studies

On this page, introduction, finding cases, sample cases, developing and analysing cases.

"Case studies" can mean examples from organizations provided simply to illustrate a point or descriptions of organizational situations designed to be interpreted and analyzed by a learner. The resources below provide a mix of all types of case studies.

This guide also includes some resources that will be of more use to students (e.g., the tips on finding case studies in databases) and other resources that instructors will find useful (e.g., the links to case clearinghouses).

If you don't find what you need here, don't hesitate to ask for help .

  New!  We've recently added another 600+ new cases to our Sage Business Cases resource! 

Try searching the SFU Library catalogue  and include ( case study OR case studies OR cases ) as part of your search. Check out these sample searches:

("case study" OR "case studies" OR cases) AND "organizational behavior"

("case study" OR "case studies" OR cases) AND "strategic management"

("case study" OR "case studies" OR cases) AND "project management"

Also try an Advanced Search  in which you look for case studies in the Subject field, combined with your specific need (entrepreneurship? strategy?) as a Keyword. Add case* in the Title field as well to increase your chance of getting books that contain large numbers of cases. You can also start by  searching for books that have cases in the title AND " case studies" in the subject .

In the SFU Library catalogue, try searching for theses & graduating projects by SFU Business students. Such publications often involve specific case studies. Try searching the catalogue  again, but this time combine the word theses (plural) with your topic. See these sample searches for example theses AND "electronic commerce"  // theses AND "electronic arts" .  Also, try Dissertations and Theses Abstracts and Index  for theses completed elsewhere. See our guide to Finding University Theses and Projects from Simon Fraser and Other Universities for more suggestions.

• In Business Source Complete enter your search terms, then either check off the Document Type Case study or include the Subject Case studies as part of your search.
• CBCA Fulltext Business offers similar ways of finding case studies: either choose the Document Type (click on More Search Options) Case study or include the Subject Case studies as part of your search.
• See the Sample cases area below for some specific journals focusing on business cases.

Websites & databases

Most cases sold by places such as Harvard or the Richard Ivey School of Business are not available via the library. You usually need to pay for the cases if you are not a faculty member, or if you are a faculty member and you want to assign cases in your class. If you are a student and a case has been assigned as a reading in your class, double check with your instructor to see if the case might have been pre-purchased for all members of your class.

Sage Business Cases A global and diverse collection of case studies designed to help students see theoretical business concepts put into practice. This collection is available to all SFU students, instructors, and alumni. See this blog post for further details.

Harvard Business School Cases Harvard's cases are available for direct purchase from the HBR Store .  Qualified and registered instructors  can access Harvard's Educator site to preview cases and access Teaching Notes and other supporting materials. Also see below for a discussion on how to find a small number of HBS cases in the Harvard Business Review.

The Case Centre (formerly the European Case Clearing House) "[T]he largest single source . . . of management case studies in the world. We hold and distribute all cases produced by the world's best-known management teaching establishments, as well as case studies in many languages produced by individual authors from almost every corner of the globe." Search for a case, then click on the link for an "inspection copy" (if available) and follow the links to register as a faculty member.

Richard Ivey School of Business - Cases Faculty can register to preview cases. Note that we have several books in the Ivey Casebook Series .

Cases online via the Harvard Business Review 

Try searching for Harvard Business Review in the Publication Name field in Business Source Complete, then checking the box to limit your search to the Document Type " case study."  Add in other terms to focus your search. 

Note that only a very small subset of all Harvard Business School (HBS) cases are published in the HBR.  The majority of Harvard's business cases are sold only to individuals and classes, not to libraries for use by the entire institution.

Journals that feature case studies

• Journal of Information Technology Teaching Cases : provides "suitable, contemporary case materials for teaching topics in the organisation and management of information systems and on the social consequences of information technology." Note that this is a spin-off journal from the Journal of Information Technology which used to publish such cases. 
• International Journal of Case Studies in Management : Cases from 2003-2012 available via our CBCA database.
• International Journal of Management Cases : The IJMC is the official journal of the CIRCLE Research Centre. CIRCLE (Centre for International Research Consumers, Locations and their Environments) is a virtual research group in over 70 universities.
• Allied Academies International Conference: Proceedings of the International Academy for Case Studies (IACS)
• Journal of the International Academy for Case Studies : Presents classroom teaching cases, with instructor's notes, on any subject which might be taught in a Business School.
• Business Case Journal , Journal of Critical Incidents , and Journal of Case Studies : All from the Society for Case Research
• Asian Case Research Journal : Cases on Asian companies & MNCs operating in Asia-Pacific. No access to the most recent 12 months.
• Journal of Case Research in Business & Economics

Other online sources for cases

• CaseBase & CaseBase2: Case Studies in Global Business : Covers business case studies focused on issues in emerging markets and emerging industries across the globe.
• Business Ethics Case Studies : A few cases from Business Ethics Canada - St. Mary's University
• The Case Centre (formerly the European Case Clearinghouse) offers a selection of free cases .
• Business Gateway : Case studies from Scotland on starting and running a small business.
• The Times 100 : Free business case studies on real life companies. 
• Acadia Institute of Case Studies (Acadia University): Most studies are focused on small business and entrepreneurship and include teaching notes. Some of them even include short videos. Permission is granted for educational use. Note that the AICS site appears to be currently inaccessible, so we've linked to the Web Archive version of their site as of late 2019.
• Company-specific case studies: Intended as examples of how customers have used or could use their products: IBM , Intel , and LANSA .
• Advertising Educational Foundation: Case histories : "Case histories give you an inside look at the steps advertising agencies and advertisers take to create a campaign and how effective it can be. Case histories show the preceding issue/problem, the response and the outcome. Creative is included."
• MarketLine cases in Business Source : Mostly strategic analysis cases featuring large, global companies.
• Open Case Studies : An interdisciplinary collection of cases from UBC that are licensed to allow others to revise and reuse them. Very few of the cases are explicitly categorized as "business," but many of the cases on topics such as Conservation may be useful in a business context.

  An example of case analysis that might give you a sense of what's expected/possible: 

In 1989, the journal Interfaces published an HBS case and asked its readers to submit their analyses. Those analyses were then compiled into two subsequent articles, providing a useful example of the many ways business issues could be viewed and resolved.

Initial case : Porteus, E. L. (1989). The Case Analysis Section: National Cranberry Cooperative . Interfaces, 19 (6), 29–39. https://doi-org.proxy.lib.sfu.ca/10.1287/inte.19.6.29 (Note: this case has been revised multiple times. If it is assigned in your class, make sure you are using the most current revision, mostly likely only available via HBS.)

Analyses:  #1: Porteus, E. L. (1993). Case Analysis: Analyses of the National Cranberry Cooperative -- 1. Tactical Options . Interfaces, 23 (4), 21–39. https://doi-org.proxy.lib.sfu.ca/10.1287/inte.23.4.21

#2: Porteus, E. L. (1993). Case Analysis: Analyses of the National Cranberry Cooperative -- 2. Environmental Changes and Implementation . Interfaces, 23 (6), 81–92. https://doi-org.proxy.lib.sfu.ca/10.1287/inte.23.6.81

• Rotterdam School of Management: CDC Case Writing Training Material Valuable advice to aspiring case writers via a 4-part series in our Sage Business Cases database.
• Why teach with cases? : reflections on philosophy and practice (2022 ebook)
• The ultimate guide to compact cases : case research, writing, and teaching   (2022 ebook)
• Writing, Teaching, and Using Cases : A January 2014 presentation by Leyland Pitt and Michael Parent (both of SFU). Michael and Leyland led a full-day workshop with a focus on case teaching.
• The case writing workbook : a guide for faculty and students : "Designed as an individualized workshop to assist case authors to structure their writing..."
• Guide for Contributors: Tips for Writing Cases : From the publishers of our SAGE Business Cases (SBC) database. Also see the SBC's  Author Guidelines .
• Learning Effectively with Case Studies: A Conversation between a Professor and a Former MBA Student
• The case study companion : teaching, learning and writing business case studies : All angles in one recent (2021) ebook!
• The Case Writer's Toolkit :  "... to help writers visualise concepts, signpost ideas, break down complex information and apply techniques in a practical manner."
• A Brief Guide to Case Teaching : A free guide from The Case Centre
• Teaching with Cases : A Practical Guide : "... focuses on practical advice for instructors that can be easily implemented. It covers how to plan a course, how to teach it, and how to evaluate it."
• Teaching & Authoring Tools : Part of the Ivey Cases site, this page offers documents and videos to help you create your own cases, as well as lists of additional resources.
• Application of a Case Study Methodology by Winston Tellis: (The Qualitative Report, Volume 3, Number 3, September, 1997). This academic article covers the social science methodologies involved in designing, conducting and analysing a case study. It also features a detailed bibliography.
• The Art and Craft of Case Writing (3rd ed. 2012): "[A] practical, comprehensive, and multidisciplinary guide that blends an informal, workshop-style with solid theory and practice." Includes a section on video, multimedia, and Internet cases.
• Basics of Developing Case Studies : Part of the Free Management Library , this site has some basic information on how to develop a case study, as well as links to some sample cases.
• A Guide to Case Analysis : Focus is on how to analyse company cases when learning strategic management techniques. (Depending on your browser settings, you may need to right click this link and open it in a new tab or download it.)
• Case Studies: Overview  (from Cengage): Covers both analysing and writing a case study from the perspective of a business student. From the same publisher: A student's guide to analysing case studies .
• Case Analysis Guide : Developed by a publisher to support students using a Strategic Management text, but applicable in many other situations.
• Short videos on how to approach a case study by the author of the Case Study Handbook: A Student's Guide
• Videos: What is the Case Method? : from The Case Centre

Also, try the subject heading " Case method " in the SFU Library catalogue for books on using the case method in your classes. Suggested sample case method books:

• Encyclopedia of case study research ( print )
• Case study research: design and methods (4th edition, 2009; print )
• Case study research: principles and practices ( online or  print )
• Case writing for executive education: a survival guide ( print )

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Case Study: Hate Speech

Strategies for combatting hate speech and promoting social cohesion.

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Recent studies indicate that hate speech, disinformation, and misinformation fuel violence during elections and transitions, exacerbate ethnic and religious tensions, and are tools for persecuting minorities and promoting gender-based violence. This case study explores the effectiveness of integrating human rights approaches with conflict prevention strategies to combat hate speech and disinformation, through a review of 12 projects that reveal critical issues such as electoral violence, youth vulnerability and inclusion, ethnic, religious, and political discrimination, and gender-based hate speech.

This case study is an excerpt from a larger 2024 Peacebuilding Fund (PBF) Thematic Review examining synergies between human rights and peacebuilding. It examined a select sample of PBF programming – 92 projects implemented in 45 countries and territories – that were supported between 2017 and 2022, with a view to collecting best practices and lessons learned, and contributing to better understanding of how human rights and peacebuilding tools and strategies may complement each other in advancing peace and preventing conflict. This case study appears on pages 47 to 58 of the full report. Access the hate speech case study infographic here .

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2024 PBF Thematic Review: Synergies between Human Rights and Peacebuilding in PBF-supported Programming

31 May 2024

Case Study: Colombia

Case Study: The Democratic Republic of the Congo

Cybersecurity Threats, Vulnerabilities and Resilience Among Women Human Rights Defenders and Civil Society in South-East Asia

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The use of evidence to guide decision-making during the COVID-19 pandemic: divergent perspectives from a qualitative case study in British Columbia, Canada

• Laura Jane Brubacher   ORCID: orcid.org/0000-0003-2806-9539 1 , 2 ,
• Chris Y. Lovato 1 ,
• Veena Sriram 1 , 3 ,
• Michael Cheng 1 &
• Peter Berman 1  

Health Research Policy and Systems volume  22 , Article number:  66 ( 2024 ) Cite this article

Metrics details

The challenges of evidence-informed decision-making in a public health emergency have never been so notable as during the COVID-19 pandemic. Questions about the decision-making process, including what forms of evidence were used, and how evidence informed—or did not inform—policy have been debated.

We examined decision-makers' observations on evidence-use in early COVID-19 policy-making in British Columbia (BC), Canada through a qualitative case study. From July 2021- January 2022, we conducted 18 semi-structured key informant interviews with BC elected officials, provincial and regional-level health officials, and civil society actors involved in the public health response. The questions focused on: (1) the use of evidence in policy-making; (2) the interface between researchers and policy-makers; and (3) key challenges perceived by respondents as barriers to applying evidence to COVID-19 policy decisions. Data were analyzed thematically, using a constant comparative method. Framework analysis was also employed to generate analytic insights across stakeholder perspectives.

Overall, while many actors’ impressions were that BC's early COVID-19 policy response was evidence-informed, an overarching theme was a lack of clarity and uncertainty as to what evidence was used and how it flowed into decision-making processes. Perspectives diverged on the relationship between 'government' and public health expertise, and whether or not public health actors had an independent voice in articulating evidence to inform pandemic governance. Respondents perceived a lack of coordination and continuity across data sources, and a lack of explicit guidelines on evidence-use in the decision-making process, which resulted in a sense of fragmentation. The tension between the processes involved in research and the need for rapid decision-making was perceived as a barrier to using evidence to inform policy.

Conclusions

Areas to be considered in planning for future emergencies include: information flow between policy-makers and researchers, coordination of data collection and use, and transparency as to how decisions are made—all of which reflect a need to improve communication. Based on our findings, clear mechanisms and processes for channeling varied forms of evidence into decision-making need to be identified, and doing so will strengthen preparedness for future public health crises.

Peer Review reports

The challenges of evidence-informed decision-making Footnote 1 in a public health emergency have never been so salient as during the COVID-19 pandemic, given its unprecedented scale, rapidly evolving virology, and multitude of global information systems to gather, synthesize, and disseminate evidence on the SARS-CoV-2 virus and associated public health and social measures [ 1 , 2 , 3 ]. Early in the COVID-19 pandemic, rapid decision-making became central for governments globally as they grappled with crucial decisions for which there was limited evidence. Critical questions exist, in looking retrospectively at these decision-making processes and with an eye to strengthening future preparedness: Were decisions informed by 'evidence'? What forms of evidence were used, and how, by decision-makers? [ 4 , 5 , 6 ].

Scientific evidence, including primary research, epidemiologic research, and knowledge synthesis, is one among multiple competing influences that inform decision-making processes in an outbreak such as COVID-19 [ 7 ]. Indeed, the use of multiple forms of evidence has been particularly notable as it applies to COVID-19 policy-making. Emerging research has also documented the important influence of ‘non-scientific’ evidence such as specialized expertise and experience, contextual information, and level of available resources [ 8 , 9 , 10 ]. The COVID-19 pandemic has underscored the politics of evidence-use in policy-making [ 11 ]; what evidence is used and how can be unclear, and shaped by political bias [ 4 , 5 ]. Moreover, while many governments have established scientific advisory boards, the perspectives of these advisors were reportedly largely absent from COVID-19 policy processes [ 6 ]. How evidence and public health policy interface—and intersect—is a complex question, particularly in the dynamic context of a public health emergency.

Within Canada, a hallmark of the public health system and endorsed by government is evidence-informed decision-making [ 12 ]. In British Columbia (BC), Canada, during the early phases of COVID-19 (March—June 2020), provincial public health communication focused primarily on voluntary compliance with recommended public health and social measures, and on supporting those most affected by the pandemic. Later, the response shifted from voluntary compliance to mandatory enforceable government orders [ 13 ]. Like many other jurisdictions, the government’s public messaging in BC asserted that the province took an approach to managing the COVID-19 pandemic and developing related policy that was based on scientific evidence, specifically. For example, in March 2021, in announcing changes to vaccination plans, Dr. Bonnie Henry, the Provincial Health Officer, stated, " This is science in action " [ 14 ]. As a public health expert with scientific voice, the Provincial Health Officer has been empowered to speak on behalf of the BC government across the COVID-19 pandemic progression. While this suggests BC is a jurisdiction which has institutionalized scientifically-informed decision-making as a core tenet of effective public health crisis response, it remains unclear as to whether BC’s COVID-19 response could, in fact, be considered evidence-informed—particularly from the perspectives of those involved in pandemic decision-making and action. Moreover, if evidence-informed, what types of evidence were utilized and through what mechanisms, how did this evidence shape decision-making, and what challenges existed in moving evidence to policy and praxis in BC’s COVID-19 response?

The objectives of this study were: (1) to explore and characterize the perspectives of BC actors involved in the COVID-19 response with respect to evidence-use in COVID-19 decision-making; and (2) to identify opportunities for and barriers to evidence-informed decision-making in BC’s COVID-19 response, and more broadly. This inquiry may contribute to identifying opportunities for further strengthening the synthesis and application of evidence (considered broadly) to public health policy and decision-making, particularly in the context of future public health emergencies, both in British Columbia and other jurisdictions.

Study context

This qualitative study was conducted in the province of British Columbia (BC), Canada, a jurisdiction with a population of approximately five million people [ 15 ]. Within BC’s health sector, key actors involved in the policy response to COVID-19 included: elected officials, the BC Government’s Ministry of Health (MOH), the Provincial Health Services Authority (PHSA), Footnote 2 the Office of the Provincial Health Officer (PHO), Footnote 3 the BC Centre for Disease Control (BCCDC), Footnote 4 and Medical Health Officers (MHOs) and Chief MHOs at regional and local levels.

Health research infrastructure within the province includes Michael Smith Health Research BC [ 16 ] and multiple post-secondary research and education institutions (e.g., The University of British Columbia). Unlike other provincial (e.g., Ontario) and international (e.g., UK) jurisdictions, BC did not establish an independent, formal scientific advisory panel or separate organizational structure for public health intelligence in COVID-19. That said, a Strategic Research Advisory Council was established, reporting to the MOH and PHO, to identify COVID-19 research gaps and commission needed research for use within the COVID-19 response [ 17 ].

This research was part of a multidisciplinary UBC case study investigating the upstream determinants of the COVID-19 response in British Columbia, particularly related to institutions, politics, and organizations and how these interfaced with, and affected, pandemic governance [ 18 ]. Ethics approval for this study was provided by the University of British Columbia (UBC)’s Institutional Research Ethics Board (Certificate #: H20-02136).

Data collection

From July 2021 to January 2022, 18 semi-structured key informant interviews were conducted with BC elected officials, provincial and regional-level health officials, and civil society actors (e.g., within non-profit research organizations, unions) (Table 1 ). Initially, respondents were purposively sampled, based on their involvement in the COVID-19 response and their positioning within the health system organizational structure. Snowball sampling was used to identify additional respondents, with the intent of representing a range of organizational roles and actor perspectives. Participants were recruited via email invitation and provided written informed consent to participate.

Interviews were conducted virtually using Zoom® videoconferencing, with the exception of one hybrid in-person/Zoom® interview. Each interview was approximately one hour in duration. One to two research team members led each interview. The full interview protocol focused on actors’ descriptions of decision-making processes across the COVID-19 pandemic progression, from January 2020 to the date of the interviews, and they were asked to identify key decision points (e.g., emergency declaration, business closures) [see Additional File 1 for the full semi-structured interview guide]. For this study, we used a subset of interview questions focused on evidence-use in the decision-making process, and the organizational structures or actors involved, in BC's early COVID-19 pandemic response (March–August 2020). Questions were adapted to be relevant to a respondent’s expertise and particular involvement in the response. ‘Evidence’ was left undefined and considered broadly by the research team (i.e., both ‘scientific’/research-based and ‘non-scientific’ inputs) within interview questions, and therefore at the discretion of the participant as to what inputs they perceived and described as ‘evidence’ that informed or did not inform pandemic decision-making. Interviews were audio-recorded over Zoom® with permission and transcribed using NVivo Release 1.5© software. Each transcript was then manually verified for accuracy by 1–2 members of the research team.

Data analysis

An inductive thematic analysis was conducted, using a constant comparative method, to explore points of divergence and convergence across interviews and stakeholder perspectives [ 19 ]. Transcripts were inductively coded in NVivo Release 1.5© software, which was used to further organize and consolidate codes, generate a parsimonious codebook to fit the data, and retrieve interview excerpts [ 20 ]. Framework analysis was also employed as an additional method for generating analytic insights across stakeholder perspectives and contributed to refining the overall coding [ 21 ]. Triangulation across respondents and analytic methods, as well as team collaboration in reviewing and refining the codebook, contributed to validity of the analysis [ 22 ].

How did evidence inform early COVID-19 policy-making in BC?

Decision-makers described their perceptions on the use of evidence in policy-making; the interface between researchers and policy-makers; and specific barriers to evidence-use in policy-making within BC’s COVID-19 response. In discussing the use of evidence, respondents focused on ‘scientific’ evidence; however, they noted a lack of clarity as to how and what evidence flowed into decision-making. They also acknowledged that ‘scientific’ evidence was one of multiple factors influencing decisions. The themes described below reflect the narrative underlying their perspectives.

Perceptions of evidence-use

Multiple provincial actors generally expressed confidence or had an overall impression that decisions were evidence-based (IDI5,9), stating definitively that, "I don’t think there was a decision we made that wasn’t evidence-informed" (IDI9) and that "the science became a driver of decisions that were made" (IDI5). However, at the regional health authority level, one actor voiced skepticism that policy decisions were consistently informed by scientific evidence specifically, stating, "a lot of decisions [the PHO] made were in contrast to science and then shifted to be by the science" ( IDI6). The evolving nature of the available evidence and scientific understanding of the virus throughout the pandemic was acknowledged. For instance, one actor stated that, "I’ll say the response has been driven by the science; the science has been changing…from what I’ve seen, [it] has been a very science-based response" (IDI3).

Some actors narrowed in on certain policy decisions they believed were or were not evidence-informed. Policy decisions in 2020 that actors believed were directly informed by scientific data included the early decision to restrict informal, household gatherings; to keep schools open for in-person learning; to implement a business safety plan requirement across the province; and to delay the second vaccine dose for maximum efficacy. One provincial public health actor noted that an early 2020 decision made, within local jurisdictions, to close playgrounds was not based on scientific evidence. Further, the decision prompted public health decision-makers to centralize some decision-making to the provincial level, to address decisions being made 'on the ground' that were not based on scientific evidence (IDI16). Similarly, they added that the policy decision to require masking in schools was not based on scientific evidence; rather, "it's policy informed by the noise of your community." As parents and other groups within the community pushed for masking, this was "a policy decision to help schools stay open."

Early in the pandemic response, case data in local jurisdictions were reportedly used for monitoring and planning. These "numerator data" (IDI1), for instance case or hospitalization counts, were identified as being the primary mode of evidence used to inform decisions related to the implementation or easing of public health and social measures. The ability to generate epidemiological count data early in the pandemic due to efficient scaling up of PCR testing for COVID-19 was noted as a key advantage (IDI16). As the pandemic evolved in 2020, however, perspectives diverged in relation to the type of data that decision-makers relied on. For example, it was noted that BCCDC administered an online, voluntary survey to monitor unintended consequences of public health and social measures and inform targeted interventions. Opinions varied on whether this evidence was successfully applied in decision-making. One respondent emphasized this lack of application of evidence and perceived that public health orders were not informed by the level and type of evidence available, beyond case counts: "[In] a communicable disease crisis like a pandemic, the collateral impact slash damage is important and if you're going to be a public health institute, you actually have to bring those to the front, not just count cases" (IDI1).

There also existed some uncertainty and a perceived lack of transparency or clarity as to how or whether data analytic ‘entities’, such as BCCDC or research institutions, fed directly into decision-making. As a research actor shared, "I’m not sure that I know quite what all those channels really look like…I’m sure that there’s a lot of improvement that could be driven in terms of how we bring strong evidence to actual policy and practice" (IDI14). Another actor explicitly named the way information flowed into decision-making in the province as "organic" (IDI7). They also noted the lack of a formal, independent science advisory panel for BC’s COVID-19 response, which existed in other provincial and international jurisdictions. Relatedly, one regional health authority actor perceived that the committee that was convened to advise the province on research, and established for the purpose of applying research to the COVID-19 response, "should have focused more on knowledge translation, but too much time was spent commissioning research and asking what kinds of questions we needed to ask rather than looking at what was happening in other jurisdictions" (IDI6). Overall, multiple actors noted a lack of clarity around application of evidence and who is responsible for ensuring evidence is applied. As a BCCDC actor expressed, in relation to how to prevent transmission of COVID-19:

We probably knew most of the things that we needed to know about May of last year [2020]. So, to me, it’s not even what evidence you need to know about, but who’s responsible for making sure that you actually apply the evidence to the intervention? Because so many of our interventions have been driven by peer pressure and public expectation rather than what we know to be the case [scientifically] (IDI1).

Some described the significance of predictive disease modelling to understand the COVID-19 trajectory and inform decisions, as well as to demonstrate to the public the effectiveness of particular measures, which "help[ed] sustain our response" (IDI2). Others, however, perceived that "mathematical models were vastly overused [and] overvalued in decision-making around this pandemic" (IDI1) and that modellers stepped outside their realm of expertise in providing models and policy recommendations through the public media.

Overall, while many actors’ impressions were that the response was evidence-informed, an overarching theme was a lack of clarity and uncertainty with respect to how evidence actually flowed into decision-making processes, as well as what specific evidence was used and how. Participants noted various mechanisms created or already in place prior to COVID-19 that fed data into, and facilitated, decision-making. There was an acknowledgement that multiple forms of evidence—including scientific data, data on public perceptions, as well as public pressure—appeared to have influenced decision-making.

Interface between researchers and policy-makers

There was a general sense that the Ministry supported the use of scientific and research-based evidence specifically. Some actors identified particular Ministry personnel as being especially amenable to research and focused on data to inform decisions and implementation. More broadly, the government-research interface was characterized by one actor as an amicable one, a "research-friendly government", and that the Ministry of Health (MOH), specifically, has a research strategy whereby, "it’s literally within their bureaucracy to become a more evidence-informed organization" (IDI11). The MOH was noted to have funded a research network intended to channel evidence into health policy and practice, and which reported to the research side of the MOH.

Other actors perceived relatively limited engagement with the broader scientific community. Some perceived an overreliance on 'in-house expertise' or a "we can do that [ourselves] mentality" within government that precluded academic researchers’ involvement, as well as a sense of "not really always wanting to engage with academics to answer policy questions because they don’t necessarily see the value that comes" (IDI14). With respect to the role of research, an actor stated:

There needs to be a provincial dialogue around what evidence is and how it gets situated, because there’s been some tension around evidence being produced and not used or at least not used in the way that researchers think that it should be (IDI11).

Those involved in data analytics within the MOH acknowledged a challenge in making epidemiological data available to academic researchers, because "at the time, you’re just trying to get decisions made" (IDI7). Relatedly, a research actor described the rapid instigation of COVID-19 research and pivoting of academic research programs to respond to the pandemic, but perceived a slow uptake of these research efforts from the MOH and PHSA for decision-making and action. Nevertheless, they too acknowledged the challenge of using research evidence, specifically, in an evolving and dynamic pandemic:

I think we’ve got to be realistic about what research in a pandemic situation can realistically contribute within very short timelines. I mean, some of these decisions have to be made very quickly...they were intuitive decisions, I think some of them, rather than necessarily evidence-based decisions (IDI14).

Relatedly, perspectives diverged on the relationship between 'government' and public health expertise, and whether or not public health actors had an independent voice in articulating evidence to inform governance during the pandemic. Largely from Ministry stakeholders, and those within the PHSA, the impressions were that Ministry actors were relying on public health advice and scientific expertise. As one actor articulated, "[the] government actually respected and acknowledged and supported public health expertise" (IDI9). Others emphasized a "trust of the people who understood the problem" (IDI3)—namely, those within public health—and perceived that public health experts were enabled "to take a lead role in the health system, over politics" (IDI12). This perspective was not as widely held by those in the public health sector, as one public health actor expressed, "politicians and bureaucrats waded into public health practice in a way that I don't think was appropriate" and that, "in the context of a pandemic, it’s actually relatively challenging to bring true expert advice because there’s too many right now. Suddenly, everybody’s a public health expert, but especially bureaucrats and politicians." They went on to share that the independence of public health to speak and act—and for politicians to accept independent public health advice—needs to be protected and institutionalized as "core to good governance" (IDI1). Relatedly, an elected official linked this to the absence of a formal, independent science table to advise government and stated that, "I think we should have one established permanently. I think we need to recognize that politicians aren't always the best at discerning scientific evidence and how that should play into decision-making" (IDI15).

These results highlight the divergent perspectives participants had as to the interface between research and policy-making and a lack of understanding regarding process and roles.

Challenges in applying evidence to policy decisions

Perspectives converged with respect to the existence of numerous challenges with and barriers to applying evidence to health policy and decision-making. These related to the quality and breadth of available data, both in terms of absence and abundance. For instance, as one public health actor noted in relation to health policy-making, "you never have enough information. You always have an information shortage, so you're trying to make the best decisions you can in the absence of usually really clear information" (IDI8). On the other hand, as evidence emerged en masse across jurisdictions in the pandemic, there were challenges with synthesizing evidence in a timely fashion for 'real-time' decision-making. A regional health authority actor highlighted this challenge early in the COVID-19 pandemic and perceived that there was not a provincial group bringing new synthesized information to decision-makers on a daily basis (IDI6). Other challenges related to the complexity of the political-public health interface with respect to data and scientific expertise, which "gets debated and needs to be digested by the political process. And then decisions are made" (IDI5). This actor further expressed that debate among experts needs to be balanced with efficient crisis response, that one has to "cut the debate short. For the sake of expediency, you need to react."

It was observed that, in BC’s COVID-19 response, data was gathered from multiple sources with differing data collection procedures, and sometimes with conflicting results—for instance, 'health system data' analyzed by the PHSA and 'public health data' analyzed by the BCCDC. This was observed to present challenges from a political perspective in discerning "who’s actually getting the 'right' answers" (IDI7). An added layer of complexity was reportedly rooted in how to communicate such evidence to the public and "public trust in the numbers" (IDI7), particularly as public understanding of what evidence is, how it is developed, and why it changes, can influence public perceptions of governance.

Finally, as one actor from within the research sector noted, organizationally and governance-wise, the system was "not very well set up to actually use research evidence…if we need to do better at using evidence in practice, we need to fix some of those things. And we actually know what a lot of those things are." For example , "there’s no science framework for how organizations work within that" and " governments shy away from setting science policy " (IDI11). This challenge was framed as having a macro-level dimension, as higher-level leadership structures were observed to not incentivize the development and effective use of research among constituent organizations, and also micro-level implications. From their perspective, researchers will struggle without such policy frameworks to obtain necessary data-sharing agreements with health authorities, nor will they be able to successfully navigate other barriers to conducting action-oriented research that informs policy and practice.

Similarly, a research actor perceived that the COVID-19 pandemic highlighted pre-existing fragmentation, "a pretty disjointed sort of enterprise" in how research is organized in the province:

I think pandemics need strong leadership and I think pandemic research response needed probably stronger leadership than it had. And I think that’s to do with [how] no one really knew who was in charge because no one really was given the role of being truly in charge of the research response (IDI14).

This individual underscored that, at the time of the interview, there were nearly 600 separate research projects being conducted in BC that focused on COVID-19. From their perspective, this reflected the need for more centralized direction to provide leadership, coordinate research efforts, and catalyze collaborations.

Overall, respondents perceived a lack of coordination and continuity across data sources, and a lack of explicit guidelines on evidence-use in the decision-making process, which resulted in a sense of fragmentation. The tension between the processes involved in research and the need for rapid decision-making was perceived as a barrier to using evidence to inform policy.

This study explored the use of evidence to inform early COVID-19 decision-making within British Columbia, Canada, from the perspectives of decision-makers themselves. Findings underscore the complexity of synthesizing and applying evidence (i.e., ‘scientific’ or research-based evidence most commonly discussed) to support public health policy in 'real-time', particularly in the context of public health crisis response. Despite a substantial and long-established literature on evidence-based clinical decision-making [ 23 , 24 ], understanding is more limited as to how public health crisis decision-making can be evidence-informed or evidence-based. By contributing to a growing global scholarship of retrospective examinations of COVID-19 decision-making processes [ 25 , 26 , 27 , 28 ], our study aimed to broaden this understanding and, thus, support the strengthening of public health emergency preparedness in Canada, and globally.

Specifically, based on our findings on evidence-based public health practice, we found that decision-makers clearly emphasized ‘evidence-based’ or ‘evidence-informed’ as meaning ‘scientific’ evidence. They acknowledged other forms of evidence such as professional expertise and contextual information as influencing factors. We identified four key points related to the process of evidence-use in BC's COVID-19 decision-making, with broader implications as well:

Role Differences: The tensions we observed primarily related to a lack of clarity among the various agencies involved as to their respective roles and responsibilities in a public health emergency, a finding that aligns with research on evidence-use in prior pandemics in Canada [ 29 ]. Relatedly, scientists and policy-makers experienced challenges with communication and information-flow between one another and the public, which may reflect their different values and standards, framing of issues and goals, and language [ 30 ].

Barriers to Evidence-Use: Coordination and consistency in how data are collected across jurisdictions reportedly impeded efficiency and timeliness of decision-making. Lancaster and Rhodes (2020) suggest that evidence itself should be treated as a process, rather than a commodity, in evidence-based practice [ 31 ]. Thus, shifting the dialogue from 'barriers to evidence use' to an approach that fosters dialogue across different forms of evidence and different actors in the process may be beneficial.

Use of Evidence in Public Health versus Medicine: Evidence-based public health can be conflated with the concept of evidence-based medicine, though these are distinct in the type of information that needs to be considered. While ‘research evidence’ was the primary type of evidence used, other important types of evidence informed policy decisions in the COVID-19 public health emergency—for example, previous experience, public values, and preferences. This concurs with Brownson’s (2009) framework of factors driving decision-making in evidence-based public health [ 32 ]. Namely, that a balance between multiple factors, situated in particular environmental and organizational context, shapes decision-making: 1) best available research evidence; 2) clients'/population characteristics, state, needs, values, and preferences; and 3) resources, including a practitioner’s expertise. Thus, any evaluation of evidence-use in public health policy must take into consideration this multiplicity of factors at play, and draw on frameworks specific to public health [ 33 ]. Moreover, public health decision-making requires much more attention to behavioural factors and non-clinical impacts, which is distinct from the largely biology-focused lens of evidence-based medicine.

Transparency: Many participants emphasized a lack of explanation about why certain decisions were made and a lack of understanding about who was involved in decisions and how those decisions were made. This point was confirmed by a recent report on lessons learned in BC during the COVID-19 pandemic in which the authors describe " the desire to know more about the reasons why decisions were taken " as a " recurring theme " (13:66). These findings point to a need for clear and transparent mechanisms for channeling evidence, irrespective of the form used, into public health crisis decision-making.

Our findings also pointed to challenges associated with the infrastructure for utilizing research evidence in BC policy-making, specifically a need for more centralized authority on the research side of the public health emergency response to avoid duplication of efforts and more effectively synthesize findings for efficient use. Yet, as a participant questioned, what is the realistic role of research in a public health crisis response? Generally, most evidence used to inform crisis response measures is local epidemiological data or modelling data [ 7 ]. As corroborated by our findings, challenges exist in coordinating data collection and synthesis of these local data across jurisdictions to inform 'real-time' decision-making, let alone to feed into primary research studies [ 34 ].

On the other hand, as was the case in the COVID-19 pandemic, a 'high noise' research environment soon became another challenge as data became available to researchers. Various mechanisms have been established to try and address these challenges amid the COVID-19 pandemic, both to synthesize scientific evidence globally and to create channels for research evidence to support timely decision-making. For instance: 1) research networks and collaborations are working to coordinate research efforts (e.g., COVID-END network [ 35 ]); 2) independent research panels or committees within jurisdictions provide scientific advice to inform decision-making; and 3) research foundations, funding agencies, and platforms for knowledge mobilization (e.g., academic journals) continue to streamline funding through targeted calls for COVID-19 research grant proposals, or for publication of COVID-19 research articles. While our findings describe the varied forms of evidence used in COVID-19 policy-making—beyond scientific evidence—they also point to the opportunity for further investments in infrastructure that coordinates, streamlines, and strengthens collaborations between health researchers and decision-makers that results in timely uptake of results into policy decisions.

Finally, in considering these findings, it is important to note the study's scope and limitations: We focused on evidence use in a single public health emergency, in a single province. Future research could expand this inquiry to a multi-site analysis of evidence-use in pandemic policy-making, with an eye to synthesizing lessons learned and best practices. Additionally, our sample of participants included only one elected official, so perspectives were limited from this type of role. The majority of participants were health officials who primarily referred to and discussed evidence as ‘scientific’ or research-based evidence. Further work could explore the facilitators and barriers to evidence-use from the perspectives of elected officials and Ministry personnel, particularly with respect to the forms of evidence—considered broadly—and other varied inputs, that shape decision-making in the public sphere. This could include a more in-depth examination of policy implementation and how the potential societal consequences of implementation factor into public health decision-making.

We found that the policy decisions made during the initial stages of the COVID-19 pandemic were perceived by actors in BC's response as informed by—not always based on—scientific evidence, specifically; however, decision-makers also considered other contextual factors and drew on prior pandemic-related experience to inform decision-making, as is common in evidence-based public health practice [ 32 ]. The respondents' experiences point to specific areas that need to be considered in planning for future public health emergencies, including information flow between policy-makers and researchers, coordination in how data are collected, and transparency in how decisions are made—all of which reflect a need to improve communication. Furthermore, shifting the discourse from evidence as a commodity to evidence-use as a process will be helpful in addressing barriers to evidence-use, as well as increasing understanding about the public health decision-making process as distinct from clinical medicine. Finally, there is a critical need for clear mechanisms that channel evidence (whether ‘scientific’, research-based, or otherwise) into health crisis decision-making, including identifying and communicating the decision-making process to those producing and synthesizing evidence. The COVID-19 pandemic experience is an opportunity to reflect on what needs to be done to guild our public health systems for the future [ 36 , 37 ]. Understanding and responding to the complexities of decision-making as we move forward, particularly with respect to the synthesis and use of evidence, can contribute to strengthening preparedness for future public health emergencies.

Availability of data and materials

The data that support the findings of this study are not publicly available to maintain the confidentiality of research participants.

The terms 'evidence-informed' and 'evidence-based' decision-making are used throughout this paper, though are distinct. The term 'evidence-informed' suggests that evidence is used and considered, though not necessarily solely determinative in decision-making [ 38 ].

The Provincial Health Services Authority (PHSA) works with the Ministry of Health (MOH) and regional health authorities to oversee the coordination and delivery of programs.

The Office of the Provincial Health Officer (PHO) has binding legal authority in the case of an emergency, and responsibility to monitor the health of BC’s population and provide independent advice to Ministers and public offices on public health issues.

The British Columbia Centre for Disease Control (BCCDC) is a program of the PHSA and provides provincial and national disease surveillance, detection, treatment, prevention, and consultation.

Abbreviations

British Columbia

British Columbia Centre for Disease Control

Coronavirus Disease 2019

Medical Health Officer

Ministry of Health

Provincial Health Officer

Provincial Health Services Authority

Severe Acute Respiratory Syndrome Coronavirus—2

University of British Columbia

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Acknowledgements

We would like to extend our gratitude to current and former members of the University of British Columbia Working Group on Health Systems Response to COVID-19 who contributed to various aspects of this study, including Shelly Keidar, Kristina Jenei, Sydney Whiteford, Dr. Md Zabir Hasan, Dr. David M. Patrick, Dr. Maxwell Cameron, Mahrukh Zahid, Dr. Yoel Kornreich, Dr. Tammi Whelan, Austin Wu, Shivangi Khanna, and Candice Ruck.

Financial support for this work was generously provided by the University of British Columbia's Faculty of Medicine (Grant No. GR004683) and Peter Wall Institute for Advanced Studies (Grant No. GR016648), as well as a Canadian Institutes of Health Research Operating Grant (Grant No. GR019157). These funding bodies were not involved in the design of the study, the collection, analysis or interpretation of data, or in the writing of this manuscript.

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Brubacher, L.J., Lovato, C.Y., Sriram, V. et al. The use of evidence to guide decision-making during the COVID-19 pandemic: divergent perspectives from a qualitative case study in British Columbia, Canada. Health Res Policy Sys 22 , 66 (2024). https://doi.org/10.1186/s12961-024-01146-2

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• Published: 01 June 2024

The geological origins and soil properties of loess-like silty clay: a case study in the jinan area

• Zhenghao Liu 1 ,
• Xianfeng Ma 1 ,
• Dingyi Zhou 1 ,
• Linhai Lu 2 ,
• Haihua Zhang 1 ,
• Yujie Bai 1 &
• Han Han 1  

Scientific Reports volume  14 , Article number:  12612 ( 2024 ) Cite this article

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• Sedimentology
• Stratigraphy

This study, using Jinan as a case study, systematically investigates the characteristics and geological genesis of loess-like silty clay in the middle and lower reaches of the Yellow River. The primary distribution of loess-like silty clay is revealed through field surveys, laboratory experiments, and previous literature reviews. The chemical and physical properties of the loess-like silty clay were examined, in addition to investigations into its mineral composition, microstructural characteristics, and engineering mechanical properties, in order to enhance comprehension of its attributes and formation mechanisms. The research suggests that the distinctive soil environment in the area has been influenced by numerous instances of the Yellow River overflow and channel shifts over its history, as well as the impacts of climate change, geological factors, and human activities. The primary sources of material for the loess-like silty clay consist of loess, Hipparion Red Clay, and paleosol layers. The discussion also addresses the impact of regional climate on the formation of mineral components. The aforementioned findings hold significant implications for advancing the understanding of historical climatic and paleogeographic shifts, as well as for addressing engineering challenges associated with the distribution of loess-like silty clay.

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Introduction.

Loess-like silty clay, a distinctive type of soil, is especially abundant in the middle and lower sections of the Yellow River. This soil exhibits loess characteristics but differs from typical loess in terms of grain size distribution, composition, or genesis. Loess is primarily composed of silt, along with a certain proportion of fine sand, very fine sand, and clay particles. However, unlike typical loess, loess-like silty clay is a type of clayey soil with a plasticity index ranging between 10 and 17, and it has a high content of clay particles 1 , 2 . Loess-like silty clay and loess share the same color, which can easily lead to confusion. The development of loess-like silty clay in the Yellow River basin can be attributed to historical processes involving impact, erosion, and deposition by the Yellow River, which have evolved over millions of years. During the glacial periods, the extensive Loess Plateau and other areas underwent significant wind erosion, resulting in the formation of substantial amounts of fine-grained materials. The materials mentioned above were subsequently carried by wind and deposited at a considerable distance from their original location 3 , 4 , 5 , 6 . The Yellow River, functioning as a substantial natural conveyor, not only transported a considerable volume of sediment but also shaped distinctive alluvial plains in its middle and lower reaches 7 , 8 , 9 , 10 , 11 .

The advancement of urbanization in the Yellow River basin and other regions with comparable soils underscores the growing significance of investigating the soil properties of loess-like silty clay and its implications for engineering construction. The response of soil stability and erodibility is influenced by the particle composition, pore structure, and mineral content of the soil, in relation to moisture and pressure, as indicated by previous studies 12 , 13 , 14 , 15 , 16 . Addressing the physical properties and engineering characteristics of loess-like silty clay, Zhang et al . 17 performed cone penetration tests on the loess-like muddy silty clay in western Henan and developed an empirical model for the physical and mechanical parameters of loess-like mud-rich cohesive soil. Huang et al . 2 conducted unsaturated triaxial tests on loess-like silty clay in the Sanmenxia region, examining the changes in matric suction of the loess-like silty clay. Miao et al . 18 conducted an inversion analysis on the subgrade reaction coefficients of loess-like silty clay in the Shijiazhuang area, resulting in the derivation of theoretical calculation reference formulas. Al-Harthi 19 identified a correlation between land subsidence and ground fissures in the Wadi Al-Lith region of western Saudi Arabia and the rapid decline in groundwater levels subsequent to flooding, as well as the hydro-consolidation of loess-like silty clay. The results of their X-ray diffraction analysis indicated that the clay is mainly composed of kaolinite and illite, with a minor presence of smectite, though without in-depth analysis its origins. However, despite these advances, comprehensive studies on the mineral content, particle composition, and pore structure of loess-like silty clay, as well as its origins and connections with loess, remain limited.

Given the current paucity of research on loess-like silty clay internationally, the extensive presence of this unique soil type has been unveiled through construction projects in the middle and lower reaches of the Yellow River in China, especially in the Jinan area. We have conducted substantial geological surveys and analyses, providing a wealth of data on loess-like silty clay, thus enriching the field and offering parameters for the study of this distinctive soil. After conducting an extensive literature review and experimental analyses, it has been established that loess should be regarded as a primary source of the loess-like silty clay. Indeed, as research on loess advances, the international community is increasingly recognizing the ubiquity of loess research. From China to regions such as the Middle East, Central Asia, and even North America, the widespread occurrence of loess deposits is being reported. Despite China's location on the eastern side of the Eurasian continent, its Quaternary period environmental evolution exhibits regional characteristics and patterns yet is also governed by universal global laws. This suggests that during the Quaternary period, especially in the middle and lower reaches of loess deposit regions, a substantial presence of loess-like silty clay is likely. This implies that our research findings are relevant not only to China but also to many regions worldwide with loess deposits, as illustrated by Al-Harthi, AA's study in the Al-Ula area of western Saudi Arabia. This further indicates the global potential presence of this special soil, especially in regions with loess deposits, highlighting the necessity of research into the distribution, formation, physicochemical properties, and engineering behavior of loess-like silty clay, which will provide a reference for future engineering practices in more extensive regions globally and further international interest and understanding of this unique soil.

Spatial distribution and geological origins of loess-like silty clay in the yellow river's middle and lower region

Loess-like silty clay is primarily distributed in the middle and lower regions of the Yellow River basin in terms of spatial distribution, as illustrated in Fig.  1 . Significant occurrences of loess-like silty clay strata have been identified in various regions, including most of Henan Province, the central and southern parts of Shanxi Province, the southern region of Hebei Province, the eastern area of Shandong Province, the northern sections of Anhui Province, and the northern parts of Jiangsu Province. The mentioned regions are primarily situated in temperate monsoon and semi-arid climates of inland areas, where the accumulation of loess-like silty clay is mainly driven by river transport and seasonal wind activity.

Distribution of silty clay in the Yellow River basins. The map illustrates the regional distribution of silty clay in the Yellow River basin in China. The red dots on the map indicate regions with loess-like silty clay distribution. The map is drawn using Notability 14.7.11, linked at https://apps.apple.com/cn/app/notability-%E7%AC%94%E8%AE%B0-pdf/id360593530 , and modified using PowerPoint 2016.

The distribution of loess-like silty clay in the middle and lower reaches of the Yellow River basin is intricately linked to the historical evolution of the Yellow River. The Yellow River, renowned for its significant sediment load, has experienced numerous alterations in its course and breaches as a result of natural calamities and human interventions. Historical records have indicated that from the year 602 AD, the Yellow River has experienced over 1500 instances of breaching its banks and has undergone significant changes in its course more than 70 time 20 , 21 , 22 . The primary historical channels are depicted in Fig.  2 .

Major historical channels of the Yellow River. The map illustrates the main river channels of the Yellow River throughout its history compared to the present-day course. The yellow lines represent the historical river channels of the Yellow River, while the blue lines depict the current river channel. The map is drawn using AutoNavi Software v13.08.0.2039, linked at https://ditu.gaode.com/ , and modified using PowerPoint 2016.

The alteration of the Yellow River's path frequently leads to extensive flood calamities. During flood events, substantial volumes of loess-like silty clay were transported to regions bordering rivers, where they accumulate around the riverbanks, giving rise to floodplains and alluvial plains. Using the Shandong Province as a case study, the climate patterns across Asia during the Upper Pleistocene were significantly impacted by the continuous uplift of the Tibetan Plateau, while the crustal subsidence resulting from oscillatory movements in the North China region created favorable conditions for sedimentary processes 23 , 24 , 25 .

The global climate during the Upper Pleistocene underwent multiple cycles of glacial and interglacial periods. During glacial periods, various factors including decreased sea levels, heightened river gradients, and diminished vegetation resulted in intensified river erosion, resulting in the transportation of significant sediment loads in the Yellow River. Conversely, in interglacial periods, the rising sea levels led to an increase in the sedimentary activity of the river. The Yellow River, carrying sediments from the Loess Plateau, initiated the deposition of sediment layers upon entering the level terrains of Shandong Province. This process resulted in the gradual formation of a stratum approximately 40–50 m in thickness.

Jinan, straddling the north and south banks of the Yellow River, is one of the largest and most important centre cities in the middle and lower reaches of the river. The unique geographical and historical context of Jinan, combined with the northward urban expansion and the increase in engineering projects along the riverbanks in recent years, has led to the widespread discovery of loess-like silty clay in the area. This discovery makes Jinan an ideal case study for investigating the role and impact of this soil type in urbanization, especially in engineering construction. The urban area of Jinan exhibits a piedmont alluvial fan geomorphology, featuring relatively low terrain and a flat topography. Based on the geomorphological features of the Jinan area, it can be categorized into two Level I geomorphic regions: plains and mountains. Based on their origin and physical characteristics, they are further categorized into Level II regions, as illustrated in Table 1 . Under the influence of concentrated surface water flows, loess-like silty clay gives rise to gullies of various shapes, such as broad gullies, wedge gullies, lane gullies, and small erosional gullies.

Furthermore, human agricultural practices, construction activities, and land development can impact the distribution of loess-like silty clay, potentially leading to its expansion or reduction in range. This requires extensive geological surveys carried out collaboratively by multiple departments. We acknowledge that these interventions predominantly exhibit localized characteristics, these changes are spatially limited and do not fundamentally alter the overarching distribution pattern of loess-like silty clay across the Yellow River basin.

Materials and results

The material properties of soil are influenced by geological processes, which subsequently impact the compositional and structural characteristics of the soil. The compositional and structural characteristics mentioned above delineate the physical properties of the soil. These properties, in conjunction with stress conditions, govern the engineering properties of the soil. Consequently, a comprehensive understanding of this special soil requires a multifaceted and multidimensional analysis. It is essential to elucidate its physicochemical properties, particle and mineral composition, and to explore its distinctions and connections with loess.

Physicochemical properties and particle composition

The soil used for testing is the 12th layer of loess-like silty clay from Jinan City, Shandong, as specified in the "Geotechnical Engineering Exploration Stratum Sequence Division Standards for Urban Area of Jinan" 26 . The undisturbed soil exhibits a yellow–brown colouration and possesses a natural dry density of 1.62 g/cm 3 . The specific gravity of the soil is 2.73, with a liquid limit of 27.6%, a plastic limit of 17.2%, and a plasticity index of 10.4. Following the directives of TB 10103—2008, “Regulations for Rock and Soil Chemical Analysis of Railway Engineering”, experiments were conducted on samples obtained from boreholes at five distinct depths, with the results averaged 27 . The test results for the chemical properties of the soil are presented in Table 2 . Particle size tests were conducted using the Malvern Master Sizer 3000 Laser Particle Analyzer. Figure  3 depicts the classification and composition of soil particle sizes.

Particle size classification of silty clay.

The analysis of the soil samples reveals that the silty clay, similar to loess, has a pH of 7.9, demonstrating slight alkalinity. Unlike loess, which is rich in soluble salts, this soil has a low soluble salt content of 0.93 g/kg, categorizing it as low-salt soil. Its cation exchange capacity of 13 cmol/kg suggests a moderate ability to hold water, along with moderate plasticity and shrinkage potential. The analysis of ion content shows the presence of sodium, potassium, calcium, magnesium, and sulfate ions, with notable levels of calcium and sodium ions, a characteristic similar to the calcium-rich nature of loess 28 . Sodium ions, due to their substantial hydration effect, can attract a greater number of water molecules, resulting in the formation of larger hydrated ions. This phenomenon may result in heightened electrostatic repulsion at the clay particle surface, leading to a decrease in the cohesive forces between particles and subsequently causing instability in soil structure upon moisture exposure. Moreover, the area experiences a continental monsoon climate, characterized by annual precipitation of 648 mm, evaporation of 2263.00 mm, and interannual variability in runoff, marked by different wet and dry seasons. This cyclic fluctuation in moisture levels has the potential to induce geological issues, including landslides, ground subsidence, and cracking.

The particle analysis findings reveal that the examined loess-like silty clay predominantly consists of silt and clay particles, with the 0.05 ~ 0.005 mm particle size range being the predominant component, constituting 54.55% of the overall content. The group with particle sizes ranging from 0.5 ~ 0.25 mm comprises 0.94% of the total, while the 0.25 ~ 0.075 mm and 0.075 ~ 0.05 mm groups represent 6.61% and 6.24% respectively. Additionally, particles smaller than 0.005 mm make up 31.66% of the total. When compared to typical loess 29 , this loess-like silty clay shows a distinct difference in the proportion of silt and clay particles, particularly in the 0.002–0.2 mm range, where the loess-like silty clay has a significantly higher percentage of silt and clay particles than standard loess.

Mineralogical composition analysis

Clay minerals constitute the primary components of silty clay and play a significant role in controlling the engineering geological properties and variations of cohesive soils. The Japan Rigaku D/max2500 X-Ray Diffractometer was employed in this study to qualitatively identify and quantitatively analyze the mineral composition present in both the coarse and fine particles of loess-like silty clay sourced from the Jinan area. The loess-like silty clay samples were pulverized to a particle size of less than 1 mm. Subsequently, centrifugal separation techniques were utilized to extract particles within the size ranges of 20-63μm (coarse particle) and less than 2μm (fine particle) for X-ray diffraction analysis. This analysis encompassed samples from five different locations at varying depths, totaling ten sets.

Loess-like silty clay comprises a combination of detrital minerals and clay minerals. The coarse grain fraction, predominantly ranging from 0.1 to 0.01 mm in diameter, forms a substantial part of the silty clay's composition. The primary constituents of coarse particles consist of quartz, microcline, and plagioclase, along with a minor presence of calcite and mica. The specific contents are presented in Table 3 .

Clay minerals constitute the predominant composition of loess-like silty clay and exert the most significant influence on its reactivity. In this study, the composition of clay minerals in particles smaller than 0.005 mm was extracted from the loess-like silty clay and subsequently analyzed. The experimental results are presented in Table 4 .

The primary mineral constituents of the fine clay particles in loess-like silty clay consist of illite, montmorillonite, chlorite, kaolinite, and vermiculite. Comparison with loess reveals that both loess-like silty clay and loess share a similar mineral composition, particularly the presence of calcite, indicating a rich calcium content that underscores their connection 30 . The hydrophilic, adsorption characteristics, and ion exchange capacities of the minerals mentioned above have a substantial influence on the engineering geological properties of the silty clay. Illite is clearly the predominant component found in loess-like silty clay, which is characterized by a relatively moderate surface area, ion exchange capacity, and a medium-thick diffuse double layer. The mentioned attributes align with the genuine engineering geological traits of loess-like silty clay, including moderate moisture content, Atterberg limits, swelling-shrinking tendencies, and moderate mechanical strength.

Microstructure of soil particles

The microstructure of loess-like silty clay plays a significant role in determining its engineering geological characteristics. This study used Scanning Electron Microscopy (SEM) and Energy Dispersive X-ray Spectroscopy (EDS) with a Hitachi Regulus 8100 field emission microscope for detailed analysis. Five sample groups from different sampling locations were examined.

The analysis of SEM images indicates that the microstructure of the loess-like silty clay conforms to a framework type, as illustrated in Fig.  4 . The framework particles exhibit a wide range of sizes, including sand particles larger than 0.05 mm, coarse silt-sized debris ranging between 0.01 and 0.05 mm, and fine silt and clay particles. The substances mentioned above combine and solidify to create aggregates, which serve as the main structural components of loess-like silty clay. While loess-like silty clays typically display homogeneity, the specific loess-like silty clay under investigation demonstrates a certain degree of heterogeneity on a smaller scale. Certain regions exhibit high density, whereas others display significant porosity. This relates to the basic structural units of loess—the granular and agglomerate units and their connection methods—contact and cementation connections, which have similarities 28 .

Framework structure of loess-like silty clay.

Unlike loess, although most of the clumps are composed of silt and clay particles, a distinct subset is formed entirely of clay particles, as illustrated in Fig.  5 . The distinctive combination is enabled by the cementation of the clay, which enhances the bonding between the framework particles.

Clay particles. The figure shows an aggregate composed entirely of clay particles. This is an unique combination formed through the cementing action of clay, facilitating the connection of framework particles.

Additionally, it seems that the majority of the fragmented particles within the primary mass of silty clay resembling loess are enveloped by a slender coating of binding substance, establishing structural connections among the particles of silty clay resembling loess. The integrated EDS system of SEM allows for the analysis of elemental composition in specific areas. Through this approach, it is possible to conduct microanalysis of the elemental composition of the cementing substances and particles in SEM images of the silty clay. In Fig.  6 , Region 1 represents a distinct flocculent cementing area, while Region 2 corresponds to the particle area. The elemental composition analysis results of the cementing material and particles are displayed in Table 5 .

Chemical element analysis using the EDS system. The electron microscope scanning results in the figure depict the cementing material on the surfaces of the clastic particles of loess-like silty clay. Area 1 in the image represents a clearly flocculent encasement bonding region, while Area 2 corresponds to the particle region.

The analysis presented in Table 5 demonstrates that the predominant constituents of the cementing material include oxygen (O), aluminum (Al), silicon (Si), and calcium (Ca). Upon analysis of the mineral composition of the silty clay, it can be inferred that the cementing material is predominantly composed of a flocculent calcareous substance resulting from the inter-cementation of calcium carbonate and montmorillonite. The predominant elements found in soil particles include O, Na, Al, and Si, with the primary minerals consisting of quartz and feldspar, both of which are silicate minerals. The calcium content in the cementing material exceeds that found in the particle areas to a significant degree.

The pore space within the framework structure of loess-like soils can be classified into three primary types, as evident from the analysis: Contact pores exist within the framework, where the particles are in close contact with no space for deformation; Cemented contact pores refer to the consolidation of framework particles through the presence of clay minerals and calcareous cement, resulting in the development of specific structural strength; Isolated pores are present, in which the framework particles are in point-contact with each other, and are accompanied by pores of comparable size to the framework particles themselves. The quantity, distribution, and presence of calcareous cementing material have a significant impact on the mechanical properties of loess-like silty clay, playing a crucial role in determining its behavior.

Engineering mechanical characteristics

The formation process of loess-like silty clay is characterized by complexity, uncertainty, and variability, which in turn affect its engineering properties. In this study, more than 10 observation points were utilized, and over 1,000 sets of experimental data on loess-like silty clay were compiled to investigate distribution characteristics and associated patterns in greater detail. The statistical findings are displayed in Table 6 .

The analysis of the statistical data presented in Table 6 indicates a variability in the indices of loess-like silty clay in the Jinan area. The coefficients of variation for wet density and saturation exhibit relatively small values. The mean saturation of loess-like silty clay is 91.61%, with a coefficient of variation of ≤ 0.07, suggesting that the loess-like silty clay in the Jinan area is predominantly in a saturated state. Water content, porosity ratio, liquid limit, plastic limit, and plasticity index, as well as the modulus of compressibility, demonstrate average variability. The void ratio of loess-like silty clay is similar to that of loess; however, its liquid limit, plastic limit, natural moisture content, and saturation are all higher than those observed in loess 31 . The integration of mineralogical composition and Scanning Electron Microscope (SEM) examination results indicates a higher content of clay minerals within loess-like silty clay. These clay minerals exhibit significant cohesiveness, surface energy, and hydrophilicity, which not only strengthen the interparticle binding force but also markedly enhance the soil's water retention capacity.

In contrast, the coefficients of compression and liquidity index display high variability. The compression coefficient generally falls below 0.6 MPa -1 , averaging at 0.25 MPa -1 . In certain areas, it exhibits high compressibility. The substantial variability of the liquidity index suggests regional disparities in the plasticity and flow characteristics of the soil. Therefore, it is important to take into account the variability of the compression coefficient and liquidity index when calculating engineering properties. Directly using average values is not recommended; instead, it is advisable to use a weighted average value that takes into account the variability of the indices. Based on our test results in sections " Physicochemical properties and particle composition " to " Microstructure of soil particles ", the high variability in the liquid limit and compression coefficient of loess-like silty clay is primarily attributed to the complex interplay of soil mineral composition, microstructure, chemical properties, and environmental conditions. Chemical properties, including various concentrations of ions such as sodium, potassium, calcium, and others, contribute to this variability. Notably, calcium ions can emulate the calcareous nature of loess, influencing the soil's plasticity and compression behavior through calcareous cementation. The high hydration of sodium ions can increase the electrostatic repulsion among soil particles, thus affecting the soil's liquid limit and compression coefficient. The soil's mineral composition, including illite, montmorillonite, kaolinite, glauconite, and vermiculite, affects its water absorption capacity, and consequently its volume, plasticity, and compression behavior. The soil's heterogeneous microstructure impacts its engineering properties, where different types of cementation and particle contact methods affect compressibility. Environmental conditions, characterized by a continental monsoon climate with distinct wet and dry seasons, cause variations in moisture content, directly impacting soil plasticity and compressibility. The interplay of these factors results in the liquid limit and compression coefficient characteristics of loess-like silty clay.

These findings delineate both differences and connections between loess-like silty clay and loess. In terms of particle size distribution, the primary distinction lies in the content of clay and silt particles, with loess-like silty clay having a notably higher clay particle content than loess. Mineralogical composition analyses reveal that despite a consistency in mineralogical composition between loess and loess-like silty clay, especially the presence of calcite indicating abundant calcium content, this reflects their interrelation. The differences in particle composition, clay mineral content, and their skeletal structures further delineate the engineering property disparities between loess-like silty clay and loess.

Provenance discussion of loess-like silty clay

The occurrence of suspended rivers in the lower Yellow River is mainly attributed to the sediment accumulation, a result of the significant load of silt and sand transported by the Yellow River. While there is ongoing academic discussion about the precise origins and distribution of the mentioned sediments, there is a widespread agreement that the Loess Plateau plays a substantial role in contributing to the sediment load of the Yellow River. Rivers play a pivotal role in the transportation process that contributes to the formation of silty clay resembling loess. Consequently, it is reasonable to infer that loess serves as one of the primary origins of loess-like silty clay.

In particular, there is a uniformity in the mineral composition of loess and silty clay; however, loess is primarily comprised of silt particles and contains fewer clay particles. However, the widespread occurrence of loess-like silty clay layers in many urban areas along the middle and lower sections of the Yellow River cannot be exclusively ascribed to the deposition of clay particles derived from loess and transported by the river. Consequently, the development of silty clay with loess-like characteristics is not solely attributed to the loess transported by the Yellow River, but also has a direct correlation with the geological sediments of the Loess Plateau.

During experimental investigations, it was observed that loess-like silty clay, which appears yellow–brown when dry, turns reddish upon oxidation in a moist environment. Unlike synchrotron radiation X-ray diffraction (XRD), conventional XRD cannot detect iron oxides 31 . Our analysis of five samples using synchrotron radiation XRD indicated the presence of iron oxides with low crystallinity in loess-like silty clay. There is a weak diffraction peak at 0.242 nm, providing a direct scientific basis for our discussion on the characteristics of iron ions, even though these data were not directly reflected in Tables 2 and 4 . Owing to its slightly alkaline pH, the iron primarily exists in an insoluble inorganic state, leading to limited reactive iron and influencing the mobility of iron in the soil. Under arid conditions, the reactivity of iron oxides with water is limited, resulting in the soil retaining its yellow color in a relatively constant state. However, when the soil becomes moist and undergoes oxidation, the Fe 2+ in the iron minerals undergoes oxidation to Fe 3+ , resulting in the formation of new crystalline structures that modify the soil's light absorption and reflection properties. This alteration causes the moist soil to exhibit a reddish-brown appearance 32 .

The loess strata are known for containing the most comprehensive and complete geological information dating back 2.5 million years. Further investigation into the Quaternary of the Loess Plateau is required to examine the origins of iron oxides and clay particles. Taking the Luochuan loess profile as a case study, the Luochuan area commenced the accumulation of approximately 20 m of thick Hipparion Red Clay (Tertiary Red Beds) by the conclusion of the Pliocene. Studies have indicated that this clay contains high proportions of clay particles (37–55%), as well as substantial quantities of montmorillonite and illite, which are expansive clay minerals exhibiting robust physicochemical activity. A 135 m-thick layer of loess is deposited on top of the red clay, consisting of alternating loess layers, paleosols, and weathered loess layers. The paleosols display ferruginization, frequently manifesting as reddish-brown or brownish-red, and containing microstructures of optically oriented clays that have been documented. This indicates that the paleosols found in the loess and the Hipparion Red Clay are probable substantial contributors of iron oxides and clay particles.

Sun et al. 33 conducted a study on paleosols intercalated within loess layers. They gathered multiple paleosol samples from the Liujiapo loess profile near Xi'an for analysis of granulometry and mineralogical composition. The clay particle content in the previously mentioned paleosols was found to be over 60%, as indicated in Table 7 . Liu et al . 34 conducted an analysis of the mineralogical characteristics of different paleosol layers, and the findings are detailed in Table 8 .

The analysis presented in Table 8 demonstrates that the main mineral constituents of the paleosols found in the loess are largely similar to the silty clay minerals. The unique coloration of paleosols found in loess deposits, which is defined by a high colloidal particle content, closely resembles that of silty clays. The substantial thickness and similar mineral composition, in conjunction with the aforementioned attributes, strongly indicate that paleosols are a significant source material for the formation of silty clay.

Hipparion Red Clay, is characterized by its striking purple-red, brick-red, and yellow–brown coloration. It is extensively distributed in the middle and upper reaches of the Yellow River region. The red color of this clay is attributed to its iron oxide or hydroxide content. The differences in red and yellow shades are indicative of the diverse climatic conditions during deposition and the varying proportions of Fe 2+ to Fe 3+ ions, which contribute to the soil's distinct colors. Following the diagenetic process of the Hipparion Red Clay, natural processes such as weathering, unloading, and shrinkage played a significant role in the formation of various jointing and fracture patterns, including structural and weathering joints. The previously mentioned changes have weakened the clay's ability to resist erosive and deflationary forces. Moreover, the soil's high salinity and dispersivity increase its susceptibility to generating substantial solid runoff when exposed to rainwater. The mentioned runoff materials are carried by the Yellow River, offering a substantial source of material for the downstream loess silty clay layers.

Li et al. 35 conducted an analysis of the particle size and mineral composition of Hipparion Red Clay. Their findings revealed a predominance of clay particles, with the clay-size fraction (< 0.005 mm) typically ranging from 38 to 54%, as presented in Table 9 .

The soil is primarily composed of minerals such as feldspar, quartz, and calcite in terms of its mineral content. The predominant clay minerals are primarily illite, with the presence of kaolinite and montmorillonite as well 28 . This composition is fundamentally in line with the mineral composition of loess-like silty clay. Given the erodibility of Hipparion Red Clay, its distinctive red hue, high concentration of clay-sized particles, and its mineral and chemical composition resembling that of loess-like silty clay, Hipparion Red Clay serves as a significant source material for silty clays.

In summary, the formation of loess-like silty clay is influenced by a multitude of factors and encompasses a complex process that incorporates contributions from various sources, including the loess from the Loess Plateau, paleosol layers, and Hipparion Red Clay.

The impact of climate on mineral characteristics

Loess-like silty clays exhibit differences in both visual characteristics and mineral composition compared to those present in the Yangtze River and Pearl River basins. The differences mentioned above stem from diverse material sources and are also influenced by regional climatic conditions, especially fluctuations in temperature and humidity. The factors mentioned above play a crucial role in determining the formation and transformation of minerals 36 , 37 . Distinct climatic regions result in different weathering patterns and soil compositions, contributing to geographical differences in mineral compositions and formations, as illustrated in Table 10 .

The sediment of the Yellow River originates mainly from the Loess Plateau and contains a high concentration of minerals, including quartz, feldspar, and mica. The arid and cold climate in this region restricts the scope of chemical weathering, while the alternating dry and wet climatic conditions promote the development and conservation of minerals such as calcite, montmorillonite, and glauconite, but are not favorable for the formation of kaolinite. The high calcium content of loess facilitates the development of calcite in alkaline or slightly alkaline conditions. Under soil conditions ranging from neutral to strongly alkaline, with minimal leaching, the potassium ions located within the layers of the illite lattice may undergo leaching and subsequently be substituted by magnesium ions. This process results in the conversion of illite into montmorillonite.

Conversely, the climatic conditions in the Yangtze River basin, characterized by elevated temperatures and increased precipitation, as well as the weakly acidic or acidic composition of the soils, enhance chemical weathering. This environment is conducive to the formation of kaolinite in warm and moist climates with sustained and vigorous hydrolysis. This process leads to a decrease in the montmorillonite content and an increase in the kaolinite content, as well as the leaching of alkaline earth metals such as Ca, resulting in reduced presence of calcite in the clay. Illite forms under less intense leaching conditions in continental, neutral, or slightly alkaline aqueous environments. As the climate becomes wetter and hotter, there is an intensification of chemical weathering and ion exchange, resulting in an increase in Al 3+ ions within the illite. Furthermore, the progression of chemical weathering leads to the strengthening of hydrolysis, which further transforms illite into kaolinite 38 .

In the Pearl River basin, specifically in the Xijiang area, the warm and rainy climate has resulted in heightened chemical weathering processes. In this acidic soil environment, montmorillonite undergoes dissolution, leading to the abundant formation of kaolinite. This process is a consequence of extensive leaching in a humid climate under acidic conditions and can also involve the transformation of montmorillonite into kaolinite. Mica-type minerals may undergo sequential transitions from illite to montmorillonite and finally to kaolinite, as a result of varying degrees of weathering and leaching. This is associated with the appearance of iron and aluminum hydroxides, such as gibbsite and goethite. Alkali and alkaline earth metals, such as calcium, undergo significant leaching, resulting in the absence of calcite in the sediments of the Pearl River.

Current research on loess-like silty clay is limited within the academic community, especially regarding its origins, mineral composition, structural characteristics, and engineering physical properties, with even fewer references available. This study focuses on the Jinan area as a case study, employing a combination of pedology and engineering geology techniques for the first systematic analysis of the geological genesis and pedological characteristics of loess-like silty clay in the middle and lower reaches of the Yellow River. The findings indicate that the extensively distributed loess-like silty clay in the region primarily arises from the prolonged erosion, transportation, and sedimentation processes of the Yellow River and its tributaries. Comparative analyses of mineral composition and particle size testing indicate that the reddish-brown earth of Hipparion, loess, and paleosol layers are recognized as the main sources of material for the silty clay with loess-like characteristics.

Differing from loess, loess-like silty clay primarily consists of silt and clay particles, with a substantial content of the latter. The soil exhibits weak alkalinity, low solubility of salts, and moderate cation exchange capacity. Similar to loess, particularly under the arid and cold climate conditions of the Yellow River basin, illite as the predominant clay minerals within this soil type, while coarse grains are mainly comprised of detrital minerals such as quartz and feldspar. These characteristics afford the soil adequate water retention and plasticity. Structurally, the pore spaces between the framework units of loess-like silty clay are mainly divided into three types: framework-contact pores, cemented framework-contact pores, and open-framework pores. This diverse pore structure imparts certain compressibility to the soil. However, it is crucial to note that the compression coefficient and liquidity index may vary across different regions, thus requiring meticulous consideration in engineering design.

In summary, our research, conducted through extensive geological surveys and analyses in the middle and lower reaches of the Yellow River, has uncovered the widespread presence of loess-like silty clay, significantly enriching the database on this distinctive soil type and providing crucial references for further study. Loess has been identified as one of the primary sources of this soil type, indicating its potential global occurrence, particularly in loess deposition areas of the middle and lower reaches of rivers. This suggests that our findings are not only applicable within China but also relevant to numerous loess deposition regions worldwide, as evidenced by reports of loess-like silty clay in the Saudi Arabian region. This study will enhance the international community's interest in and understanding of this unique soil type, offering valuable insights for future engineering practices and soil management strategies applicable in a broader global context.

Data availability

The datasets generated during and analyzed during the current study are available from the corresponding author on reasonable request.

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Acknowledgements

This work was supported by the Key R&D Program of Shandong Province (2021CXGC011203) in China.

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Zhenghao Liu, Xianfeng Ma, Dingyi Zhou, Haihua Zhang, Yujie Bai & Han Han

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Z.-H.L.: conceptualization, investigation, writing and preparing the original draft; X.-F.M.: methodology, formal analysis, resource, funding acquisition, supervision; D.-y.Z.: writing, reviewing and editing; H.-H.Z.: supervision, writing, reviewing and editing; L.-h.L.: resource, funding acquisition, supervision; Y.-j.B.: writing, reviewing and editing; H.H.: writing, reviewing and editing.

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Liu, Z., Ma, X., Zhou, D. et al. The geological origins and soil properties of loess-like silty clay: a case study in the jinan area. Sci Rep 14 , 12612 (2024). https://doi.org/10.1038/s41598-024-63394-0

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House A, Bryant L, Russell AM, et al. Managing with Learning Disability and Diabetes: OK-Diabetes – a case-finding study and feasibility randomised controlled trial. Southampton (UK): NIHR Journals Library; 2018 May. (Health Technology Assessment, No. 22.26.)

Managing with Learning Disability and Diabetes: OK-Diabetes – a case-finding study and feasibility randomised controlled trial.

Chapter 2 methods for case finding and characterising the sample.

The starting point in preparing for a RCT in this context has to be if it is possible to identify, consent and recruit a sample from the target population and, if it is, do the potential participants have health-care needs that are likely to be modifiable through SSM? It is not inconceivable, for example, that those who are most easily identified and are able to give consent are also those most able to manage 42 their own care and to elicit support in doing so from others in their social network.

• Aims and objectives

The aims, in line with the commissioning brief, were to:

• develop and evaluate a case-finding method to identify participants who have a mild to moderate learning disability and type 2 diabetes who were not taking insulin and who might be suitable for SSM
• develop procedures for determining, and recording, capacity and obtaining consent
• recruit a sample meeting the inclusion criteria for the planned feasibility RCT, describe their personal and clinical characteristics and determine their willingness to be considered for participation in the RCT.

The proposed objectives were:

• the establishment of a practical case-finding method to identify the eligible population without undue cost
• a robust estimate of the number of people who met the eligibility criteria and the numbers who were willing to consider change in their diabetes management and to participate in the RCT
• a characterisation of the study population in terms of health, diabetes control, resource use including medication costs, living circumstances and role of supporters in diabetes management.

A cross-sectional observational study.

We chose three research sites in West Yorkshire, centred on the cities of Leeds, Bradford and Wakefield, to take part in the study. This maximised generalisability of the findings and provided a good test of feasibility of recruitment across a large population. The cities are in the lowest one-third in the UK in relation to deprivation. Bradford has an unusually large population of people of Pakistani heritage (approximately 25%), whereas Leeds and Wakefield are more typical of the UK, with about 15% of the population describing themselves as non-white British. Service configurations for diabetes varied across the three cities. In Leeds, most type 2 diabetes cases were managed exclusively in primary care, with referral to secondary care only for specific problems. There was a tiered system for diabetes care in Bradford, with almost half of general practices managing insulin transfer and several participating in collaborative care of complex cases. In Wakefield, primary care diabetes services were supported by local commissioning arrangements, in which specialist teams tailor their work to individual need. There was also a wide range of services for people with a learning disability in NHS community learning disability services, in social care and in third-sector organisations across these three cities.

• Participants and eligibility criteria

People were eligible if they met the following criteria:

• aged ≥ 18 years
• diagnosed with type 2 diabetes, controlled with diet alone or hypoglycaemic agents other than insulin
• mild to moderate learning disability, identified by GP on clinical assessment and confirmed by researcher on the basis of functional history and performance at interview
• living in the community (not in a hospital setting) and under the care of a general practice in the geographical area covered by the study or willing to agree to a data-sharing agreement.

People were excluded if they had insufficient mental capacity to consent to participate in the research; capacity was assessed at the first meeting with the researcher. The following exclusion criteria were applied after the initial visit and following information gained from the participant’s GP:

• intellectual impairment acquired from disease or injury in adult life, defined as aged ≥ 16 years, such as that caused by adult-onset dementia or stroke
• specific educational deficit, such as dyslexia, or autism without learning disability
• type 1 diabetes, secondary diabetes (such as that caused by steroids, pancreatitis or endocrine disorders) and rare causes of monogenic diabetes (such as maturity-onset diabetes of the young)
• referral into the study had been through the third sector or another non-medical professional, and eligibility could not be confirmed at interview or from a medical professional such as the GP.

Presence of a learning disability was initially decided by the referrers, who were provided with guidance on how to make the judgement. The person did not need to have a formal recorded diagnosis of a learning disability (as many individuals with intellectual impairment do not). Mild to moderate learning disability was defined by a researcher-led assessment of functional deficits (in daily activities, educational and social attainment and support needs, day-to-day cognitive functions of memory and knowledge) attributable to primary cognitive impairment or to secondary causes acquired in childhood. Mental capacity was assessed by the researcher, following guidelines from the Mental Capacity Act 2005. 36 , 43 We decided to include only those with mental capacity to consent themselves, excluding those without capacity even when a supporter might have consented, because we wanted to include only individuals who could participate themselves in self-management.

• Ethics issues and approval

Ethics approval was granted for the study by the Yorkshire and Humber Research Ethics Committee (reference number 12/YH/0304).

Informed consent

In developing our informed consent procedures and materials we drew on the NHS Health Research Authority’s guidance on supporting informed participation in research, as well as the toolkit supporting informed consent with those lacking capacity [ https://connect.le.ac.uk/alctoolkit (accessed 2 January 2018)], the Department of Health guidance on assessing capacity and obtaining consent both for clinical care and research 37 and relevant literature. 44 We approached four other research teams identified from the National Institute for Health Research portfolio as working in the area of learning disability, and they kindly shared the materials developed for their own projects (see Acknowledgements ). We also worked with our third-sector partners and learning disability specialists to develop appropriate materials.

All researchers were trained in assessing mental capacity by the learning disability consultant on the team (AS). In line with guidelines in the Mental Capacity Act 2005, 36 the presumption was of capacity and a judgement of lack of capacity was made only after all practicable steps to help the participant make a decision had been taken by the researcher in collaboration with the person’s supporter. We were mindful that capacity is not fixed and context free, and so capacity was constantly reassessed during the information-giving and data-collection processes. Our aim was to develop a pragmatic approach to consent that balanced ‘self-determination, respect and safety’ with strategies to promote participation in the research. 44

Participants recruited into the study were provided with information about a system of research advocacy that we established with a third-sector organisation, People in Action [ http://peopleinaction.org.uk (accessed 2 January 2018)]. They were provided with a confidential number that they or a supporter could call if they wanted to ask questions about the project, express concerns or withdraw if they did not feel they had the confidence to say so directly to a member of the research team.

We were aware that in some cases the supporter of a person with a learning disability may have a learning disability or other mental capacity issues themselves and so we did not make assumptions about their ability to support self-management. A supporter was defined as the main adult who was self-nominated by themselves, or nominated by the participant or by a professional who knows that person, as providing practical help and support in day-to-day living relevant to their diabetes management.

There was a further ethical challenge in considering how to explain the study to those people who had not previously been identified as having a learning disability. This was addressed by developing information materials in collaboration with third-sector organisations and their customers with a learning disability to ensure that the materials were fit for purpose and would be acceptable to our participants. We did not make reference to ‘learning disability’ or ‘learning difficulty’ anywhere in our participant or supporter materials. After suggesting a number of options to service users via People in Action, on its advice we used the abbreviation ‘OK-Diabetes’ to offer a simple memorable project name for participants, again with the aim in mind of not making reference to learning disability in our materials. In each interview, the interviewer discussed with the participant why they had been referred and that the study included people with learning disabilities. It was discussed whether or not a participant minded being in the study and if they felt they had a learning disability.

We developed a safeguarding policy for the project in consultation with the Safeguarding Adult Partnership Board in Leeds. This set out when researchers should break the confidentiality of the participant and who they should report concerns to depending on the level of perceived risk. The researcher’s obligation to report safeguarding concerns was discussed with the participant. Any non-urgent concerns that did not need an immediate response were reported back to the chief investigator and lead co-investigator for discussion and advice. We also developed a safety protocol for researcher lone working in which researchers were required to call a nominated member of the team prior to going into the interview, and once again straight afterwards.

• Screening and case-finding methods

For the reasons described earlier (see Chapter 1 , Case finding ), we decided that case finding could not simply entail cross-checking people on the learning disability registers with QOF diabetes registers. We developed a multistrand approach to identification of potential participants involving collaboration with both NHS and non-NHS third-sector organisations.

Informing general practitioners and recruiting by direct referral

We wrote to all general practices at the three study sites using a covering letter from their Clinical Commissioning Group (CCG) lead for either diabetes or learning disability. The covering letters were sent to practice managers and/or diabetes lead GPs, gave CCG endorsement to the study and urged practices to take part. Letters were followed up by telephone calls from a researcher. Practices were supplied with project information, examples of the easy-read information that would be sent to participants, a step-by-step guide to recruiting, a recruitment log to record methods of identification, a referral form with Freepost envelope for successful referrals and an easy-read template letter to send to participants who were unable to be reached by telephone. In our original proposal we intended to develop a checklist for health professionals to help them identify potential participants, particularly individuals who may have milder levels of intellectual disability and not be on the learning disability register. We developed a step-by-step recruitment guide for health-care providers (see Appendices 1 and 2 ), which, in addition to giving information on cross-checking learning disability registers with diabetes registers, informed practitioners how to run the Read Code search against electronic patient records. Our referral forms included a checklist based on one that was developed by the Royal College of Nursing to identify individuals with a learning disability. However, initial returns of the log, despite numerous missing data, suggested that practices were only running the computer-based searches or were finding them the most productive way of identifying people, suggesting that either this checklist was unhelpful or the majority of GPs were unwilling to try and identify a person as having a learning disability who was not already on the register. For this reason the study did not further develop the ‘simple checklist’ as expected, and instead it focused on register and Read Code searches, as these proved to be the most popular method of identification with clinicians.

Practices were offered the opportunity to meet the researcher to discuss the project, as many had concerns about referring a ‘vulnerable’ patient group. The researcher would attend the practice, explain the project and demonstrate the participant information materials to ensure that practice staff knew the study had taken communication issues into consideration. Over the course of the project, practices that did not respond were written to three times and received at least two follow-up telephone calls. Practices that took part in the study were paid service support costs by the Primary Care Research Network.

A researcher attended CCG meetings, giving talks on the project to practice managers and distributing project information. Time for Audit, Research, Governance, Education and Training (TARGET) training was also attended by a researcher who spoke with practice staff and distributed project information. ‘Research-ready’ practices (through what was then the Primary Care Research Network) were recruited through its regular research network meetings. The Commissioning Support Unit supported the project, circulating project information at its events, in newsletters and to its contacts. The researcher attended Continuing Professional Development training relevant to the project and presented to the clinicians there.

Case finding via searches of general practice databases

We developed Read Code searches to help general practices identify potential participants. Read Codes are clinical codes applied to patient records that can create searchable tags of information about a patient but are not limited to diagnosis codes. They can be about a patient’s identity (ethnicity for example), their social circumstances, living and care arrangements or about their symptoms. There are many Read Codes, and codes are not used routinely or consistently across practices. Some codes will automatically include a person on a list or register, such as the diabetes QOF register, or trigger a required response, for example depression symptom codes can trigger an automated reminder to screen for depression; however, not all codes are linked to registers or actions.

Different computer systems use different codes. Bradford and Wakefield use SystmOne (The Phoenix Partnership, TPP, Leeds, UK), whereas the CCGs in Leeds use a combination of SystmOne, EMIS Web (EMIS Health, Leeds, UK) and EMIS LV (EMIS Health, Leeds, UK). The research team met with system specialists and learning disability experts to design a search that could be run on any practice system to create a list of patients whose Read Codes indicated they might have a learning disability or had accessed learning disability services. It would then be up to a member of their direct care team to review these results. The search included diagnostic codes for learning disability and chromosomal or other physical abnormalities, service access codes (e.g. referred to community learning disability team) and functional ability codes (e.g. cannot read). Other codes were discussed but rejected for generating too many results, for example adding the code for ‘unable to perform personal care activity’ added over 16,000 people to the results for all of Bradford.

Two practices agreed to test the search and review the results. Both practices knew their patients with a learning disability very well. They agreed that the search had identified some of the patients known to the practice as having a learning disability but having no formal diagnosis. However, it was agreed there were too many false positives and several codes were removed that had not generated any new eligible patients. Once refined, the Read Code search of codes indicating potential learning disability was then linked to the records of patients who had type 2 diabetes but were not on insulin to further reduce the number of results and ensure eligibility. This search was linked to two other searches and uploaded to practice systems. Practices were able to search their:

• learning disability register crossed with their QOF diabetes register (excluding type 1 diabetes and people on insulin)
• whole list for patients with a Read Code that indicated learning disability and type 2 diabetes (excluding insulin)
• whole list for patients with a Read Code that indicated learning disability.

A member of clinical staff was asked to review the results provided by searches 1 and 2 and recruit all potentially eligible patients. Search 3 was provided to allow practices to review their learning disability registers if they wanted to do so. Searches were embedded in the clinical systems of each practice so they could be directly accessed through their clinical reporting files. In consultation with GPs, it was agreed that if the patient lists generated by the Read code search were too long, clinical staff would not be expected to review them. In practice, the simplicity of this arrangement proved popular as it took only four ‘clicks’ to run all of our searches. Members of the research team gave support on the use of the searches if required.

Secondary care services

Project coapplicants (DN, RA and AS) were located in secondary care settings. They referred patients to the study and recruited colleagues to refer. One site assigned a clinical studies nurse for recruitment. We approached all secondary specialist learning disability services and diabetes services in the three cities directly by letter, indicating our inclusion and exclusion criteria. We asked them to review their case load for files flagged with a learning disability and to keep the study in mind as they saw new patients. A researcher attended the Comprehensive Local Research Networks Diabetes Research Network meetings and encouraged network members to refer to the study. A researcher visited all learning disability community teams and at these meetings a key person was identified who would be the liaison between the research team and the community teams. The learning disability leads for the hospitals were involved in the project recruitment as a key figure to support recruitment in secondary care. The research team also contacted retinal screening services and specialist dentistry services to identify potentially eligible patients.

Third-sector organisations

A significant amount of support for people with a learning disability is provided by non-statutory organisations, for example in relation to advocacy, housing and family issues, health, leisure and employment. In association with partner organisations, People in Action and Tenfold [ www.tenfold.org.uk (accessed 2 January 2018)], we identified third-sector services that may be able to support the identification of potential participants in their client base. We worked closely with the learning disability partnership boards in each area to endorse our project to these services and local authority services. We recruited through a variety of services, including housing organisations, care/support organisations, Citizens Advice Bureaux, day centres, advocacy services, religious groups and community volunteering projects. A variety of recruitment methods was used including becoming familiar faces at learning disability events (e.g. in Learning Disability Week), day centres and learning disability organisation networks.

• Recruitment procedure

The referrer obtained and documented consent from potential participants to be contacted by the research team. Participants were given a tear-off sheet from the back of the referral form to remind them that they had agreed to contact. A letter and patient information sheet were then sent to the potential participants by the team (and supporter if identified) giving easy-read information about the study (see Appendix 3 ). This was followed up by a telephone call giving the potential participant (and/or supporter) an opportunity to discuss the study further and obtain verbal consent for a face-to-face interview with the study researcher. Most face-to-face interviews were conducted in the home of the participant.

Following interview, after capacity, consent (see Appendix 4 ) and a provisional assessment of eligibility were established, participants were registered using a secure, automated 24-hour telephone registration service based at the Clinical Trials Research Unit (CTRU) at the University of Leeds. Following registration, researchers contacted the participant’s GP to inform them of registration (even if they were not the original referrers) and determine final eligibility via their medical notes.

• Data collection

There were four main data collection points: (1) referral, (2) initial telephone contact with the referred participant or their supporter, (3) the face-to-face interview with the participant (and supporter if identified) and (4) the participant’s medical notes accessed by their GP. Table 1 summarises the data collected in this part of the study, and the source of the data. Most of the data used to characterise the consenting sample were collected during the face-to-face interview.

Summary of assessments: case-finding sample

• Measures and research materials

All information and consent materials were provided in easy-read format (text supported by pictures) to both participants and supporters. The materials were developed in collaboration with our third-sector partners and produced by easy on the i, an information design service within the learning disability service of the Leeds York Partnership NHS Foundation Trust [ www.easyonthei.nhs.uk (accessed 2 January 2018)]. This group includes people with a learning disability. The information resources and the interview schedule were reviewed by employees of CHANGE [ www.changepeople.org (accessed 2 January 2018)] who had a learning disability and diabetes. CHANGE is a human rights organisation and service provider that runs an accessible information service.

Baseline researcher interview

The interview (see Appendix 5 ) used a standardised format to (1) check understanding of the study using an easy-read booklet; (2) assess mental capacity to be involved in the study; (3) obtain written (or verbal when necessary) consent; (4) obtain consent to review medical records for routine clinical measures; (5) establish diabetes management, including diet, physical activity, treatment, self-care awareness and engagement with health services; (6) record mood, feelings about diet, activity levels and having diabetes; (7) identify the role of supporters in the participant’s diabetes management; (8) elicit preferences for further assistance with diabetes management and consent to re-contact for further research; and (9) record a nominated supporter to be involved in further contacts, as applicable.

The interview guide was developed with, and reviewed by, staff from People in Action, a third-sector service provider for people with a learning disability. Measures that required long-term recall (defined as > 1 week) were found to be impractical. The full interview guide was piloted by two employees of CHANGE who had a learning disability and diabetes and was altered based on their feedback.

With one exception, we did not identify standardised existing research measures for mood, diet, attitudes to diabetes or knowledge about diabetes that were appropriate for people with a learning disability in this research setting. 45 Most of the standardised measures that we identified did not have sufficiently robust psychometric properties to overcome doubts about their utility. Even self-report questionnaires with 12–15 items were considered too taxing by our expert advisers and when they depended upon making ranking judgements, such as on a 4-point severity scale, they were beyond the intellectual ability of our participants. Instead, we used such standardised measures as the basis for deriving simple and important questions to ask in the interview. Respondent burden was also a major consideration in our choice of measures and influenced by the cognitive abilities of our sample. A standardised measure that might have been feasible but that takes substantial effort to complete could not be justified unless it met the core needs of the project. For example, although there are standardised depression measures used in learning disabled populations, 46 a questionnaire such as the Glasgow Depression Scale, 47 even if it could be completed, takes 10–15 minutes with a supporter and would produce a result only indirectly related to our core objectives.

However, because of their particular importance in this study, we did attempt to capture data on diet using the Rapid Eating Assessment for Participants (REAP) – Shortened Version. 45 Although this measure is not designed for people with a learning disability, we supplemented the questions with visual aids, for example, pictures of common foods and a retrospective food diary for the previous week to prompt recall.

The interview employed mainly closed questions (see Appendix 5 ). When possible, questions were phrased in an explorative conversational form to promote understanding. The interview process was supported by visual aids in the form of laminated picture cards that illustrated the topics the interview would cover and images related to questions about, for example, family, employment, diabetes care, diet, activity and mood.

Evaluating the research process

At the end of each interview the researcher asked the participant how they found the questions on a scale of easy to hard. They were also asked to assess the acceptability of the length of the interview. The interviews were conducted with all registered participants and transcribed.

After each interview, the researcher audio-recorded their own observations using a predefined topic guide. This covered reflections on the consent process and assessing mental capacity for involvement, how well participants understood or were able to respond to questions independently or with support, whether or not the study materials worked well and the researcher’s ability to complete the EuroQol-5 Dimensions (EQ-5D), mood questions and health economics service use questions with the participant and observations about home life and relationship with supporter if present. Journals were initially transcribed to support discussions about eligibility associated with mental capacity; however, they were also used in the analysis phase to supplement the qualitative analysis.

Medical information

A medical information form sent to GPs after the baseline interview included questions to confirm eligibility, obtain recent diabetes-related test results [including glycated haemoglobin (HbA 1c ) level], comorbidities (as defined by presence on QOF registers), current diabetes medication and health service usage. The information relating to the last two items was collected on forms designed for the project as part of assessing the feasibility of an economic evaluation in a definitive RCT (see Chapter 3 ).

• A robust estimate of eligibility, including the pattern and prevalence of uncertainty during eligibility assessments, as measured by: ‘not sure’ boxes ticked for eligibility criteria on the referrals booklet, and on the confirmation of eligibility at registration.
• the number and rates of referral, including duplicates, consent to research contact, researcher interview, capacity, registration and eligibility
• methods of identification for the referred and eligible participants
• contacts – (1) nature of initial contact, (2) number of contacts (by method), (3) who contacts were with, (4) reasons for terminating contact and (5) timelines, including duration of visits.
• Communication problems for the referred and eligible participants.
• Identification of a supporter.
• Patient preferences for time and method of researchers contact.
• demographics – age, sex and ethnicity
• patient-reported measures obtained through researcher interview including living arrangements, employment status, supporter details, diabetes medication, diabetes care, food, physical activity, general health, mood, feelings about current weight and having diabetes, satisfaction with diet and levels of exercise
• use of health care and costs associated with health care
• medical results, including candidate outcome measures [HbA 1c level, body mass index (BMI), blood pressure (BP)], other measures of diabetes control and cardiovascular health, presence on QOF registers and resource use including prescribed diabetes medication.
• Statistical methods

Sample size

Across the three sites we expected an approximate total of ≈1400 people in the target population – assuming a 80% population of adults, 6% diabetes prevalence (in whom 20% use insulin) and 2% learning disability prevalence. We therefore aimed to achieve 50% GP involvement across Leeds, Bradford and Wakefield, equating to approximately 117 practices, and we assumed an eligibility rate of 50% to identify approximately 350 people meeting our eligibility criteria. A sample size of 350 people would allow a conservative estimation of the proportion eligible for the RCT of the target population to a reasonable degree of accuracy [to within 5.2% with a two-sided 95% confidence interval (CI)]. It was this original target that is cited in our funding application and in the original study protocol.

Following a Health Technology Assessment (HTA) programme review of recruitment in June 2014, our original target of 350 was lowered to a minimum of 120 following acknowledgement of a lower than expected recruitment rate. The lower recruitment rate was a result of underestimating the use of insulin in type 2 diabetes, less than expected young-onset type 2 diabetes and a stronger than expected bias of learning disability registers to more severe cases. A higher than expected potential eligibility and acceptance rate for the feasibility RCT meant that we were confident with the new recruitment target. Case-finding recruitment was also extended in order to continue in parallel with RCT recruitment.

Patient populations

Referred population.

The referred population consisted of all unique potential participants referred for entry into the case-finding part of the study, including those referred but not registered, and excludes duplicate referrals made for the same person through different sources. ‘All referrals’ refers to every separate referral from any source, including such duplicates.

Eligible population

Participants considered eligible at case finding were all those registered who met the inclusion criteria and none of the exclusion criteria. Participants found to be ineligible after registration (from GP medical notes review) or without documented evidence of informed consent were excluded from this population. When a completed medical review notes form was not received from a GP to confirm eligibility, participants were included if eligibility was confirmed by a researcher and if they were originally referred into the study via a medical professional.

Analysis methods

As this was a case-finding study for a feasibility study, outcomes were not subjected to formal statistical testing and so no hypotheses have been proposed.

For case-finding and eligibility outcomes, percentages were calculated using the total number of participants or forms expected in the relevant population as the denominator (including all participants with missing data for that variable), whereas for outcomes characterising the population, percentages were calculated using the total number of participants with available data as the denominator. Therefore, participants with missing data for each variable were excluded from the denominator and the number of participants excluded is presented alongside each summary. Analyses were carried out using statistical analysis software SAS version 9.4 (SAS Institute Inc., Cary, NC, USA).

To provide a robust estimate of eligibility

Analysis presents the flow of participants through the study within a Consolidated Standards of Reporting Trials (CONSORT) framework, including reasons for exclusion at each stage (referral, interview and consent to be approached for further research). A 95% CI for the proportion of eligible patients out of all referrals was calculated.

To evaluate a simple case-finding method to identify participants

Analysis generated descriptive statistics for patients agreeing to researcher contact, patients for whom a researcher visit was conducted, registered patients and the eligible population, when appropriate.

To characterise the population

Analysis generated descriptive statistics for participant demographics, participant-reported measures and measures of diabetes control including resource use for the eligible population, with the exception of demographics also summarised for the referred population. Measures of diabetes control were also presented categorically according to abnormal ranges on standard criteria. 48 – 51

Exploratory post hoc descriptive subgroup comparisons of diabetes control were made for BMI and HbA 1c level by the patient’s response to a number of questions, including feelings around mood, diabetes, eating, weight and exercise, whether or not there was a supporter and whether or not they were taking medications.

• Qualitative analysis

The analysis approach for the participant interviews and researcher journals is reported in Qualitative data analysis in the methods for the feasibility RCT, to avoid duplication.

• Cite this Page House A, Bryant L, Russell AM, et al. Managing with Learning Disability and Diabetes: OK-Diabetes – a case-finding study and feasibility randomised controlled trial. Southampton (UK): NIHR Journals Library; 2018 May. (Health Technology Assessment, No. 22.26.) Chapter 2, Methods for case finding and characterising the sample.
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• Open access
• Published: 29 May 2024

Using 2% PVPI topical solution for serial intravitreous injections and ocular surface findings: a case control study

• José Henrique Casemiro 1 ,
• Ana Paula Miyagusko Taba Oguido 2 &
• Antonio Marcelo Barbante Casella 3  

International Journal of Retina and Vitreous volume  10 , Article number:  41 ( 2024 ) Cite this article

46 Accesses

Metrics details

The use of povidone-iodine for ocular surface asepsis is widespread for intravitreal injections. They became frequent procedures, leading to serial exposure of patients’ eyes to iodinated solutions. In this study, we investigate the changes in the ocular surface in patients submitted to repeated use of povidine for intravitreal injection of anti-VEGF asepsis, analyzing Ocular Surface Disease Index, non-invasive break up time, blinking quality, lipid layer, meniscus height and osmolarity.

This case-control study included 34 individuals (68 eyes), 14 males, 20 females aged 48 to 94. Inclusion criteria were individuals who received application of 2% povidone-iodine eyedrops for intravitreal injections treatment with the non-treated contralateral eye used as control. Ocular surface examinations were performed at a single occasion. A pre-intravitreal injection asepsis protocol with povidone-iodine was applied. All statistical analysis was performed using the STATA® 18.0 Software and a p-value = 0.05 was considered as the statistical significance value in all tests.

The median number of IVIs in treated eyes was 12 (range 6–20). The results in treated eyes compared with untreated eyes were respectively : median OSDI 16 (IQR 6–39) and 12.5 (IQR 8–39) ( p  = 0.380); mean NIBUT 10.30 (SD ± 2.62) and 10.78 (SD ± 2.92) ( s, p  = 0.476); median blinking quality 100 (IQR 100) and 100 (IQR 100 ) (%, p  = 0.188); median lipid layer 87 (IQR 77–90) and 86 (IQR 74–100) (nm, p  = 0.451); median meniscus height 0.22 (IQR 0.19-0,31) and 0.24 (IQR 0.20–0.27) (mm, p  = 0.862), median Meibomian gland atrophy 33 (IQR 24–45) and 31.5 (IQR 25–39) (%, p  = 0.524); and mean osmolarity 306.6 (SD ± 21.13) and 313.8 (SD ± 29) (mOsm, p  = 0.297). There was no statistically significant relationship between the repetitive use of 2% iodinated solution and signs or symptoms compatible with dry eye syndrome in this group of patients.

Conclusions

The findings suggest that 2% povidone iodine is a safe and efficacious agent for ocular surface antisepsis during intravitreal injections, not leading to substantial ocular surface modifications. This conclusion supports the continued use of povidone iodine in routine ophthalmic procedures without increased risk of inducing dry eye syndrome.

The use of povidone iodine (PVPI) for ocular surface asepsis is widespread, both for surgical procedures and intravitreal injections [ 1 , 2 , 3 , 4 , 5 ]. Surgeries for cataracts, glaucoma, and intravitreal injections have become common and frequent procedures in ophthalmology, leading to the serial exposure of patients’ eyes to iodine solutions [ 5 , 6 , 7 , 8 , 9 , 10 ]. These changes are directly associated with dry eye syndrome [ 11 , 12 ].

In particular, studies have demonstrated that intravitreal injections used to treat diabetic macular edema or age-related macular degeneration result in significant changes in the ocular surface, leading to dry eye syndrome and damage to homeostasis of the ocular surface [ 5 , 11 , 13 , 14 ].

Dry eye syndrome is a multifactorial disease of the ocular surface characterized by the loss of tear film homeostasis, hyperosmolarity, inflammation, damage and neurosensory abnormalities [ 11 , 15 , 16 , 17 , 18 ]. Its etiology is variable, ranging from nonspecific inflammation of the ocular surface to direct chemical or physical aggression, infections, and autoimmune diseases [ 11 , 12 , 15 , 19 ].

In addition to the most common symptoms, burning sensation, itching, speck, eye redness, excess tearing reflex, brightness sensitivity, and quality of vision loss are also frequent findings that affect efficiency at work and the quality of life of patients [ 11 , 12 , 15 , 19 , 20 ].

This study aimed to observe changes in the ocular surface and tear film due the serial use of 2% PVPI, the gold standard drug for asepsis of the ocular surface. As it is well known that pre-injection antisepsis of the ocular surface with PVPI has a toxic effect on the corneal epithelium, the aim is to identify changes in the tear film and ocular surface and avoid serious problem like dry eye syndrome [ 11 , 12 , 21 , 22 ].

A case-control study was conducted at the Ophthalmology and Psicology Clinic (APMTO MD) in Londrina, Paraná. The patients were recruited from the Retina and Vitreous Institute (AMBC MD) in Londrina, Paraná. The study included 34 individuals (68 eyes). 14 males, 20 females, aged 48 to 94 years. All participants signed the informed consent form, which allowed their participation in the study. Inclusion criteria were individuals who received application of 2% PVPI eyedrops for anti-VEGF IVIs treatment with the contralateral eye used as control, that had not been treated with any topical medication during the same period of applications and good comprehension of the Ocular Questionnaire Surface Disease Index (OSDI). Exclusion criteria were patients who could not understand the OSDI questionnaire; patients using antidepressant medicine, diuretics, sympathomimetics, eye drops for glaucoma, or eye lubricants; people with allergies to iodine; unfavorable clinical conditions to undergo the examination procedures for the study; inappropriate test quantity and quality; unsatisfactory images or unsatisfactory and inadequate data.

The study was approved by the Ethics and Research Committee Involving Human Beings of the State University of Londrina by N. 5.300.176.

The individuals underwent directed clinical and ophthalmological analysis, received explanations about the study, used their data, and signed consent forms. All clinical measures were performed using the IDRA equipment (SBSSISTEMI, Orbasano, Torino, Italy), at which time the OSDI questionnaire was also applied and tear osmolarity was collected using the I-PEN ® (I-MED PHARMA INC. Dollard-des-Ormeaux, QC, Canada). All examinations and administration of the questionnaire were performed by the same professional. No drops or medications that could cause changes in any subsequent measurements were used.

The variables analyzed were age, sex, date of the last PVPI application, number of PVPI applications, OSDI questionnaire, tear osmolarity, NBUT, tear film interferometry, tear meniscus height, percentage of meibomian gland loss, and blink quality. The sequence of procedures obeyed the following order: Explanation to the subject regarding the exams and questionnaire to which he would be submitted, guidance to the patient not to identify in any way the eye being treated and the eye not treated during data collection, nor during the questionnaire OSDI; patient positioning in the IDRA® equipment; capture of blinking quality video images; capture of tear film interferometry; capture of images to measure the height of the tear meniscus and immediate measurement; capture of tear film (NBUT); image capture for the percentage of meibomian gland loss by everting the lower eyelid with a cotton swab; positioning the patient outside the IDRA equipment; application of the I-PEN® electrode to capture tear osmolarity in the lower conjunctiva, first in the right eye, and subsequently in the left eye; application of the OSDI questionnaire.

All statistical analyses were performed using STATA® 18.0 Software and p-values ≤ 0.05 indicated statistical significance.

The Shapiro-Wilk test was used to verify data normality. Data that did not follow a normal distribution were analyzed using the Wilcoxon rank-sum test and were described as means and as medians and interquartile ranges. Data that showed normality were analyzed using the Student’s T test and presented as means and standard deviations. Descriptive, quantitative, and multivariate analyses compared treated (case) and untreated (control) eyes.

The average number of IVIs in treated eyes was 12 (range 6–20). The results in treated eyes compared with untreated eyes were respectively: median OSDI 16 (IQR 6–39) and 12.5 (IQR 8–39) ( p  = 0.380); mean NIBUT 10.30 (SD ± 2,62) and 10.78 (SD ± 2.92) ( s, p  = 0.476); median blinking quality 100 (IQR 100) and 100 (IQR 100 ) (%, p  = 0.188); median lipid layer 87 (IQR 77–90) and 86 (IQR 74–100) (nm, p  = 0.451); median meniscus height 0,22 (IQR 0.19–0.31) and 0.24 (IQR 0.20–0.27) (mm, p  = 0.862), median Meibomian gland athrophy 33 (IQR 24–45) and 31.5 (IQR 25–39) (%, p  = 0.524); and mean osmolarity 306.6 (SD ± 21.13) and 313.8 (SD ± 29) (mOsm, p  = 0.297).). The results revealed that the use of 2% PVPI did not affect the analyzed variables in a statistically significant way. All data is summarized on Table  1 .

These results are disposable on fig 1 , 2 , 3 , 4 , 5 , 6 , 7 , 8 and 9 as annexed.

Histogram showing the days of last application of IVIS ( intravitreal injections ) in treated eyes and the density showing the proportion of eyes in each period of time

Histogram showing the number of application ov IVIS ( intravitreal injections ) in treated eyes and the density showing the proportion of eyes in each amount of number of applications

Blue box plot showing score OSDI ( Ocular Surface Disease Index ) in treated eyes comparing with pink box plot showing score OSDI in fellow eyes

Blue box plot showing NIBUT ( non invasive break up time ) in seconds in treated eyes comparing with pink box plot showing NIBUT in seconds in fellow eyes

Blue box plot showing blink quality in treated eyes comparing with pink box plot showing blink quality in fellow eyes

Blue box plot showing lipid layer in treated eyes comparing with pink box plot showing lipid layer in fellow eyes

Blue box plot showing meniscus height in milimeters in treated eyes comparing with pink box plot showing meniscus height in milimeters in fellow eyes

Blue box plot showing Meibomian gland loss in treated eyes comparing with pink box plot showing Meibomian gland loss in fellow eyes

Blue box plot showing tear osmolarity in miliosmoles in treated eyes comparing with pink box plot showing osmolarity in miliosmoles in fellow eyes

Through multivariate analysis, we obtained some interesting outcomes as follows:

When controlling for NIBUT, meibomian gland atrophy, number of applications, and days of the last application according to treatment, sex was an important variable in explaining the variability in the OSDI score (coef = 15.63 | p-value = 0.003). On average, controlling for the abovementioned variables, being female contributed to an increase in the OSDI to 15.63 points.

After controlling for meniscus height and age according to treatment, tear osmolarity contributed significantly to variability in the lipid layer (coef = -0.266, p  = 0.004). In this sense, the addition of one unit in tear osmolarity led to a -0.266 drop in the lipid layer.

After controlling for meniscus height, OSDI, days since the last application, age, and sex according to the treatment, these factors contributed significantly to the variability in the lipid layer [(coef = 0.562 | p-value = 0.004) (coef = − 5.622 | p-value = 0.048)]. In this sense, the addition of one year of age led to a decrease of -0.562 on average. For the same treatment group, female sex led to a decrease of -5,622.

Age, lipid layer, meniscus height, sex according to treatment, age according to treatment, and sex were important factors for explaining the variability in tear osmolarity.

We noticed that a greater age correlated with lower tear osmolarity. However, being in the treated group reduced the decrease in tear osmolarity with advancing age.

Being female implied higher tear osmolarity. However, the increase in tear osmolarity was smaller in the treated group.

A greater height of the lipid layer and meniscus correlated with lower tear osmolarity.

The present study showed that the use of topical PVPI at 2% did not cause significant damage to the ocular surface when the findings of the ocular surface and tear film analyses were used.

Our results contradict some existing data indicating the toxicity of long-term iodine use on the ocular surface; we found two statistically relevant results that the application of iodine may improve the stability of the tear film in the elderly and women, since the eyes in older individuals and female patients that received iodine showed a smaller increase in tear osmolarity [ 4 , 14 , 23 , 24 ].

Moreover, the results of this study corroborated some hypotheses that the use of PVPI could be positive in some dry eye disease diagnostic features, such as the improvement of the tear film meniscus height and the decrease of the tear film osmolarity [ 25 , 26 ].

A localized anti-inflammatory surface effect of the anti-VEGF agent used in intravitreous injections should be considered and assessed in further studies [ 22 , 25 ].

The literature review also shows that there was an improvement in the tear function of some patients who used iodine in ocular asepsis [ 25 , 26 , 27 ], perhaps due to an antimicrobial action preventing the proliferation of bacterial flora that could produce harmful enzymes or cause meibomitis and blepharitis [ 25 , 26 , 28 ].

The cell regeneration mechanism might have satisfactorily recomposed the ocular surface or the tear homeostasis might have compensates for the damage caused by iodine in the cells in question; furthermore, these are just hypotheses.

We also determined that the risk factors for dry eye disease, age and female sex [ 10 , 16 , 29 , 30 ], were associated with the observed clinical data: greater ages lower the height of the tear meniscus, the greater the tear osmolarity, and the smaller the lipid layer of the tear film. The female sex was also associated with higher OSDI scores and fewer tear film lipid layers.

Regardless of the cause or consequence, the osmolarity and lipid layer of the tear film were inversely proportional.

Through multivariate analysis, we determined that the risk factors for dry eye syndrome, age, and female sex correlated with worse results in the tear meniscus measurement tests, OSDI questionnaire, and tear film interferometry, corroborating the literature implicating them as risk factors for dry eye disease [ 20 , 30 , 31 ].

Moreover, due to the sample size, false negatives, or simply because in practice, iodine in the amount and frequency used does not lead to histological damage that may reflect functional changes. The results did not discourage the use of iodine for ocular asepsis but also did not indicate its use for protocols with higher concentrations or more applications than those used in current protocols.

The strengths of the study are as follows: the same patient was the control and treated group, avoiding any environmental or medical bias. The number of injections administered was higher than that reported in other studies. No drops were used during the examination to avoid artificial changes to the tear film.

The limitations of this study were as follows: the study had a small sample size of 34 patients, resulting in 68 eyes being analyzed, which may have caused an analysis bias when using these data in the general population. We must remember that the analyzed population was from southern Brazil and had mostly descended from Italian, German, Spanish, and Portuguese immigrants; therefore, these data may only reflect the specific epidemiology of this population. The meibomian glands analyzed were located in the inferior tarsus.

The use of iodine on the ocular surface was not significantly associated with any of the evaluated parameters. There were no statistically significant correlations between the tests applied to the case eyes. The current study indicates that the application of 2% topical povidone-iodine (PVPI) does not inflict significant damage to the ocular surface, as evidenced by the analyses of the ocular surface and tear film. Notable strengths of this study include the use of the same patient as both the control and the treated subject, which minimizes potential biases from environmental or medical factors. Additionally, the absence of any artificial agents during the examination ensures that the tear film remains unaltered.

Contrary to previous concerns regarding the long-term toxicity of iodine on the ocular surface, our findings suggest potential benefits of iodine application in stabilizing the tear film, particularly in older individuals and female patients. This is supported by a smaller increase in tear osmolarity in these groups following iodine application. Furthermore, the study corroborates hypotheses that PVPI may positively affect certain Dry Eye Disease diagnostic features, such as improved tear film meniscus height and reduced tear film osmolarity.

Data availability

No datasets were generated or analysed during the current study.

Abbreviations

Povidine or polyvinylpyrrolidone-iodine

• Intravitreal injections

Vascular endothelial growth factor

Ocular Surface Disease Index

Non invasive break up time

Blink quality

Lipid layer

Standard deviation

Interquartile range

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Acknowledgements

APMO provided IDRA analysis, and was a contributor to design the study, revised, written and approved the manuscript. AMBC Applied intravitreal injections and provided patients for the study and was a contributor to design the study, revised, written and approved the manuscript.

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Postgraduate Program in Health Sciences, State University of Londrina, UEL, Londrina, Brazil

José Henrique Casemiro

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Ana Paula Miyagusko Taba Oguido

Londrina State University, Avenida Robert Koch, 60, Londrina, Paraná, 86038-440, Brazil

Antonio Marcelo Barbante Casella

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JHC analyzed and interpreted patient data, reviewed the literature and was a major contributor to the acquisition of data, interviewed the patients, sponsored supplies, designed the study and written the manuscript. APMO provided IDRA analysis, and was a contributor to design the study, revised, written and approved the manuscript. AMBC Applied intravitreal injections and provided patients for the study and was a contributor to design the study, revised, written and approved the manuscript.

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Casemiro, J.H., Oguido, A.P.M.T. & Casella, A.M.B. Using 2% PVPI topical solution for serial intravitreous injections and ocular surface findings: a case control study. Int J Retin Vitr 10 , 41 (2024). https://doi.org/10.1186/s40942-024-00557-1

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Received : 11 March 2024

Accepted : 07 May 2024

Published : 29 May 2024

DOI : https://doi.org/10.1186/s40942-024-00557-1

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